| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 241 |
|
ALPA SHAH
|
|
|
INDULGED IN CREATION OF ARTIFICIALLY MARKET AND PRICE MANIPULATION IN SCRIP OF MOH LTD.
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2007 TO 19-JUN-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2007 TO 19-JUN-2009
20-JUN-2007
|
|
| 242 |
|
|
ALPANA SANJAY DANGI
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION TO INFLUENCE PRICE UPWARDS DURING PRICING PERIOD OF FCCB OF ACKRUTI CITY LTD.,WELSPUN STAHL-ROHREN LTD.,BRUSHMAN (INDIA) LTD.,RPG TRANSMISSION LTD. AND MURLI INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-DEC-2010 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-DEC-2010 TILL FURTHER ORDERS
02-DEC-2010
|
DIRECTED VIDE ORDER DATED 05/02/2011 (1) NOT TO DISPOSED OFF OR ALIENATE SHARES BELONGING TO VARIOUS SCRIPS. (2) NSDL TO FREEZE SHARES LYING IN THE ACCOUNT OF IFSL. (3) BACKGROUND PURPOSE AND OTHER ATTENDANT CIRCUMSTANCES RELATING TO OFF-MARKET TRANSFERS FROM THE ACCOUNT OF PCSL TO IFSL AND SUBSEQUENT PART SALE OF TRANSFERRED SHARES SHALL BE INVESTIGATED
SEBI VIDE ITS ORDER DATED 19/07/2011 HAS CONFIRMED INTERIM EX-PARTE DIRECTIONS ISSUED VIDE ORDER DATED 02/12/2010
INTERIM DIRECTIONS ISSUED VIDE ORDER DATED 02/12/2010 REVOKED VIDE ORDER DATED 16/03/2012
|
| 243 |
|
|
ALTAMASH SHEIKH
(PAN:CPPPS6004G)
|
|
|
|
PROFICIENT RESEARCH
PAN:AAQFP1547F
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-NOV-2021 TO 31-OCT-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-NOV-2021 TO 31-OCT-2025
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 01-NOV-2021 TO 31-OCT-2025
DIRECTED TO REFUND MONEY RECEIVED FROM CLIENTS/INVESTORS/COMPLAINANT AS FEES OR CONSIDERATION OR IN ANY OTHER FORM IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY AND/OR RESEARCH ANALYSIS ACTIVITIES
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
PROHIBITED FROM SELLING, TRANSFERRING, DIRECTLY OR INDIRECTLY, ASSETS, PROPERTIES (IMMOVABLE AND MOVABLE) AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 01-NOV-2021 TO 31-OCT-2025
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
01-NOV-2021
|
SEBI VIDE ITS NOTICE DATED 10/04/2024 DIRECTED TO PAY RS.62,41,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 10/07/2024 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
|
| 244 |
|
|
ALTAMASH SHEIKH
(PAN:CPPPS6004G)
|
|
|
|
SAMRAT TRADES
PAN:CPPPS6004G
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
CEASED AND DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR ALTERNATIVE INVESTMENT FUND AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITIES IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 01-NOV-2021 TO 31-OCT-2025
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-NOV-2021 TO 31-OCT-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-NOV-2021 TO 31-OCT-2025
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 01-NOV-2021 TO 31-OCT-2025
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 01-NOV-2021 TO 31-OCT-2025
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 01-NOV-2021 TO 31-OCT-2025
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 01-NOV-2021 TO 31-OCT-2025
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 01-NOV-2021 TO 31-OCT-2025
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 01-NOV-2021 TO 31-OCT-2025
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
26-NOV-2019
|
SEBI VIDE ITS ORDER DATED 01/11/2021 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES DIRECTLY OR INDIRECTLY AND ASSOCIATING WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR FOUR YEARS B) RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR ANY INTERMEDIARY REGISTERED WITH SEBI AND RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY OR A PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR FOUR YEARS C) RESOLVE ALL COMPLAINTS RECEIVED THROUGH SEBI’S SCORES PORTAL OR OTHERWISE, INCLUDING ANY COMPLAINT RECEIVED SUBSEQUENT TO THE ISSUANCE OF THIS ORDER WITHIN THREE MONTHS FROM DATE OF THIS ORDER D) FURNISH COMPLIANCE REPORT TO SEBI, DULY CERTIFIED BY A CHARTERED ACCOUNTANT WITHIN THREE MONTHS FROM DATE OF THIS ORDER
|
| 245 |
|
|
AMAL BHATTACHARYA
(PAN:AKDPB6648N)
|
|
|
|
ICORE-E-SERVICES LTD.
CIN:U72400WB2007PLC115309
|
|
MOBILIZED RS.54.75 CRORES FROM PUBLIC THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 5,239 INVESTORS VIOLATING SECTIONS 60 READ WITH 2(36), 56(1), 56(3) AND 73 OF COMPANIES ACT, 1956 IN MATTER OF ICORE-E-SERVICES LTD.
VIOLATED SEBI (DIP) DIRECTIVES/INSTRUCTIONS/GUIDELINES
DID NOT ADHERE TO ICDR DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2009
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 11-DEC-2017 TO 10-DEC-2021
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 11-DEC-2017 TO 10-DEC-2021
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-DEC-2017 TO 10-DEC-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-DEC-2017 TO 10-DEC-2021
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 11-DEC-2017 TO 10-DEC-2021
25-JUL-2014
|
SEBI VIDE ITS ORDER DATED 05/03/2015 CONFIRMED ALL THE DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 25/07/2014 AND DIRECTED NOTICEES TO PROVIDE FULL INVENTORY OF ALL ASSETS AND PROPERTIES AND DETAILS OF THEIR ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECRUTIES, IF HELD IN PHYSICAL FORM
SEBI VIDE ITS ORDER DATED 11/12/2017 DIRECTED TO A) REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF EQUITY SHARES WITH INTEREST @ 15% P.A. FROM WITHIN A PERIOD OF 90 DAYS FROM THE DATE OF RECEIPT OF THIS ORDER THROUGH BANK DEMAND DRAFT OR ELECTRONIC MODE OF TRANSFER B) FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI FROM TWO INDEPENDENT CHARTERED ACCOUNTANTS AFTER PROPER VERIFICATION C) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN ANY MANNER WHATSOEVER, DIRECTLY OR INDIRECTLY AND RESTRAINED FROM ASSOCIATING THEMSELVES, WITH ANY LISTED PUBLIC COMPANY OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC FOR A PERIOD OF FOUR YEARS FROM THE DATE OF COMPLETION OF REFUNDS TO INVESTORS
|
| 246 |
|
|
AMAL KUMAR BASAK
(PAN:AJUPB7121N
DIN:02076723)
|
|
|
|
R.N.POLYMER INDUSTRIES LTD.
CIN:U25209WB2008PLC124698
|
|
MOBILIZED RS.61.91 LACS THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 1019 INVESTORS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956 AND THE DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
MOBILIZED RS.61.91 LACS THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 1019 INVESTORS VIOLATING REGULATIONS 4(2) (A) TO (D), 4(4), 5(2)(B), 6-9, 12, 14, 15, 16(1), 17, 19 AND 26 OF (ISSUE & LISTING OF DEBT SECURITIES) REGULATIONS, 2008
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-JUN-2017 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUN-2017 UNTIL FURTHER ORDERS
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 19-JUN-2017 UNTIL FURTHER ORDERS
DIRECTED NOT TO DISPOSE OF, ALIENATE OR ENCUMBER ANY ASSETS / PROPERTIES
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC EITHER THROUGH OFFER AND ALLOTMENTS OF PREFERENCE SHARES AND/OR ALLOTMENT OF DEBENTURES
19-JUN-2017
|
|
| 247 |
|
|
AMAL KUMAR CHATTERJEE
|
|
|
|
SCL DEBENTURE TRUST
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE FROM 15-MAR-2018 TO 14-MAR-2022
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 15-MAR-2018 TO 14-MAR-2022
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-MAR-2018 TO 14-MAR-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-MAR-2018 TO 14-MAR-2022
19-MAR-2015
|
SEBI VIDE ITS ORDER DATED 15/03/2018 RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF FOUR YEARS FROM THE DATE OF THIS ORDER
|
| 248 |
|
|
AMAL PARIKH
|
|
|
|
OHM STOCK BROKER PVT.LTD.
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF INTELLVISION SOFTWARE LTD. DURING THE PERIOD 15.2.2002 TO 10.4.2002
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-SEP-2004 TO 07-APR-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-SEP-2004 TO 07-APR-2005
08-SEP-2004
|
SAT: IMPUGNED ORDER SET ASIDE AND APPEAL ALLOWED
|
| 249 |
|
|
AMAL PATRA
(PAN:AUZPP0701A)
|
|
|
|
UNITED COSMETICS MANUFACTURING (I) LTD.
PAN:AAACU7914N
|
|
MOBILIZED RS.3.84 CRORES THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 2,955 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36) AND 73 OF THE COMPANIES ACT, 1956 AND NON-CONVERTIBLE REDEEMABLE PREFERENCE SHARES (NRPS) REGULATIONS, 2013
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 20-NOV-2015 TO 19-NOV-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-NOV-2015 TO 19-NOV-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-NOV-2015 TO 19-NOV-2019
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 20-NOV-2015 TO 19-NOV-2019
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 20-NOV-2015 TO 19-NOV-2019
20-NOV-2015
|
SEBI VIDE ITS ORDER DATED 21/10/2016 DIRECTED TO A) JOINTLY AND SEVERALLY, REFUND THE MONEY COLLECTED THROUGH ISSUE OF REDEEMABLE PREFERENCE SHARES (RPS) WITH INTEREST @ 15% P.A. FROM THE DATE OF RECEIPT OF MONEY TILL DATE OF SUCH REFUND THROUGH BANK DEMAND DRAFT OR PAY ORDER B) TO SUBMIT COMPLETE DETAILS OF ASSETS (ALONGWITH PROOFS THEREOF) CERTIFIED BY A PEER REVIEWED CHARTERED ACCOUNTANT C) PERMITTED TO SELL ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUNDS AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK D) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF ONE ENGLISH NATIONAL DAILY AND ONE VERNACULAR DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND E) FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION F) RESTRAINED FROM, DIRECTLY OR INDIRECTLY, ACCESSING CAPITAL MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND ARE FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER AND ALSO RESTRAINED FROM ASSOCIATING THEMSELVES, WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC FOR A PERIOD OF FOUR YEARS OR TILL DATE OF REFUND OF MONEY TO ALLOTTEES
SEBI VIDE ITS NOTICE DATED 14/11/2019 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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
|
| 250 |
|
|
AMAL SEN
(DIN:02126612
PAN:BNGPS8347N)
|
|
|
|
TRIBHUVAN AGRO PROJECT LTD.
CIN:U02005WB2006PLC110897
PAN:AACCT6018N
|
|
MOBILIZED RS.9.25 CRORES FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 10,882 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH SECTIONS 2(36) AND 73 OF THE COMPANIES ACT, 1956 AND THE DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH ICDR REGULATIONS, 2009
MOBILIZED RS.50 LACS FROM PUBLIC THROUGH ISSUANCE OF NON-CONVERTIBLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT TO 70 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH SECTIONS 2(36), 73, 117B AND 117C OF THE COMPANIES ACT, 1956 AND THE DEBT SECURITIES REGULATIONS
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 28-APR-2016 TO 27-APR-2020
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-APR-2016 TO 27-APR-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-APR-2016 TO 27-APR-2020
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 28-APR-2016 TO 27-APR-2020
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 28-APR-2016 TO 27-APR-2020
24-FEB-2015
|
SEBI VIDE ITS ORDER DATED 28/04/2016 DIRECTED TO A) JOINTLY AND SEVERALLY, REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF NON-CONVERTIBLE DEBENTURES (NCDS) WITH INTEREST @ 15% P.A. COMPOUNDED AT HALF YEARLY INTERVALS FROM THE DATE WHEN REPAYMENTS BECAME DUE TO INVESTORS TILL DATE OF ACTUAL PAYMENT THROUGH BANK DEMAND DRAFT OR PAY ORDER B) PERMITTED TO SELL ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUNDS INCLUDING INTEREST AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK C) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND D) DIRECTED TO PROVIDE FULL INVENTORY OF ALL ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, OR HELD IN PHYSICAL FORM E) RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY AND ARE ALSO RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
SEBI VIDE ITS ORDER DATED 31/07/2024 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH THE COMPLETE DETAILS OF ALL IMMOVABLE AND MOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, IF ANY, DULY CERTIFIED BY THE BOARD OF DIRECTORS ALONG WITH ORIGINAL DOCUMENTS PERTAINING TO THE PROPERTIES, WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, EASTERN REGIONAL OFFICE, KOLKATA D) DIRECTED INSPECTORS GENERAL OF REGISTRATION OF ALL THE STATES AND UNION TERRITORIES AND CONCERNED TEHASILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS OF THE RESPECTIVE AREAS WHERE THE PROPERTIES ARE LOCATED E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED/HELD BY THE DEFAULTERS, IF PRESENTED FOR REGISTRATION
|
| 251 |
|
|
AMALENDU MUKHERJEE
(DIN:03544485
PAN:AMWPM2947A)
|
|
|
|
FOURTH DIMENSION SOLUTION LTD.
PAN:AABCF7508A
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3A OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF RICOH INDIA LTD.
|
DIRECTED TO DISGORGE
DIRECTED TO CREDIT AMOUNTS TO ESCROW ACCOUNT IN NATIONALISED BANK
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-JUL-2020 TO 05-JUL-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-JUL-2020 TO 05-JUL-2027
17-MAR-2020
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SAT: SAT VIDE ITS ORDER DATED 27/05/2020 DIRECTED APPELLANT TO FILE REPLY ON OR BEFORE 15/06/2020
SEBI VIDE ITS ORDER DATED 06/07/2020 DIRECTED TO A) DISGORGE UNLAWFUL GAINS OF RS.2,30,34,010 ALONG WITH SIMPLE INTEREST @12% P.A.FROM 17/11/2015 TILL DATE OF PAYMENT WITHIN 45 (FORTY-FIVE) DAYS FROM DATE OF RECEIPT OF THIS ORDER B) NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK ACCOUNTS HELD BY AMALENDU MUKHERJEE EXCEPT FOR THE PURPOSES OF COMPLIANCE OF THIS ORDER C) DEPOSITORIES AND REGISTRAR AND TRANSFER AGENTS NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI IN RESPECT OF DEMAT ACCOUNTS HELD BY AMALENDU MUKHERJEE EXCEPT FOR THE PURPOSES OF COMPLIANCE OF THIS ORDER D) NOT TO DISPOSE OF OR ALIENATE ANY OF ASSETS/PROPERTIES/SECURITIES TILL SUCH TIME DIRECTION OF THIS ORDER COMPLIED E) NOT TO BUY, SELL OR OTHERWISE DEAL IN SECURITIES MARKET IN ANY MANNER OR ACCESS SECURITIES MARKET, DIRECTLY OR INDIRECTLY FROM THE DATE OF THIS ORDER TILL EXPIRY OF SEVEN YEARS FROM DATE OF COMPLETION OF PAYMENT OF DISGORGEMENT AMOUNT ALONG WITH INTEREST AND ALSO RESTRAINED FROM ASSOCIATING HIMSELF WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM DATE OF THIS ORDER TILL EXPIRY OF SEVEN YEARS FROM DATE OF COMPLETION OF PAYMENT OF DISGORGEMENT AMOUNT ALONG WITH INTEREST F) PROVIDE INFORMATION TO SEBI, IN CASE WIFE OF THE NOTICEE IS A JOINT ACCOUNT HOLDER WITH HIM WITHIN ONE WEEK FROM DATE OF RECEIPT OF THIS ORDER I) DETAILS OF PAYMENT MADE TO JOINT ACCOUNT AS EVIDENCED BY BANK STATEMENT FOR RELEVANT PERIOD II) DOCUMENTARY PROOF OF SOURCE OF INCOME OF NOTICEE’S WIFE FOR THE CREDITS MENTIONED IN JOINT ACCOUNT III) COPY OF INCOME TAX STATEMENT OF NOTICEE’S WIFE FOR RELEVANT FINANCIAL YEARS CORRESPONDING TO THE CREDITS IN THE BANK ACCOUNT IV) CERTIFICATE OF CHARTERED ACCOUNTANT ON VERIFICATION OF THE DOCUMENTS STATING THAT MONEY CREDITED IN JOINT ACCOUNT BELONGS TO HIS WIFE
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AMAN GOYAL
(DIN:03221975
PAN:AUDPG0283G)
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MAX WEALTH INFRACON INDIA LTD.
CIN:U45400WB2010PLC153347
PAN:AAGCM8372A
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MOBILIZED RS.27.00 CRORE FROM PUBLIC THROUGH ISSUANCE OF NCDS BY WAY OF PRIVATE PLACEMENT TO 213 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 67(3), 73(1) TO 73(3) OF COMPANIES ACT 1956
MOBILIZED RS.27.00 CRORE FROM PUBLIC THROUGH ISSUANCE OF NCDS BY WAY OF PRIVATE PLACEMENT TO 213 INVESTORS VIOLATING REGULATION 4(4) OF SEBI (ILDS) REGULATIONS, 2008 READ WITH SECTIONS 117B READ WITH 465(2) OF COMPANIES ACT, 2013 AND REGULATIONS 4(2)(A) TO 4(2)(D), 4(4), 5(2)(B), 6 TO 9, 12, 14, 15, 17, 19 AND 26 OF SEBI (ILDS) REGULATIONS, 2008 READ WITH REGULATION 59 OF SEBI (ISSUE AND LISTING OF NON-CONVERTIBLE SECURITIES) REGULATIONS, 2021 READ WITH SECTION 5 OF THE COMPANIES ACT, 1956
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DIRECTED TO REFUND MONEY COLLECTED THROUGH ISSUANCE OF NCDS INCLUDING APPLICATION MONEY ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 30-SEP-2024 TO 29-SEP-2027
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 30-SEP-2024 TO 29-SEP-2027
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-SEP-2024 TO 29-SEP-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2024 TO 29-SEP-2027
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 30-SEP-2024 TO 29-SEP-2027
30-SEP-2024
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| 253 |
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AMAN KOKRADY
(PAN:AKQPK3220N)
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OPG SECURITIES PVT.LTD.
PAN:AAACO1081C
(Member : NSE)
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GAINED ADVANTAGE BY CONSISTENTLY LOGGED IN FIRST ACROSS POP SERVERS ON ACCOUNT OF BEING AWARE OF THE WEAKNESS OF THE TCP/IP TBT SYSTEM ARCHITECTURE
TRIED TO CROWD OUT OTHER TRADING MEMBERS FROM TCP/IP TBT SYSTEM PLATFORM
GAINED UNFAIR ACCESS AND ADVANTAGE BY CONSISTENTLY LOGGING INTO SECONDARY POP SERVER FOR LARGE NUMBER OF DAYS VIOLATING CLAUSES A(1), A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF OPG SECURITIES LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-APR-2019 TO 29-APR-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-APR-2019 TO 29-APR-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-APR-2019
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SEBI VIDE ITS ORDER DATED 03/05/2019 ALLOWED OPG SECURITIES PVT.LTD. AND ITS DIRECTORS TO CLOSE OPEN POSITIONS IN FUTURES AND OPTIONS AND CURRENCY DERIVATIVES SEGMENTS OF OPG SECURITIES PVT.LTD. ON OR BEFORE EXPIRY DATE OF RESPECTIVE CONTRACTS OR WITHIN TWO MONTHS FROM 30/04/2019 WHICHEVER IS EARLIER
SAT: SAT VIDE ITS ORDER DATED 20/05/2019 MODIFIED ITS ORDER DATED 06/05/2019 TO THE EXTENT THAT APPELLANTS MAY DEPOSIT RS.7.50 CRORES IN CASH OR IN THE FORM OF BANK GUARANTEE FROM NATIONALIZED BANK ON OR BEFORE 30/05/2019
SAT: SAT VIDE ITS ORDER DATED 14/02/2024 ALLOWED RESPONDENT ONE WEEK TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 27/02/2024 DISMISSED THE APPEAL AS WITHDRAWN
SAT: SAT VIDE ITS ORDER DATED 08/03/2024 DIRECTED SEBI TO GIVE FINAL OPPORTUNITY OF INSPECTION OF DOCUMENTS AND CROSS-EXAMINATION OF WITNESSES TO APPELLANTS. DIRECTED APPELLANTS TO APPEAR BEFORE WTM ON 15/03/2024 ON WHICH DATE THE APPELLANTS WILL BE PROVIDED FINAL OPPORTUNITY OF CROSS-EXAMINATION AND INSPECTION
SAT: SAT VIDE ITS ORDER DATED 15/03/2024 ACCEPTED PRAYER OF THE APPLICANT AND SCHEDULE LAID DOWN IS MODIFIED AS A) CROSS-EXAMINATION OF ORIGINAL APPELLANTS/OPG SECURITIES PVT.LTD. MAY TAKE PLACE FOR THREE HOURS EACH DAY UPTO SEVEN DAYS ON ANY DAYS BETWEEN 09/04/2024 TO 22/04/2024 B) FINAL HEARING BEFORE WTM MAY TAKE PLACE BETWEEN 01/05/2024 TO 10/05/2024 C) SEBI GIVEN TIME UPTO 30/06/2024 TO COMPLETE PROCEEDINGS INITIATED PURSUANT TO THE DIRECTION OF THIS TRIBUNAL IN PARA 266(G) TO (I) OF ORDER DATED 23/01/2023 IN APPEAL NO.184 OF 2019
SEBI VIDE ITS ORDER DATED 19/03/2024 DISPOSED OF WRIT PETITION, W.P.NO.2461 OF 2024, AMAN KOKRADY VS SEBI, BEFORE BOMBAY HIGH COURT WHEREIN BOMBAY HIGH COURT DIRECTED SEBI TO DECIDE FIRST THE ISSUE OF JURISDICTION RAISED BY MR.AMAN KOKRADY
SAT: SAT VIDE ITS ORDER DATED 02/07/2025 DIRECETD IF THE COMPANY IN APPEAL NO.696 OF 2024 DEPOSITS THE AMOUNT AS DIRECTED , BENEFIT OF INTERIM ORDER ALSO EXTEND TO THE APPELLANTS HEREIN
SAT: SAT VIDE ITS ORDER DATED 24/07/2025 GRANTED APPELLANTS SIX WEEKS TO SELL SHARES IN DEMAT ACCOUNT AND DEPOSIT THE AMOUNT
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| 254 |
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AMAN KUMAR
(DIN:03376344
PAN:CBCPK8700N)
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TRUSTLINE REALTY INFRA INDIA LTD.
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MOBILIZED RS.11.57 LACS FROM PUBLIC THROUGH ISSUANCE OF PREFERENCE SHARES BY WAY OF PRIVATE PLACEMENT TO 52 INVESTORS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JUL-2018 TO 12-JUL-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JUL-2018 TO 12-JUL-2022
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 13-JUL-2018 TO 12-JUL-2022
DIRECTED NOT TO DISPOSE OF, ALIENATE OR ENCUMBER ANY ASSETS / PROPERTIES
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC EITHER THROUGH OFFER AND ALLOTMENTS OF PREFERENCE SHARES AND/OR ALLOTMENT OF DEBENTURES
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
05-APR-2017
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SEBI VIDE ITS ORDER DATED 13/07/2018 DIRECTED TO 1) JOINTLY AND SEVERALLY, REFUND THE MONEY COLLECTED THROUGH THE OFFER AND ALLOTMENT OF PREFERENCE SHARES (CCPS) WITH INTEREST @ 15% P.A. FROM THE DATE OF RECEIPT OF MONEY TILL DATE OF ACTUAL PAYMENT THROUGH BANK DEMAND DRAFT OR PAY ORDER 2) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER ANY MANNER FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
SEBI VIDE ITS NOTICE DATED 11/02/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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 09/04/2021 DIRECTED THAT ATTACHMENT NO.6422 OF 2021 DATED 11/02/2021 NOT TO BE EFFECTED IN RESPECT OF BANK ACCOUNTS NO.32545652552 OF MR.AMAN KUMAR WITH STATE BANK OF INDIA
SAT: SAT VIDE ITS ORDER DATED 13/09/2024 SET ASIDE IMPUGNED ORDER DATED 13/07/2018 AND MATTER REMITTED TO WTM OF SEBI TO RECONSIDER THE MATTER AFRESH. NO COSTS
SEBI VIDE ITS NOTICE DATED 30/09/2024 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 11/02/2021
SEBI VIDE ITS NOTICE DATED 30/09/2024 CANCELLED RECOVERY CERTIFICATE AS PER SAT ORDER DATED 13/09/2024
SEBI VIDE ITS ORDER DATED 23/04/2025 DISPOSED OF PRESENT PROCEEDINGS WITHOUT ISSUANCE OF ANY DIRECTION
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| 255 |
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AMAN MOHAN KOTHARI
(PAN:AUOPK5221B)
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GUINESS SECURITIES LTD.
PAN:AAACG9843L
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MISAPPROPRIATED CLIENT SECURITIES AND/OR FUNDS
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-DEC-2018 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-DEC-2018 TILL FURTHER ORDERS
CEASED AND DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 19-DEC-2018 TILL FURTHER ORDERS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO CLIENTS/INVESTORS UNDER WRITTEN CONFIRMATION OF CONCERNED STOCK EXCHANGES
19-DEC-2018
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SEBI VIDE ITS ORDER DATED 31/07/2019 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 19/12/2018
SAT: SAT VIDE ITS ORDER DATED 09/11/2021 DIRECTED TO FILE SHORT REPLY WITHIN A WEEK FROM THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 17/11/2021 DISPOSED OFF THE APPEAL WITH DIRECTION TO WTM TO DECIDE THE PROCEEDINGS WITHIN SIX MONTHS FROM DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATED 30/06/2022 REVOKED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD-INTERIM ORDER DATED 19/12/2018
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| 256 |
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AMAR KUMAR DAS
(PAN:AJTPD9357P)
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PHENIX PROPERTIES LTD.
CIN:U70101AS2005PLC007784
PAN:AAECP2476Q
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MOBILIZED RS.6.10 LACS FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 61089 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36) AND 73 OF THE COMPANIES ACT, 1956
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PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 27-APR-2016 TO 26-APR-2020
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2016 TO 26-APR-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-APR-2016 TO 26-APR-2020
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 27-APR-2016 TO 26-APR-2020
24-APR-2015
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SEBI VIDE ITS ORDER DATED 27/04/2016 DIRECTED TO A) JOINTLY AND SEVERALLY, REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF REDEEMABLE OF PREFERENCE SHARES (RPS) WITH INTEREST @ 15% P.A. COMPOUNDED AT HALF YEARLY INTERVALS FROM THE DATE WHEN REPAYMENTS BECAME DUE TO INVESTORS TILL DATE OF ACTUAL PAYMENT THROUGH BANK DEMAND DRAFT OR PAY ORDER B) PERMITTED TO SELL ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUNDS INCLUDING INTEREST AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK C) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND D) RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY AND ARE ALSO RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
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| 257 |
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AMAR PREMCHAND WALMIKI
(PAN:AAUPW9971A)
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, STRUCTURED TRANSACTIONS, WASH TRADES AND OFF-MARKET DEALS IN SCRIPS OF SPECTACLE INFOTEK LTD. (EARLIER KNOWN AS SPECTACLE INDUSTRIES LTD.), GOLDSTONE TECHNOLOGIES LTD., GEMSTONE INVESTMENTS LTD., LGS GLOBAL LTD., WELL PACK PAPERS & CONTAINERS LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-FEB-2011 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-FEB-2011 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
02-FEB-2011
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SEBI VIDE ITS ORDER DATED 08/07/2011 DIRECTED TO CONCLUDE INVESTIGATIONS NOT LATER THAN 31/12/2011
SEBI VIDE ITS ORDER DATED 25/01/2012 EXTENDED THE TIME LIMIT FOR COMPLETION OF INVESTIGATION TILL 31/12/2012 FROM 31/12/2011
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| 258 |
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AMAR PREMCHAND WALMIKI
(PAN:AAUPW9971A)
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS AND SELF TRADES IN SCRIP OF GEMSTONE INVESTMENTS LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-FEB-2011 TO 01-FEB-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-FEB-2011 TO 01-FEB-2017
04-JAN-2016
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| 259 |
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AMAR PREMCHAND WALMIKI
(PAN:AAUPW9971A)
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS AND SELF TRADES IN SCRIP OF WELL PACK PAPERS & CONTAINERS LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-FEB-2011 TO 01-FEB-2016
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-FEB-2011 TO 01-FEB-2016
04-JAN-2016
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| 260 |
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AMAR SINGH
(DIN:02213014)
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INDO AMERICAN CEMENT CORP.LTD.
CIN:L26943RJ1992PLC006679
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DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-JUN-2016 TILL OBTAINS SCORES AUTHENTICATION AND RESOLVES INVESTORS GRIEVANCES
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JUN-2016 TILL OBTAINS SCORES AUTHENTICATION AND RESOLVES INVESTORS GRIEVANCES
29-JUN-2016
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