| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 221 |
|
ANUBHAV SURI
(PAN:BNPPS3658M)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10 AND 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MOREPEN LABORATORIES LTD.
|
REJECTED APPLICATION FILED FOR GRANT OF EXEMPTION FROM TAKEOVER REGULATIONS, 1997
29-NOV-2011
|
|
| 222 |
|
|
ANUBHAV SURI
(PAN:BNPPS3658M)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10 AND 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MOREPEN LABORATORIES LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-MAR-2018
|
|
| 223 |
|
|
ANUJ DEWAN
(PAN:AJPPD0979F)
|
|
|
|
A.V.COTTEX LTD.
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF A.V.COTTEX LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1) AND 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF A.V.COTTEX LTD.
|
IMPOSED PENALTY RS.18,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-SEP-2011
|
SAT: SAT VIDE ITS ORDER DATED 15/02/2012 HAS MODIFIED SEBI'S ORDER DATED 19/09/2011 BY REDUCING THE PENALTY AMOUNT TO RS.10 LACS FROM RS.18 LACS. NO ORDER AS TO COSTS
|
| 224 |
|
|
ANUP CHAKRABPRTY
|
|
|
|
CRUICKSHANK & CO.LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 225 |
|
|
ANUPA SUKUMAR SHAH
|
|
|
VIOLATED REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 15,00,000 SHARES (29.55%) OF TEXPLAST INDUSTRIES LTD.
|
IMPOSED PENALTY RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS
20-JAN-2009
|
|
| 226 |
|
|
ANUPAM KUMAR AGARWAL
|
|
|
|
ANJALI FLAT ROLLED SHEETS PVT.LTD.
|
|
|
AQUARIUS STEELS PVT.LTD.
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 227 |
|
|
ANUPAMA R.JAIN
(PAN:ACDPJ3745Q)
|
|
|
|
CHANNEL GUIDE INDIA LTD.
PAN:AAACB4506D
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) AND 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF CHANNEL GUIDE INDIA LTD.
|
IMPOSED PENALTY RS.20,000
29-JUN-2011
|
|
| 228 |
|
|
ANURADHA AKKINENI
|
|
|
|
SOFTPRO SYSTEMS LTD.
|
|
VIOLATED REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF MORE THAN 55% SHARES/VOTING RIGHTS IN SCRIP OF SOFTPRO SYSTEMS LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-DEC-2008
|
|
| 229 |
|
|
ANURADHA HIMATSINGKA
(PAN:AASPM5653P)
|
|
|
DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PH TRADING LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
24-APR-2015
|
|
| 230 |
|
|
ANURADHA JAITHA
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGE IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 6(1), 6(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MULTIFARIOUS TRADING & AGENCIES LTD. (NOW KNOWN AS KRISHNA VENTURES LTD.)
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGE IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) & 8(2) OF SEBI TAKEOVER CODE, 1997 FOR YEARS 1998 TO 2005 IN MATTER OF MULTIFARIOUS TRADING & AGENCIES LTD. (NOW KNOWN AS KRISHNA VENTURES LTD.)
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGE IN SHAREHOLDING TO COMPANY AND STOCK EXCHNAGES AS REQUIRED UNDER REGULATIONS 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MULTIFARIOUS TRADING & AGENCIES LTD. (NOW KNOWN AS KRISHNA VENTURES LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
25-APR-2011
|
|
| 231 |
|
|
ANURAG AGARWAL
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF PARICHAY INVESTMENTS LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PARICHAY INVESTMENTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.55,17,082 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-JAN-2017
|
|
| 232 |
|
|
ANURAG DALMIA
(PAN:AADPD9439P)
|
|
|
ENTERED INTO MOU WITH SHETH DEVELOPERS PVT.LTD. & SURAKSHA REALTY LTD. DURING OPEN OFFER PERIOD WITH RESPECT TO DEVELOPMENT OF ITS PROPERTY WITHOUT OBTAINING PROPER APPROVALS FROM GENERAL BODY OF SHAREHOLDERS VIOLATING REGULATION 23(1) OF SAST REGULATIONS, 2011 IN MATTER OF GOLDEN TOBACCO LTD.
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
14-FEB-2014
|
SAT: APPEAL DISMISSED. NO COSTS
|
| 233 |
|
|
ANURAG DINESHCHANDRA AGARWAL
(PAN:ACDPA4964G)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF STERLING GREEN WOODS LTD.
|
IMPOSED PENALTY RS.1,50,000
05-JUN-2013
|
INCLUDED IN SEBI LIST DATED 30/09/2013, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: SAT VIDE ITS ORDER DATED 18/12/2013 DIRECTED SEBI TO PASS FRESH ORDER ON MERITS AS EXPEDITIOUSLY AS POSSIBLE. NO COSTS
|
| 234 |
|
|
ANURAG DINESHCHANDRA AGARWAL
(PAN:ACDPA4964G)
|
|
|
|
PAKSH DEVELOPERS PVT.LTD.
PAN:AAECS0872M
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF STERLING GREEN WOODS LTD.
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
05-JUN-2013
|
INCLUDED IN SEBI LIST DATED 30/09/2013, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS ORDER DATED 09/10/2020 MODIFIED ITS ORDER DATED 05/06/2013 BY REDUCING THE PENALTY AMOUNT TO RS.25 LACS FROM RS.1.0 CRORE (JOINTLY AND SEVERALLY) UNDER REGULATION 10 OF SEBI ACT.
SAT: SAT VIDE ITS ORDER DATED 02/03/2022 ALLOWED THE APPEALS AND QUASHED IMPUGNED ORDER DATED 05/06/2013. APPELLANTS TO PAY COST OF RS.25 LAC EACH TO RESPONDENT ON OR BEFORE NEXT DATE. MATTERS REMITTED TO AO TO DECIDE THE MATTERS AFRESH WITHIN SIX MONTHS
SEBI VIDE ITS ORDER DATED 22/06/2022 RE-IMPOSED PENALTY AMOUNT TO RS.25 LAC UNDER REGULATION 10 OF SEBI SAST REGULATIONS U/S 15H OF SEBI ACT PAYABLE JOINTLY AND SEVERALLY
SEBI VIDE ITS NOTICE DATED 27/07/2023 DIRECTED TO PAY RS.28,51,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 27/07/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS NOTICE DATED 13/09/2024 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 27/07/2023
SEBI VIDE ITS ORDER DATED 13/09/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6990 OF 2023 DATED 27/07/2023
|
| 235 |
|
|
ANURAG DINESHCHANDRA AGARWAL
(PAN:ACDPA4964G)
|
|
|
|
PAKSH DEVELOPERS PVT.LTD.
PAN:AAECS0872M
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF STERLING GREEN WOODS LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
05-JUL-2016
|
SEBI VIDE ITS ORDER DATED 26/09/2016 REJECTED THE REQUEST OF MR.ANURAG DINESHCHANDRA AGRWAL & PAKSH DEVELOPERS PVT.LTD. AND DIRECTED THEM TO COMPLY WITH THE ORDER DATED 05/07/2016 IMMEDIATELY
|
| 236 |
|
|
ANURAG PAWANKUMAR PODDAR
|
|
|
|
GOVIND RUBBER LTD.
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GOVIND RUBBER LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF GOVIND RUBBER LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 10(7) OF SAST REGULATIONS, 2011 IN MATTER OF GOVIND RUBBER LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,91,581 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-FEB-2019
|
|
| 237 |
|
|
ANUSHKA BHAVESH GANDHI
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HORIZON INFRASTRUCTURE LTD. (NOW KNOWN AS SKIL INFRASTRUCTURE LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,32,74,000, INTEREST RS.5,10,595 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAY-2017
|
|
| 238 |
|
|
ANUSHKA BHAVESH GANDHI
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HORIZON INFRASTRUCTURE LTD.
|
DIRECTED TO DISINVEST 1,98,000 SHARES OF HORIZON INFRASTRUCTURE LTD.THROUGH SALE TO PARTIES NOT CONNECTED / RELATED TO THEM IN SMALL LOTS IN TRENCHES ON BSE AND NSE ENSURING THAT SUCH SALE DOES NOT DISTURB MARKET EQUILIBRIUM
DIRECTED TO TRANSFER ENTIRE PROCEEDS OF SALE OF SHARE TO INVESTOR PROTECTION AND EDUCATION FUND ESTABLISHED UNDER SEBI (INVESTOR PROTECTION AND EDUCATION FUND) REGULATIONS, 2009
04-MAR-2015
|
|
| 239 |
|
|
ANWAR S.DAUD
(PAN:ABHPD8385K)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ZIM LABORATORIES LTD.
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-APR-2012
|
SAT: SAT VIDE ITS ORDER DATED 01/11/2012 REDUCED THE PENALTY AMOUNT TO RS.10 LACS FROM RS.50 LACS
INCLUDED IN SEBI LIST DATED 30/06/2013, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 240 |
|
|
APARNA GARODIA
(PAN:AHUPG8408P)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 8(1) READ WITH 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HIMACHAL FIBRES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,29,588 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
26-MAR-2018
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 12 of 148
|
