| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 2721 |
|
TIRUPATHI KUMAR KHEMKA
|
|
|
DID NOT REPAY EXCESS SHARE APPLICATION MONEY WITHIN STIPULATED PERIOD
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
VIOLATED SECTION 22 OF SEBI TAKEOVER CODE, 1997
VIOLATED SECTION 20(2) OF SEBI ACT.,1992
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JUL-2001 TO 01-JUL-2006
02-JUL-2001
|
SAT: APPEAL DISMISSED AS WITHDRAWN
PERIOD OF DEBARMENT WAS OVER ON 01/07/2006
|
| 2722 |
|
|
TRILOCHAN SINGH
(PAN:AATPS1422R)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) AND 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF DR.WELLMAN'S HOMEOPATHIC LABORATORIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-MAY-2013
|
|
| 2723 |
|
|
TRILOCHAN SINGH SUCHDEV
(PAN:AJGPS9694B)
|
|
|
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
|
| 2724 |
|
|
TRIPTY M.KAPADIA
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING AND CONTROL IN A LISTED COMPANY AS PER SEBI TAKEOVER CODE, 1997
|
IMPOSED PENALTY RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS
13-DEC-2004
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.10,000 FROM RS.50,000
|
| 2725 |
|
|
TRUPTI B.PAREKH
|
|
|
AIDED AND ABETTED PROMOTERS IN CORNERING SHARES OF MAA LEAFIN & CAPITAL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-FEB-2002 TO 18-FEB-2004
19-FEB-2002
|
SAT: APPEAL ALLOWED
|
| 2726 |
|
|
TRUPTI S. MEHTA
|
|
|
|
PRIYA HOLDINGS LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.1,00,000 BY THE ACCUSED TO SEBI
|
| 2727 |
|
|
TUSHAR D.MAHADEVIA
(PAN:AABPM7741D)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF TAK MACHINERY & LEASING LTD. (NOW KNOWN AS MANGAL CREDIT & FINCORP LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,81,525 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
29-OCT-2014
|
|
| 2728 |
|
|
TUSHAR SHAH
|
|
|
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 PLATINUM CORP.LTD.
|
IMPOSED PENALTY RS.1,50,000
26-SEP-2012
|
SEBI VIDE ITS NOTICE DATED 15/10/2013 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
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 2729 |
|
|
TUSHAR SHARADBHAI JHAVERI
(PAN:AACPZ7287J)
|
|
|
|
SHALIBHADRA INFOSEC LTD.
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AND REQUISITE DISCLOSURE AS REQUIRED UNDER REGULATIONS 7,10,11,13(3) & 15 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHALIBHADRA INFOSEC LTD.
|
IMPOSED PENALTY RS.1,50,000 ALONG WITH OTHER ENTITIES/PERSONS
30-APR-2005
|
|
| 2730 |
|
|
TWINKLE AGARWAL
|
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2005
|
SAT: APPEAL FAILED AND DISMISSED
|
| 2731 |
|
|
TWISHA P.CHINAI
(PAN:ABSPC9103B)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER ACQUISITION OF SHARES OF EXEDY INDIA LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER ACQUISITION OF SHARES OF EXEDY INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
05-DEC-2012
|
|
| 2732 |
|
|
U.KASHIM RAZVI
|
|
|
|
KARTHIKEYAN METAL ROLLING MILLS PVT.LTD.
|
|
VIOLATED SECTION 22 OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 2733 |
|
|
UDAY CHANDAR MOHITE
(PAN:AMNPM0633Q)
|
|
|
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 FACT ENTERPRISES LTD.
|
IMPOSED PENALTY RS.1,00,000
11-JAN-2012
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 22/06/2016 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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 15/07/2016 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS/LOCKERS/DEMAT ACCOUNTS AND MUTUAL FUND ACCOUNTS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 22/06/2016
|
| 2734 |
|
|
UDAY DESAI
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF OLYMPIC OIL INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
24-JUN-2010
|
|
| 2735 |
|
|
UDAY DHANANI
(Along with : HABIBUNISHA DHANANI,
KAYUM DHANANI,
GULSHAN I.MEMON,
SHAMIM DHANANI,
SHAJI NAIR,
SUBHASH PANDIT,
ABBAS A.SHAIKH,
ABDUL RAZAK DHANANI,
SADIKA MD.I.MEMON,
MANSOOR I.MEMON,
ANISHA DHANANI,
RAJESH C.MODI,
AKITABANU MD.ISMAIL MEMON,
AKSHAY S.UDAR,
ROHINI S.UDAR,
SHIRIN H.MEMON,
MUNAWAR GARBADAWALA,
SHYAMLAL BHASKAR PANDIT,
NOORMOHMAD VOHRA,
REKHA R.PANDIT,
RABIA RAZAK DHANANI,
PRADEEP B.MENON,
NASIM R.DHANANI,
SUCHITRA DHANANI)
|
|
|
|
ARIES HOTELS PVT.LTD.
PAN:AABCA6743N
|
|
|
BHARAT EQUITY SERVICES LTD.
PAN:AAACB7732M
|
|
|
EXCELLENT ESTATE DEVELOPERS PVT.LTD.
PAN:AAACE4152G
|
|
|
LIBERTY CONSTRUCTION & LEASING PVT.LTD.
PAN:AAACL3233H
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1) AND 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAYAJI HOTELS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAYAJI HOTELS LTD.
|
IMPOSED PENALTY RS.3,10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-MAR-2018
|
|
| 2736 |
|
|
UDAY NARAYAN JOSHI
(PAN:AAAPJ5792N
DIN:02299219)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT VIOLATING SECTION 12A(F) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(1) AND 4 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNIPLY INDUSTRIES LTD.
DID NOT PUBLISH DETAILED PUBLIC STATEMENT VIOLATING REGULATION 13(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNIPLY INDUSTRIES LTD.
DID NOT DISPATCH LETTER OF OFFER TO SHAREHOLDERS VIOLATING REGULATION 18(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNIPLY INDUSTRIES LTD.
DID NOT ENSURE FINANCIAL ARRANGEMENTS MADE FOR FULFILLING THE PAYMENT OBLIGATIONS UNDER OPEN OFFER VIOLATING REGULATION 25(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNIPLY INDUSTRIES LTD.
DID NOT DEPOSIT REQUIRED AMOUNT IN ESCROW ACCOUNT VIOLATING REGULATION 17(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNIPLY INDUSTRIES LTD.
|
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 16-FEB-2023 TO 15-FEB-2026
IMPOSED PENALTY RS.10,00,000
16-FEB-2023
|
|
| 2737 |
|
|
UMA ASHWIN SHAH
|
|
|
|
IND TRADE CO.LTD.
|
|
MADE FALSE REPRESENTATION THROUGH CORPORATE ANNOUNCEMENTS TO MISLEAD/INDUCE INVESTORS
ACTED IN CONCERT TO CREATE FALSE MARKET TO SELL THEIR OWN HOLDINGS AT AN ARTIFICIALLY INFLATED PRICE
DID NOT MAKE DISCLOSURE OF SHAREHOLDING, CONTROL AND SALE OF SHARES OF PROMOTERS/PERSONS ACTING IN CONCERT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-OCT-2005 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES OF PROMOTERS/PERSONS ACTING IN CONCERT/DIRECTORS/CLIENTS IN DEFAULT FROM 05-OCT-2005 TILL FURTHER ORDERS
05-OCT-2005
|
DIRECTED THAT INTERIM ORDER DATED 05/10/2005 SHALL REMAIN IN FORCE TILL FINAL ORDERS PASSED BY SEBI
ORDER DATED 05/10/2005 READ WITH ORDER DATED 20/06/2006 REVOKED AND DISPOSED OFF. NSDL AND CDSL ADVISED TO LIFT THE RESTRICTIONS IMPOSED BY ORDER DATED 05/10/2005 AND 20/06/2006
|
| 2738 |
|
|
UMA GOELA
|
|
|
|
ARROW CAPITAL SERVICES PVT.LTD.
|
|
|
NMC HOLDINGS LTD.
|
|
|
UMA CARBONICS PVT.LTD.
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 6(1),6(3) FOR YEAR 1997 AND 8(1),8(2) FOR YEARS 1998 TO 2001 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HARYANA FIBRES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,70,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
11-JUN-2010
|
|
| 2739 |
|
|
UMA KAPOOR
(PAN:AEUPK9460N)
(Along with : AKSHAT TANDON,
NEERA TANDON,
GAURAV TANDON,
ELA TANDON,
BADRI VISHAL TANDON,
CHAVI TANDON,
SURABHI TANDON,
PARIDHI TANDON,
DAMINI TANDON,
SATISH TANDON,
SUDHIR TANDON,
PUNEET TANDON,
SWETA TANDON,
RUPA TANDON,
INDU MEHROTRA,
ARTI TANDON)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATION 3(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHREE BHAWANI PAPER MILLS LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JUL-2014
|
SEBI VIDE ITS NOTICE DATED 17/05/2022 DIRECTED TO PAY RS.9,76,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 23/06/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 22/09/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS ORDER DATED 13/12/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4768 OF 2022 DATED 17/05/2022
|
| 2740 |
|
|
UMA SINGAL
|
|
|
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
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 137 of 148
|
