| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 261 |
|
ARVIND SHUKLA
(PAN:ISZPS7481G)
(Along with : HARDIK JITENDRABHAI PATEL,
YAYAATI HASMUKHRAY NADA,
SHAILESH SOMABHAI PATEL,
JALAJ AGRAWAL)
|
|
|
INDULGED IN DEALING IN SECURITIES WHILE IN POSSESSION OF MATERIAL OR NON-PUBLIC INFORMATION OR COMMUNICATE SUCH MATERIAL OR NON-PUBLIC INFORMATION TO ANY OTHER PERSON VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT. 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(D) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF UNISON METALS LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2024 UNTIL FURTHER ORDERS
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.4,77,780 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
31-JUL-2024
|
|
| 262 |
|
|
ARVIND SHUKLA
(PAN:ISZPS7481G)
(Along with : NIRALI YAYAATI NADA,
YAYAATI HASMUKHRAY NADA,
JALAJ AGRAWAL,
SHAILESH SOMABHAI PATEL)
|
|
|
INDULGED IN DEALING IN SECURITIES WHILE IN POSSESSION OF MATERIAL OR NON-PUBLIC INFORMATION OR COMMUNICATE SUCH MATERIAL OR NON-PUBLIC INFORMATION TO ANY OTHER PERSON VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT. 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(D) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF UNISON METALS LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2024 UNTIL FURTHER ORDERS
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.1,02,32,226 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
31-JUL-2024
|
|
| 263 |
|
|
ARVIND SHUKLA
(PAN:ISZPS7481G)
(Along with : YAYAATI HASMUKHRAY NADA,
SHAILESH SOMABHAI PATEL,
JALAJ AGRAWAL)
|
|
|
INDULGED IN DEALING IN SECURITIES WHILE IN POSSESSION OF MATERIAL OR NON-PUBLIC INFORMATION OR COMMUNICATE SUCH MATERIAL OR NON-PUBLIC INFORMATION TO ANY OTHER PERSON VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT. 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(D) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF UNISON METALS LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2024 UNTIL FURTHER ORDERS
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.1,46,51,279 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
31-JUL-2024
|
|
| 264 |
|
|
ARVIND SHUKLA
(PAN:ISZPS7481G)
(Along with : JIGNESH PRAVINBHAI PETHANI,
YAYAATI HASMUKHRAY NADA,
SHAILESH SOMABHAI PATEL,
JALAJ AGRAWAL)
|
|
|
INDULGED IN DEALING IN SECURITIES WHILE IN POSSESSION OF MATERIAL OR NON-PUBLIC INFORMATION OR COMMUNICATE SUCH MATERIAL OR NON-PUBLIC INFORMATION TO ANY OTHER PERSON VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT. 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(D) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF UNISON METALS LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2024 UNTIL FURTHER ORDERS
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.37,49,190 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
31-JUL-2024
|
|
| 265 |
|
|
ARVIND SHUKLA
(PAN:ISZPS7481G)
(Along with : REETABEN ASHVINKUMAR SHUKLA,
YAYAATI HASMUKHRAY NADA,
SHAILESH SOMABHAI PATEL,
JALAJ AGRAWAL)
|
|
|
INDULGED IN DEALING IN SECURITIES WHILE IN POSSESSION OF MATERIAL OR NON-PUBLIC INFORMATION OR COMMUNICATE SUCH MATERIAL OR NON-PUBLIC INFORMATION TO ANY OTHER PERSON VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT. 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(D) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF UNISON METALS LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2024 UNTIL FURTHER ORDERS
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.12,11,311 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
31-JUL-2024
|
|
| 266 |
|
|
ARVIND SHUKLA
(PAN:ISZPS7481G)
(Along with : MALAY SHAILESHBHAI PATEL,
SHAILESH SOMABHAI PATEL,
JALAJ AGRAWAL)
|
|
|
INDULGED IN DEALING IN SECURITIES WHILE IN POSSESSION OF MATERIAL OR NON-PUBLIC INFORMATION OR COMMUNICATE SUCH MATERIAL OR NON-PUBLIC INFORMATION TO ANY OTHER PERSON VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT. 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(D) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF UNISON METALS LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2024 UNTIL FURTHER ORDERS
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.6,32,274 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
31-JUL-2024
|
|
| 267 |
|
|
ARVIND SHUKLA
(PAN:ISZPS7481G)
|
|
|
COLLUDED AND POSTED MISLEADING STOCK RECOMMENDATIONS THROUGH TELEGRAM CHANNELS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(A), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER MOKSH ORNAMENTS LTD.
|
IMPOSED PENALTY RS.10,00,000
30-JUL-2026
|
|
| 268 |
|
|
ARVIND SHUKLA
(PAN:ISZPS7481G)
(Along with : PRAJESH ASHVINBHAI SHUKLA,
YAYAATI HASMUKHRAY NADA,
REETABEN ASHVINKUMAR SHUKLA,
SHAILESH SOMABHAI PATEL,
JALAJ AGRAWAL)
|
|
|
INDULGED IN DEALING IN SECURITIES WHILE IN POSSESSION OF MATERIAL OR NON-PUBLIC INFORMATION OR COMMUNICATE SUCH MATERIAL OR NON-PUBLIC INFORMATION TO ANY OTHER PERSON VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT. 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(D) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF UNISON METALS LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2024 UNTIL FURTHER ORDERS
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.18,73,075 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
31-JUL-2024
|
|
| 269 |
|
|
ASHISH AGRAWAL
(PAN:ABDPA8107E)
|
|
|
ALLEGED INDULGENCE IN DECISION MAKING PROCESS TO INCOMPLETE PRESS RELEASE/PUBLIC ANNOUNCEMENT TO STOCK EXCHANGES VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A), 3(D), 4(1), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF YES BANK LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,65,37,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
14-SEP-2021
|
|
| 270 |
|
|
ASHISH BABURAO KELKAR
(PAN:ACAPK0708P)
|
|
|
PROVIDED NON-PUBLIC INFORMATION TO PROFIT MAKERS BEFORE BROADCASTING OF THEIR RECOMMENDATIONS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-FEB-2024 UNTIL FURTHER ORDERS
DIRECTED TO PRESERVE RECORDS OF VARIOUS SOCIAL MEDIA ACCOUNTS MAINTAIN BY THEM DIRECTLY OR INDIRECTLY
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
ADVISE TO TO PRESERVE AND MAINTAIN ALL RECORDS, DOCUMENTS, MATERIAL, VIDEO RECORDS ETC., ALONG WITH THEIR CONTENT, RELATED TO MR.KIRAN JADHAV, MR.ASHISH KELKAR, MR.HIMANSHU GUPTA, MR.MUDIT GOYAL AND CONCERNED SHOWS TILL FINAL ORDER PASSED
08-FEB-2024
|
|
| 271 |
|
|
ASHISH BABURAO KELKAR
(PAN:ACAPK0708P)
(Along with : NIRMAL KUMAR SONI,
HIMANSHU GUPTA,
MUDIT GOYAL)
|
|
|
AIDED/ASSISTED PROFIT MAKERS IN MAKING PROFIT BASED ON ADVANCE INFORMATION OF STOCK RECOMMENDATIONS OF GUEST EXPERTS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-FEB-2024 UNTIL FURTHER ORDERS
DIRECTED TO DISGORGE RS.4,43,975 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
08-FEB-2024
|
|
| 272 |
|
|
ASHISH BABURAO KELKAR
(PAN:ACAPK0708P)
(Along with : NIRMAL KUMAR SONI,
KIRAN JADHAV,
HIMANSHU GUPTA,
MUDIT GOYAL,
SIMI BHAUMIK)
|
|
|
|
KANHYA TRADING CO.
PAN:AAXFK5345H
|
|
AIDED/ASSISTED PROFIT MAKERS IN MAKING PROFIT BASED ON ADVANCE INFORMATION OF STOCK RECOMMENDATIONS OF GUEST EXPERTS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-FEB-2024 UNTIL FURTHER ORDERS
DIRECTED TO DISGORGE RS.1,10,41,979 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
08-FEB-2024
|
|
| 273 |
|
|
ASHISH BABURAO KELKAR
(PAN:ACAPK0708P)
(Along with : NIRMAL KUMAR SONI,
KIRAN JADHAV,
HIMANSHU GUPTA,
MUDIT GOYAL,
SIMI BHAUMIK)
|
|
|
|
SAAR COMMODITIES PVT.LTD.
PAN:AAJCS7343G
|
|
AIDED/ASSISTED PROFIT MAKERS IN MAKING PROFIT BASED ON ADVANCE INFORMATION OF STOCK RECOMMENDATIONS OF GUEST EXPERTS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-FEB-2024 UNTIL FURTHER ORDERS
DIRECTED TO DISGORGE RS.4,37,57,697 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
08-FEB-2024
|
|
| 274 |
|
|
ASHISH BABURAO KELKAR
(PAN:ACAPK0708P)
(Along with : PARTHA SARATHI DHAR,
KIRAN JADHAV,
HIMANSHU GUPTA,
MUDIT GOYAL,
SIMI BHAUMIK)
|
|
|
AIDED/ASSISTED PROFIT MAKERS IN MAKING PROFIT BASED ON ADVANCE INFORMATION OF STOCK RECOMMENDATIONS OF GUEST EXPERTS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-FEB-2024 UNTIL FURTHER ORDERS
DIRECTED TO DISGORGE RS.53,84,661 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
08-FEB-2024
|
|
| 275 |
|
|
ASHISH BABURAO KELKAR
(PAN:ACAPK0708P)
(Along with : NIRMAL KUMAR SONI,
KIRAN JADHAV,
HIMANSHU GUPTA,
MUDIT GOYAL,
SIMI BHAUMIK)
|
|
|
|
MANAN SHARECOM PVT.LTD.
PAN:AAPCM9816L
|
|
AIDED/ASSISTED PROFIT MAKERS IN MAKING PROFIT BASED ON ADVANCE INFORMATION OF STOCK RECOMMENDATIONS OF GUEST EXPERTS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-FEB-2024 UNTIL FURTHER ORDERS
DIRECTED TO DISGORGE RS.1,35,01,336 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
08-FEB-2024
|
|
| 276 |
|
|
ASHISH BAGRODIA
(PAN:AEIPB4708E)
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INDULGED IN FACILITATING SUBSCRIPTION OF GDRS AMOUNTING TO USD 9.99 MN.BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY (WINSOME) PLEDGED GDR WITH EURAM BANK VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF WINSOME TEXTILE INDUSTRIES LTD.
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IMPOSED PENALTY
15-DEC-2021
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SAT: SAT VIDE ITS ORDER DATED 30/05/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 24/06/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
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| 277 |
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ASHISH BAGRODIA
(PAN:AEIPB4708E)
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WINSOME YARNS LTD.
CIN:L17115CH1990PLC010566
PAN:AAACW1911H
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INDULGED IN ISSUANCE OF GDRS FRAUDULENTLY AND EXECUTED PLEDGE AGREEMENT ON BEHALF OF WINSOME VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF WINSOME YARNS 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 26-OCT-2021 TO 25-OCT-2022
26-OCT-2021
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SAT: SAT VIDE ITS ORDER DATED 23/02/2023 DISMISSED THE APPEAL
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| 278 |
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ASHISH BAGRODIA
(PAN:AEIPB4708E)
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INDULGED IN FACILITATING SUBSCRIPTION OF GDRS AMOUNTING TO USD 9.99 MN.BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY (WINSOME) PLEDGED GDR WITH EURAM BANK VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF WINSOME TEXTILE INDUSTRIES 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 15-DEC-2021 TO 13-SEP-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
15-DEC-2021
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SAT: SAT VIDE ITS ORDER DATED 30/05/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 24/06/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 30/08/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 26/09/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 03/11/2022 ALLOWED APPELLANTS FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 13/09/2023 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.20 LAC FROM RS.44 LAC AND ALSO REDUCE DEBARMENT PERIOD FROM TWO YEARS TO PERIOD UNDERGONE
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| 279 |
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ASHISH BAGRODIA
(PAN:AEIPB4708E)
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APPROVED BOARD RESOLUTION WITH OTHER DIRECTORS AND LATER RATIFIED IT IN THE BOARD MEETING ACTED AS A PARTY TO THE FRAUDULENT SCHEME OF GDR ISSUANCE AND SUBSCRIPTION VIOLATING SECTION 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF WINSOME YARNS LTD.
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IMPOSED PENALTY
30-NOV-2021
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SAT: SAT VIDE ITS ORDER DATED 23/02/2023 DISMISSED THE APPEAL
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| 280 |
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ASHISH BANKER
(PAN:AEZPB0868G)
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NU TEK INDIA LTD.
CIN:L74899DL1993PLC054313
PAN:AAACN2270L
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INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF NU TEK INDIA LTD. AND SUBSIDIARIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(A), 4(2)(E), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF NU TEK INDIA LTD. AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF NU TEK INDIA LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF NU TEK INDIA LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF NU TEK INDIA 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 21-DEC-2021 TO 20-DEC-2022
IMPOSED PENALTY RS.3,20,000
21-DEC-2021
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SEBI VIDE ITS NOTICE DATED 15/06/2022 DIRECTED TO PAY RS.3,43,400.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
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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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