| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 301 |
|
ESSEL CORPORATE LLP
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ZEE ENTERTAINMENT ENTERPRISES LTD.TD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF ZEE ENTERTAINMENT ENTERPRISES LTD.TD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
08-JUL-2022
|
|
| 302 |
|
|
ETHAN CONSTRUCTIONS PVT.LTD.
(PAN:AACCE2711P)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF KAVIT INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
31-JUL-2020
|
SEBI VIDE ITS ORDER DATED 17/11/2023 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 06/02/2024 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 17/11/2023
SEBI VIDE ITS ORDER DATED 06/02/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4190 OF 2021 DATED 30/09/2021
|
| 303 |
|
|
ETT LTD.
|
|
|
|
DAIVIK JATINBHAI SHAH
PAN:BXYPS2715J
|
|
|
HELI JATIN SHAH
PAN:BXYPS2148P
|
|
|
JATIN MANUBHAI SHAH
PAN:AEGPS5807M
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ETT LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-SEP-2024
|
|
| 304 |
|
|
EUROPLUS ONE REALTY PVT.LTD.
(PAN:AACCE5599D)
(Along with : MIST HOTELS PVT.LTD.)
|
|
|
|
INDER KAPOOR
PAN:AOJPK1533R
|
|
|
LOKESH INDER KAPOOR
PAN:AJSPK7027J
|
|
|
POONAM GIRIDHARILAL RAHEJA
PAN:AAFPR5952B
|
|
|
SEEMA LOKESH KAPOOR
PAN:AOHPK7825E
|
|
|
SIMRAN SUNIL RAHEJA
PAN:BBTPS6542L
|
|
|
SUNIL GIRDHARILAL RAHEJA
PAN:AAEPR4712N
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF VINNY OVERSEAS LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-OCT-2025
|
|
| 305 |
|
|
EVEREST FINANCE & INVESTMENT CO.
(PAN:AABFE7133Q)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF MAXWELL INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-JAN-2018
|
|
| 306 |
|
|
EXEMPLAR INTERNATIONAL PVT.LTD.
(PAN:AAACK4213E)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MADHUSUDAN SECURITIES LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF MADHUSUDAN SECURITIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.17,68,205 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
31-JAN-2019
|
|
| 307 |
|
|
EXPERT CHEMICALS (INDIA) PVT.LTD.
(PAN:AABCE2407M)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES FOR CREATION OF ENCUMBRANCE OF SHARES AS REQUIRED UNDER REGULATION 31(1) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF WANBURY LTD.
|
IMPOSED PENALTY RS.2,00,000
05-SEP-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 308 |
|
|
FAST TRACK FINSEC PVT.LTD.
(PAN:AABCF4818P)
|
|
|
DID NOT EXERCISE DUE DILIGENCE, CARE AND PROFESSIONAL JUDGEMENT VIOLATING REGULATIONS 17 AND 27(5) OF SAST REGULATIONS, 2011 IN MATTER OF ORACLE CREDIT LTD.
|
IMPOSED PENALTY RS.3,00,000
11-AUG-2022
|
|
| 309 |
|
|
FIDELITY MULTITRADE PVT.LTD.
(PAN:AABCF0017A)
(Along with : PAT FINANCIAL CONSULTANTS PVT.LTD.,
PASHA FINANCE PVT.LTD.,
SUPERIOR FINANCIAL CONSULTANCY SERVICES PVT.LTD.)
|
|
|
|
BHARAT JAYANTILAL PATEL
PAN:AAAPP6652R
|
|
|
HARDIK BHARAT PATEL
PAN:AHIPP1407H
|
|
|
MINAL BHARAT PATEL
PAN:AACPP5126G
|
|
|
RUCHIT BHARAT PATEL
PAN:ANDPP9202F
|
|
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 SUPER SALES INDIA LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-DEC-2020
|
SAT: SAT VIDE ITS ORDER DATED 06/05/2022 DIRECTED APPELLANTS TO FILE CERTIFIED COPY OF IMPUGNED ORDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER. FURTHER, DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANTS TO FILE REJOINDER THREE WEEKS THEREAFTER. EFFECT AND OPERATION OF IMPUGNED ORDER DATED 23/12/2020 TO REMAIN STAYED DURING PENDENCY OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 08/07/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 29/08/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
|
| 310 |
|
|
FIDELITY MULTITRADE PVT.LTD.
(PAN:AABCF0017A)
(Along with : PAT FINANCIAL CONSULTANTS PVT.LTD.,
PASHA FINANCE PVT.LTD.)
|
|
|
|
BHARAT JAYANTILAL PATEL
PAN:AAAPP6652R
|
|
|
HARDIK BHARAT PATEL
PAN:AHIPP1407H
|
|
|
MINAL BHARAT PATEL
PAN:AACPP5126G
|
|
|
PRASHANT JAYANTILAL PATEL
PAN:AABPP2156M
|
|
|
RUCHIT BHARAT PATEL
PAN:ANDPP9202F
|
|
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 GARWARE POLYSTER LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
15-APR-2021
|
|
| 311 |
|
|
FINQUEST FINANCIAL SOLUTIONS PVT.LTD.
(PAN:AAACF8117G)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF JYOTI LTD.
|
IMPOSED PENALTY RS.1,00,000
29-JUN-2021
|
|
| 312 |
|
|
FINQUEST FINANCIAL SOLUTIONS PVT.LTD.
(PAN:AAACF8117G)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF DECCAN CEMENTS LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-FEB-2020
|
|
| 313 |
|
|
FINQUEST SECURITIES PVT.LTD.
(PAN:AABCB7028F)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF JYOTI LTD.
|
IMPOSED PENALTY RS.1,00,000
29-JUN-2021
|
|
| 314 |
|
|
FINQUEST SECURITIES PVT.LTD.
(PAN:AABCB7028F)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF DECCAN CEMENTS LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-FEB-2020
|
|
| 315 |
|
|
FLASHNET INFO SOLUTIONS (INDIA) LTD.
(PAN:AAACF6493R)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF PRADEEP METALS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.21,29,625 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
09-DEC-2015
|
|
| 316 |
|
|
FLORID INFRASTRUCTURE PVT.LTD.
(PAN:AABCF0518L)
|
|
|
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 OF SAST REGULATIONS, 2011 IN MATTER OF ERA INFRA ENGINEERING LTD.
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-DEC-2015
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 317 |
|
|
FLOWTECH INDUSTRIAL PROJECTS PVT.LTD.
(PAN:AABCF7849J)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF PUNJAB ALKALIES & CHEMICALS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,77,813 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
21-OCT-2020
|
|
| 318 |
|
|
FOCUS INVESTMENTS & TRADERS PVT.LTD.
(PAN:AAACF1256G)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(1) READ WITH 13(2) OF SAST REGULATIONS, 2011 IN MATTER OF SERVOTECH ENGINEERING INDUSTRIES LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
23-JAN-2015
|
|
| 319 |
|
|
FOCUS INVESTMENTS & TRADERS PVT.LTD.
(PAN:AAACF1256G)
|
|
|
DELAY IN MAKING 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 SERVOTECH ENGINEERING INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
11-DEC-2017
|
|
| 320 |
|
|
FOCUS INVESTMENTS & TRADERS PVT.LTD.
(PAN:AAACF1256G)
|
|
|
DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 3(1) READ WITH 13(2) OF SAST REGULATIONS, 2011 IN MATTER OF SERVOTECH ENGINEERING INDUSTRIES LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
24-OCT-2017
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 16 of 55
|
