| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 241 |
|
APARNA KUMAR
|
|
|
|
DEHRADUN TEA CO.LTD.
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.40,000 ALONG WITH OTHER ENTITIES/PERSONS
15-MAR-2007
|
|
| 242 |
|
|
APOORVA H.SHAH
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 3(3) AND 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MIDPOINT SOFTWARE & ELECTRO SYSTEMS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.75,000 VIDE CONSENT ORDER)
07-AUG-2008
|
|
| 243 |
|
|
APURVA M.SHAH
(PAN:AWPPS7372A)
|
|
|
|
METEX MARKETING PVT.LTD.
PAN:AADCM9717A
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF KOFFEE BREAK PICTURES LTD.
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.13,15,00,000 ALONG WITH OTHER ENTITIES/PERSONS
20-DEC-2022
|
SEBI VIDE ITS NOTICE DATED 12/04/2023 DIRECTED TO PAY RS.13,80,76,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 19/04/2023 CONDONED THE DELAY OF THIRTY FOUR DAYS IN FILING OF APPEAL. RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SEBI VIDE ITS ORDER DATED 03/05/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SAT: SAT VIDE ITS ORDER DATED 26/06/2023 CONDONED THE DELAY IN FILING OF APPEAL
SEBI VIDE ITS NOTICE DATED 12/07/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.14,20,21,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
SAT: SAT VIDE ITS ORDER DATED 08/11/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 20/12/2022
SEBI VIDE ITS NOTICE DATED 20/11/2023 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 03/05/2023
SEBI VIDE ITS ORDER DATED 20/11/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6402 OF 2023 DATED 12/04/2023
|
| 244 |
|
|
APURVA M.SHAH
(PAN:AWPPS7372A)
|
|
|
|
METEX MARKETING PVT.LTD.
PAN:AADCM9717A
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF KOFFEE BREAK PICTURES LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
09-MAR-2016
|
SAT: SAT VIDE ITS ORDER DATED 04/06/2019 AFFIRMED THE ORDER EXCEPT THE PART WHICH RELATED TO FIXATION OF PRICE OF RS.33.50 PER SHARE AND DIRECTED SEBI TO APPOINT A MERCHANT BANKER TO FIX THE PRICE PER SHARE
SAT: SAT VIDE ITS ORDER DATED 10/10/2019 DIRECTED APPELLANT TO COMPLY WITH ORDER DATED 04/06/2019 AND CO-OPERATE WITH SEBI AND INDEPENDENT VALUER WITH RESPECT TO INFORMATION AND/OR DOCUMENTS SOUGHT BY INDEPENDENT VALUER AND PAY PRFESSIONAL FEES OF RS.2,00,000 TO INDEPENDET VALUER
|
| 245 |
|
|
APURVE GOEL
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) READ WITH 14 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF RAMA PAPER MILLS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.21,25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-JUN-2016
|
|
| 246 |
|
|
ARADHANA SOMANI
(PAN:AAEPS3387A)
(Along with : DHANANJAY SOMANI)
|
|
|
|
CHEMCO PHARMA LABORATORIES LTD.
PAN:AAACC2056K
|
|
|
INDIA ENER-GEN LTD.
PAN:AAACT1554B
|
|
|
JOSHI FINANCE LTD.
|
|
|
RAVINDRA TRADING & AGENCIES LTD.
PAN:AAACR2056D
|
|
|
SHREE CONSULTATION SERVICES PVT.LTD.
|
|
|
TECIL CHEMICALS & HYDRO POWER LTD.
PAN:AAACT8096J
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
09-AUG-2018
|
SAT: SAT VIDE ITS ORDER DATED 20/10/2021 PARTLY ALLOWED THE APPEAL BY SETTING ASIDE THE AO DIRECTIONS TO PAY PENALTY FOR VIOLATIONS OF REGULATION 8(1) AND 8(2) AS WELL AS REGULATION 3(3) AND 3(4) OF THE TAKEOVER REGULATIONS
SAT: SAT VIDE ITS ORDER DATED 15/12/2021 GRANTED PERMISSION FOR WITHDRAWAL OF THE APPEAL. APPEAL DISMISSED AS WITHDRAWN
|
| 247 |
|
|
ARADHANA SOMANI
(PAN:AAEPS3387A)
(Along with : DHANANJAY SOMANI)
|
|
|
|
CHEMCO PHARMA LABORATORIES LTD.
PAN:AAACC2056K
|
|
|
SHREE CONSULTATION SERVICES PVT.LTD.
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
|
IMPOSED PENALTY RS.4,00,000 ALONG WITH OTHER ENTITIES/PERSONS
09-AUG-2018
|
SAT: SAT VIDE ITS ORDER DATED 20/10/2021 MATTER REMITTED BACK TO SEBI FOR LIMITED PURPOSE OF DETERMINING THE QUANTUM OF THE PENALTY FOR VIOLATION OF REGULATION 11(1) READ WITH REGULATION 14 OF SEBI TAKEOVER CODE, 1997
SAT: SAT VIDE ITS ORDER DATED 15/12/2021 GRANTED PERMISSION FOR WITHDRAWAL OF THE APPEAL. APPEAL DISMISSED AS WITHDRAWN
SEBI VIDE ITS ORDER DATED 12/04/2022 REDUCED PENALTY TO RS.4 LAC FROM RS.3 CRORE U/S 15H(II) OF SEBI ACT,1992
|
| 248 |
|
|
ARADHANA SOMANI
(PAN:AAEPS3387A)
(Along with : DHANANJAY SOMANI)
|
|
|
|
CHEMCO PHARMA LABORATORIES LTD.
PAN:AAACC2056K
|
|
|
SHREE CONSULTATION SERVICES PVT.LTD.
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
09-AUG-2018
|
SAT: SAT VIDE ITS ORDER DATED 20/10/2021 PARTLY ALLOWED THE APPEAL BY SETTING ASIDE THE AO DIRECTIONS TO PAY PENALTY FOR VIOLATIONS OF REGULATION 8(1) AND 8(2) AS WELL AS REGULATION 3(3) AND 3(4) OF THE TAKEOVER REGULATIONS
SAT: SAT VIDE ITS ORDER DATED 15/12/2021 GRANTED PERMISSION FOR WITHDRAWAL OF THE APPEAL. APPEAL DISMISSED AS WITHDRAWN
|
| 249 |
|
|
ARADHITA SARAF
(PAN:BHUPS8703E)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1), 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF COMFORT FINCAP LTD.
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-JAN-2015
|
SAT: SAT VIDE ITS ORDER DATED 21/03/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 16/01/2015 AND RESTORED THE MATTER TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
|
| 250 |
|
|
ARCHANA CHITLANGIA
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO SEBI AS REQUIRED UNDER REGULATION 3(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 11,97,425 (32.87%) EQUITY SHARES OF SARDA PLYWOOD INDUSTRIES LTD.
|
IMPOSED PENALTY RS.10,000 ALONG WITH OTHER ENTITIES/PERSONS
20-OCT-2008
|
|
| 251 |
|
|
ARCHANA GARODIA
(PAN:AEBPG0636D)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 8(1) READ WITH 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HIMACHAL FIBRES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,29,588 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
26-MAR-2018
|
|
| 252 |
|
|
ARCHANA MITTAL
|
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAY-2004
|
SAT: APPEAL ALLOWED
|
| 253 |
|
|
ARCHANA PAREKH
(PAN:ABFPP0259E)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 254 |
|
|
AREFA M.LAILA
|
|
|
|
OXFORD INDUSTRIES LTD.
CIN:L17112MH1980PLC023572
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-AUG-2002
|
SAT: ORDER UPHELD AND PENALTY AMOUNT REDUCED TO RS.50,000.NO ORDER AS TO COSTS
|
| 255 |
|
|
ARIF GULAM MUSTUFA SHAIKH
(PAN:CKZPS8073E)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAIANAND COMMERCIAL LTD. (ERSTWHILE OREGON COMMERCIAL LTD.)
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SAIANAND COMMERCIAL LTD. (ERSTWHILE OREGON COMMERCIAL LTD.)
|
IMPOSED PENALTY RS.2,00,000
25-JUL-2018
|
SEBI VIDE ITS NOTICE DATED 30/11/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.3,33,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 256 |
|
|
ARJUN SURI
(PAN:BSQPS6273J)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10 AND 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MOREPEN LABORATORIES LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-MAR-2018
|
|
| 257 |
|
|
ARJUN SURI
(PAN:BSQPS6273J)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10 AND 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MOREPEN LABORATORIES LTD.
|
REJECTED APPLICATION FILED FOR GRANT OF EXEMPTION FROM TAKEOVER REGULATIONS, 1997
29-NOV-2011
|
|
| 258 |
|
|
ARJUNLAL N.UTTAMCHANDANI
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF INDIA POLYSPIN LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-SEP-2010
|
|
| 259 |
|
|
ARJUNLAL N.UTTAMCHANDANI
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1),13(3) AND 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF INDIA POLYSPIN LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF INDIA POLYSPIN LTD.
|
IMPOSED PENALTY RS.1,00,000
28-SEP-2010
|
|
| 260 |
|
|
ARJUNLAL N.UTTAMCHANDANI
|
|
|
|
INDIA POLYSPIN LTD.
PAN:AAACI1530M
|
|
PUBLISHED MISLEADING UNAUDITED QUARTERLY RESULTS FOR QUARTER ENDED DECEMBER 2003 IN MATTER OF INDIA POLYSPIN LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF INDIA POLYSPIN LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-SEP-2010 TO 07-OCT-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-SEP-2010 TO 07-OCT-2010
08-SEP-2010
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 13 of 148
|
