| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 301 |
|
ANGEL RURAL DEVELOPMENT LTD.
(CIN:U45201MP2011PLC027236)
|
|
|
|
BASUDEV GHOSH
DIN:06533516
PAN:AVAPG0570A
|
|
|
HASIBUL HAQUE
DIN:02968546
PAN:ABMPH3009D
|
|
|
MOHD.SEKH ABDUL ROBIAL
DIN:06371624
PAN:AGKPR7880B
|
|
|
NABINA JAHAN
DIN:03359199
PAN:AOAPJ7650M
|
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|
ROJINA BEGAM
DIN:03624149
|
|
|
SEKH NAZIBULLA
DIN:03109435
PAN:CJOPS3256B
|
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SUNIRMAL GOSWAMI
DIN:03614972
PAN:ARMPG3713B
|
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MOBILIZED FUNDS FROM PUBLIC THROUGH ISSUANCE OF NON-CONVERTIBLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73, 117B, 117C OF THE COMPANIES ACT, 1956 READ WITH SECTION 465 OF COMPANIES ACT, 2013 AND DEBT SECURITIES REGULATIONS
|
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 31-OCT-2017 TO 30-OCT-2021
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 31-OCT-2017 TO 30-OCT-2021
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-OCT-2017 TO 30-OCT-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-OCT-2017 TO 30-OCT-2021
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 31-OCT-2017 TO 30-OCT-2021
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
21-NOV-2014
|
SEBI VIDE ITS ORDER DATED 31/10/2017 DIRECTED TO A) REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF NCDS WITH INTEREST @ 15% P.A. FROM EIGHTH DAY OF COLLECTION OF FUNDS TO INVESTORS TILL DATE OF ACTUAL PAYMENT THROUGH BANK DEMAND DRAFT OR PAY ORDER B) TO PROVIDE FULL INVENTORY OF ASSETS & PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF MUTUAL FUNDS/SHARES/SECURITIES, IF HELD IN PHYSICAL AND DEMAT FORM C) PERMITTED TO SELL ASSETS OF THE COMPANY AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK D) PREVENTED FROM SELLING THEIR ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED AND DEPOSIT THE PROCEEDS IN AN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK E) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND F) FILE CERTIFICATE OF SUCH COMPLETION OF WITH SEBI CERTIFIED BY TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION G) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
|
| 302 |
|
|
ANGEL TEXTILES PVT.LTD.
|
|
|
|
AVDESH CHATURVEDI
|
|
|
SUDHA CHATURVEDI
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SHAMKEN MULTIFAB LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-DEC-2014 TO 08-DEC-2016
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-DEC-2014 TO 08-DEC-2016
09-DEC-2014
|
|
| 303 |
|
|
ANGELA AGROTECH LTD.
(CIN:U01403WB2011PLC165397
PAN:AAJCA6822C)
|
|
|
|
ATIKULLA HOSSAIN
DIN:03583076
PAN:ADYPH1080N
|
|
|
BABLU MIA
DIN:06519493
PAN:BYKPM1104Q
|
|
|
BIRJU KUMAR SHARMA
DIN:05168775
PAN:BDJPS3387K
|
|
|
MOHAMMED RAFIQUE KHAN
DIN:05168776
PAN:AJDPK8465D
|
|
|
MOHAMMED SAJJAD AKHTAR
DIN:03633258
PAN:AYGPA0956M
|
|
|
RAJIV RANJAN SINGH
DIN:06528168
PAN:ATRPS8363A
|
|
|
SAMIR KESHARI
DIN:03583075
PAN:BVLPK1203Q
|
|
MOBILIZED RS.215.23 LACS FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 88 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36) AND 73 OF THE COMPANIES ACT, 1956
|
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 01-MAR-2016 TO 29-FEB-2020
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 01-MAR-2016 TO 29-FEB-2020
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-MAR-2016 TO 29-FEB-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-MAR-2016 TO 29-FEB-2020
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 01-MAR-2016 TO 29-FEB-2020
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
21-APR-2015
|
SEBI VIDE ITS ORDER DATED 01/03/2016 DIRECTED TO A) JOINTLY AND SEVERALLY, REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) WITH INTEREST @ 15% P.A. COMPOUNDED AT HALF YEARLY INTERVALS FROM THE DATE WHEN REPAYMENTS BECAME DUE TO INVESTORS TILL DATE OF ACTUAL PAYMENT THROUGH BANK DEMAND DRAFT OR PAY ORDER B) PERMITTED TO SELL ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUNDS INCLUDING INTEREST AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK C) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND D) FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION E) DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS & PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM F) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS CAPITAL MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
SEBI VIDE ITS NOTICE DATED 16/06/2017 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
|
| 304 |
|
|
ANIL AGRAWAL (HUF)
(PAN:AACHA9591E)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH PREFERENTIAL ALLOTMENT OF EQUITY SHARES AT PREMIUM, ANNOUNCEMENT OF STOCK SPILT IN SCRIP OF FIRST FINANCIAL SERVICES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-APR-2018 TO 01-APR-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-APR-2018 TO 01-APR-2021
19-DEC-2014
|
SEBI VIDE ITS ORDER DATED 25/08/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDERS DATED 19/12/2014 AND 11/08/2016 EXCEPT THAT NOTICEES CAN: A) ENTER INTO DELIVERY BASED TRANSACTIONS IN CASH SEGMENT IN SECURITIES COVERED IN NSE NIFTY 500 INDEX SCRIPS AND / OR S&P BSE 500 SCRIPS B) SUBSCRIBE TO UNITS OF MUTUAL FUNDS INCLUDING THROUGH SIP AND REDEEM THE UNITS OF MUTUAL FUNDS SO SUBSCRIBED C) DEAL IN DEBT/GOVERNMENT SECURITIES D) INVEST IN ETF E) AVAIL THE BENEFITS OF CORPORATE ACTIONS LIKE RIGHTS ISSUE, BONUS ISSUE, STOCK SPLIT, DIVIDEND, ETC. F) TENDER THE SHARES LYING IN THEIR DEMAT ACCOUNT IN ANY OPEN OFFER/DELISTING OFFER UNDER THE RELEVANT REGULATIONS OF SEBI. SEBI ALLOWED THEM FURTHER RELAXATIONS/RELIEFS A) THEY ARE PERMITTED TO SELL THE SECURITIES LYING IN THEIR DEMAT ACCOUNTS AS ON THE DATE OF THE INTERIM ORDER, OTHER THAN THE SHARES OF THE COMPANIES WHICH ARE SUSPENDED FROM TRADING BY THE CONCERNED STOCK EXCHANGE, IN ORDERLY MANNER UNDER THE SUPERVISION OF THE STOCK EXCHANGES SO AS NOT TO DISTURB THE MARKET EQUILIBRIUM AND DEPOSIT THE SALE PROCEEDS IN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK B) THEY MAY DEAL WITH OR UTILIZE THE SALE PROCEEDS LYING IN THE ESCROW ACCOUNT UNDER THE SUPERVISION OF THE CONCERNED STOCK EXCHANGE
SEBI VIDE ITS ORDER DATED 02/04/2018 RESTRAINED THE NOTICEES FROM ACCESSING SECURITIES MARKET AND PROHIBITED THEM FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER, FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 27/09/2019 PARTLY ALLOWED THE APPEAL AND AO OF SEBI WILL CONSIDER THE MATTER ON MERITS WITHOUT BEING INFLUENCED BY THE FINDINGS GIVEN BY THE WTM OF SEBI
SAT: REJECTED MISCELLANEOUS APPLICATIONS
SAT: SAT VIDE ITS ORDER DATED 10/05/2021 DISPOSED OFF THE APPLICATION AND DIRECTED APPELLANT TO DEPOSIT RS.1 CRORE WITHIN THREE WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 22/08/2022 RESPONDENT MAY FILE REPLY WITHIN ONE WEEK AND REJOINDER WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 31/10/2022 CONDONED THE DELAY OF 286 DAYS IN FILING OF APPEAL
|
| 305 |
|
|
ANIL KUMAR AGARWALA (HUF)
(PAN:AAEHA4449K)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUNSTAR REALTY DEVELOPMENT LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-MAR-2021 TO 18-SEP-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-MAR-2021 TO 18-SEP-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
19-MAR-2021
|
|
| 306 |
|
|
ANIL RAJAT AGARWAL & SONS (HUF)
(PAN:AAFHA0709M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH PREFERENTIAL ALLOTMENT OF EQUITY SHARES AT PREMIUM, ANNOUNCEMENT OF STOCK SPILT IN SCRIP OF RADFORD GLOBAL LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-DEC-2014 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-DEC-2014 TILL FURTHER ORDERS
19-DEC-2014
|
SAT: 1. SAT VIDE ITS ORDER DATED 02/07/2015 CONDONED THE DELAY OF 123 DAYS IN FILING THE APPEAL 2. SAT VIDE ITS ORDER DATED 02/07/2015 ALLOWED SEBI TO PASS CONFIRMATORY ORDER WITHIN TWO MONTHS FROM 15/07/2015 (NEXT HEARING DATE). FURTHER SAT ALLOWED APPELLANT TO SELL ANY OF THE SHARES LYING IN DEMAT ACCOUNT EXCEPT SHARES OF REDFORD GLOBAL LTD. AND DIRECTED TO DEPOSIT THE SALE PROCEEDS IN AN INTEREST BEARING ACCOUNT WITH THE CONCERNED STOCK EXCHANGE. NO COSTS
SEBI VIDE ITS ORDER DATED 12/10/2015 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 19/12/2014 AND PERMITTED NOTICEES TO A) SUBSCRIBED UNITS OF MUTUAL FUNDS INCLUDING THROUGH SIP AND REDEEM THE UNITS OF MUTUAL FUNDS SO SUBSCRIBED B) AVAIL BENEFITS OF CORPORATE ACTIONS LIKE RIGHTS ISSUE, BONUS ISSUE, STOCK SPLIT, DIVIDEND ETC C) SELL THE SECURITIES LYING IN THEIR DEMAT ACCOUNTS AS ON DATE OF INTERIM ORDER, OTHER THAN SHARE OF COMPANIES WHICH ARE SUSPENDED FROM TRADING BY CONCERNED STOCK EXCHANGES, IN ORDERLY MANNER UNDER SUPERVISION OF STOCK EXCHANGES SO AS NOT TO DISTURB MARKET EQUILIBRIUM AND DEPOSIT SALE PROCEEDS IN A INTEREST BEARING ESCROW ACCOUNT WITH NATIONALISED BANK
SAT: APPEAL DISPOSED OFF. NO COSTS
SEBI VIDE ITS ORDER DATED 20/09/2017 REVOKED ITS DIRECTIONS ISSUED VIDE ITS CONFIRMATORY ORDERS DATED 12/10/2015, 18/03/2016 AND 26/08/2016
|
| 307 |
|
|
ANIL RAJMAL SHAH (HUF)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED/CIRCULAR TRANSACTIONS IN SCRIPS OF ALLCARGO LOGISTICS LTD.,ASIAN STAR CO.LTD.,KSL & INDUSTRIES LTD.,MAVENS BIOTECH LTD.,PANORAMIC UNIVERSAL LTD.,RASI ELECTRONIC LTD.,SAT INDUSTRIES LTD. AND USHDEV INTERNATIONAL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-FEB-2010 TILL FURTHER ORDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-FEB-2010 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
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
20-FEB-2010
|
DIRECTION ISSUED VIDE EX-PARTE AD INTERIM ORDER DATED 20/02/2010 CONFIRMED, VIDE ORDER DATED 06/10/2010
SEBI VIDE ITS ORDER DATED 06/09/2013 DIRECTED NOTICEES THAT DIRECTIONS ISSUED VIDE INTERIM ORDER DATED FEBRUARY 20, 2010 AND CONFIRMATORY ORDER DATED OCTOBER 6, 2010 SHALL NOT CONTINUE
|
| 308 |
|
|
ANIL SHANTILAL PATEL (HUF)
(PAN:AAJHA3477L)
|
|
|
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 FURTHERS 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
|
| 309 |
|
|
ANJALI FLAT ROLLED SHEETS PVT.LTD.
|
|
|
|
P.K.RAO
|
|
|
R.P.SHARMA
|
|
|
V.K.AGARWAL
|
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MANIPULATED PRICE IN SCRIP OF INFORMATION TECHNOLOGIES (INDIA) LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2004 TO 30-MAR-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2004 TO 30-MAR-2005
31-MAR-2004
|
|
| 310 |
|
|
ANJALI SUPPLIERS PVT.LTD.
(PAN:AAJCA1784D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH PREFERENTIAL ALLOTMENT OF EQUITY SHARES AT PREMIUM, ANNOUNCEMENT OF STOCK SPILT IN SCRIP OF RADFORD GLOBAL LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-DEC-2014 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-DEC-2014 TILL FURTHER ORDERS
19-DEC-2014
|
SEBI VIDE ITS ORDER DATED 26/08/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 19/12/2014 EXCEPT THAT NOTICEES CAN: A) ENTER INTO DELIVERY BASED TRANSACTIONS IN CASH SEGMENT IN SECURITIES COVERED IN NSE NIFTY 500 INDEX SCRIPS AND / OR S&P BSE 500 SCRIPS B) SUBSCRIBE TO UNITS OF MUTUAL FUNDS INCLUDING THROUGH SIP AND REDEEM THE UNITS OF MUTUAL FUNDS SO SUBSCRIBED C) DEAL IN DEBT/GOVERNMENT SECURITIES D) INVEST IN ETF E) AVAIL THE BENEFITS OF CORPORATE ACTIONS LIKE RIGHTS ISSUE, BONUS ISSUE, STOCK SPLIT, DIVIDEND, ETC. F) TENDER THE SHARES LYING IN THEIR DEMAT ACCOUNT IN ANY OPEN OFFER/DELISTING OFFER UNDER THE RELEVANT REGULATIONS OF SEBI. SEBI ALLOWED THEM FURTHER RELAXATIONS/RELIEFS A) THEY ARE PERMITTED TO SELL THE SECURITIES LYING IN THEIR DEMAT ACCOUNTS AS ON THE DATE OF THE INTERIM ORDER, OTHER THAN THE SHARES OF THE COMPANIES WHICH ARE SUSPENDED FROM TRADING BY THE CONCERNED STOCK EXCHANGE, IN ORDERLY MANNER UNDER THE SUPERVISION OF THE STOCK EXCHANGES SO AS NOT TO DISTURB THE MARKET EQUILIBRIUM AND DEPOSIT THE SALE PROCEEDS IN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK B) THEY MAY DEAL WITH OR UTILIZE THE SALE PROCEEDS LYING IN THE ESCROW ACCOUNT UNDER THE SUPERVISION OF THE CONCERNED STOCK EXCHANGE
SEBI VIDE ITS ORDER DATED 20/09/2017 REVOKED ITS DIRECTIONS ISSUED VIDE ITS CONFIRMATORY ORDERS DATED 12/10/2015, 18/03/2016 AND 26/08/2016
|
| 311 |
|
|
ANJALI SUPPLIERS PVT.LTD.
(PAN:AAJCA1784D)
|
|
|
MISUSED STOCK EXCHANGE SYSTEM TO GENERATE FICTITIOUS LONG-TERM CAPITAL GAINS (LTCG) TO CONVERT UNACCOUNTED INCOME INTO ACCOUNTED ONE WITH NO PAYMENT OF TAXES AS LTCG IS TAX EXEMPT IN MATTER OF PINE ANIMATION LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-MAY-2015 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-MAY-2015 TILL FURTHER ORDERS
08-MAY-2015
|
SEBI VIDE ITS ORDER DATED 05/07/2016 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 08/05/2015
SEBI VIDE ITS ORDER DATED 19/09/2017 REVOKED ITS DIRECTIONS ISSUED VIDE ITS CONFIRMATORY ORDERS DATED 02/06/2016, 05/07/2016, 22/08/2016 AND 02/06/2017
SAT: SAT VIDE ITS ORDER DATED 12/09/2017 CONDONED THE DELAY OF 388 DAYS IN FILING OF APPEAL AND DISPOSED OFF THE APPEAL BY DIRECTING APPELLANT TO MAKE A REPRESENTATION WITHIN A PERIOD OF ONE WEEK FROM THE DATE OF THIS OREDR AND DIRECTED SEBI TO CONSIDER SAID REPRESENTATION AND PASS APPROPRIATE ORDER THEREON WITHIN THREE MONTHS FROM THE DATE OF RECEIVING THE REPRESENTATION. NO COSTS
|
| 312 |
|
|
ANJANA CONSULTANCY SERVICES PVT.LTD.
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF WELLWIN INDUSTRY LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-MAY-2011 TO 01-MAY-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-MAY-2011 TO 01-MAY-2012
02-MAY-2011
|
|
| 313 |
|
|
ANJANAYA TRADERS PVT.LTD.
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
|
| 314 |
|
|
ANJANAYA TRADERS PVT.LTD.
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TO 30-JUN-2004
23-MAR-2004
|
|
| 315 |
|
|
ANJANAYA TRADERS PVT.LTD.
(Along with : GLOBAL TRUST BANK LTD.)
|
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|
MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.DURING THE PERIOD OCTOBER 2000 TO FEBRUARY 2001 PRIOR TO THE ANNOUNCEMENT OF PROPOSED MERGER OF GLOBAL TRUST BANK LTD. WITH UTI BANK LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JUN-2003 TILL INVESTIGATIONS COMPLETED
13-JUN-2003
|
|
| 316 |
|
|
ANJUDI PROPERTY & INVESTMENTS PVT.LTD.
|
|
|
|
ANJALI BEKE
|
|
|
DILIP BEKE
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DEALT IN SCRIP OF TATA FINANCE LTD.ON BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JAN-2008 TO 10-JAN-2013
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2008 TO 10-JAN-2013
11-JAN-2008
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SAT: CASE REMANDED TO SEBI TO ISSUE FRESH NOTICE AND FRESH ORDER BY END OF MARCH 2009
SAT: DIRECTED TO FURNISH LATEST STATEMENT OF DEMAT ACCOUNTS BY 31/10/2008 TO BOARD, THEN BOARD SHALL ALLOW APPLICANT TO SELL ALL SHARES THROUGH RECOGNISED STOCK BROKER AND APPLICANT SHALL FURNISH ALL THE INFORMATION TO BOARD. DIRECTED TO SALE OF SHARE BE COMPLETED BY JANUARY, 2009
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| 317 |
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ANKA INDIA LTD.
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ARSHDEEP SINGH SETHI
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D.S.SETHI
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G.K.SETHI
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HARPREET SINGH SETHI
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JAI PRAKASH SINGH
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KAMAL SINGH MEHRA
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P.K.SETHI
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PARAMJIT SETHI
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PUJA SETHI
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SHELLY SETHI
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DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
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DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
DIRECTED TO FREEZ OF VOTING RIGHTS AND CORPORATE BENEFITS LIKE DIVIDEND, RIGHTS, BONUS SHARES, SPLIT, ETC. WITH RESPECT TO EXCESS OF PROPORTIONATE PROMOTER / PROMOTERS GROUP SHAREHOLDING FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED SHAREHOLDERS FORMING PART OF PROMOTER / PROMOTER GROUP FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED DIRECTORS FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
04-JUN-2013
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SEBI VIDE ITS ORDER DATED 28/03/2014 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 04/06/2013
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| 318 |
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ANKIT ENTERPRISES
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PARVIN SHAH
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INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
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DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
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AD-INTERIM EX-PARTE ORDER DATED 23/04/2009 CONFIRMED VIDE ORDER DATED 12/01/2010
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
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| 319 |
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ANKUR CULTIVATORS PVT.LTD.
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INDULGED IN PRICE MANIPULATION AND CREATION OF ARTIFICIAL MARKET IN SCRIP OF SHONKH TECHNOLOGIES INTERNATIONAL LTD.
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ORDER TO BE PASSED AFTER PERSONAL HEARING
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-MAR-2007
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-MAR-2007
09-MAR-2007
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FINAL ORDER PASSED ON 16/10/2007 RESTRAINED FORM ACCESSING SECURITIES MARKET FOR A PERIOD OF FIVE YEARS AND PROHIBITED FROM BUYING, SELLING OR DEALING IN SECURITIES EITHER DIRECTLY OR INDIRECTLY
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| 320 |
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ANKUSH FINSTOCK LTD.
(PAN:AAHCA7833R)
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DARSHAN J.SHAH
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DID NOT ADHERE TO LISTING AGREEMENT
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
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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 16 of 250
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