| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 261 |
|
GULISTAN VANIJYA PVT.LTD.
(PAN:AACCG5385R)
|
|
|
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 READ WITH REGULATION 35(2) OF SAST REGULATIONS, 2011 IN MATTER OF LIVINGROOM LIFESTYLE LTD. (NOW KNOWN AS CHISEL & HAMMER (MOBEL) LTD.)
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER LIVINGROOM LIFESTYLE LTD.(NOW KNOWN AS CHISEL & HAMMER (MOBEL) LTD.)
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF LIVINGROOM LIFESTYLE LTD.(NOW KNOWN AS CHISEL & HAMMER (MOBEL) LTD.)
|
IMPOSED PENALTY RS.45,000
31-OCT-2012
|
INCLUDED IN SEBI LIST DATED 30/09/2013, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 15/01/2014 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
SEBI VIDE ITS ORDER DATED 23/01/2014 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS/LOCKERS AND DEMAT ACCOUNTS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 15/01/2014
|
| 262 |
|
|
GUPTA JAI KISHAN (HUF)
(PAN:AAAHG5411R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PRAKASH WOOLLEN MILLS LTD.
|
IMPOSED PENALTY RS.1,00,000
30-JAN-2018
|
|
| 263 |
|
|
HAKEEM AUTO LTD.
|
|
|
ALLEGED FAILURE IN MAKING 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 VERONICA LABORATORIES LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1) AND 13 [(3) READ WITH (5)] OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF VERONICA LABORATORIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
27-JAN-2009
|
|
| 264 |
|
|
HANUMAN SECURITIES PVT.LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HOLDING OF SHARES OF NEDUNGADI BANK LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION REGULATIONS 13(1) AND 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SHARES NEDUNGADI BANK LTD.
|
IMPOSED PENALTY RS.1,00,000
15-DEC-2008
|
|
| 265 |
|
|
HARISH K.VAID (HUF)
(PAN:AACHH6131H)
|
|
|
|
HARISH K.VAID
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(I), 3(II) & 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF JAIPRAKASH ASSOCIATES LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
05-JAN-2012
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
|
| 266 |
|
|
HARVATEX ENGINEERING & PROCEEING CO.LTD.
(Along with : GHCL LTD.)
|
|
|
FILED FALSE AND MISLEADING REPORT ON SHAREHOLDING PATTERN WITH THE STOCK EXCHANGES
DID NOT MAKE DISCLOSURE OF SALE/TRANSFER OF SHARES OF PROMOTERS IN MATTER OF GHCL LTD.
MISLED INVESTORS BY GIVING FALSE SHAREHOLDING OF PROMOTERS OF GHCL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-APR-2009 TILL FURTHER ORDERS
20-APR-2009
|
INTERIM DIRECTIONS ISSUED VIDE EX-PARTE AD-INTERIM ORDER DATED 20/04/2009 VACATED AS PER ORDER DATED 07/07/2009
|
| 267 |
|
|
HDIL INFRA PROJECTS PVT.LTD.
(PAN:AABCH9573R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF BROADCAST INITIATIVES LTD.
|
IMPOSED PENALTY RS.1,00,000
27-MAY-2022
|
SEBI VIDE ITS NOTICE DATED 19/06/2024 DIRECTED TO PAY RS.1,27,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 25/07/2024 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS 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
|
| 268 |
|
|
HEMANT R.PATEL (HUF)
(PAN:AAAHH2660D)
|
|
|
INDULGED IN COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION TO RELATIVES WHO UNDERTOOK TRANSACTIONS IN SCRIP OF KLG CAPITAL SERVICES LTD. VIOLATING REGULATION 11 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
DIRECTED TO DISGORGE RS.2,54,636 ALONG WITH OTHER ENTITIES/PERSONS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-JUL-2014 TO 23-JUL-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-JUL-2014 TO 23-JUL-2019
09-DEC-2020
|
DIRECTED STOCK EXCHANGES TO (I) SQUARE OFF EXISTING OPEN POSITIONS IN F&O SEGMENT. (II) STRICTLY ENSURE THAT NO FRESH POSITIONS ARE CREATED AS PER WTM ORDER DATED 24/09/2009
SAT: APPEAL DISPOSED OFF AS APPLICANT STATES THAT REPLY SHALL BE FILED WITHIN FOUR WEEKS WITH NO ORDER AS TO COSTS
SAT: IMPUGNED ORDER DATED 22/09/2009 SET ASIDE AND CASE REMANDED TO WHOLE TIME MEMBER WITH NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 24/07/2014 DIRECTED 1. NOT TO BUY, SELL OR DEAL IN SECURITIES MARKET IN ANY MANNER WHATSOEVER, OR ACCESS SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR A PERIOD OF TEN (10) YEARS FROM DATE OF THIS ORDER AND 2. NOT TO HOLD POSITION OF DIRECTOR IN BOARD OF DIRECTORS OF ANY LISTED COMPANY FOR A PERIOD OF TEN (10) YEARS FROM DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATED 24/07/2014 DIRECTED TO DISGORGE UNLAWFUL GAIN OF RS.42,58,183 AND ALSO PAY RS.31,29,816, BEING SIMPLE INTEREST @ 12% P.A. FOR 6 YEARS (2008-14) ON UNLAWFUL GAIN OF RS.73,87,999
SAT: SAT VIDE ITS ORDER DATED 05/02/2015 QUASHED AND SET ASIDED THE IMPUGNED ORDER DATED 24/07/2014 AND RESTORED THE MATTER TO THE FILE OF SEBI FOR PASSING COMMON ORDER. NO COSTS
SEBI VIDE ITS ORDER DATED 09/12/2020 DIRECTED TO A) DISGORGE WRONGUL GAIN RS.2,54,636.00 ALONGWITH SIMPLE INTEREST @ 12% P.A. FROM 29/02/2008 TILL DATE WHEN THE AMOUNT ACTUALLY DISGORGED B) NOT TO BUY, SELL OR DEAL IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESS SECURITIES MARKET,DIRECTLY OR INDIRECTLY FOR PERIOD OF FIVE YEARS FROM DATE OF THIS ORDER OR TILL DISGORGEMENT C) NOT TO HOLD POSITION OF DIRECTOR IN BOARD OF DIRECTORS OF ANY LISTED COMPANY FOR FIVE YEARS FROM DATE OF THIS ORDER OR TILL DISGORGEMENT
SEBI VIDE ITS ORDER DATED 22/12/2020 PERMITTED A) TO AVAIL THE BENEFITS OF ANY CORPORATE ACTION LIKE BONUS ISSUES, RIGHTS ISSUE ETC. B) TO DEMATERIALIZE THE SECURITIES HELD IN PHYSICAL FORM AND CREDITED INTO THEIR DEMAT ACCOUNT AND (C) TO DEMATERIALIZE AND RECEIVE CREDIT OF THOSE SECURITIES IN THEIR DEMAT ACCOUNT(S) WHICH ARE ENTITLED TO INHERIT / RECEIVE UPON TRANSMISSION
SEBI VIDE ITS ORDER DATED 22/22/2014 PERMITTED A) TO SQUARE OFF ANY OPEN POSITION HELD IN DERIVATIVE SEGMENT B) TO ACCESS AND UTILIZE THE FUNDS DEPOSITED IN THE BANK ACCOUNT (AXIS BANK A/C NO.909010042957248) IN TERMS OF ORDERS DATED 10/11/2019 (MISC.APPLICATION NO.94 OF 2009) 21/12/2009 (MISC.APPLICATION NO.102 OF 2009) 15/01/2010 (MISC.APPLICATION NO.4 OF 2010) AND 28/04/2010 (MISC.APPLICATION NO. 37 OF 2010) OF THE SAT). THE FUNDS LYING THEREIN WILL BE FIRST UTILIZED FOR PAYMENT OF DISGORGEMENT AMOUNT AND APPLICABLE INTEREST AS DIRECTED IN SEBI ORDER DATED 09/12/2020
|
| 269 |
|
|
HERCULES HOISTS LTD.
|
|
|
|
KISHORILAL JHUNJHUNWALA
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING AS REQUIRED UNDER REGULATION 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF 372 SHARES OF HERCULES HOISTS LTD.
|
DIRECTED TO DEPOSIT RS.25,000 IN INVESTOR PROTECTION FUND
20-AUG-2009
|
|
| 270 |
|
|
HEXABOND LTD.
(Along with : GHCL LTD.)
|
|
|
FILED FALSE AND MISLEADING REPORT ON SHAREHOLDING PATTERN WITH THE STOCK EXCHANGES
DID NOT MAKE DISCLOSURE OF SALE/TRANSFER OF SHARES OF PROMOTERS IN MATTER OF GHCL LTD.
MISLED INVESTORS BY GIVING FALSE SHAREHOLDING OF PROMOTERS OF GHCL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-APR-2009 TILL FURTHER ORDERS
20-APR-2009
|
INTERIM DIRECTIONS ISSUED VIDE EX-PARTE AD-INTERIM ORDER DATED 20/04/2009 VACATED AS PER ORDER DATED 07/07/2009
|
| 271 |
|
|
HIGHLINE FINANCE & INVESTMENTS PVT.LTD.
(PAN:AAACH4968H)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF RAJ PACKAGING INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,50,000
26-JUL-2013
|
|
| 272 |
|
|
HILLVIEW IMPEX PVT.LTD.
(PAN:AACCH2338F)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ROYAL INDIA CORP.LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ROYAL INDIA CORP.LTD.
|
IMPOSED PENALTY RS.3,00,000
31-AUG-2018
|
|
| 273 |
|
|
HINDUSTAN COMMERCIAL CO.LTD.
(Along with : GHCL LTD.)
|
|
|
FILED FALSE AND MISLEADING REPORT ON SHAREHOLDING PATTERN WITH THE STOCK EXCHANGES
DID NOT MAKE DISCLOSURE OF SALE/TRANSFER OF SHARES OF PROMOTERS IN MATTER OF GHCL LTD.
MISLED INVESTORS BY GIVING FALSE SHAREHOLDING OF PROMOTERS OF GHCL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-APR-2009 TILL FURTHER ORDERS
20-APR-2009
|
INTERIM DIRECTIONS ISSUED VIDE EX-PARTE AD-INTERIM ORDER DATED 20/04/2009 VACATED AS PER ORDER DATED 07/07/2009
|
| 274 |
|
|
HINDUSTAN DORR OLIVER LTD.
|
|
|
|
E.SUDHIR REDDY
PAN:AABPE7595F
|
|
|
E.SUNIL REDDY
|
|
|
K.H.K.PRASAD
|
|
|
PRABHAKAR RAM TRIPATHI
|
|
|
PRAGYA SAHAL
|
|
|
R.BALARAMI REDDY
|
|
|
S.C.SEKARAN
|
|
|
S.K.TAMOTIA
|
|
|
T.N.CHATURVEDI
|
|
DID NOT CLOSE TRADING WINDOW AS REQUIRED UNDER CLAUSE 1.2,3.2(1) AND 3.2(3) (D) OF MODEL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR LISTED COMPANIES AS PRESCRIBED UNDER REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF HINDUSTAN DORR-OLIVER LTD.
|
IMPOSED PENALTY RS.2,50,000 ALONG WITH OTHER ENTITIES/PERSONS
29-APR-2011
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 29/04/2011 SET ASIDE WITH NO ORDER AS TO COSTS
|
| 275 |
|
|
HINDUSTAN DORR OLIVER LTD.
|
|
|
|
E.SUDHIR REDDY
PAN:AABPE7595F
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(I) & 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF HINDUSTAN DORR-OLIVER LTD.
|
IMPOSED PENALTY RS.3,00,000
30-JUN-2011
|
SAT: APPEAL FAILED AND DISMISSED
|
| 276 |
|
|
HINDUSTAN LEVER LTD.
|
|
|
|
A.LAHIRI
|
|
|
K.B.DADISETH
|
|
|
M.K.SHARMA
|
|
|
R.GOPALKRISHNAN
|
|
|
S.N.DATTA
|
|
DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(I),3(II) AND 3(III) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 27 OF SEBI ACT, 1992
VIOLATED SECTION 26 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 277 |
|
|
HINDUSTAN LEVER LTD.
|
|
|
|
A.LAHIRI
|
|
|
K.B.DADISETH
|
|
|
M.K.SHARMA
|
|
|
R.GOPALKRISHNAN
|
|
|
S.N.DATTA
|
|
INDULGED IN INSIDER TRADING IN SCRIP OF BROOKE BOND LIPTON INDIA LTD.
|
DIRECTED TO COMPENSATE UNIT TRUST OF INDIA TO THE EXTENT OF RS.3.04 CRORES
LAUNCHED ADJUDICATION PROCEEDINGS
11-MAR-1998
|
|
| 278 |
|
|
HINDUSTAN LEVER LTD.
|
|
|
VIOLATED SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MERGER OF BROOKE BOND INDIA LTD. WITH HINDUSTAN LEVER LTD.
|
FILED CRIMINAL WRIT PETITION
14-AUG-2002
|
|
| 279 |
|
|
HOTEL POLO TOWERS PVT.LTD.
(PAN:AABCT0864B)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF NYSSA CORP.LTD. (FORMERLY KNOWN AS RAVINAY TRADING CO.LTD.)
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(1), 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF NYSSA CORP.LTD. (FORMERLY KNOWN AS RAVINAY TRADING CO.LTD.)
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.14,25,900 VIDE CONSENT ORDER)
05-JUN-2017
|
|
| 280 |
|
|
HOTEL RUGBY LTD.
(PAN:AAACH1088G)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
IMPOSED PENALTY RS.1,00,000
28-JUL-2017
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 14 of 42
|
