| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 241 |
|
GIRIJA KELATH
|
|
|
TRADED WHILE TRADING WINDOW WAS CLOSED VIOLATING CLAUSE 4 OF CODE OF CONDUCT UNDER SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF BIOCON LTD.
|
IMPOSED PENALTY RS.5,00,000
24-SEP-2020
|
|
| 242 |
|
|
GIRISHKUMAR LAKHABHAI KADVANI
(PAN:ADKPK1848F)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ATLANTA INFRASTRUCTURE & FINANCE LTD.
|
IMPOSED PENALTY RS.50,000
30-AUG-2022
|
|
| 243 |
|
|
GITA MUKESH NAIK
(PAN:ABAPN7778H)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF NUTRAPLUS INDIA LTD.
|
IMPOSED PENALTY RS.1,00,000
19-MAR-2020
|
|
| 244 |
|
|
GOMATI DEVI RITOLIA
(PAN:ACGPR9008K)
|
|
|
ENGAGED INDIRECTLY IN INSIDER TRADING ACTIVITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT. 1992 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ZEE ENTERTAINMENT ENTERPRISES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-AUG-2021 UNTIL FURTHER ORDERS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
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 BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 12-AUG-2021 UNTIL FURTHER ORDERS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
12-AUG-2021
|
SEBI VIDE ITS ORDER DATED 27/09/2021 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 12/08/2021 SUBJECT TO MODIFICATIONS A) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER UNTIL FURTHER ORDER. PERMITTED TO BUY AND SELL / REDEEM UNITS OF MUTUAL FUNDS B) DIRECTED DEPOSITORIES TO ENSURE, THAT TILL FURTHER DIRECTIONS, CREDITS AND DEBITS OF ONLY MUTUAL FUND UNITS, ARE MADE IN DEMAT ACCOUNTS OF THE NOTICEES HELD INDIVIDUALLY OR JOINTLY AND C) DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT TILL FURTHER DIRECTION ONLY CREDITS AND TRANSFER / REDEMPTION OF MUTUAL FUND UNITS ARE PERMITTED IN THE NAME OF THE NOTICEES, JOINTLY OR SEVERALLY
SAT: SAT VIDE ITS ORDER DATED 03/09/2021 DIRECTED APPELLANTS FILE REPLY AND/OR MOVE APPLICATION FOR VACATION OF IMPUGNED ORDER
SAT: SAT VIDE ITS ORDER DATED 09/11/2021 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 27/09/2021
|
| 245 |
|
|
GONUGUNTLA HARISH
(PAN:BTSPG4464J)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MINDTREE LTD.
|
IMPOSED PENALTY RS.1,00,000
24-JAN-2022
|
SEBI VIDE ITS NOTICE DATED 17/05/2022 DIRECTED TO PAY RS.1,06,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 26/07/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4753 OF 2022 DATED 17/05/2022
|
| 246 |
|
|
GOPAL RITOLIA
(PAN:ACDPR2237H)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT.1992 AND REGULATIONS 3(2) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ZEE ENTERTAINMENT ENTERPRISES LTD.
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT. 1992 READ WITH REGULATIONS 3(1) OF SEBI (PIT) REGULATIONS, 1992 AND REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ZEE ENTERTAINMENT ENTERPRISES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2023 TO 31-MAR-2025
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
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 BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 31-MAR-2023 TO 31-MAR-2025
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 31-MAR-2023 TO 31-MAR-2025
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
DIRECTED TO DISGORGE RS.7,51,99,772
12-AUG-2021
|
SEBI VIDE ITS ORDER DATED 27/09/2021 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 12/08/2021 SUBJECT TO MODIFICATIONS A) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER UNTIL FURTHER ORDER. PERMITTED TO BUY AND SELL / REDEEM UNITS OF MUTUAL FUNDS B) DIRECTED DEPOSITORIES TO ENSURE, THAT TILL FURTHER DIRECTIONS, CREDITS AND DEBITS OF ONLY MUTUAL FUND UNITS, ARE MADE IN DEMAT ACCOUNTS OF THE NOTICEES HELD INDIVIDUALLY OR JOINTLY AND C) DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT TILL FURTHER DIRECTION ONLY CREDITS AND TRANSFER / REDEMPTION OF MUTUAL FUND UNITS ARE PERMITTED IN THE NAME OF THE NOTICEES, JOINTLY OR SEVERALLY
SAT: SAT VIDE ITS ORDER DATED 03/09/2021 DIRECTED APPELLANTS FILE REPLY AND/OR MOVE APPLICATION FOR VACATION OF IMPUGNED ORDER
SAT: SAT VIDE ITS ORDER DATED 09/11/2021 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 27/09/2021
SEBI VIDE ITS ORDER DATED 31/03/2023 RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS), DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER, FOR A PERIOD OF TWO YEARS FROM DATE OF THIS ORDER B) DISGORGE THE AMOUNT OF ILLEGAL GAINS OF RS.7,51,99,771.80.00 ALONG WITH SIMPLE INTEREST @12% P.A. FROM 07/09/2020 TILL DATE OF ACTUAL PAYMENT C) REMIT DISGORGEMENT AMOUNT TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF) WITHIN FORTY FIVE DAYS FROM DATE OF THIS ORDER
|
| 247 |
|
|
GOPAL RITOLIA
(PAN:ACDPR2237H)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ZEE ENTERTAINMENT ENTERPRISES LTD.
|
IMPOSED PENALTY RS.30,00,000
31-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 27/04/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 24/07/2023 DIRECTED APPELLANT TO DEPOSIT PENALTY AMOUNT OF RS.30 LAC WITHIN FOUR WEEK FROM DATE OF THIS ORDER AND STAYED THE DIRECTION TO APPELLANT TO RESTRAIN FROM ACCESSING SECURITIES MARKET DURING PENDENCY OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 25/09/2023 CONDONED THE DELAY IN FILING OF APPEAL
|
| 248 |
|
|
GOPICHAND LINGAMANENI
(PAN:ABPPL4081Q)
(Along with : PUSHPA LATHA DEVI)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 2A(D) & (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DIVI'S LABORATORIES LTD.
|
DIRECTED TO DISGORGE RS.21,22,870 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
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
01-JUL-2020
|
|
| 249 |
|
|
GOPICHAND LINGAMANENI
(PAN:ABPPL4081Q)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(1) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DIVI'S LABORATORIES LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2) (A) READ WITH 6(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DIVI'S LABORATORIES LTD.
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING CLAUSE 6 OF CODE OF CONDUCT UNDER SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF MATTER OF DIVI'S LABORATORIES LTD.
|
REACHED SETTLEMENT (DISGORGEMENT AMOUNT RS.96,68,183 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
21-OCT-2020
|
|
| 250 |
|
|
GOPICHAND LINGAMANENI
(PAN:ABPPL4081Q)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(1) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DIVI'S LABORATORIES LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2) (A) READ WITH 6(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DIVI'S LABORATORIES LTD.
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING CLAUSE 6 OF CODE OF CONDUCT UNDER SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF MATTER OF DIVI'S LABORATORIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.23,00,389 VIDE CONSENT ORDER)
21-OCT-2020
|
|
| 251 |
|
|
GOURI SHANKAR RATHI
(PAN:ADMPR1358R)
|
|
|
ALLEGED COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION TO OTHERS VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(1) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ELECTROSTEEL CASTINGS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,11,80,000, DISGORGEMENT AMOUNT RS.9,93,145, INTEREST RS.4,24,141 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM SECURITIES MARKET) FROM 20-FEB-2025 TO 19-AUG-2025
20-FEB-2025
|
|
| 252 |
|
|
GOUTAM PATIDAR
(PAN:BZCPP7367M)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHAKTI PUMPS (INDIA) LTD.
DID NOT OBTAIN PRE-CLEARANCE FOR TRADES AND ENTERED INTO CONTRA TRADES WITHIN SIX MONTHS AND MADE UNLAWFUL GAINS VIOLATING CLAUSES 6 AND 10 OF MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY INSIDERS AS SPECIFIED IN SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHAKTI PUMPS (INDIA) LTD.
|
IMPOSED PENALTY RS.4,00,000
01-DEC-2022
|
SAT: SAT VIDE ITS ORDER DATED 31/03/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 24/04/2023 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED APPELLANT TO DEPOSIT PENALTY AMOUNT PURSUANT TO IMPUGNED ORDER. IF THE AMOUNT DEPOSITED, ACCOUNT WOULD BE DEFREEZE WITHIN FORTY EIGHT HOURS
SAT: SAT: SAT VIDE ITS ORDER DATED 23/08/2024 CONDONED THE DELAY OF 741 DAYS IN FILING OF APPEAL. ALLOWED THE APPEAL AND MATTER REMITTED TO SEBI FOR FRESH CONSIDERATION IN ACCORDANCE WITH LAW
SAT: SAT VIDE ITS ORDER DATED 18/11/2024 APPELLANT SOUGHT TWO WEEKS TO FILE REJOINDER
|
| 253 |
|
|
GOVIND AGARWAL
(PAN:ABGPA7640F)
|
|
|
ALLEGED COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION BEFORE MAKING DISCLOSURE TO STOCK EXCHANGE VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF WIPRO LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.27,89,063 VIDE CONSENT ORDER)
06-NOV-2020
|
|
| 254 |
|
|
GOVIND NARAYAN GUPTA
(PAN:AFLPN1696M)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF TITAN CO.LTD.
|
IMPOSED PENALTY RS.1,25,000
29-SEP-2022
|
SAT: SAT VIDE ITS ORDER DATED 07/02/2023 CONDONED THE DELAY IN FILING OF APPEAL. APPEAL ALLOWED AND QUASHED IMPUGNED ORDERS. MATTER REMITTED TO AO TO PASS A FRESH ORDER IN THE LIGHT OF DECISION OF TRIBUNAL WITHIN THREE MONTHS
|
| 255 |
|
|
GULAB CHAND AGRAWAL
(PAN:ABBPA9209K)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SANWARIYA CONSUMER LTD. (EARLIER KNOWN AS SANWARIA AGRO OILS LTD.)
DID NOT OBTAIN PRE-CLEARANCE FOR TRADES VIOLATING CLAUSE 6 OF CODE OF CONDUCT READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SANWARIYA CONSUMER LTD. (EARLIER KNOWN AS SANWARIA AGRO OILS LTD.)
|
IMPOSED PENALTY RS.6,00,000
29-NOV-2021
|
SAT: SAT VIDE ITS ORDER DATED 13/06/2022 PARTLY ALLOWED THE APPEALS BY REDUCING THE PENALTY TO RS.1 LAC FROM RS.5 LAC, TO BE PAID WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 30/11/2022 DISMISSED REVIEW APPLICATION
SEBI VIDE ITS NOTICE DATED 19/12/2023 DIRECTED TO PAY RS.1,27,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 16/02/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7482 OF 2023 DATED 19/12/2023
|
| 256 |
|
|
HABIL KHORAKIWALA
(PAN:AABPK4415C)
|
|
|
|
WOCKHARDT LTD.
PAN:AAACW2472M
|
|
ALLEGED FAILURE IN IMPLEMENTING CODE OF CONDUCT VIOLATING REGULATION 12(1) OF SEBI (PIT) REGULATIONS, 1992 READ WITH CLAUSE 1.2 OF CODE OF CONDUCT SPECIFIED UNDER PART A OF SCHEDULE I READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF WOCKHARDT LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.13,32,500 VIDE CONSENT ORDER)
22-MAY-2023
|
|
| 257 |
|
|
HAMENDRA SHARMA
(PAN:BKMPS9238K)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF TITAN CO.LTD.
|
IMPOSED PENALTY RS.1,00,000
29-APR-2022
|
|
| 258 |
|
|
HARESH PARMANAND JASHNANI
(PAN:AAJPJ7020L)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(A) AND (E) OF SEBI ACT, 1992 AND REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF UNITED SPIRITS LTD.
|
IMPOSED PENALTY RS.93,24,057
30-JUN-2020
|
SEBI VIDE ITS NOTICE DATED 08/07/2021 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 NOTICE DATED 12/12/2022 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 08/07/2021
|
| 259 |
|
|
HARIDASS G.
(PAN:ABLPH0689Q)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF TITAN CO.LTD.
|
IMPOSED PENALTY RS.1,00,000
08-OCT-2021
|
SEBI VIDE ITS NOTICE DATED 20/06/2022 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 26/08/2022 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 20/06/2022
|
| 260 |
|
|
HARIHARAN VAIDYALINGAM
(PAN:AABPV4103E)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3(I) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MULTI COMMODITY EXCHANGE OF INDIA LTD.
|
IMPOSED PENALTY RS.1,25,00,000
28-JUN-2019
|
SEBI VIDE ITS NOTICE DATED 07/01/2020 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 24/02/2020 DIRECTED ALL THE BANKS TO REMIT RS.1,34,91,411.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.HARIHARAN VAIDYALINGAM BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS ORDER DATED 31/07/2020 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) FURTHER, PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES C) DIRECTED TO FURNISH AT SEBI HEAD OFFICE, MUMBAI, THE COMPLETE DETAILS OF ALL THE MOVABLE AND IMMOVABLE PROPERTIES HELD BY THE DEFAULTER AND CHARGE IF ANY WITHIN ONE WEEK FROM THE DATE OF THIS ORDER D) ALL THE TITLE DEEDS, VALUATION REPORTS OF ALL THE PROPERTIES HELD BY THEM WITHIN TWO WEEKS FROM THE DATE OF THIS ORDER E) DIRECTED INSPECTORS GENERAL OF REGISTRATION ALL THE STATES AND UNION TERRITORIES, SUB-REGISTRARS OF THE AREAS WHERE THE PROPERTIES ARE LOCATED WITH DIRECTION 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
SAT: SAT VIDE ITS ORDER DATED 18/12/2020 DISMISSED THE APPEAL
SEBI VIDE ITS NOTICE DATED 28/07/2022 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 07/01/2020
SEBI VIDE ITS ORDER DATED 29/07/2022 SEBI RESCINDED PROHIBITORY ORDER NO.RO/HO1/174 OF 2020 DATED 31/07/2020
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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| Page 13 of 50
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