| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 301 |
|
JYOTHIKA SHETH
(PAN:AAIPS6246A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 10(6) OF SAST REGULATIONS, 2011 IN MATTER OF SHARP INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SHARP INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1), 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SHARP INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 12(1) AND 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHARP INDUSTREIS LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
06-SEP-2017
|
|
| 302 |
|
|
JYOTIKA SANJAY TAYAL
(PAN:AABPT2949Q)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A (A) TO (E) OF SEBI ACT, 1992 AND REGULATIONS 3(I) AND 3(II) READ WITH REGULATION 4 OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BANK OF RAJASTHAN LTD. (NOW MERGED WITH ICICI BANK LTD.)
|
IMPOSED PENALTY RS.3,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-MAY-2020
|
SEBI VIDE ITS NOTICE DATED 05/03/2021 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 02/08/2021 DISMISSED THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 12/01/2022 CONDONED OF DELAY IN FILING OF REVIEW APPLICATIONS. DISMISSED REVIEW APPLICATIONS
SEBI VIDE ITS NOTICE DATED 14/09/2022 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 05/03/2021
|
| 303 |
|
|
JYOTSNA GAUTAM KULKARNI
(PAN:ABIPK9696F)
(Along with : NIHAL GAUTAM KULKARNI,
AMBAR GAUTAM KULKARNI)
|
|
|
TRADED WHILE IN POSSESSION OF NON-PUBLIC INFORMATION OF CAPITAL LOSS VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF KIRLOSKAR BROTHERS LTD.
TRADED ON BEHALF OF KIRLOSKAR INDUSTRIES LTD. WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(I) AND 2(HA) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF KIRLOSKAR BROTHERS LTD.
|
DIRECTED TO DISGORGE RS.2,51,54,950 ALONG WITH OTHER ENTITIES/PERSONS
20-OCT-2020
|
SAT: SAT VIDE ITS ORDER DATED 24/12/2020 STAYED THE EFFECT AND OPERATION OF IMPUGNED ORDER PROVIDED APPELLANT WILL NOT SELL THEIR SHARES IN KIRLOSKAR INDUSTRIES LTD. TO THE VALUE OF RS.20 CRORES
|
| 304 |
|
|
JYOTSNA GAUTAM KULKARNI
(PAN:ABIPK9696F)
|
|
|
TRADED ON BEHALF OF KIRLOSKAR INDUSTRIES LTD. WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(I) AND 2(HA) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF KIRLOSKAR BROTHERS LTD.
|
IMPOSED PENALTY RS.3,05,00,000
20-OCT-2020
|
SAT: SAT VIDE ITS ORDER DATED 24/12/2020 STAYED THE EFFECT AND OPERATION OF IMPUGNED ORDER PROVIDED APPELLANT WILL NOT SELL THEIR SHARES IN KIRLOSKAR INDUSTRIES LTD. TO THE VALUE OF RS.20 CRORES
SAT: SAT VIDE ITS ORDER DATED 12/10/2022 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDERS DATED 28/10/2020
SAT: SAT VIDE ITS ORDER DATED 04/12/2023 DISPOSED OF MISC.APPLICATION AND DIRECTED SEBI TO PAY COST RS.5 LAC, TO BE DEPOSITED BEFORE REGISTRAR OF TRIBUNAL WITHIN TWO WEEKS FROM DATE OF THIS ORDERA
|
| 305 |
|
|
JYOTSNA S.SHAH
(PAN:AKAPS1175J)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SAWACA BUSINESS MACHINES LTD.
|
IMPOSED PENALTY RS.1,00,000
28-APR-2022
|
|
| 306 |
|
|
K.ANANDAN
(PAN:ADBPA0462A)
|
|
|
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 TITAN CO.LTD.
|
IMPOSED PENALTY RS.1,00,000
24-JAN-2022
|
|
| 307 |
|
|
K.NAGABUSHANA
(PAN:ADJPN4132A)
|
|
|
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 TITAN CO.LTD.
|
IMPOSED PENALTY RS.1,00,000
25-OCT-2021
|
SEBI VIDE ITS NOTICE DATED 05/05/2022 DIRECTED TO PAY RS.1,09,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 17/06/2022 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 NOTICE DATED 29/06/2022 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 17/06/2022
SAT: SAT VIDE ITS ORDER DATED 12/07/2023 CONDONED THE DELAY IN FILING OF APPEAL AND QUASHED IMPUGNED ORDER. MATTER REMITTED TO AO TO PASS A FRESH ORDER WITHIN THREE MONTHS
|
| 308 |
|
|
K.NARASIMHAN
(PAN:AEPPN8046J)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SECBI ACT. READ WITH REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ALLSEC TECHNOLOGIES LTD.
|
DIRECTED TO DISGORGE RS.48,805
09-APR-2019
|
|
| 309 |
|
|
K.RAMAKRISHNA
(PAN:ANAPK6328E)
|
|
|
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 TITAN CO.LTD.
|
IMPOSED PENALTY RS.1,00,000
24-AUG-2022
|
SAT: SAT VIDE ITS ORDER DATED 28/02/2024 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 15/05/2024 DISMISSED THE APPEAL FOR NON-PROSECUTION
|
| 310 |
|
|
KAILASH PRATAP MARIWALA
(PAN:AABPM1197M)
|
|
|
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 AND REGULATIONS 3(1) AND 4 READ OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SABERO ORGANICS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.70,45,738, DISGORGEMENT AMOUNT RS.31,57,753, INTEREST RS.30,72,967 VIDE CONSENT ORDER)
27-SEP-2019
|
|
| 311 |
|
|
KALIDINDI ANURADHA
(PAN:AGYPK8737C)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF NCL INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
30-MAR-2020
|
|
| 312 |
|
|
KAMAL GIANCHANDANI
(PAN:AHHPG9707G)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PVR LTD.
ALLEGED FAILURE IN OBTAINING PRE-CLEARANCE OF TRADING IN SHARES OF COMPANY WHEN TRADING WINDOW WAS CLOSED VIOLATING CLAUSE 6 OF SCHEDULE B MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY INSIDERS) READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PVR LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.30,74,500 VIDE CONSENT ORDER)
27-JUL-2022
|
|
| 313 |
|
|
KAMAL RANJAN DAS
(PAN:ACLPD8850A)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF BERGER PAINTS INDIA LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
18-MAY-2018
|
|
| 314 |
|
|
KAMBAM P.REDDY
(PAN:AIDPK8303P)
|
|
|
DID NOT CLOSE TRADING WINDOW AS REQUIRED UNDER CLAUSE 3.2.1 OF PART A OF SCHEDULE I AS REQUIRED UNDER REGULATION 12(1) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015
|
IMPOSED PENALTY RS.10,00,000
23-SEP-2019
|
SAT: SAT VIDE ITS ORDER DATED 25/01/2021 DISPOSED OFF THE APPEAL IN TERMS OF THE SETTLEMENT ORDER DATED 06/05/2020
|
| 315 |
|
|
KAMBAM P.REDDY
(PAN:AIDPK8303P)
|
|
|
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3 AND 4 READ OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF AUROBINDO PHARMA LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.34,65,000, LEGAL EXPENSES RS.60,000 VIDE CONSENT ORDER)
06-MAY-2020
|
|
| 316 |
|
|
KAMLESH JAIN
|
|
|
|
JAIN FAMILY TRUST
PAN:AAETJ3966E
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 4(1) OF SEBI (PI) REGULATIONS, 1992 IN MATTER OF REFEX INDUSTRIES LTD.
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
12-DEC-2025
|
SAT: SAT VIDE ITS ORDER DATED 30/01/2026 ALLOWED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED RECOVERY SUBJECT TO DEPOSIT OF 50% PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 317 |
|
|
KANAIYALAL JOSHI
(PAN:ACXPJ1279R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(2A) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SUNRISE ASIAN LTD.
|
IMPOSED PENALTY RS.1,00,000
29-SEP-2020
|
SEBI VIDE ITS NOTICE DATED 13/10/2022 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 16/11/2022 DIRECTED ALL THE BANKS TO REMIT RS.1,28,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.KANAIYALAL JOSHI TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 318 |
|
|
KANCHAN MISHRA
(PAN:AKPPM0661E)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHREEKRISHNA BIOTECH LTD.
|
IMPOSED PENALTY RS.1,00,000
16-DEC-2022
|
SEBI VIDE ITS NOTICE DATED 09/06/2023 DIRECTED TO PAY RS.1,08,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 06/07/2023 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 04/08/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,10,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 319 |
|
|
KANNAN KASHI VISHWANATH
(PAN:ADJPV4912G)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) AND 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF DR.DATSONS LAB LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF DR.DATSONS LAB LTD.
|
IMPOSED PENALTY RS.1,00,000
16-OCT-2017
|
|
| 320 |
|
|
KARAN SINGH
(PAN:AMKPK4001D)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED REGULATIONS 13(1), 13(3), 13(4) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-JUN-2021 TO 21-JUN-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-JUN-2021 TO 21-JUN-2026
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
22-JUN-2021
|
|
| 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 50
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