| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 281 |
|
SRINATHJI DALL MILLS
(PAN:ABHFM2440E)
|
|
|
DID NOT OBTAIN PRE-CLEARANCE FOR TRADES VIOLATING CLAUSE 6 OF CODE OF CONDUCT READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SANWARIYA CONSUMER LTD. (EARLIER KNOWN AS SANWARIA AGRO OILS LTD.)
|
IMPOSED PENALTY RS.7,00,000
24-DEC-2021
|
SAT: SAT VIDE ITS ORDER DATED 30/11/2022 DISMISSED REVIEW APPLICATION
SEBI VIDE ITS NOTICE DATED 19/12/2023 DIRECTED TO PAY RS.1,26,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 16/02/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7486 OF 2023 DATED 19/12/2023
|
| 282 |
|
|
SRS KNOWLEDGE & TECHNOLOGIES PVT.LTD.
(CIN:U74140HR2005PTC048526
PAN:AAJCS5655B)
|
|
|
TRADED DURING RESTRICTED PERIOD VIOLATING REGULATIONS 5(2)(II) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SRS LTD.
EXECUTED TRADES WITHIN RESTRICTED PERIOD AND DEVIATED FROM THE TRADING PLAN VIOLATING REGULATION 5(2)(II) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SRS LTD.
|
IMPOSED PENALTY RS.3,00,000
08-SEP-2022
|
|
| 283 |
|
|
SRS REAL ESTATE LTD.
(CIN:U45201HR2005PLC041051
PAN:AAJCS5656C)
|
|
|
TRADED DURING RESTRICTED PERIOD VIOLATING REGULATIONS 5(2)(II) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SRS LTD.
|
IMPOSED PENALTY RS.2,00,000
08-SEP-2022
|
|
| 284 |
|
|
SS CORPORATE SECURITIES LTD.
(PAN:AABCS3726M)
|
|
|
|
SHUBHAM SOMANI
PAN:CMMPS0818L
|
|
TRADED WHILE IN POSSESSION OF UPSI AND COMMUNICATED UPSI TO OTHERS VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3 AND 4 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF LUX INDUSTRIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-JAN-2022 UNTIL FURTHER ORDERS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 24-JAN-2022 UNTIL FURTHER ORDERS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED TO FREEZE BANK ACCOUNTS
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS WITHOUT PERMISSION OF SEBI
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO IMPOUND BANK ACCOUNTS
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.20,50,796 ALONG WITH OTHER ENTITIES/PERSONS
24-JAN-2022
|
SEBI VIDE ITS ORDER DATED 27/05/2022 DIRECTED TO A) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES OF LUX INDUSTRIES LTD., EITHER DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER UNTIL FURTHER ORDERS B) RESTRAINT RELATED TO BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN RESPECT OF LUX INDUSTRIES LTD. NOT TO PROHIBIT THE CREDIT OF SHARES TO BE RECEIVED ON ACCOUNT OF STOCK OPTION, BONUS ETC. ISSUED BY THE COMPANY C) FUNDS DEPOSITED BY ENTITIES IN INTEREST BEARING ESCROW ACCOUNT/FDR TO REMAIN IN SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 22/08/2022 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
SEBI VIDE ITS ORDER DATED 06/11/2023 A) REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 24/01/2022 WHICH WERE CONFIRMED WITH MODIFICATIONS VIDE ORDER DATED 27/05/2022 B) RELEASED AMOUNT IMPOUNDED PURSUANT TO INTERIM ORDER DATED 24/01/2022 READ WITH ORDER DATED 27/05/2022 ALONG WITH INTEREST IF ANY, ACCRUED ON THE SAID AMOUNT
|
| 285 |
|
|
STARDOM TRADING CO.PVT.LTD.
(PAN:AAHCS1332H)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INSTA FINANCE LTD. (ERSTWHILE SDFC FINANCE LTD.)
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF INSTA FINANCE LTD. (ERSTWHILE SDFC FINANCE LTD.)
|
IMPOSED PENALTY RS.4,00,000
30-OCT-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 23/07/2018 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 13/01/2020 DIRECTED ALL THE BANKS TO REMIT RS.5,06,863.00 TO THE EXTENT LYING IN THE ACCOUNT OF STARDOM TRADING CO.PVT.LTD. BY WAY OF EFT/NEFT/RTGS
|
| 286 |
|
|
STARLOG ENTERPRISES LTD.
(PAN:AAACA3293L)
|
|
|
|
SAKET AGARWAL
PAN:AANPA2136J
|
|
DELAY IN IMPAIRMENT RELATING TO INVESTMENT IN ALBA ASIA PVT.LTD. VIOLATING REGULATIONS 4(1)(A), 4(2)(E)(I), 33(3), 34 AND 48 OF SEBI (LODR) REGULATIONS, 2015IN MATTER OF STARLOG ENTERPRISES LTD.
MISPRESENTED FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(2)(F) AND 4(2)(K) OF SEBI (PFUTP) REGULATIONS, 2003IN MATTER OF STARLOG ENTERPRISES LTD.
DID NOT MAINTAIN STRUCTURED DIGITAL DATABASE DURING SECRETARIAL AUDIT VIOLATING REGULATION 3(6) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF STARLOG ENTERPRISES LTD.
DID NOT ATTACH SECRETARIAL AUDIT REPORT OF ITS MATERIAL SUBSIDIARY STARLIFT SERVICES PVT.LTD. WITH ANNUAL REPORT VIOLATING REGULATION 24A OF SEBI (LODR) REGULATIONS, 2015
DID NOT APPOINT INDEPENDENT DIRECTORS IN ITS MATERIAL SUBSIDIARIES VIOLATING REGULATION 24 OF SEBI (LODR) REGULATIONS, 2015
DEFAULTED IN APPOINTMENT OF COMPANY SECRETARY AND/OR COMPLIANCE OFFICER VIOLATING REGULATION 6(1) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.9,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-SEP-2025
|
|
| 287 |
|
|
STHITHI INSURANCE SERVICES PVT.LTD.
(CIN:U66030TN2003PTC051201
PAN:AAKCS6316E)
|
|
|
DID NOT MAKE DISCLOSURE OF PLEDGE RELATED TRANSACTIONS TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF ZYLOG SYSTEMS LTD.
DID NOT MAKE DISCLOSURE OF OFF-MARKET TRADES OF MORE THAN 25,000 SHARES AND RS.5 LACS TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ZYLOG SYSTEMS LTD.
|
IMPOSED PENALTY RS.20,00,000
24-NOV-2020
|
SEBI VIDE ITS NOTICE DATED 28/04/2021 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 12/11/2021 DIRECTED ALL THE BANKS TO REMIT RS.22,32,110.00 TO THE EXTENT LYING IN THE ACCOUNT OF STHITHI INSURANCE SERVICES PVT.LTD.
|
| 288 |
|
|
SUCCESSURE PARTNERS
(PAN:ADSFS6666H)
|
|
|
ENGAGED INDIRECTLY IN INSIDER TRADING ACTIVITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT. 1992 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ZEE ENTERTAINMENT ENTERPRISES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-AUG-2021 UNTIL FURTHER ORDERS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 12-AUG-2021 UNTIL FURTHER ORDERS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS
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
12-AUG-2021
|
SEBI VIDE ITS ORDER DATED 18/02/2022 A) LIFT THE RESTRICTIONS IMPOSED ON THE ENTITIES VIDE ITS INTERIM ORDER DATED 12/08/2021 B) FUNDS DEPOSITED BY THE ENTITIES IN INTEREST BEARING ESCROW ACCOUNT WILL REMAIN IN THE SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS
SEBI VIDE ITS ORDER DATED 31/03/2023 REVOKED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 12/08/2021 READ WITH CONFIRMATORY ORDER DATED 27/09/2021 AND 18/02/2022
|
| 289 |
|
|
SUNCAP COMMODITIES LTD.
(PAN:AACCN2950K)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF FALCON TYRES LTD.
|
IMPOSED PENALTY RS.3,00,000
31-MAY-2018
|
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
SEBI VIDE ITS ORDER DATED 30/01/2023 DIRECTED ALL THE BANKS TO REMIT RS.4,69,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF SUNCAP COMMODITIES LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 290 |
|
|
SUNCAP COMMODITIES LTD.
(PAN:AACCN2950K)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF DUNLOP INDIA LTD.
|
IMPOSED PENALTY RS.3,00,000
31-MAY-2018
|
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
SEBI VIDE ITS ORDER DATED 30/01/2023 DIRECTED ALL THE BANKS TO REMIT RS.4,69,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF SUNCAP COMMODITIES LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 291 |
|
|
SUNRATH TRADING PVT.LTD.
(PAN:AAGCS2100N)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATION 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHARON BIO-MEDICINE LTD.
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 3(A) OF SEBI (PIT) REGULATION 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHARON BIO-MEDICINE LTD.
|
IMPOSED PENALTY RS.10,00,000
22-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 17/01/2024 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO FILED THREE WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 02/02/2024 DIRECTED TO PAY RS.10,91,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 23/02/2024 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
SAT: SAT VIDE ITS ORDER DATED 12/03/2024 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 26/03/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.11,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SAT: SAT VIDE ITS ORDER DATED 14/05/2024 GRANTED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 05/08/2024 GRANTED APPELLANT FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 01/10/2024 GRANTED APPELLANTS FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 10/02/2025 ALLOWED APPELLANTS EIGHT WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 29/04/2025 GRANTED TWO WEEKS TO FILE REJOINDER
|
| 292 |
|
|
SUNRATH TRADING PVT.LTD.
(PAN:AAGCS2100N)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATION 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHARON BIO-MEDICINE LTD.
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 3(A) OF SEBI (PIT) REGULATION 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHARON BIO-MEDICINE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-JUN-2023 TO 21-JUN-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-JUN-2023 TO 21-JUN-2026
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
DIRECTED TO DISGORGE RS.3,34,08,563
22-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 17/01/2024 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO FILED THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 31/01/2024 CONDONED THE DELAY IN FILING OF REPLY. ALLOWED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 02/02/2024 DIRECTED TO PAY RS.6,03,79,884.02 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 26/02/2024 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
SEBI VIDE ITS NOTICE DATED 01/04/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.6,08,65,909.97 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SAT: SAT VIDE ITS ORDER DATED 14/05/2024 GRANTED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 05/08/2024 GRANTED APPELLANT FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 01/10/2024 GRANTED APPELLANTS FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 10/02/2025 ALLOWED APPELLANTS EIGHT WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 29/04/2025 GRANTED TWO WEEKS TO FILE REJOINDER
|
| 293 |
|
|
SUNRISE ASIAN LTD.
(CIN:L51900MH1981PLC025740)
|
|
|
|
BINA RAJESH SHAH
PAN:BIKPS4819Q
|
|
|
DINESH RAMANLAL SHAH
PAN:ALJPS2675R
|
|
|
JAYMANI KANAIYALAL JOSHI
PAN:ACXPJ1278Q
|
|
|
MAYANK MAHESH JOSHI
PAN:AHOPJ3953A
|
|
|
NILESH PURSHOTAM CHAUHAN
PAN:ACTPC1722E
|
|
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 READ WITH REGULATION 12 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015
DID NOT MAKE CORRECT DISCLOSURE OF SHAREHOLDING PATTERN TO STOCK EXCHANGES VIOLATING CLAUSE 35 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 READ WITH REGULATION 103(1) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.10,00,000
29-SEP-2020
|
|
| 294 |
|
|
SUPERIOR INDUSTRIAL ENTERPRISES LTD.
(PAN:AAACS1100L)
|
|
|
ALLEGED 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 READ WITH REGULATION 12 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015
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 READ WITH REGULATION 12 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE OF SHAREHOLDING PATTERN FOR QUARTER ENDED DECEMBER 2013 AND MARCH 2014 AS REQUIRED UNDER CLAUSE 35(1)(A) AND (B) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.5,00,000
24-JUN-2019
|
|
| 295 |
|
|
SUPRAJIT ENGINEERING LTD.
(PAN:AADCS1638L)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2)(B) OF SEBI (PIT) REGULATIONS, 2015
DID NOT IMPLEMENT/ADMINISTER AND MONITOR CODE OF CONDUCT AND DID NOT ADHERE TO PROVISIONS OF REGULATIONS 9(1) AND 9(3) OF SEBI (PIT) REGULATIONS, 1992
|
IMPOSED PENALTY RS.2,00,000
26-AUG-2020
|
|
| 296 |
|
|
SURESH SHETTY (HUF)
(PAN:AAJHS7270M)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) & (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SUPRAJIT ENGINEERING LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-APR-2021 TO 26-APR-2024
IMPOSED PENALTY RS.30,00,000
27-APR-2021
|
SAT: SAT VIDE ITS ORDER DATED 05/05/2021ALLOWED THREE WEEKS TIME TO RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. DIRECTED APPELLANT TO DEPOSIT DISGORGED AMOUNT ALONG WITH INTEREST AND PENALTY WITHIN TWO WEEKS FROM DATE OF THIS ORDER. UPON DEPOSIT, RESTRAINT ORDER AS GIVEN IN DIRECTION NO 1&2 IN PARAGRAPH 52 OF THE IMPUGNED ORDER WILL REMAIN IN ABEYANCE DURING PENDENCY OF THE APPEL
SAT: SAT VIDE ITS ORDER DATED 13/05/2021 DISMISSED THE APPEAL AS INFRUCTUOUS
SAT: SAT VIDE ITS ORDER DATED 28/06/2021 ALLOWED APPELLANTS THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 11/08/2021 ALLOWED APPELLANTS THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 18/02/2022 DISPOSED OFF THE APPEAL AS THE CASE HAS BEEN SETTLED BETWEEN THE PARTIES
|
| 297 |
|
|
SURESH SHETTY (HUF)
(PAN:AAJHS7270M)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATION 7(2)(A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF SUPRAJIT ENGINEERING LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.29,54,738 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
08-FEB-2019
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| 298 |
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SURESH SHETTY (HUF)
(PAN:AAJHS7270M)
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TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) & (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SUPRAJIT ENGINEERING 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 27-APR-2021 TO 26-APR-2023
DIRECTED TO DISGORGE RS.1,19,680
27-APR-2021
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SAT: SAT VIDE ITS ORDER DATED 05/05/2021ALLOWED THREE WEEKS TIME TO RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. DIRECTED APPELLANT TO DEPOSIT DISGORGED AMOUNT ALONG WITH INTEREST AND PENALTY WITHIN TWO WEEKS FROM DATE OF THIS ORDER. UPON DEPOSIT, RESTRAINT ORDER AS GIVEN IN DIRECTION NO 1&2 IN PARAGRAPH 52 OF THE IMPUGNED ORDER WILL REMAIN IN ABEYANCE DURING PENDENCY OF THE APPEL
SAT: SAT VIDE ITS ORDER DATED 13/05/2021 DISMISSED THE APPEAL AS INFRUCTUOUS
SAT: SAT VIDE ITS ORDER DATED 28/06/2021 ALLOWED APPELLANTS THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 11/08/2021 ALLOWED APPELLANTS THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 18/02/2022 DISPOSED OFF THE APPEAL AS THE CASE HAS BEEN SETTLED BETWEEN THE PARTIES
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| 299 |
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SURINDER JAGANNATH AGGARWAL (HUF)
(PAN:AAAHS4880E)
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DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF KISAN MOULDINGS LTD.
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IMPOSED PENALTY RS.2,00,000
28-AUG-2018
|
|
| 300 |
|
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SURYA MEDI-TECH LTD.
(PAN:AALCS3282L)
|
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DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ASHUTOSH PAPER MILLS LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ASHUTOSH PAPER MILLS LTD.
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IMPOSED PENALTY RS.1,00,000
27-FEB-2018
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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 15 of 18
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