| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 261 |
|
ARSHAD AFZAL KHAN
(PAN:ADVPK6755C)
|
|
|
|
CLIP SECURITIES & FINANCE PVT.LTD.
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF PRUDENTIAL PHARMACEUTICALS LTD.
|
IMPOSED PENALTY RS.7,00,000
27-OCT-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 19/01/2022 DIRECTED TO PAY A RS.17,29,022.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 25/02/2022 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 13/05/2022 DIRECTED ALL THE BANKS TO REMIT RS.17,65,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.ARSHAD AFZAL KHAN TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 262 |
|
|
ARTI KATHOTIA
(PAN:AGSPK0722H)
(Along with : RAKESH S.KATHOTIA,
KAMLA DEVI KATHOTIA)
|
|
|
|
RAKESH S.KATHOTIA (HUF)
PAN:AADHR5907E
|
|
|
SUBHKAM PROPERTIES PVT.LTD.
PAN:AAACD3558R
|
|
|
SUBHKAM SECURITIES PVT.LTD.
PAN:AADCS4498N
|
|
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 SUBHKAM CAPITAL LTD. (NOW KNOWN AS AAGAM CAPITAL LTD.)
DELAY IN MAKING 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 SUBHKAM CAPITAL LTD. (NOW KNOWN AS AAGAM CAPITAL LTD.)
|
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-OCT-2015
|
SAT: SAT VIDE ITS ORDER DATED 27/05/2019 QUASHED PENALTY OF RS.8 LACS FOR VIOLATION OF REGULATION 7(1A) READ WITH 7(2) OF TAKEOVER REGULATION,1997
|
| 263 |
|
|
ARTI KATHOTIA
(PAN:AGSPK0722H)
|
|
|
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 SUBHKAM CAPITAL LTD. (NOW KNOWN AS AAGAM CAPITAL LTD.)
DELAY IN MAKING 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 SUBHKAM CAPITAL LTD. (NOW KNOWN AS AAGAM CAPITAL LTD.)
|
IMPOSED PENALTY RS.2,00,000
29-OCT-2015
|
SAT: SAT VIDE ITS ORDER DATED 27/05/2019 QUASHED PENALTY OF RS.2 LACS FOR VIOLATION OF REGULATION 7(1A) READ WITH 7(2) OF TAKEOVER REGULATION,1997
|
| 264 |
|
|
ARTI KATHOTIA
(PAN:AGSPK0722H)
(Along with : RAKESH S.KATHOTIA,
KAMLA DEVI KATHOTIA)
|
|
|
|
RAKESH S.KATHOTIA (HUF)
PAN:AADHR5907E
|
|
|
SUBHKAM MONETARY SERVICES PVT.LTD.
PAN:AANCS3565L
|
|
|
SUBHKAM PROPERTIES PVT.LTD.
PAN:AAACD3558R
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SUBHKAM CAPITAL LTD. (NOW KNOWN AS AAGAM CAPITAL LTD.)
|
IMPOSED PENALTY RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-OCT-2015
|
SAT: SAT VIDE ITS ORDER DATED 27/05/2019 ALLOWED THE APPEAL AND QUASHED PENALTY OF RS.15 LACS FOR VIOLATION OF REGULATIONS 7(1) READ WITH 7(2) OF TAKEOVER REGULATION,1997
|
| 265 |
|
|
ARTI TANDON
(PAN:AAYPT7582N)
(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,
UMA KAPOOR)
|
|
|
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
|
| 266 |
|
|
ARUN AGGARWAL
|
|
|
|
TAURAS PORTFOLIOS LTD.
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 267 |
|
|
ARUN B.RANKA
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH 14 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF RESIDENCY PROJECTS & INFRATECH LTD.
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
17-SEP-2014
|
SAT: SAT VIDE ITS ORDER DATED 02/03/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 17/09/2014 AND RESTORED THE MATTER TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
|
| 268 |
|
|
ARUN B.RANKA
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF RESIDENCY PROJECTS & INFRATECH LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-MAR-2018
|
|
| 269 |
|
|
ARUN G.
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF VELAN HOTELS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.27,62,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
08-NOV-2017
|
|
| 270 |
|
|
ARUN GOEL
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) READ WITH 14 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF RAMA PAPER MILLS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.21,25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-JUN-2016
|
|
| 271 |
|
|
ARUN KUMAR
|
|
|
|
ARCOLAB (INDIA) PVT.LTD.
|
|
|
CARYL PHARMA PVT.LTD.
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN MATTER OF ACQUISITION OF 8.06% SHARES TO REACH 19.31%OF STRIDES ARCOLABS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO SEBI AS REQUIRED UNDER REGULATION 3(4) OF SEBI TAKEOVER CODE, 1997
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-FEB-2008
|
|
| 272 |
|
|
ARUN KUMAR BAJORIA
|
|
|
DID NOT MAKE DISCLOSURE OF ACQUISITION OF SHARES OF THE BOMBAY DYEING & MFG.CO.LTD. WHILE ACTING IN CONCERT WITH ARUN BAJORIA
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-AUG-2001 TO 28-AUG-2002
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-AUG-2001 TO 28-AUG-2002
29-AUG-2001
|
|
| 273 |
|
|
ARUN KUMAR BAJORIA
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY FOR ACQUISITION OF MORE THAN 5% SHARES OF BALLARPUR INDUSTRIES LTD. WHILE ACTING IN CONCERT WITH OTHER ENTITIES/PERSON
|
IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
08-SEP-2003
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.1,50,000 FROM RS.3,00,000
|
| 274 |
|
|
ARUN KUMAR BHANGADIA
(PAN:AAOPB7586N)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF TRIMURTI DRUGS & PHARMACEUTICALS LTD.
|
IMPOSED PENALTY RS.22,00,000 ALONG WITH OTHER ENTITIES/PERSONS
20-OCT-2015
|
SAT: SAT VIDE ITS ORDER DATED 08/03/2016 ALLOWED APPEAL TO BE WITHDRAWN. PERMITTED APPELLANT TO PAY PENALTY WITHIN A PERIOD OF THREE MONTHS FROM THE DATE OF THIS ORDER. NO COSTS
|
| 275 |
|
|
ARUN KUMAR GOYAL
|
|
|
VIOLATED SECTION 11 (1) OF SEBI TAKEOVER CODE, 1997
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 FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 11/05/2012 NOTICEES RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES FOR A PERIOD OF TWO YEARS I.E. DATED 11/05/2012 TO 10/05/2014
|
| 276 |
|
|
ARUN MITTAL
|
|
|
|
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
|
|
| 277 |
|
|
ARUN R.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
|
| 278 |
|
|
ARUN RAMSWAROOP PANCHARIYA
(PAN:AEVPP6125N)
|
|
|
|
ALKA INDIA LTD.
PAN:AABCA6702F
|
|
FILED INCORRECT SHAREHOLDING PATTERN AND DID NOT ENSURE 100% OF ITS PROMOTERS’ SHAREHOLDING IN DEMAT FORM VIOLATING SECTION 12A(F) OF SEBI ACT, 1992 IN MATTER OF ALKA INDIA LTD.
DELAY IN MAKING PUBLIC ANNOUNCEMENT VIOLATING REGULATION 10 READ WITH REGULATION 14(1) OF SAST REGULATIONS, 2011 IN MATTER OF ALKA INDIA LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-SEP-2024
|
|
| 279 |
|
|
ARUN SONI
(PAN:AOGPS8166P)
|
|
|
|
BHANOT LEASING LTD.
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF BHANOT CONSTRUCTION & HOUSING LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
02-AUG-2018
|
SAT: SAT VIDE ITS ORDER DATED 09/07/2021 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 02/08/2018
|
| 280 |
|
|
ARUN SONI
(PAN:AOGPS8166P)
|
|
|
|
BHANOT CONSTRUCTION & HOUSING LTD.
CIN:L45201DL1976PLC008294
PAN:AAACB0949A
|
|
|
BHANOT LEASING LTD.
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF BHANOT CONSTRUCTION & HOUSING LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-JAN-2018
|
SEBI VIDE ITS NOTICE DATED 03/10/2018 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 22/10/2018 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 03/10/2018
COMPANY AND RESPECTIVE PARTIES HAVE PAID THE PENALTIES AMOUNT TOWARDS SEBI ADJUDICATING ORDER DATED 29/01/2018
|
| 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 148
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