| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 281 |
|
ARUN SURI
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10 AND 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MOREPEN LABORATORIES LTD.
|
REJECTED APPLICATION FILED FOR GRANT OF EXEMPTION FROM TAKEOVER REGULATIONS, 1997
29-NOV-2011
|
|
| 282 |
|
|
ARUNA MANCHANDA
(PAN:AAIPM9705E)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF BRAND REALTY SERVICES LTD. (KNOWN AS SAHIL FINANCIAL SERVICES LTD.)
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
21-JAN-2015
|
|
| 283 |
|
|
ARUNA MANCHANDA
(PAN:AAIPM9705E)
|
|
|
DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1) AND 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF BRAND REALTY SERVICES LTD. (KNOWN AS SAHIL FINANCIAL SERVICES LTD.)
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-MAY-2019
|
|
| 284 |
|
|
ARUNA R.PATEL
|
|
|
|
ADARSH PLANT PROTECT LTD.
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 6(1),6(3) FOR YEAR 1997 AND TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) FOR YEARS 1998 TO 2004 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 20.25% SHARES OF ADARSH PLANT PROJECT LTD.
|
IMPOSED PENALTY RS.75,000 ALONG WITH OTHER ENTITIES/PERSONS
05-DEC-2008
|
|
| 285 |
|
|
ARUNA RAJESHKUMAR WADHAWAN
(PAN:AAHPW9334L)
(Along with : KAPIL KUMAR WADHAWAN,
DHEERAJ RAJESHKUMAR WADHAWAN,
RAKESH KUMAR WADHAWAN,
SARANG WADHAWAN,
MALTI RAKESH KUMAR WADHAWAN,
ANU S.WADHAWAN,
POOJA D.WADHAWAN)
|
|
|
|
GALAXY INFRAPROJECTS & DEVELOPERS PVT.LTD.
PAN:AACCG7477N
|
|
|
SILICON FIRST REALTORS PVT.LTD.
PAN:AACCG7477N
|
|
|
WADHAWAN CONSOLIDATED HOLDINGS PVT.LTD.
PAN:AACCD2944F
|
|
|
WADHAWAN GLOBAL CAPITAL PVT.LTD.
PAN:AAACW9811G
|
|
|
WADHAWAN RETAIL VENTURES PVT.LTD.
PAN:AAACW6632R
|
|
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 DEEWAN HOUSING FINANCE CORP.LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCAHNGES AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF DEEWAN HOUSING FINANCE CORP.LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF DEEWAN HOUSING FINANCE CORP.LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF DEEWAN HOUSING FINANCE CORP.LTD.
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
20-SEP-2023
|
SAT: SAT VIDE ITS ORDER DATED 13/08/2024 CONDONED THE DELAY IN FILING OF APPEAL AND GRANTED RESPONDENT THREE WEEKS TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 27/11/2024 GRANTED APPELLANTS TWO WEEKS TO FILE REJOINDER
|
| 286 |
|
|
ARUNA SHARDA
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF JAIHIND SYNTHETICS LTD.
|
IMPOSED PENALTY RS.20,000
27-NOV-2009
|
|
| 287 |
|
|
ARUNA VILAS SOMAN
(PAN:ANEPS4783M)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
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
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 288 |
|
|
ARVIND AGGARWAL
|
|
|
|
GATEWAY FINANCIAL SERVICES LTD.
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT WHILE ACTING IN CONCERT IN MATTER OF DSQ BIOTECH LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUN-2005
|
|
| 289 |
|
|
ARVIND BABULAL GOYAL
(DIN:03146099
PAN:ACIPG0193J)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF INCAP FINANCIAL SERVICES LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10 AND 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF INCAP FINANCIAL SERVICES LTD.
DID NOT SUBMIT DOCUMENTARY PROOF OF PAYMENT MADE OR RECEIPT OF CONSIDERATION BY COUNTERPARTY VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.G.S.R.219 (E) DATED 02/03/2000 AND SECTIONS 13 AND 18 OF SCRA READ WITH SECTIONS 2(I) OF SCRA ACT, 1956 IN MATTER OF INCAP FINANCIAL SERVICES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, SELF AND REVERSAL OF TRADES TRANSACTIONS IN SCRIP OF INCAP FINANCIAL SERVICES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 12(1) AND 13(4) OF SEBI (PIT) REGULATION, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATION, 2015 IN MATTER OF INCAP FINANCIAL SERVICES LTD.
ENTERED INTO OPPOSITE TRANSACTIONS DURING SIX MONTHS FROM PRIOR TRANSACTION VIOLATING CLAUSES 1.2 AND 4.2 OF MODEL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR LISTED COMPANIES AS UNDER REGULATIONS 12(1) AND 12(3) SCHEDULE I SPECIFIED IN PART A OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INCAP FINANCIAL SERVICES LTD.
PLANTED FALSE OR MISLEADING NEWS BY CIRCULATING SMS TO CREATE POSITIVE NEWS IN MATTER OF INCAP FINANCIAL SERVICES LTD.
|
IMPOSED PENALTY RS.19,70,000
30-APR-2020
|
SEBI VIDE ITS NOTICE DATED 31/05/2021 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
SAT: SAT VIDE ITS ORDER DATED 17/05/2021 ALLOWED APPELLANT THREE WEEKS FURTHER TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 09/07/2021 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS ORDER DATED 10/05/2022 DIRECTED ALL THE BANKS TO REMIT RS.24,83,200.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.ARVIND BABULAL GOYAL TO SEBI BY WAY OF EFT/NEFT/RTGS
SAT VIDE ITS ORDER DATED 30/10/2023 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 30/04/2020 AND MATTER REMITTED TO AO TO DECIDE THE MATTER AFRESH
SEBI VIDE ITS NOTICE DATED 31/10/2023 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 31/05/2021
|
| 290 |
|
|
ARVIND BABULAL GOYAL
(DIN:03146099
PAN:ACIPG0193J)
|
|
|
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 (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF BIRLA CAPITAL & FINANCIAL SERVICES LTD.(NOW KNOWN AS BIRLA LEASING & INFRASTRUCTURE LTD.)
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 IN MATTER OF BIRLA CAPITAL & FINANCIAL SERVICES LTD.(NOW KNOWN AS BIRLA LEASING & INFRASTRUCTURE LTD.)
|
IMPOSED PENALTY RS.1,00,000
28-OCT-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 291 |
|
|
ARVIND KUMAR AGARWAL
|
|
|
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
|
|
| 292 |
|
|
ARVIND KUMAR BHANGADIA
(PAN:ABHPB6307P)
|
|
|
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
|
|
| 293 |
|
|
ARVIND KUMAR MITTAL
(PAN:AGAPM5842Q)
|
|
|
DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 12 READ WITH 14(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF NEIL INDUSTRIES LTD.
|
IMPOSED PENALTY RS.10,00,000
21-MAR-2017
|
|
| 294 |
|
|
ARVIND M.SHAH
|
|
|
|
IND TRADE CO.LTD.
|
|
MADE FALSE REPRESENTATION THROUGH CORPORATE ANNOUNCEMENTS TO MISLEAD/INDUCE INVESTORS
ACTED IN CONCERT TO CREATE FALSE MARKET TO SELL THEIR OWN HOLDINGS AT AN ARTIFICIALLY INFLATED PRICE
DID NOT MAKE DISCLOSURE OF SHAREHOLDING, CONTROL AND SALE OF SHARES OF PROMOTERS/PERSONS ACTING IN CONCERT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-OCT-2005 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES OF PROMOTERS/PERSONS ACTING IN CONCERT/DIRECTORS/CLIENTS IN DEFAULT FROM 05-OCT-2005 TILL FURTHER ORDERS
05-OCT-2005
|
DIRECTED THAT INTERIM ORDER DATED 05/10/2005 SHALL REMAIN IN FORCE TILL FINAL ORDERS PASSED BY SEBI
ORDER DATED 05/10/2005 READ WITH ORDER DATED 20/06/2006 REVOKED AND DISPOSED OFF. NSDL AND CDSL ADVISED TO LIFT THE RESTRICTIONS IMPOSED BY ORDER DATED 05/10/2005 AND 20/06/2006
|
| 295 |
|
|
ARVIND SHARMA
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING AS REQUIRED UNDER REGULATIONS 7(1) AND 7(2) OF SEBI TAKEOVER CODE, 1997
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
08-DEC-2006
|
|
| 296 |
|
|
ARYA GUPTA
|
|
|
|
CRUICKSHANK & CO.LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 297 |
|
|
ASGAR MUN
|
|
|
VIOLATED REGULATION 4(A) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 4(B) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 298 |
|
|
ASGAR MUN
|
|
|
VIOLATED SEBI TAKEOVER REGULATIONS
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
14-JUL-2003
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.50,000 FROM RS.2,00,000
|
| 299 |
|
|
ASHA AGARWAL
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN MATTER OF ACQUISITION IN CONCERT 12.32% SHARES TO REACH 33.92% IN KHATOO SYNTHETICS LTD
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-JUN-2006
|
SAT: ORDER DATED 29/06/2006 MODIFIED BY REDUCING PENALTY AMOUNT TO RS.3,00,000 FROM RS.5,00,000
|
| 300 |
|
|
ASHA JAITHA
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGE IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 6(1), 6(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MULTIFARIOUS TRADING & AGENCIES LTD. (NOW KNOWN AS KRISHNA VENTURES LTD.)
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGE IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) & 8(2) OF SEBI TAKEOVER CODE, 1997 FOR YEARS 1998 TO 2005 IN MATTER OF MULTIFARIOUS TRADING & AGENCIES LTD. (NOW KNOWN AS KRISHNA VENTURES LTD.)
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGE IN SHAREHOLDING TO COMPANY AND STOCK EXCHNAGES AS REQUIRED UNDER REGULATIONS 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MULTIFARIOUS TRADING & AGENCIES LTD. (NOW KNOWN AS KRISHNA VENTURES LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
25-APR-2011
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 15 of 148
|
