| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 241 |
|
DEBASHIS SUR CHOWDHURY
(PAN:BIVPS1639D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF DHANLEELA INVESTMENT & TRADING CO.LTD. (FORMERLY KNOWN AS RATNI INVESTMENTS CO.LTD.)
|
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 18-MAR-2020 TO 17-MAR-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
18-MAR-2020
|
|
| 242 |
|
|
DEBJIT BANERJEE
(PAN:AKJPB5444L)
|
|
|
|
NEWEVER TRADE WINGS LTD.
CIN:L74999WB2012PLC181106
PAN:AADCN9668B
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF NEWEVER TRADE WINGS LTD. VIOLATING REGULATIONS 4(2)(F)(II)(1), (6), (7), 4(2)(F)(III)(2), (3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 NEWEVER TRADE WINGS LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF NEWEVER TRADE WINGS LTD.
|
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 13-SEP-2022 TO 12-DEC-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
13-SEP-2022
|
SAT: SAT VIDE ITS ORDER DATED 19/12/2022 PARTLY ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 13/09/2022
|
| 243 |
|
|
DEEKSHA PURI
(PAN:AETPP5950M)
|
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-NOV-2019 TO 27-NOV-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-NOV-2019 TO 27-NOV-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-NOV-2019
|
|
| 244 |
|
|
DEENA NATH MAURYA
(DIN:02824654
PAN:BJJPM1012K)
|
|
|
|
Q&B RETAIL LTD.
CIN:U64120DL1997PLC089923
PAN:AACCB2213R
|
|
MOBILIZED RS.10.12 CRORES FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 7545 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36) AND 73 OF THE COMPANIES ACT, 1956 AND THE DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH ICDR REGULATIONS, 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 27-JUN-2020 TO 26-JUN-2024
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-JUN-2020 TO 26-JUN-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-JUN-2020 TO 26-JUN-2024
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 27-JUN-2020 TO 26-JUN-2024
DIRECTED TO SUBMIT DETAILS OF REPAYMENT, IF ANY MADE TO INVESTORS, DULY CERTIFIED BY AN INDEPENDENT AUDITORS
DIRECTED TO SUBMIT NAME, ADDRESS AND CONTACT NUMBERS OF INVESTORS WHO HAVE BEEN REPAID & MODE OF REPAYMENT
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 27-JUN-2020 TO 26-JUN-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
10-FEB-2016
|
SEBI VIDE ITS ORDER DATED 27/06/2019 DIRECTED TO A) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER ANY MANNER FOR FOUR YEARS ON THE EXPIRY OF 365 DAYS OF THIS ORDER B) RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR FOUR YEARS ON THE EXPIRY OF 365 DAYS OF THIS ORDER C) DURING THE PERIOD OF RESTRAINT THE EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS SHALL REMAIN FROZEN
|
| 245 |
|
|
DEENA NATH MAURYA
(DIN:02824654
PAN:BJJPM1012K)
|
|
|
|
TOGO RETAIL MARKETING LTD.
CIN:U72900DL1999PLC098804
PAN:AADCM4340F
|
|
MOBILIZED RS.7.74 CRORES FROM PUBLIC THROUGH ISSUANCE OF 77,41,000 EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 8,424 INVESTORS VIOLATING SECTIONS 60(B)(2), 60(B)(9) READ WITH 2(36), 56(1), 56(3) AND 73 OF THE COMPANIES ACT, 1956 AND THE DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES & THE ICDR REGULATIONS, 2009
|
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 11-JUL-2020 TO 10-JUL-2024
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-JUL-2020 TO 10-JUL-2024
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-JUL-2020 TO 10-JUL-2024
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JUL-2020 TO 10-JUL-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JUL-2020 TO 10-JUL-2024
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
PERMITTED TO SELL ASSETS OF COMPANY FOR SOLE PURPOSE OF MAKING REFUNDS AND DEPOSIT PROCEEDS IN AN ESCROW ACCOUNT OPENED WITH NATIONALISED BANK
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 11-JUL-2020 TO 10-JUL-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
05-AUG-2015
|
SEBI VIDE ITS ORDER DATED 11/07/2019 DIRECTED TO A) PROVIDE FULL INVENTORY OF ALL ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL AND DEMAT FORM OF THE COMPANY B) PERMITTED TO SELL ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUND AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH 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 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 E) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER ANY MANNER FOR FOUR YEARS ON THE EXPIRY OF 365 DAYS OF THIS ORDER F) RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR FOUR YEARS ON THE EXPIRY OF 365 DAYS OF THIS ORDER
|
| 246 |
|
|
DEENA NATH MAURYA
(DIN:02824654
PAN:BJJPM1012K)
|
|
|
|
TOGO RETAIL MARKETING LTD.
CIN:U72900DL1999PLC098804
PAN:AADCM4340F
|
|
MOBILIZED RS.9.19 CRORES FROM PUBLIC THROUGH ISSUANCE OF 91,953 REDEEMABLE CUMULATIVE PREFERENCE SHARES (RCPS) BY WAY OF PRIVATE PLACEMENT TO 10,759 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36) AND 73 OF THE COMPANIES ACT, 1956
|
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-JUN-2020 TO 26-JUN-2024
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-JUN-2020 TO 26-JUN-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-JUN-2020 TO 26-JUN-2024
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 27-JUN-2020 TO 26-JUN-2024
PERMITTED TO SELL ASSETS OF COMPANY FOR SOLE PURPOSE OF MAKING REFUNDS AND DEPOSIT PROCEEDS IN AN ESCROW ACCOUNT OPENED WITH NATIONALISED BANK
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 27-JUN-2020 TO 26-JUN-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
22-JUL-2015
|
SEBI VIDE ITS ORDER DATED 27/06/2019 DIRECTED TO A) PROVIDE FULL INVENTORY OF ALL ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL AND DEMAT FORM OF THE COMPANY B) PERMITTED TO SELL ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUND AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH 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 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 E) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER ANY MANNER FOR FOUR YEARS FROM DATE OF THIS ORDER F) RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR FOUR YEARS ON THE EXPIRY OF 365 DAYS OF THIS ORDER G) DURING THE PERIOD OF RESTRAINT THE EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS SHALL REMAIN FROZEN
|
| 247 |
|
|
DEENDAYAL MURLIDHAR BOHARA
(PAN:AAEPB4676P)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME AND PRICE MANIPULATION THROUGH CIRCULAR TRADES TRANSACTIONS IN SCRIP OF SUNTECK REALTY LTD. (EARLIER KNOWN AS INSUL ELECTRONICS LTD.)
|
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 24-DEC-2019 TO 23-DEC-2020
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
24-DEC-2019
|
|
| 248 |
|
|
DEEPA MITTAL
(PAN:AGZPM0492K)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF SULABH ENGINEERS & SERVICES LTD.
|
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 03-SEP-2020 TO 02-SEP-2027
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 03-SEP-2020 TO 02-SEP-2027
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 13/07/2021 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS AND REJOINDER MAY BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 29/04/2022 DISMISSED THE APPEAL. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 05/09/2023 DISMISSED THE APPEAL
|
| 249 |
|
|
DEEPA SAURABH SHAH
(PAN:BBTPS6761H)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET & PRICE MANIPULATION IN SCRIP OF UNISYS SOFTWARE & HOLDING INDUSTRIES LTD.
|
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 16-JAN-2020 TO 15-JAN-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
16-JAN-2020
|
|
| 250 |
|
|
DEEPAK KUMAR SARRAF
(PAN:BYVPS8100B)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF SULABH ENGINEERS & SERVICES LTD.
|
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 03-SEP-2020 TO 02-SEP-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 13/07/2021 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS AND REJOINDER MAY BE FILED WITHIN TWO WEEKS THEREAFTER
|
| 251 |
|
|
DEEPAK MISHRA
|
|
|
INDULGED IN MISUTILIZATION OF GDR PROCEEDS AND MADE FALSE & MISLEADING DISCLOSURES IN MATTER OF TRANSGENE BIOTEK LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-AUG-2019 TO 27-AUG-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-AUG-2019 TO 27-AUG-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-AUG-2019
|
SAT: SAT VIDE ITS ORDER DATED 08/06/2021 DISMISSED THE APPEAL. NO COSTS
|
| 252 |
|
|
DEEPAK MISHRA
(PAN:BLVPM9284R)
|
|
|
|
MONEY CLASSIC
PAN:BLVPM9284R
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
DID NOT REDRESS INVESTOR COMPLAINTS
NOT A FIT & PROPER PERSON TO ACT AS AN INVESTMENT ADVISOR
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 29-DEC-2023 TO 28-DEC-2024
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 29-DEC-2023 TO 28-DEC-2024
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
DIRECTED TO FURNISH REPORT TO SEBI DULY CERTIFIED BY CHARTERED ACCOUNTANT RESOLVED ALL COMPLAINTS
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 29-DEC-2023 TO 28-DEC-2024
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
29-DEC-2023
|
|
| 253 |
|
|
DEEPAK PRAKASH RANE
(PAN:AMCPR0635A)
|
|
|
|
PINE ANIMATION LTD.
CIN:L92100TN1989PLC017816
PAN:AAECM0267A
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PINE ANIMATION LTD.
|
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 18-NOV-2019 TO 07-MAY-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
08-MAY-2015
|
SEBI VIDE ITS ORDER DATED 22/08/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 08/05/2015 EXCEPT THAT NOTICEES CAN: A) ENTER INTO DELIVERY BASED TRANSACTIONS IN CASH SEGMENT IN SECURITIES COVERED IN NSE NIFTY 500 INDEX SCRIPS AND / OR S&P BSE 500 SCRIPS B) SUBSCRIBE TO UNITS OF MUTUAL FUNDS INCLUDING THROUGH SIP AND REDEEM THE UNITS OF MUTUAL FUNDS SO SUBSCRIBED C) DEAL IN DEBT/GOVERNMENT SECURITIES D) INVEST IN ETF E) AVAIL THE BENEFITS OF CORPORATE ACTIONS LIKE RIGHTS ISSUE, BONUS ISSUE, STOCK SPLIT, DIVIDEND, ETC. F) TENDER THE SHARES LYING IN THEIR DEMAT ACCOUNT IN ANY OPEN OFFER/DELISTING OFFER UNDER THE RELEVANT REGULATIONS OF SEBI. SEBI ALLOWED THEM FURTHER RELAXATIONS/RELIEFS A) THEY ARE PERMITTED TO SELL THE SECURITIES LYING IN THEIR DEMAT ACCOUNTS AS ON THE DATE OF THE INTERIM ORDER, OTHER THAN THE SHARES OF THE COMPANIES WHICH ARE SUSPENDED FROM TRADING BY THE CONCERNED STOCK EXCHANGE, IN ORDERLY MANNER UNDER THE SUPERVISION OF THE STOCK EXCHANGES SO AS NOT TO DISTURB THE MARKET EQUILIBRIUM AND DEPOSIT THE SALE PROCEEDS IN AN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK B) THEY MAY DEAL WITH OR UTILIZE THE SALE PROCEEDS LYING IN THE ESCROW ACCOUNT UNDER THE SUPERVISION OF THE CONCERNED STOCK EXCHANGE
SEBI VIDE ITS ORDER DATED 18/11/2019 DIRECTED TO A) DEBARRED 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 86YEARS AND B) FREEZED EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
|
| 254 |
|
|
DEEPALI SHARMA
(PAN:CTGPS9075L)
|
|
|
|
D.S.CAPITAL VENTURE PVT.LTD.
PAN:AADCH8426M
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS TO INVESTIGATING AUTHORITY OF SEBI
DID NOT INFORM SEBI ABOUT CHANGE OF ADDRESS
DID NOT OBTAIN APPROVAL FROM SEBI FOR UPDATION/CHANGE OF DIRECTORS
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
|
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 29-DEC-2022 TO 28-DEC-2027
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
RESTRAINED AND FURTHER PROHIBITED FROM HOLDING AND OCCUPYING ANY MANAGERIAL POST OR BEING ASSOCIATED DIRECTLY OR INDIRECTLY WITH ANY LISTED PUBLIC COMPANY AND/OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 29-DEC-2022 TO 28-DEC-2027
29-DEC-2022
|
|
| 255 |
|
|
DEV KISHAN MAL
(PAN:ARUPM1933H)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF DHANLEELA INVESTMENT & TRADING CO.LTD. (FORMERLY KNOWN AS RATNI INVESTMENTS CO.LTD.)
|
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 18-MAR-2020 TO 17-MAR-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
18-MAR-2020
|
|
| 256 |
|
|
DEVAL JAYESH GANDHI
(PAN:AISPG4164H)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SHREE SHALEEN TEXTILES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2019 TO 30-JAN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2019 TO 30-JAN-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
31-JAN-2019
|
SAT: APPEAL DISMISSED AS NOT PRESSES
SAT: SAT VIDE ITS ORDER DATED 21/02/2020 ALLOWED THE APPEAL. NO COSTS
|
| 257 |
|
|
DEVAL JAYESH GANDHI
(PAN:AISPG4164H)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF GRANDMA TRADING & AGENCIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2019 TO 30-JAN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2019 TO 30-JAN-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
31-JAN-2019
|
SAT: APPEAL DISMISSED AS NOT PRESSES
SAT: SAT VIDE ITS ORDER DATED 21/02/2020 ALLOWED THE APPEAL. NO COSTS
|
| 258 |
|
|
DEVANG MUKUNDRAY PATEL
(PAN:AMUPP7312C)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF CUPID TRADES & FINANCE LTD.
|
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 18-MAR-2020 TO 17-MAR-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
18-MAR-2020
|
SAT: SAT VIDE ITS ORDER DATED 07/01/2021 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED MISC.APPLICATION AND QUASHED IMPUGNED ORDER IN SO FAR AS IT RELATED TO APPELLANT
|
| 259 |
|
|
DEVESH VALECHA
(PAN:ARCPV4314R)
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PINE ANIMATION LTD.
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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 18-NOV-2019 TO 17-NOV-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
18-NOV-2019
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SAT: SAT VIDE ITS ORDER DATED 08/06/2021 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 18/11/2019
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| 260 |
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DEVINDER KUMAR
(PAN:BCFPK2068C)
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF DHANLEELA INVESTMENT & TRADING CO.LTD. (FORMERLY KNOWN AS RATNI INVESTMENTS CO.LTD.)
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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 18-MAR-2020 TO 17-MAR-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
18-MAR-2020
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| 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 60
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