| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 241 |
|
PRAKASH GANPAT UTEKAR
(PAN:AALPU9100E)
|
|
|
|
ROYAL TWINKLE STAR CLUB PVT.LTD.
PAN:AAECR0618L
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
18-JUN-2025
|
SEBI VIDE ITS NOTICE DATED 16/10/2025 DIRECTED TO PAY RS.52,51,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 06/11/2025 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS, MUTUAL FUNDS FOLIOS AND/OR POST OFFICE ACCOUNT 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 14/11/2025 ALLOWED THE APPLICATION FOR CONDONED THE DELAY IN FILING OF APPEAL. ALLOWED RESPONDENT SIX WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. STAY OF RECOVERY SUBJECT TO DEPOSIT OF 25% PENALTY AMOUNT
SEBI VIDE ITS NOTICE DATED 30/12/2025 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 06/11/2025
SAT: SAT VIDE ITS ORDER DATED 21/08/2026 ALLOWED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN THREE WEEK THEREAFTER. STAYED RECOVERY SUBJECT TO DEPOSIT OF 25% PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 242 |
|
|
PRASAD SAKHARAM TANDEL
(PAN:ACSPT7007J)
|
|
|
|
SICORP FINLEASE LTD.
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN TERMS OF SEBI ORDERS DATED 18/08/2010 AND 05/10/2010 IN MATTER OF G-TECH INFO TRAINING LTD.
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-OCT-2011
|
SEBI VIDE ITS NOTICE DATED 03/12/2013 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 17/07/2019 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 03/12/2013
|
| 243 |
|
|
PRASANNA KUMAR NAYAK
(PAN:AIFPN1886Q)
|
|
|
|
REAL VISION INTERNATIONAL LTD.
CIN:U70101OR2010PLC012138
DIN:00012138
PAN:AAECR8282J
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE ITS ORDER DATED 10/12/2015 IN MATTER OF REAL VISION INTERNATIONAL LTD.
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-MAY-2018
|
SAT: SAT VIDE ITS ORDER DATED 21/08/2018 ALLOWED APPEAL TO BE WITHDRAWN WITH LIBERTY TO FILE FRESH APPEAL WITHIN A PERIOD OF THREE WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
SAT: APPEAL DISMISSED
SEBI VIDE ITS NOTICE DATED 19/05/2021 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 08/12/2022 DIRECTED ALL THE BANKS TO REMIT RS.38,26,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF REAL VISION INTERNATIONAL LTD., MR.SUDHIR KUMAR BEHERA, MR.ASHOK PATTNAIK, MR.SIDHARTHA KUMAR BARIK, MS.BIDESI BEHERA, MR.DEVI PRASAD MOHANTY, MS.RASHMI RANJAN MOHANTY, MR.PRASANNA KUMAR NAYAK, MS.SUKANTA BISWAL & MR.PABITRA KUMAR RATH TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 244 |
|
|
PRASHANT JAIDEV WASANKAR
(DIN:02222183
PAN:AAIPW1864A)
|
|
|
|
WASANKAR WEALTH MANAGEMENT LTD.
PAN:AAACW8073C
|
|
DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES FOR REFUND AND REFUND RELATED DIRECTIVES/INSTRUCTIONS/GUIDELINES AND DID NOT SUBMIT INFORMATION AS PER DIRECTIVES/INSTRUCTIONS/GUIDELINES VIDE SEBI ORDER DATED 18/05/2015
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-MAR-2018
|
|
| 245 |
|
|
PRASHANT JAIN
(PAN:AACPJ2583K)
|
|
|
|
HDFC ASSET MANAGEMENT CO.LTD.
PAN:AAACH7614L
|
|
ALLEGED VIOLATION OF REGULATIONS 25(6B) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
ALLEGED VIOLATION OF CLAUSES 6 AND 9 OF CODE OF CONDUCT SPECIFIED IN SCHEDULE FIFTH OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,20,46,420 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-APR-2020
|
|
| 246 |
|
|
PRASHANT M.NARVEKAR
|
|
|
|
SICORP FINLEASE LTD.
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN TERMS OF SEBI ORDERS DATED 18/08/2010 AND 05/10/2010 IN MATTER OF G-TECH INFO TRAINING LTD.
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-OCT-2011
|
SEBI VIDE ITS NOTICE DATED 03/12/2013 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 17/07/2019 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 03/12/2013
|
| 247 |
|
|
PRASHANT SAGWEKAR
(PAN:AVUPS1958E)
|
|
|
|
PENBROOK CAPITAL ADVISORS PVT.LTD.
PAN:AAGCP3459B
|
|
ALLEGED FAILURE IN MONITORING COMPLIANCE OF VARIOUS REQUIREMENTS VIOLATING REGULATIONS 10(C), 10(D), 11(2) AND 13(4) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
ALLEGED FAILURE IN UPLOADING OF KYC DATA OF EXISTING INDIVIDUAL CLIENTS WITH CKYCR VIOLATING SEBI MASTER CIRCULAR NO.SEBI/HO/MIRSD/DOP/CIR/P/2019/113 DATED 15/10/2019 AND CIRCULAR NO.CIR/IMD/DF/14/2014 DATED 24/06/2019
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.21,25,000 VIDE CONSENT ORDER)
28-JAN-2022
|
|
| 248 |
|
|
PRATIVA KOTHARI
(PAN:AWCPK5030E)
|
|
|
|
STUPENDORS TRADERS PVT.LTD.
PAN:AADCS7524F
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAY-2022
|
SAT: SAT VIDE ITS ORDER DATED 20/09/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 20/10/2022 DIRECTED TO PAY RS.53,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 09/11/2022 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
SAT: SAT VIDE ITS ORDER DATED 21/10/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 21/11/2022 DIRECTED RECOVERY OFFICER TO NOT TO RECOVER ANY AMOUNT TILL NEXT DATE OF LISTING
SAT: SAT VIDE ITS ORDER DATED 12/12/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANTS TO FILE REJOINDER THREE WEEKS THEREAFTER. DIRECTED APPELLANTS TO DEPOSIT RS.15 LAC WITHIN THREE WEEKS FROM DATE OF THIS ORDER, THE BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 16/01/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 249 |
|
|
PRAVEEN KUMAR JAIN
(PAN:AADPJ5102D)
|
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
INDULGED IN FRONT RUNNING TRADING ACTIVITIES THROUGH MULTIPLE TRADING ACCOUNTS MANISH CHATURVEDI & OTHERS VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D), 4(1), 4(2)(A) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003
|
IMPOSED PENALTY RS.35,00,000
15-FEB-2021
|
SAT: SAT VIDE ITS ORDER DATED 23/06/2021 CONDONED THE DELAY IN FILING OF APPEAL AND DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 22/07/2021 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
SAT: SAT VIDE ITS ORDER DATED 27/08/2021 ALLOWED APPELLANTS THREE WEEKS TIME TO FILE REJOINDER
SEBI VIDE ITS ORDER DATED 29/03/2022 DIRECTED ALL THE BANKS TO REMIT RS.39,91,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.PRAVEEN KUMAR JAIN TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS NOTICE DATED 21/04/2025 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 22/07/2021
SEBI VIDE ITS ORDER DATED 21/04/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.3873 OF 2021 DATED 28/06/2021
|
| 250 |
|
|
PRAVINA CHANDRAKANT SHAH
|
|
|
|
SICORP FINLEASE LTD.
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN TERMS OF SEBI ORDERS DATED 18/08/2010 AND 05/10/2010 IN MATTER OF G-TECH INFO TRAINING LTD.
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-OCT-2011
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 03/12/2013 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 17/06/2015 ORDER THAT THE CLAIMANT IS ENTITLED TO ONE-FOURTH SHARE OF THE ASSETS LYING IN ALL FOUR LOCKERS HELD IN LOCKER NOS. A-2254, A-1547 AND D-678 AT SARASWAT BANK AND LOCKER NO.F-139 AT BANK OF BARODA. ALSO ORDERED THAT THE REMAINING THREE-FOURTH SHARE OF ASSETS SHALL CONTINUE TO BE UNDER ATTACHMENT AND LIABLE TO BE APPROPRIATED TOWARDS THE DUES
SAT: SAT VIDE ITS ORDER DATED 24/11/2017 QUASHED AND SET ASIDED IMPUGNED ORDERS DATED18/08/2010, 31/10/2011 AND 31/03/2011 SUBJECT TO PAYMENT OF COSTS OF RS.10,000 IN EACH APPEAL TO BE PAID BY APPELLANTS TO SEBI WITHIN A PERIOD OF FOUR WEEKS FROM THE DATE OF THIS ORDER AND WTM/AO OF SEBI DIRECTED TO PASS FRESH ORDER ON MERITS IN RELATION TO ALLEGED VIOLATION SET OUT IN RESPECTIVE SHOW CAUSE NOTICES
SAT: SAT VIDE ITS ORDER DATED 28/06/2019 MODIFIED ORDER DATED 24/11/2017 AND VACATE THE ORDER OF ATTACHMENT AND DIRECTED SEBI TO INFORM RECOVERY OFFICER AS WELL AS BANKS AS EARLY AS POSSIBLE
SEBI VIDE ITS ORDER DATED 17/07/2019 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 03/12/2013
|
| 251 |
|
|
PREM MOHANLAL PARIKH
(PAN:ALHPP3489N)
|
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE ORDER NO.WTM/KMA/ISD/353/02/2011 DATED 02/02/2011
|
DIRECTED TO INITIATE ADJUDICATION PROCEEDINGS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2019 TO 30-JAN-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2019 TO 30-JAN-2026
10-MAY-2013
|
SEBI VIDE ITS ORDER DATED 31/01/2019 DIRECTED TO 1) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR SEVEN YEARS FROM DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 24/03/2022 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
SAT: SAT VIDE ITS ORDER DATED 04/03/2020 UPHELD IMPUGNED ORDER DATED 31/01/2019 AND REMITTED THE MATTER TO SEBI TO A) BRING OUT DATE-WISE DETAILS OF REVERSAL TRADES IN RESPECT OF THE TRADING NOTICEES B) BRING OUT CALCULATION OF PROFITES IN RESPECT OF ALL THE TRADING NOTICEES C) RECALCULATE AMOUNT OF DISGORGEMENT AGAINST APPELLANTS AND PASS ORDER WITHIN THREE MONTHS FROM DATE OF THIS ORDER AFTER GIVING OPPORTUNITY OF HEARING
SEBI VIDE ITS NOTICE DATED 25/02/2022 DIRECTED TO PAY RS.5,67,85,432.79 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 27/06/2022 DIRECTED ALL THE BANKS TO REMIT RS.5,67,85,432.79 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 252 |
|
|
PREM PRAKASH
(PAN:AIAPP8261A)
|
|
|
|
CAPITALVIA GLOBAL RESEARCH LTD.
PAN:AADCC5782H
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.30,00,000 ALONG WITH OTHER ENTITIES/PERSONS
22-NOV-2022
|
SAT: SAT VIDE ITS ORDER DATED 12/01/2023 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 02/02/2023 REJECTED STAY APPLICATION
SAT: SAT VIDE ITS ORDER DATED 13/03/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 20/04/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS ORDER DATED 31/05/2023 MODIFIED ITS ORDER DATED 22/11/2012 BY REDUCING PENALTY TO RS.RS.30 LAC FROM RS.50 LAC JOINTLY AND SEVERALLY U/S 15HB OF SEBI ACT.
SAT: SAT VIDE ITS ORDER DATED 27/07/2023 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 09/01/2024 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY
SEBI VIDE ITS NOTICE DATED 08/02/2024 DIRECTED TO PAY RS.58,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 12/03/2024 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS ORDER DATED 17/07/2024 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
SAT: SAT VIDE ITS ORDER DATED 15/01/2025 GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER, IF ANY, TO BE FILED WITHIN TWO WEEKS THEREAFTER. APPELLANT ACCOUNTS TO BE DEFREEZED WITHIN THREE DAYS FROM DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 22/01/2025 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 17/07/2024
|
| 253 |
|
|
PREMADEVI SOBHAGMAL MALOO
(PAN:ACVPM7333F)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MURLI INDUSTRIES LTD.
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.11,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUN-2020
|
SAT: SAT VIDE ITS ORDER DATED 31/08/2021 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER BY SETTING ASIDE THE ATTACHMENT ORDER ALSO. REMITTED MATTER TO AO TO DECIDE AFRESH AFTER GRANTING OPPORTUNITY OF HEARING TO THE APPELLANTS
SEBI VIDE ITS ORDER DATED 30/08/2022 RE-IMPOSED PENALTY AMOUNT TO RS.10 CRORE U/S 15H(II) AND RS.1 CRORE U/S 15HB OF SEBI ACT PAYABLE JOINTLY AND SEVERALLY
SEBI VIDE ITS NOTICE DATED 13/12/2022 DIRECTED TO PAY RS.11,55,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 18/08/2023 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 20/09/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.12,54,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 254 |
|
|
PRERNA SHARMA
(PAN:BJEPS7547A)
|
|
|
DID NOT RENEW NISM CERTIFICATE
DID NOT SUBMIT PERIODIC REPORTS TO INVESTMENT ADVISER ADMINISTRATION AND SUPERVISORY BODY (IAASB)
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR
11-JUN-2026
|
|
| 255 |
|
|
PRITI BHATIA
(PAN:ABIPB6716H)
|
|
|
|
GOLD MULTIFAB LTD.
CIN:L17299GJ1993PLC019904
|
|
TRADED DURING PROHIBITION PERIOD VIOLATING DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE ITS ORDER DATED 11/10/2002 IN THE MATTER OF GOLD MULTIFAB LTD.
|
IMPOSED PENALTY RS.1,00,000
22-JAN-2018
|
|
| 256 |
|
|
PRIYA ZAVERI
|
|
|
|
SGI RESEARCH & ANALYSIS LTD.
CIN:U74140DL2010PLC203986
PAN:AAOCS5535R
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE ORDER DATED 11/01/2013
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-NOV-2017
|
|
| 257 |
|
|
PRIYANKA DEV
(DIN:02981620
PAN:BCIPD7293J)
|
|
|
|
SGI RESEARCH & ANALYSIS LTD.
CIN:U74140DL2010PLC203986
PAN:AAOCS5535R
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE ORDER DATED 11/01/2013
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-NOV-2017
|
|
| 258 |
|
|
PRIYANKA SARASWAT DEV
(PAN:ARXPD5427C)
|
|
|
|
SGI RESEARCH & ANALYSIS LTD.
CIN:U74140DL2010PLC203986
PAN:AAOCS5535R
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE ORDER DATED 11/01/2013
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-NOV-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 259 |
|
|
PRUTHVI HIMANSHU SHAH
(PAN:DCAPS6011N)
|
|
|
DID NOT DEPOSIT RS.6,00,11,512.00 IN ESCROW ACCOUNT AS DIRECTED BY SEBI VIDE ITS INTERIM ORDER DATED 05/11/2013 IN MATTER OF SMS TECHSOFT (INDIA) LTD.
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-MAR-2019
|
SEBI VIDE ITS NOTICE DATED 28/04/2022 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 22/09/2025 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 28/04/2022
|
| 260 |
|
|
PULOMA DUSHYANT DALAL
(PAN:AAEPD2909B)
|
|
|
ALLEGED IRREGULARITIES IN TRANSACTIONS IN SHARES ISSUED THROUGH IPOS MADE DURING PERIOD 2003-2005
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.38,33,250 VIDE CONSENT ORDER)
14-JAN-2020
|
SEBI VIDE ITS ORDER DATED 28/01/2020 DISPOSED OFF THE ADJUDICATION PROCEEDINGS WITHOUT IMPOSING ANY MONETARY PENALTY AS THE CASE HAS BEEN SETTLED VIDE ORDER DATED 14/01/2020
SAT: SAT VIDE ITS ORDER DATED 07/02/2020 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 09/05/2016
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 13 of 21
|
