| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 321 |
|
HARI OM BHATIA
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF TAURAS MUTUAL FUND
|
IMPOSED PENALTY RS.1,00,000
22-FEB-2011
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 02/11/2022 DIRECTED TO PAY RS.2,43,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 23/12/2022 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 09/01/2023 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 23/12/2022
SEBI VIDE ITS ORDER DATED 05/01/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.5899 OF 2022 DATED 02/11/2022
|
| 322 |
|
|
HARI OM SHARMA
|
|
|
|
BORN-FREE FINANCE LTD.
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
|
IMPOSED PENALTY RS.5,00,000
27-JUN-2006
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 323 |
|
|
HARISH AMRITLAL MEHTA
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION TO SEBI IN MATTER OF SHREE YAAX PHARMA & COSMETICS LTD.
|
IMPOSED PENALTY RS.5,00,000
30-JUL-2010
|
SEBI VIDE ITS NOTICE DATED 27/04/2015 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS ORDER DATED 31/10/2019 DIRECTED ALL THE BANKS TO REMIT RS.7,07,574.39 TO THE EXTENT LYING IN THE ACCOUNT OF HARISH MARITLAL MEHTA BY WAY OF EFT/NEFT/RTGS
|
| 324 |
|
|
HARISH JOSHI
(PAN:ADYPJ1327J)
|
|
|
DID NOT PRESENT TRUE AND FAIR FINANCIAL STATEMENTS AND EXECUTED TRANSACTIONS WHICH WERE NON-GENUINE IN NATURE AND MISUSE OF ACCOUNT/FUNDS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT. 1992 AND REGULATIONS 3(B) TO 3(C), 4(1), 4(2)(F) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
DID NOT PRESENT TRUE AND FAIR FINANCIAL STATEMENTS AND EXECUTED TRANSACTIONS WHICH WERE NON-GENUINE IN NATURE AND MISUSE OF ACCOUNT/FUNDS VIOLATING REGULATIONS 4(1)(C), (E) & (G), 4(2)(F)(I)(2), 4(2)(F)(II)(6), 7, 4(2)(F)(III)(1), (3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
DID NOT PROVIDE INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
DID NOT PRESENT TRUE AND FAIR FINANCIAL STATEMENTS AND EXECUTED TRANSACTIONS WHICH WERE NON-GENUINE IN NATURE AND MISUSE OF ACCOUNT/FUNDS VIOLATING SECTION 21 OF SCRA, 1956 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
|
IMPOSED PENALTY RS.8,00,000
15-JUN-2022
|
SAT: SAT VIDE ITS ORDER DATED 04/01/2023 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 15/06/2022
|
| 325 |
|
|
HARISHKUMAR KANTILAL PATEL
(PAN:CNYPP3185N)
|
|
|
DID NOT FURNISH NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF PREMIER SYNTHETICS LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRADES IN SCRIP OF PREMIER SYNTHETICS LTD.
|
IMPOSED PENALTY RS.6,25,000
30-SEP-2024
|
SEBI VIDE ITS NOTICE DATED 27/02/2025 DIRECTED TO PAY RS.6,57,250.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 19/03/2025 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 28/04/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.6,69,750.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 326 |
|
|
HARISHKUMAR KANTILAL PATEL
(PAN:CNYPP3185N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF STEEL EXCHANGE INDIA LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF STEEL EXCHANGE INDIA LTD.
|
IMPOSED PENALTY RS.11,00,000
29-JAN-2021
|
|
| 327 |
|
|
HARSH GUPTA
(PAN:AHIPG6023E)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF ROCKON FINTECH LTD.
|
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
18-JAN-2019
|
SEBI VIDE ITS NOTICE DATED 02/11/2021 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 17/11/2021 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNT OF MS.POONAM GUPTA, MR.HARSH GUPTA, MR.RAJAT GUPTA & MR.RAMESH GUPTA TO SEBI BY WAY OF EFT/NEFT/RTGS JOINTLY AND SEVERALLY
SEBI VIDE ITS NOTICE DATED 11/04/2022 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 02/11/2021
|
| 328 |
|
|
HARSHA ISHVARBHAI SOLANKI
(PAN:DCXPS3726R)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION / DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF ANI INTEGRATED SERVICES LTD.
|
IMPOSED PENALTY RS.2,00,000
12-FEB-2026
|
|
| 329 |
|
|
HARSHA M.SHAH (AKA.HARSHABEN JHAVERI)
(PAN:AAUPJ8953B)
|
|
|
DID NOT PROVIDE INFORMATION TO SEBI
ALLOTTED 600000 SHARES OF OJAS TECHNOCHEM PRODUCTS LTD. WITHOUT ACTUAL RECEIPT OF CONSIDERATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-NOV-2007 TO 12-NOV-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-NOV-2007 TO 12-NOV-2009
13-NOV-2007
DIRECTED TO DISGORGE RS.1,36,03,111
25-JAN-2012
|
SAT: ALLOWED TO WITHDRAW THE APPEAL
SEBI VIDE ITS ORDER DATED 25/01/2012 DIRECTED NOTICEE TO DISGORGE RS.1,36,03,111.00 (UNLAWFUL GAIN RS.75,31,111.00 AND INTEREST @12% PER ANNUM RS.60,72,000.00). IN CASE OF NON PAYMENT OF THIS AMOUNT IN SPECIFIED TIME, NOTICEE WILL BE RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OF ACCESSING SECURITIES MARKET, DIRECTLY OR INDIRECTLY
SAT: SAT VIDE ITS ORDER DATED 04/10/2012 PARTLY ALLOWED THE APPEAL BY ALLOWING INTEREST PAYABLE @12% PER ANNUM ON EXPIRY OF 45 DAYS FROM THE DATE OF IMPUGNED ORDER DATED 25/01/2012
SAT: SAT VIDE ITS ORDER DATED 14/11/2013 REJECTED REVIEW APPLICATIONS. NO ORDER AS TO COSTS
SEBI VIDE ITS NOTICE DATED 10/01/2014 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
SEBI VIDE ITS ORDER DATED18/07/2014 DID NOT CONSIDER THE REQUEST OF THE APPLICANT TO RELEASE THE ACCOUNT NO.08881930002346 HELD WITH THE HDFC BANK
|
| 330 |
|
|
HARSHADBHAI PANCHAL
(PAN:ELNPP0642B)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONISED AND CIRCULAR TRADES IN SCRIP OF BEST AGROLIFE LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF BEST AGROLIFE LTD.
|
IMPOSED PENALTY RS.6,00,000
03-APR-2024
|
SEBI VIDE ITS NOTICE DATED 18/10/2024 DIRECTED TO PAY RS.6,43,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 11/11/2024 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 01/01/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.6,61,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 331 |
|
|
HARSHADBHAI PANCHAL
(PAN:ELNPP0642B)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF MANAKSIA COATED METALS & INDUSTRIES LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION / DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF MANAKSIA COATED METALS & INDUSTRIES LTD.
|
IMPOSED PENALTY RS.25,00,000
21-OCT-2024
|
SEBI VIDE ITS NOTICE DATED 17/01/2025 DIRECTED TO PAY RS.26,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 17/02/2025 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 25/03/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.26,51,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 332 |
|
|
HARSHAWARDHAN HANMANT SABALE
(PAN:BMMPS9407G)
|
|
|
|
VARANIUM CLOUD LTD.
PAN:AAZCS6264J
|
|
MISREPRESENTED FINANCIAL STATEMENTS IN PROSPECTUS AND SHOWED FICTITIOUS SALES AND PURCHASES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF VARANIUM CLOUD LTD.
MIS-UTILIZED IPO AND RIGHTS ISSUE PROCEEDS AND DIVERTED FUNDS TO PROMOTER GROUP ENTITIES VIOLATING REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF VARANIUM CLOUD LTD.
PROVIDED MISLEADING INFORMATION TO INVESTORS AND STOCK EXCHANGES REGARDING BUSINESS ACQUISITIONS VIOLATING REGULATIONS 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF VARANIUM CLOUD LTD.
MISREPRESENTED FINANCIAL STATEMENTS IN PROSPECTUS AND SHOWED FICTITIOUS SALES AND PURCHASES VIOLATING REGULATION 24(1) OF SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF VARANIUM CLOUD LTD.
DISCLOSED MISLEADING QUOTATION UNDER OBJECTS OF THE ISSUE AND DID NOT MAKE DISCLOSURE OF LITIGATION IN THE PROSPECTUS AND LETTER OF OFFER VIOLATING REGULATION 24(1) OF SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF VARANIUM CLOUD LTD.
MISREPRESENTED FINANCIAL STATEMENTS IN PROSPECTUS AND SHOWED FICTITIOUS SALES AND PURCHASES VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E),4(1)(G) AND 4(1)(J) AND 33(1)(A), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH IND AS-1 IN MATTER OF VARANIUM CLOUD LTD.
FILED INCORRECT STATEMENT OF DEVIATION PERTAINING TO UTILIZATION OF IPO PROCEEDS VIOLATING REGULATIONS 32(1), (4) AND (5) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF VARANIUM CLOUD LTD.
PROVIDED MISLEADING INFORMATION TO INVESTORS AND STOCK EXCHANGES REGARDING BUSINESS ACQUISITIONS VIOLATING REGULATIONS 4(1)(C) AND 4(1)(E) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF VARANIUM CLOUD LTD.
DID NOT MAKE DISCLOSURE FACT OF DISPOSAL OF SHARES OF COMPANY BY PROMOTERS VIOLATING REGULATIONS 29(2) AND 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF VARANIUM CLOUD LTD.
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-AUG-2026 TO 24-AUG-2033
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-AUG-2026 TO 24-AUG-2033
RESTRAINED FROM ACTING AS DIRECTOR/KEY MANAGERIAL PERSONNEL OF ANY LISTED COMPANY OR SUBSIDIARY OR ANY COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY SEBI REGISTERED INTERMEDIARY FROM 25-AUG-2026 TO 24-AUG-2033
10-MAY-2024
DIRECTED TO DISGORGE RS.1,28,77,11,275
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
25-AUG-2026
|
SEBI VIDE ITS ORDER DATED 21/10/2024 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 10/05/2024
SEBI VIDE ITS ORDER DATED 25/08/2026 DIRECTED TO A) DEBARRED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING AND OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR SEVEN YEARS FROM DATE OF THIS ORDER B) RESTRAINED FROM BEING ASSOCIATED WITH ANY LISTED COMPANY OR A SEBI REGISTERED INTERMEDIARY AS A DIRECTOR OR A KEY MANAGERIAL PERSON, DIRECTLY OR INDIRECTLY FOR SEVEN YEARS FROM DATE OF THIS ORDER C) DISGORGE UNLAWFUL GAINS OF RS.1,28,77,11,275.00 ALONG WITH SIMPLE INTEREST @12% P.A.FROM DATE OF SELLING OF RESPECTIVE SHARES TILL THE ACTUAL DATE OF DEPOSIT AND AMOUNT TO BE REMITTED TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF) WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER C) IMPOSED PENALTY OF RS.10 LAC U/S 15A(A), RS.10 LAC U/S 15A(B), RS.20 CRORE U/S 15HA AND RS.20 LAC U/S 15HB OF SEBI ACT.
|
| 333 |
|
|
HARSHVARDHAN SINGH RATHORE
(PAN:BUCPS3345B)
|
|
|
DID NOT PROVIDE CORRECT INFORMATION AND CONCEALED MATERIAL INFORMATION FROM SEBI IN MATTER OF GDR ISSUES OF MAARS SOFTWARE INTERNATIONAL LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-SEP-2017 TO 04-SEP-2018
DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT WITH INDIAN SECURITIES AS UNDERLYING, IN ANY MANNER WHATSOEVER FROM 05-SEP-2017 TO 04-SEP-2018
05-SEP-2017
|
|
| 334 |
|
|
HARSHVARDHAN SINGH RATHORE
(PAN:BUCPS3345B)
|
|
|
|
MAARS SOFTWARE INTERNATIONAL LTD.
PAN:AAACM4527H
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION IN ISSUNACE OF GDR ISSUES IN MATTER OF MAARS SOFTWARE INTERNATIONAL LTD.
|
IMPOSED PENALTY RS.10,00,000
28-JUL-2020
|
SEBI VIDE ITS NOTICE DATED 16/06/2021 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 28/06/2021 DIRECTED ALL THE BANKS TO REMIT RS.11,10,151.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.HARSHAWARDHAN S.RATHORE TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS ORDER DATED 04/10/2021 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 16/06/2021
SAT: SAT VIDE ITS ORDER DATED 28/09/2021 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 28/07/2020. MATTER REMITTED TO AO TO PASS A ORDER AFRESH AFTER SERVING SHOW CAUSE NOTICE. NO COSTS
|
| 335 |
|
|
HARVINDER KUMAR BAGAI
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF MEDIA VIDEO LTD.
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 23-FEB-2007 TO 22-FEB-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-FEB-2007 TO 22-FEB-2008
23-FEB-2007
|
|
| 336 |
|
|
HARVINDER KUMAR BAGAI
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.1,00,000
28-FEB-2005
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 29/12/2014 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
SEBI VIDE ITS ORDER DATED 06/02/2014 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS/LOCKERS AND DEMAT ACCOUNTS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 29/12/2014
|
| 337 |
|
|
HARVINDER SINGH MALHOTRA
(PAN:CMZPM8833L)
|
|
|
DID NOT FURNISH BANK STATEMENTS/CASH RECEIPT/SHARE BILL IN RESPECT OF TRANSACTIONS IN MATTER OF DELTA LEASING & FINANCE LTD.
|
IMPOSED PENALTY RS.1,00,000
29-SEP-2022
|
SEBI VIDE ITS NOTICE DATED 14/06/2023 DIRECTED TO PAY RS.1,11,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 25/09/2023 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 25/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,15,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 338 |
|
|
HASMUKH T.SHETH
|
|
|
|
SHARP INDUSTRIES LTD.
PAN:AAFFS9104E
|
|
ALLEGED VIOLATION OF PREFERENTIAL ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES IN ALLOTMENT OF SHARES OF SHARP INDUSTRIES LTD.
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,964, ADMINISTRATION CHARGES RS.10,000 VIDE CONSENT ORDER)
28-NOV-2008
|
|
| 339 |
|
|
HASMUKH T.SHETH
|
|
|
|
SHARP INDUSTRIES LTD.
PAN:AAFFS9104E
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.50,000
31-JAN-2005
|
|
| 340 |
|
|
HEENA RAJNIBHAI PATEL
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.15,000
30-JUN-2005
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 17 of 57
|
