| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 241 |
|
RAJNIM BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 242 |
|
|
RAMESH CHIMANLAL SHAH
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.61,680, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.4,18,320 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
13-AUG-2008
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.4,18,320 AGAINST NOTIONAL UNDUE GAIN AND SETTLEMENT CHARGES OF RS.61,680 JOINTLY WITH SANJAY RAMESHCHANDRA SHAH(HUF) AND SANJAY R.SHAH AS PER CONSENT ORDER DATED 13/08/2008
|
| 243 |
|
|
RASILA NATWARLAL
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
|
EXPIRED. HENCE NO DIRECTION WAS PASSED
|
| 244 |
|
|
RATANLAL MARDIA
(DIN:00239175
PAN:AJTPM2056N)
|
|
|
|
DANIAL INVESTMENT PVT.LTD.
PAN:AABCD3753H
|
|
|
NISSAN COPPER LTD.
CIN:L36939DN1989PLC000377
PAN:AABCN0105B
|
|
ALLEGED INDULGENCE IN ARRANGING SUBSCRIPTION IN IPO OF NISSAN COPPER LTD.THROUGH MACHINATIONS OF SUBSCRIBERS IN QIB SEGMANT AND THEIR FINAL BUYERS AFTER LISTING OF SCRIP
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000, ADMINISTRATION CHARGES RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
24-APR-2009
|
|
| 245 |
|
|
RIKI R.BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 246 |
|
|
RIKI R.BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 247 |
|
|
RIKI R.BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 248 |
|
|
RIKI RAJNIKANT BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 249 |
|
|
RIKI RAJNIKANT BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 250 |
|
|
RIKIBEN R.BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 251 |
|
|
RIKIBEN R.BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 252 |
|
|
RITABEN R.THAKKAR
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,20,215, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.30,98,785 VIDE CONSENT ORDER)
05-NOV-2008
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.6,20,215 AGAINST SETTLEMENT CHARGES AND RS.30,98,785 AGAINST AMOUNT DISGORGED AS PER CONSENT ORDER DATED 05/11/2008
|
| 253 |
|
|
RM BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 254 |
|
|
ROOPALBEN NARESHBHAI PANCHAL
(PAN:AFVPP3739H)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF INFRASTRUCTURE DEVELOPMENT FINANCE CO.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-JAN-2006 TILL FURTHER ORDERS
12-JAN-2006
|
SEBI VIDE ITS ORDER DATED 25/02/2011 DIRECTED 1.NOT TO BUY, SELL OR DEAL IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESS SECURITIES MARKET,DIRECTLY OR INDIRECTLY FOR THREE MONTHS FROM DATE OF ORDER 2.TO DISGORGE RS.11,59,41,663 (UNLAWFUL GAIN OF RS.7,72,94,442 AND INTEREST RS.3,86,47,221) WITHIN 45 DAYS FROM DATE OF ORDER OTHERWISE PERIOD OF RESTRAINT WILL BE FURTHER PERIOD OF NINE YEARS (SUPERSEDED ALL DIRECTION ISSUED VIDE INTERIM ORDERS DATED 15/12/2005, 12/01/2006, AND 27/04/2006)
|
| 255 |
|
|
ROOPALBEN NARESHBHAI PANCHAL
(PAN:AFVPP3739H)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPOS OF VARIOUS COMPANIES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
DIRECTED TO DISGORGE RS.11,59,41,663
25-FEB-2011
|
SEBI VIDE ITS ORDER DATED 25/02/2011 DIRECTED 1.NOT TO BUY, SELL OR DEAL IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESS SECURITIES MARKET,DIRECTLY OR INDIRECTLY FOR THREE MONTHS FROM DATE OF ORDER 2.TO DISGORGE RS.11,59,41,663 (UNLAWFUL GAIN OF RS.7,72,94,442 AND INTEREST RS.3,86,47,221) WITHIN 45 DAYS FROM DATE OF ORDER OTHERWISE PERIOD OF RESTRAINT WILL BE FURTHER PERIOD OF NINE YEARS (SUPERSEDED ALL DIRECTION ISSUED VIDE INTERIM ORDERS DATED 15/12/2005, 12/01/2006, AND 27/04/2006)
WHOLE TIME MEMBER SEBI VIDE ITS ORDER DATED 12/06/2015 DIRECTED SEBI TO RE-INVESTIGATE THE MATTER PERTAINING TO JAYESH P.KHANDWALA (HUF), PROPERITOR OF ZEALOUS TRADING CO., ITS ROLE IN THE INITIAL PUBLIC OFFERS OF IDFC LTD., SASKEN COMMUNICATION TECHNOLOGIES LTD. AND SUZLON ENERGY LTD., ITS ALLEGED DIRECT/INDIRECT TRANSACTIONS, BOTH FINANCIAL AND SECURITIES, WITH THE ENTITIES/ PERSONS (INCLUDING SUGANDH ESTATES AND INVESTMENTS PVT.LTD., MS.ROOPALBEN PANCHAL, MR.BIREN KANTILAL SHAH AND MR.BHANU PRASAD TRIVEDI) AND THE ILLEGAL GAINS MADE BY JAYESH P.KHANDWALA (HUF) IN THE SAID INITIAL PUBLIC OFFERS. ACCORDINGLY, SHOW CAUSE NOTICE DATED 08/04/2009, DISPOSED OFF
SEBI VIDE ITS NOTICE DATED 17/10/2013 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
SAT: SAT VIDE ITS ORDER DATED 03/03/2016 SET ASIDED IMPUGNED ORDERS DATED 25/02/2011 & 31/01/2012 AND RESTORED THE MATTER TO FILE OF WTM & AO TO PASS FRESH DECISION ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
|
| 256 |
|
|
RP BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
DIRECTING IMPOUNDING THE UNLAWFULLY GAINS MADE IN THEIR ACCOUNTS BY THEIR PARENTS ON THEIR BEHALF
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 257 |
|
|
RUPESH BALWANTBHAI BRAMHBHATT
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.34,46,899, (DISGORGEMENT AMOUNT RS.11,78,46,946,INTEREST RS.2,36,61,550 ALONG WITH OTHER ENTITIES/PERSONS) VIDE CONSENT ORDER)
20-APR-2009
|
AD INTERIM EX-PARTE ORDER DATED 17/01/2007 DISPOSED OFF, AS APPLICANT AGREED TO TRANSFER WITH OTHER APPLICANTS AN AMOUNT OF RS.11,78,46,946.00 WITHHELD BY BSE, AS PER SEBI ORDER DATED 17/01/2007, TOGETHER WITH INTEREST AND PAY RS.34,46,899.00 TOWARDS SETTLEMENT CHARGES SEPERATELY, AS PER CONSENT ORDER DATED 20/04/2009
|
| 258 |
|
|
RUPESH BRAMBHATT
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
|
| 259 |
|
|
RUPESH VIPINCHANDRA SHAH
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,000, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.49,900 VIDE CONSENT ORDER)
06-JAN-2009
|
AD INTERIM EX-PARTE ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.49,900 AGAINST NOTINAL UNDUE GAIN RS.10,000 AGAINST SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 06/01/2009
|
| 260 |
|
|
RUPESHBHAI DEVENDRABHAI SHAH
|
|
|
|
PARK LIGHT INVESTMENT PVT.LTD.
(Member : BSE)
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 13 of 16
|
