| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 261 |
|
PURSHOTTAM MADANLAL KHANDELWAL
(PAN:ADZPK9831B)
|
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.10,00,000
08-JUL-2019
|
|
| 262 |
|
|
PUSHPA GUPTA
(DIN:02698562)
|
|
|
|
PARAMOUNT BIO-TECH INDUSTRIES LTD.
CIN:U24231DL1996PLC082959
PAN:AACCP1163C
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-NOV-2022
|
SEBI VIDE ITS NOTICE DATED 11/04/2023 DIRECTED TO PAY RS.53,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 01/06/2023 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
SEBI VIDE ITS NOTICE DATED 05/07/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.54,51,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS NOTICE DATED 16/01/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.63,51,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
SAT: SAT VIDE ITS ORDER DATED 03/04/2025 CONDONED THE DELAY OF 814 DAYS IN FILING OF APPEAL. SET ASIDE IMPUGNED ORDER DATED 16/11/2022 AND DEFREEZE ACCOUNTS
SEBI VIDE ITS NOTICE DATED 16/04/2025 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 01/06/2023
SAT: SAT VIDE ITS ORDER DATED 10/06/2025 SET ASIDE IMPUGNED ORDER DATED 16/11/2022 AND MATTER REMANDED TO AO FOR FRESH CONSIDERATION
SEBI VIDE ITS NOTICE DATED 11/06/2025 CANCELLED RECOVERY CERTIFICATE AS PER SAT ORDER DATED 03/04/2025
|
| 263 |
|
|
PUSHPANJALI SINGH BAGHEL
(PAN:AFZPB0557M)
|
|
|
|
SAI PRAKASH PROPERTIES DEVELOPMENT LTD.
PAN:AANCS7178R
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-OCT-2020
|
SEBI VIDE ITS ORDER DATED 10/09/2024 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS, MUTUAL FUNDS FOLIOS AND/OR POST OFFICE ACCOUNT 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 NOTICE DATED 14/08/2026 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 10/09/2024
SEBI VIDE ITS NOTICE DATED 08/09/2026 WITHDRAWN THE RELEASE ORDER DATED 14/08/2026
|
| 264 |
|
|
PUSHPENDRA SINGH BAGHEL
(PAN:AFZPB0624B)
|
|
|
|
SAI PRAKASH PROPERTIES DEVELOPMENT LTD.
PAN:AANCS7178R
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-OCT-2020
|
SEBI VIDE ITS ORDER DATED 10/09/2024 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS, MUTUAL FUNDS FOLIOS AND/OR POST OFFICE ACCOUNT 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 NOTICE DATED 14/08/2026 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 10/09/2024
SEBI VIDE ITS NOTICE DATED 08/09/2026 WITHDRAWN THE RELEASE ORDER DATED 14/08/2026
|
| 265 |
|
|
R.NANDAKUMAR
|
|
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
CIN:U67120MH1992PLC069769
PAN:AAACN1797L
|
|
ALLEGED FAILURE TO TAKE REMEDIAL MEASURES TO PREVENT / DISCOURAGE ANY
POSSIBLE BYPASS OF TRADING ACCESS POINT (TAP)
ALLEGED FAILURE IN BRING INTO THE NOTICE OF NSES STANDING COMMITTEE THE COMPLAINT DATED 20/11/2013 AND DEFICIENCIES OF TRADING ACCESS POINT (TAP) SYSTEM
ALLEGED DELAY IN APPOINTMENT OF CHIEF INFORMATION SECURITY OFFICER BY NSE, NON-IMPLEMENTATION OF ENCRYPTION FEATURE IN TRADING ACCESS POINT (TAP) ETC. VIOLATING PROVISIONS OF SEBI CIRCULAR DATED 06/07/2015
ALLEGED FAILURE IN DESIGNATE CHIEF TECHNOLOGY OFFICER (CTO) AS KEY MANAGEMENT PERSONNEL (KMP) BY NSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,43,05,30,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-OCT-2024
|
|
| 266 |
|
|
RABINDRA NATH DEY
(DIN:00646404
PAN:ADEPD0040N)
|
|
|
|
VIBGYOR ALLIED INFRASTRUCTURE LTD.
PAN:AACCV5843R
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-OCT-2018
|
SEBI VIDE ITS NOTICE DATED 01/11/2019 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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
|
| 267 |
|
|
RACHNA MORARKA
|
|
|
|
BRADY & MORRIS ENGINEERING CO.LTD.
|
|
|
BRADY & MORRIS ENGINEERING CO.LTD.
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF RULE 19A(1) OF SCRR READ WITH CLAUSE 40A OF LISTING AGREEMENT BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
ALLEGED VIOLATION OF SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,80,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
02-DEC-2014
|
|
| 268 |
|
|
RAJ KUMAR BANERJEE
(PAN:ANLPB5866B)
|
|
|
|
SPNJ LAND PROJECT & DEVELOPERS INDIA LTD.
CIN:U45201CT2009PLC021412
PAN:AANCS5416Q
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE INTERIM ORDER DATED 17/09/2014 VIDE WHICH IT WAS DIRECTED NOT TO MOBILIZE ANY MONEY FROM THE INVESTORS INCLUDING UNDER EXISTING SCHEME
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-MAR-2018
|
SEBI VIDE ITS ORDER DATED 13/12/2023 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
SEBI VIDE ITS NOTICE DATED 18/03/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.86,51,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 269 |
|
|
RAJ ZAVERI
|
|
|
|
SGI RESEARCH & ANALYSIS LTD.
CIN:U74140DL2010PLC203986
PAN:AAOCS5535R
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE ORDER DATED 11/01/2013
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-NOV-2017
|
|
| 270 |
|
|
RAJA BHADRA
(PAN:AGVPB3263D)
|
|
|
|
VIBGYOR ALLIED INFRASTRUCTURE LTD.
PAN:AACCV5843R
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-OCT-2018
|
SEBI VIDE ITS NOTICE DATED 01/11/2019 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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
|
| 271 |
|
|
RAJEEV AGARWAL
(DIN:00232816
PAN:AAJPA6719K)
|
|
|
|
SANRAA MEDIA LTD.
PAN:AAACS9093A
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.5,00,000
28-JUN-2022
|
SAT: SAT VIDE ITS ORDER DATED 27/07/2023 CONDONED THE DELAY IN FILING OF APPEAL AND QUASHED IMPUGNED ORDER DATED 28/06/2022
|
| 272 |
|
|
RAJEEV KUMAR AGARWAL
(PAN:AGGPA0436L)
|
|
|
|
BHARATIYA GLOBAL INFOMEDIA LTD.
CIN:L74999DL1994PLC062967
PAN:AABCB8175B
|
|
MIS-UTILIZED/DIVERTED IPO PROCEEDS OF RS.23.46 CRORE FOR THE PURPOSES AND/OR IN MANNER OTHER THAN THOSE DISCLOSED IN RHP/PROSPECTUS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
MIS-UTILIZED/DIVERTED IPO PROCEEDS OF RS.12.50 CRORE IN GRAB OF ICD INVESTMENTS IN THREE COMPANIES IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
MIS-UTILIZED/DIVERTED IPO PROCEEDS BY MAKING PAYMENTS TO PROMOTER/PROMOTER RELATED ENTITIES WITHOUT MAKING ANY DISCLOSURE IN RHP/PROSPECTUS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
MISUTILIZED/DIVERTED IPO PROCEEDS BY TRANSFERRING FUNDS TO TRADERS WHO INDULGED IN SYNCHRONIZED AND ARTIFICIAL TRADING ON THE DAY OF LISTING OF SHARES IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT PROVIDE INFORMATION RELATING TO ICD LOANS TAKEN PRIOR TO FILING OF RHP AND REPAID THE SAME WITHOUT MAKING ANY DISCLOSURE IN RHP/PROSPECTUS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT PROVIDE CORRECT INFORMATION OF TRANSACTIONS ENTERED INTO WITH VENDORS WHICH WERE PRE DECIDED IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT PROVIDE CORRECT DISCLOSURES RELATED TO PERCENTAGE OF PURCHASE ORDER PLACED IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT PROVIDE INFORMATION OF RELATED PARTY TRANSACTIONS WITH GADEO IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT CALL BACK RS.11.15 CRORE OUT OF PURPORTED ICD INVESTMENTS OF RS.12.50 CRORE AS DIRECTED VIDE SEBI ORDER DATED 28/12/2011 IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DISOBEYED SEBI’S ORDER BY NOT DEPOSITING UNUTILIZED IPO PROCEEDS AND ICD INVESTMENTS RECOVERED IN INTEREST BEARING ESCROW ACCOUNT AND MIS-UTILIZED AMOUNT SO RECOVERED IN GRAB OF WORKING CAPITAL REQUIREMENTS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
MISLED SEBI BY PROVIDING THREE DIFFERENT VERSIONS OF ICD, LOANS AND INVESTMENTS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
|
DIRECTED TO ENSURE COMPLIANCE OF DIRECTIONS OF CALL BACK OF RS.23.46 CRORES AND RS.11.15 CRORES
DIRECTED TO FURNISH COMPLIANCE REPORT TO SEBI DULY CERTIFIED BY INDEPENDENT SEBI REGISTERED MERCHANT BANKER WITHIN TWO WEEKS OF THE DATE OF COMPLIANCE
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-AUG-2014 TO 07-AUG-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-AUG-2014 TO 07-AUG-2019
08-AUG-2014
|
SAT: APPEAL ALLOWED TO BE WITHDRAWN WITH LIBERTY TO FILE FRESH APPEAL WITHIN A PERIOD OF TWO WEEKS FROM THE DATE OF THIS ORDER I.E. 18/09/2014
SAT: SAT VIDE ITS ORDER DATED 08/09/2016 PERMITTED APPELLANTS TO WITHDRAW THE APPEAL WITH LIBERTY TO FILE FRESH APPEAL ON OR BEFORE 18/11/2016 AS REQUESTED BY THE COUNSEL FOR APPELLANTS. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 20/11/2017 DISPOSED OFF THE APPEAL AS INFRUCTUOUS. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 19/10/2022 DISMISSED THE APPEAL
|
| 273 |
|
|
RAJENDRA PANDURANG BHANDARE
(DIN:00054872
PAN:ALKPB5263D)
|
|
|
|
SAMRUDDHA JEEVAN FOODS INDIA LTD.
CIN:U15204PN2002PLC016950
PAN:AAICS0865N
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.1,50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-OCT-2020
|
|
| 274 |
|
|
RAJENDRA SINGH THAKUR
(PAN:ABUPT7761N)
|
|
|
|
KALPBUT REAL ESTATE LTD.
CIN:U45400UP2007PLC034180
PAN:AADCK3482E
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.1,05,00,000 ALONG WITH OTHER ENTITIES/PERSONS
22-OCT-2020
|
SEBI VIDE ITS NOTICE DATED 26/11/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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 14/12/2021 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNT OF KALPBUT REAL ESTATE LTD., MR.BHANU PRATAP SINGH, MR.KRISHAN PAL SINGH, MS.GUDDI DEVI, MR.RAJENDRA SINGH THAKUR, MR.PARVESH KUMAR SINGH, MR.NATTHU SINGH, MR.RAKSHA PAL SINGH, MR.DEVENDRA PAL SINGH, MS.RAJESHWARI SENGAR & MR.POORAN PRAKASH TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 275 |
|
|
RAJENDRAN SIVASHANKARAN
(PAN:AVAPS0218D)
|
|
|
|
SANRAA MEDIA LTD.
PAN:AAACS9093A
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.5,00,000
28-JUN-2022
|
SAT: SAT VIDE ITS ORDER DATED 30/09/2022 ALLOWED THE APPEALS AND SET ASIDE IMPUGNED ORDER DATED 28/06/2022. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 24/03/2023 REJECTED REVIEW APPLICATION
|
| 276 |
|
|
RAJESH IYER
(PAN:AAAPI4641K)
|
|
|
ALLEGED EXECUTION OF CERTAIN ISTS FROM OPEN ENDED TO CLOSED ENDED SCHEMES AND VICE VERSA WITHOUT RECORDING CORRECT RATIONALE OR BASED ON SUPPORTING RESEARCH REPORT AMONG OTHERSVIOLATINGREGULATION 25(6A), AND CLAUSES (4), (6), (8) AND (9) OF CODE OF CONDUCT AS SPECIFIED IN FIFTH SCHEDULE OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF PGIM INDIA MUTUL FUND
ALLEGED VIOLATIONOF CIRCULAR NO.MFD/CIR/6/73/2000 DATED 27/07/2000
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.16,57,500 VIDE CONSENT ORDER)
24-AUG-2023
|
|
| 277 |
|
|
RAJESH KUMAR AGARWAL
(PAN:ADDPA1188K)
|
|
|
|
DIVYADRISHTI MERCHANTS PVT.LTD.
PAN:AABCD8147K
|
|
|
DIVYADRISHTI TRADERS PVT.LTD.
PAN:AABCD8146J
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAY-2022
|
SAT: SAT VIDE ITS ORDER DATED 20/09/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 20/10/2022 DIRECTED TO PAY RS.53,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 09/11/2022 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 21/10/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 21/11/2022 DIRECTED RECOVERY OFFICER TO NOT TO RECOVER ANY AMOUNT TILL NEXT DATE OF LISTING
SAT: SAT VIDE ITS ORDER DATED 12/12/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANTS TO FILE REJOINDER THREE WEEKS THEREAFTER. DIRECTED APPELLANTS TO DEPOSIT RS.15 LAC WITHIN THREE WEEKS FROM DATE OF THIS ORDER, THE BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 16/01/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 278 |
|
|
RAJESH KUMAR VITTALBHAI PATEL
|
|
|
VIOLATED DIRECTIVES/INSTRUCTIONS/GUIDELINES OF SEBI ORDER DATED 19/02/2002 DEBARRING FROM DEALING IN SCRIP FOR A PERIOD OF ONE YEAR
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2010 TO 30-DEC-2013
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-DEC-2010 TO 30-DEC-2013
02-DEC-2009
|
SAT: IMPUGNED ORDER DATED 19/02/2002 MODIFIED AND PERIOD OF DEBARMENT REDUCED TO 18 MONTH FROM 3 YEARS. PERIOD SHALL COMMENCE FROM DATE OF IMPUGNED ORDER DATED 02/12/2009. NO ORDER AS TO COSTS
|
| 279 |
|
|
RAJESH MANGILAL RANKA
(PAN:ACUPR5573R)
|
|
|
|
SMS TECHSOFT (INDIA) LTD.
CIN:L72200TZ1995PLC006017
PAN:AAECA1954G
|
|
DID NOT DEPOSIT RS.6,00,11,512.00 IN ESCROW ACCOUNT AS DIRECTED BY SEBI VIDE ITS INTERIM ORDER DATED 05/11/2013 IN MATTER OF SMS TECHSOFT (INDIA) LTD.
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-MAR-2019
|
SAT: APPEAL DISMISSED
SEBI VIDE ITS NOTICE DATED 28/04/2022 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
SEBI VIDE ITS NOTICE DATED 22/09/2025 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 28/04/2022
|
| 280 |
|
|
RAJESH SINGH RATHORE
(PAN:AHPPR9284D)
|
|
|
|
BONAZ CAPITAL INVESTMENT ADVISER
PAN:AHPPR9284D
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
INDULGED IN INVESTMENT ADVISORY SERVICES WITHOUT POSSESSING REQUISITE QUALIFICATIONS
CARRIED OUT IMPROPER RISK PROFILING OF CLIENTS
SOLD PRODUCTS TO CLIENTS WHICH WERE NOT SUITABLE TO RISK PROFILE OF THE CLIENTS
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE
DID NOT MAKE DISCLOSURE TO CLIENTS ABOUT DETAILS OF INVESTMENT ADVISORY SERVICES/PRODUCTS
DID NOT PROVIDE RECORD OF INVESTMENT ADVICE TO CLIENTS AND SIGNED RATIONALE FOR ARRIVING INVESTMENT ADVICE
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
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SUSPENDED REGISTRATION AS INVESTMENT ADVISER FROM 30-NOV-2022 TO 28-FEB-2023
30-NOV-2022
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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 14 of 21
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