| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 221 |
|
RAJESH KUMAR VITHABHAI PATEL
|
|
|
|
EXCELL MULTITECH LTD.
|
|
|
KARVY STOCK BROKING LTD.
PAN:AABCK5190K
(Member : BSE/NSE/HSE)
|
|
|
SEER FINLEASE PVT.LTD.
|
|
|
TAURAS INFOSYS LTD.
|
|
|
ZENET SOFTWARE LTD.
PAN:AAACZ0978K
|
|
FILED APPLICATION FOR SUBSCRIPTION AND/OR ACQUISITION OF SHARES IN FICTITIOUS NAME
VIOLATED SECTION 12A OF SEBI ACT.,1992
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SEBI DEPOSITORIES ACT, 1996
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 222 |
|
|
RAJESH MISHRA
(PAN:AAXPM3208P)
|
|
|
ENTERED INTO OFF-MARKET TRANSACTIONS WHICH WERE NOT IN THE NATURE OF SPOT DELIVERY CONTRACTS VIOLATING SECTION 13 READ WITH SECTION 2(I) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN SCRIP OF IFL PROMOTERS LTD.
|
IMPOSED PENALTY RS.4,00,000
25-JUN-2018
|
SEBI VIDE ITS NOTICE DATED 20/08/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS 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 ORDER DATED 27/08/2019 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 20/08/2019
|
| 223 |
|
|
RAJESH SHARMA
|
|
|
DID NOT DISCLOSE ACTUAL SHAREHOLDING PATTERN TO STOCK EXCHANGES VIOLATING SECTION 21 OF SCRA, 1956
ACTED IN CONCERT WITH PROMOTERS OF JAY BHARAT TEXTILE & REAL ESTATE LTD.FOR THE PURPOSE OF ACQUISITION OF SHARES/VOTING RIGHTS INDIRECTLY FOR PROMOTERS FOR THE PURPOSE OF CONCEALMENT OF THEIR ACQUISITION OF SHARES VIOLATING REGULATIONS 7 AND 8 SEBI TAKEOVER CODE, 1997
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10 AND 11 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF JAY BHARAT TEXTILE & REAL ESTATE LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF JAY BHARAT TEXTILE & REAL ESTATE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-MAR-2010 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES OF PROMOTERS/PERSONS ACTING IN CONCERT/DIRECTORS/CLIENTS IN DEFAULT FROM 12-MAR-2010 TILL FURTHER ORDERS
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
DIRECTED REGISTRAR & TRANSFER AGENT NOT TO GIVE EFFECT TRANSFER OF SHARES FROM 12-MAR-2010 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES TO KEEP A WATCH AND REPORT SUSPICIOUS ACTIVITIES TO SEBI
12-MAR-2010
|
|
| 224 |
|
|
RAJESHBHAI SHANTILAL ADANI
|
|
|
|
ADANI AGRO PVT.LTD.
|
|
|
ADANI EXPORTS LTD.
|
|
|
ADANI IMPEX PVT.LTD.
CIN:U51100GJ1998PTC034758
|
|
|
ADANI PROPERTIES PVT.LTD.
|
|
|
CLASSIC CREDIT LTD.
PAN:AABCC4018N
|
|
|
RAJESBHAI S.ADANI FAMILY TRUST
|
|
VIOLATED SECTION 2 (I) (A) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SECTION 16 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SECTION 24 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.30,00,000 BY THE ACCUSED TO SEBI
|
| 225 |
|
|
RAJNEE RAJAN GITAYE
(PAN:AWMPG6377L)
|
|
|
ENTERED INTO SPOT DELIVERY CONTRACTS WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION WITHIN THE TIME FRAME AS PER SECTION 2(I) OF SCRA, 1956 READ WITH SECTIONS 13, 16 AND 18 IN MATTER OF GFL FINANCIALS LTD.
|
IMPOSED PENALTY RS.1,00,000
31-JAN-2018
|
SEBI VIDE ITS NOTICE DATED 20/12/2018 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS 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 ORDER DATED 23/09/2019 DIRECTED ALL THE BANKS TO REMIT RS.1,20,726.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.RAJNEE GITAYE TO SEBI BY WAY OF EFT/NEFT/RTGS
AS PER SEBI NOTICE DATED 14/03/2022 NOTICEE IS UNTRACEABLE
|
| 226 |
|
|
RAKESH SURESHCHANDRA SHAH
|
|
|
|
EXCELL MULTITECH LTD.
|
|
|
KARVY STOCK BROKING LTD.
PAN:AABCK5190K
(Member : BSE/NSE/HSE)
|
|
|
SEER FINLEASE PVT.LTD.
|
|
|
TAURAS INFOSYS LTD.
|
|
|
ZENET SOFTWARE LTD.
PAN:AAACZ0978K
|
|
FILED APPLICATION FOR SUBSCRIPTION AND/OR ACQUISITION OF SHARES IN FICTITIOUS NAME
VIOLATED SECTION 12A OF SEBI ACT.,1992
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SEBI DEPOSITORIES ACT, 1996
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 227 |
|
|
RAM PRATAP TAYAL
|
|
|
DID NOT DISCLOSE ACTUAL SHAREHOLDING PATTERN TO STOCK EXCHANGES VIOLATING SECTION 21 OF SCRA, 1956
ACTED IN CONCERT WITH PROMOTERS OF JAY BHARAT TEXTILE & REAL ESTATE LTD.FOR THE PURPOSE OF ACQUISITION OF SHARES/VOTING RIGHTS INDIRECTLY FOR PROMOTERS FOR THE PURPOSE OF CONCEALMENT OF THEIR ACQUISITION OF SHARES VIOLATING REGULATIONS 7 AND 8 SEBI TAKEOVER CODE, 1997
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10 AND 11 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF JAY BHARAT TEXTILE & REAL ESTATE LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF JAY BHARAT TEXTILE & REAL ESTATE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-MAR-2010 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES OF PROMOTERS/PERSONS ACTING IN CONCERT/DIRECTORS/CLIENTS IN DEFAULT FROM 12-MAR-2010 TILL FURTHER ORDERS
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
DIRECTED REGISTRAR & TRANSFER AGENT NOT TO GIVE EFFECT TRANSFER OF SHARES FROM 12-MAR-2010 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES TO KEEP A WATCH AND REPORT SUSPICIOUS ACTIVITIES TO SEBI
12-MAR-2010
|
|
| 228 |
|
|
RAMESHCHANDRA KESHARIMAL JAIN
(PAN:ADIPJ1942R)
|
|
|
PURCHASED SHARES IN SPOT DELIVERY CONTRACT WITHOUT MAKING PAYMENT VIOLATING SECTIONS 2(I) AND 13 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF ALPHA HI TECH FUEL LTD.
|
IMPOSED PENALTY RS.1,00,000
04-NOV-2009
|
SEBI VIDE ITS NOTICE DATED 21/12/2017 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS ORDER DATED 27/03/2023 DIRECTED ALL THE BANKS TO REMIT RS.2,59,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.RAMESHCHANDRA KESHARIMAL JAIN TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 229 |
|
|
RAMNIK MANJIBHAI PATEL
(PAN:AEAPP8945F)
|
|
|
CONSIDERABLE DELAY IN MAKING PAYMENT OF SHARES OF ALPHA HI-TECH FUEL LTD. PURCHASED IN OFF-MARKET DEALS VIOLATING SECTION 2(I) (A) READ WITH SECTION 13 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
IMPOSED PENALTY RS.8,00,000
31-AUG-2010
|
SEBI VIDE ITS NOTICE DATED 29/06/2015 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 230 |
|
|
RASHMI S.JAIN
(PAN:AWQPJ6634B)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KALPA COMMERCIAL LTD.
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT/PARTIAL CONSIDERATION VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.G.S.R. 219(E) DATED 03/10/2013 AND SECTIONS 13 AND 18 OF SCRA, 1956 READ WITH SECTION 2(I) OF SEBI SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF KALPA COMMERCIAL LTD.
|
IMPOSED PENALTY RS.9,00,000
24-NOV-2021
|
SEBI VIDE ITS NOTICE DATED 26/05/2022 DIRECTED TO PAY A RS.9,64,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 03/01/2023 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 ORDER DATED 08/02/2023 DIRECTED ALL THE BANKS TO REMIT RS.10,45,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MS.RASHMI S.JAIN TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 231 |
|
|
RAVI NARAIN
(PAN:AAYPN8382Q)
|
|
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
PAN:AAACN1797L
|
|
MISUSED CONFIDENTIAL DATA VIOLATING CODE OF CONDUCT FOR OFFICE BEARERS OF THE STOCK EXCHANGE AND PROVISIONS RELATED TO FAIRNESS & TRANSPARENCY, DUE DILIGENCE AND CONFLICT OF INTEREST AS SPECIFIED IN MASTER CIRCULAR NO.CIR/MRD/DSA/SE/43/2010 OF 31/12/ 2010 READ WITH SECTION 3(2)(B) OF SCRA, 1956 IN MATTER OF NSE CO-LOCATION AND CORPORATE GOVERNANCE
|
IMPOSED PENALTY RS.1,00,00,000
30-JUN-2022
|
SAT: SAT VIDE ITS ORDER DATED 11/08/2022 RESPONDENT FILE REPLIES IN ALL APPEALS AND REJOINDER FILE WITHIN THREE WEEKS FROM DATE OF THIS ORDER. DIRECTED AO PURSUANT TO THE IMPUGNED ORDER SHALL REMAIN STAYED DURING THE PENDENCY OF THE APPEAL.
|
| 232 |
|
|
RAVI NARAIN
(PAN:AAYPN8382Q)
|
|
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
PAN:AAACN1797L
|
|
FAILED TO ADMINISTER THE STOCK EXCHANGE WITH PROFESSIONAL COMPETENCE, FAIRNESS, IMPARTIALITY, EFFICIENCY AND EFFECTIVENESS, DID NOT MAINTAIN HIGHEST STANDARDS OF PERSONAL INTEGRITY, TRUTHFULNESS, HONESTY AND FORTITUDE IN DISCHARGING THEIR DUTIES AND ENGAGED IN ACTS DISCREDITABLE TO THEIR RESPONSIBILITIES ETC. VIOLATING CLAUSES V(B), (E), (F) AND (G) OF CODE OF CONDUCT AS SPECIFIED UNDER PART A OF SCHEDULE II READ WITH REGULATION 26(1) OF SEBI (SECC) REGULATIONS, 2012
DID NOT MAINTAIN APPROPRIATE CONDUCT, PUTTING THE REPUTATION OF STOCK EXCHANGE IN JEOPARDY BY IGNORING VARIOUS IRREGULARITIES OF MS.CHITRA RAMKRISHNA VIOLATING CLAUSE III(C), (E) AND (F) OF CODE OF ETHICS AS SPECIFIED UNDER PART B OF SCHEDULE II READ WITH REGULATION 26(2) OF SEBI (SECC) REGULATIONS, 2012
MADE INCORRECT AND MISLEADING STATEMENT TO SEBI THAT HE DID NOT HAVE ANY ROLE IN APPOINTMENT AND SELECTION OF MR.ANAND SUBRAMANIAN VIOLATING SECTION 6(4) OF SCRA, 1956
|
RESTRAINED FROM ASSOCIATING WITH ANY MARKET INFRASTRUCTURE INSTITUTION OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 11-FEB-2022 TO 10-FEB-2024
IMPOSED PENALTY RS.2,00,00,000
11-FEB-2022
|
SEBI VIDE ITS NOTICE DATED 21/04/2022 DIRECTED TO PAY RS.2,06,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 05/05/2022 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER ON OR BEFORE NEXT DATE. DIRECTED APPELLANT TO DEPOSIT RS.50 LAC WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND DEPOSIT AMOUNT TO BE KEPT IN INTEREST BEARING ACCOUNT. EFFECT AND OPERATION OF THE IMPUGNED ORDER INSOFAR RELATED TO APPELLANT TO REMAIN STAYED PROVIDED THE APPELLANT DEPOSITED RS 50 LACS BEFORE SEBI WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 30/06/2022 CONDONED THE DELAY IN FILING OF REPLY AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 03/08/2022 GRANTED FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 28/09/2022 DIRECTED TO FILE PHYSICAL COPY OF REJOINDER AFFIDAVIT WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 233 |
|
|
REENA SHAH
(PAN:AOVPS4501H)
|
|
|
ENTERED INTO SPOT DELIVERY CONTRACTS WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION WITHIN THE TIME FRAME AS PER SECTION 2(I) OF SCRA, 1956 READ WITH SECTIONS 13, 16 AND 18 IN MATTER OF GFL FINANCIALS LTD.
|
IMPOSED PENALTY RS.50,000
31-JAN-2018
|
|
| 234 |
|
|
RENU BHUSHAN
(PAN:AGFPB9783J)
|
|
|
EXECUTED OFF-MARKET TRANSACTION OF SHARES WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTIONS 13,16 AND 28 OF SCRA, 1956 AND SEBI NOTIFICATION DATED 03/10/2013 READ WITH SECTION 2(I) OF SCRA ACT, 1956 IN MATTER OF SRESTHA FINVEST LTD.
|
IMPOSED PENALTY RS.1,00,000
30-JAN-2023
|
SEBI VIDE ITS NOTICE DATED 13/07/2023 DIRECTED TO PAY RS.1,08,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 03/08/2023 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 10/08/2023 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 03/08/2023
SEBI VIDE ITS ORDER DATED 10/08/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6853 OF 2023 DATED 12/07/2023
|
| 235 |
|
|
RINABEN PREMCHANDABHAI PARMAR
(PAN:AUBPP3074E)
|
|
|
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION SAME DAY OR NEXT DAY VIOLATING SECTION 2(I)(A) READ WITH SECTIONS 13, 16 AND 18 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN IPOS OF L&T FINANCE HOLDINGS LTD., TREE HOUSE EDUCATION LTD. AND FUTURE VENTURES INDIA LTD.
|
IMPOSED PENALTY RS.15,000
31-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 19/07/2021 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY TO RS.15,000.00 FROM RS.25,000.00
SAT: SAT VIDE ITS ORDER DATED 05/10/2021 REJECTED MODIFICATION APPLICATION
SAT: SAT VIDE ITS ORDER DATED 17/11/2021 DISMISSED REVIEW APPLICATION
|
| 236 |
|
|
RITABEN BHARATBHAI SHAH
(PAN:APFPS4223R)
|
|
|
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION SAME DAY OR NEXT DAY VIOLATING SECTION 2(I)(A) READ WITH SECTIONS 13, 16 AND 18 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN IPOS OF L&T FINANCE HOLDINGS LTD., TREE HOUSE EDUCATION LTD. AND FUTURE VENTURES INDIA LTD.
|
IMPOSED PENALTY RS.15,000
31-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 19/07/2021 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY TO RS.15,000.00 FROM RS.25,000.00
SAT: SAT VIDE ITS ORDER DATED 05/10/2021 REJECTED MODIFICATION APPLICATION
SAT: SAT VIDE ITS ORDER DATED 17/11/2021 DISMISSED REVIEW APPLICATION
|
| 237 |
|
|
ROHINTON SCREWVALA
(PAN:AAGPS7083K)
|
|
|
ALLEGED INDULGENCE IN OFF-MARKET TRANSACTIONS WHICH WERE NOT IN NATURE OF SPOT DELIVERY CONTRACTS VIOLATING SECTIONS 13 AND 18 READ WITH SECTION 2(I) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN SCRIP OF UTV SOFTWARE COMMUNICATIONS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,80,000 VIDE CONSENT ORDER)
19-AUG-2013
|
|
| 238 |
|
|
ROHIT SHARMA
(PAN:BGWPS8836F)
|
|
|
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) OF SEBI SCRA ACT, 1956 READ WITH SECTIONS 13, 16 AND 18 OF SEBI SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF YAMINI INVESTMENT CO.LTD.
|
IMPOSED PENALTY RS.2,00,000
20-SEP-2021
|
SEBI VIDE ITS NOTICE DATED 25/01/2022 DIRECTED TO PAY RS.2,09,351.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 10/03/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS 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 ORDER DATED 19/05/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF MR.ROHIT SHARMA TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS ORDER DATED 02/01/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4477 OF 2022 DATED 25/01/2022
SEBI VIDE ITS NOTICE DATED 02/01/2023 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 10/03/2022
|
| 239 |
|
|
ROOPALBEN NARESHBHAI PANCHAL
(PAN:AFVPP3739H)
|
|
|
FILED APPLICATION FOR SUBSCRIPTION AND/OR ACQUISITION OF SHARES IN FICTITIOUS NAME
VIOLATED SECTION 12A OF SEBI ACT.,1992
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SEBI DEPOSITORIES ACT, 1996
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 240 |
|
|
ROSHAN KUMAR ARUN MANDAL
(PAN:CXPPM6045P)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KALPA COMMERCIAL LTD.
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT/PARTIAL CONSIDERATION VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.G.S.R. 219(E) DATED 03/10/2013 AND SECTIONS 13 AND 18 OF SCRA, 1956 READ WITH SECTION 2(I) OF SEBI SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF KALPA COMMERCIAL LTD.
|
IMPOSED PENALTY RS.9,00,000
24-NOV-2021
|
SEBI VIDE ITS NOTICE DATED 26/05/2022 DIRECTED TO PAY A RS.9,64,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 03/01/2023 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
SAT: SAT VIDE ITS ORDER DATED 04/01/2023 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 07/02/2023 CONDONED THE DELAY IN FILING OF REPLY. ALLOWED AMENDMENT APPLICATION AND NECESSARY CORRECTION AND INCORPORATION BE CARRIED OUT WITHIN TWO WEEKS FROM DATE OF THIS ORDER. RESPONDENT TO FILE A REPLY OF AMENDED PARAGRAPHS WITHIN SAME PERIOD AND REJOINDER IF ANY, ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 02/03/2023 ALLOWED RESPONDENT FURTHER TWO WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER
SEBI VIDE ITS ORDER DATED 29/03/2023 DIRECTED ALL THE BANKS TO REMIT RS.10,54,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.ROSHAN KUMAR ARUN MANDAL TO SEBI BY WAY OF EFT/NEFT/RTGS
SAT: SAT VIDE ITS ORDER DATED 11/04/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 12/05/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
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