| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 321 |
|
CHHOTALAL RAMJIBHAI BHANDERI
(PAN:ABPPB7585B)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF UNITED TEXTILES LTD.
|
IMPOSED PENALTY RS.1,00,000
15-MAR-2021
|
|
| 322 |
|
|
CHIRAG DINESHKUMAR SHAH
(PAN:CFPPS4835H)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GFL FINANCIALS LTD.
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 GFL FINANCIALS LTD.
|
IMPOSED PENALTY RS.2,00,000
08-FEB-2018
|
SEBI VIDE ITS NOTICE DATED 27/01/2022 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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 29/09/2022 DIRECTED ALL THE BANKS TO REMIT RS.3,13,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.CHIRAG DINESHKUMAR SHAH BY WAY OF EFT/NEFT/RTGS
|
| 323 |
|
|
CHIRAG DINESHKUMAR SHAH
(PAN:CFPPS4835H)
|
|
|
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 INSTA FINANCE LTD. (ERSTWHILE SDFC FINANCE LTD.)
|
IMPOSED PENALTY RS.2,00,000
30-OCT-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 18/03/2021 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
|
| 324 |
|
|
CHIRAG DINESHKUMAR SHAH
(PAN:CFPPS4835H)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(1) OF SEBI (SAST) REGULATIONS, 2011 IN MATTER OF INSTA FINANCE LTD. (FORMERLY SDFC FINANCE LTD.)
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
17-OCT-2019
|
|
| 325 |
|
|
CHIRAG PATEL
(PAN:ADHPP4699Q)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4), 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PLETHICO PHARMACEUTICALS LTD.
DID NOT OBTAIN PRE-CLEARANCE OF TRADES FROM COMPANY VIOLATING REGULATION 12(1) READ WITH CLAUSE 3.3-1 OF MODEL CODE OF CONDUCT SPECIFIED UNDER SCHEDULE I PART A OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PLETHICO PHARMACEUTICALS LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF PLETHICO PHARMACEUTICALS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF PLETHICO PHARMACEUTICALS LTD.
|
IMPOSED PENALTY RS.1,00,000
23-OCT-2018
|
SEBI VIDE ITS NOTICE DATED 17/05/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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 NOTICE DATED 12/03/2024 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 17/05/2023
SEBI VIDE ITS ORDER DATED 12/03/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER
CERTIFICATE NO.2152 OF 2019 DATED 17/05/2019
|
| 326 |
|
|
CHIRAGKUMAR JAYANTILAL THAKKAR
(PAN:AFKPT3816J)
|
|
|
|
MAYURKUMAR JAYANTILAL THAKKAR (HUF)
PAN:AACHT6370G
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) OF SAST REGULATIONS, 2011 IN MATTER OF ART NIRMAN LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAY-2022
|
|
| 327 |
|
|
CHITHAN V.
(PAN:AKLPC7891G)
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 3(2) READ WITH 13(1) OF SAST REGULATIONS, 2011 IN MATTER OF ARUNA HOTELS LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ARUNA HOTELS LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(5), 10(6) AND 10(7) OF SAST REGULATIONS, 2011 IN MATTER OF ARUNA HOTELS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,32,05,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
07-JUN-2023
|
|
| 328 |
|
|
CHITRA ASHOK HIREMATH
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF ASTEC LIFE SCIENCES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,17,900 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
18-FEB-2020
|
|
| 329 |
|
|
CHITTARANJAN SAHU
(PAN:BSQPS6399B)
(Along with : MANMOHAN SAHU,
INDIRA SAHU,
BADRINARAYAN MOHAPATRA,
PRADEEP KUMAR MAHAPATRO,
NETRANANDA SAHU)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(1) OF SAST REGULATIONS, 2011 IN MATTER OF SWARNAJYOTHI AGROTECH & POWER LTD. (FORMERLY KNOWN AS ‘OCTANT INDUSTRIES LTD.’)
|
IMPOSED PENALTY RS.12,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-MAR-2018
|
|
| 330 |
|
|
CHITTARANJAN SAHU
(PAN:BSQPS6399B)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF SWARNAJYOTHI AGROTECH & POWER LTD. (FORMERLY KNOWN AS ‘OCTANT INDUSTRIES LTD.’)
|
IMPOSED PENALTY RS.1,50,000
16-MAR-2018
|
|
| 331 |
|
|
CHITTARANJAN SAHU
(PAN:BSQPS6399B)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 31(1) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF SWARNAJYOTHI AGROTECH & POWER LTD. (FORMERLY KNOWN AS ‘OCTANT INDUSTRIES LTD.’)
|
IMPOSED PENALTY RS.3,00,000
16-MAR-2018
|
SEBI VIDE ITS ORDER DATED 29/10/2019 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 03/11/2023 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 29/10/2019
|
| 332 |
|
|
COLLIN RICHARD TIMMS
(PAN:ABCPT5333N)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(1) AND 30(2) READ WITH REGULATION 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF OTCO INTERNATIONAL LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,66,250 VIDE CONSENT ORDER)
31-AUG-2017
|
|
| 333 |
|
|
D.DEEPTHA REDDY
|
|
|
DELAY IN MAKING DISCLOSURE UPON INVOCATION OF PLEDGE OF SHARES TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3), 13(4) AND 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF REGALIAA REALTY LTD.
DELAY IN MAKING DISCLOSURES UPON INVOCATION OF PLEDGE OF SHARES TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF REGALIAA REALTY LTD.
|
IMPOSED PENALTY RS.2,00,000
30-SEP-2019
|
|
| 334 |
|
|
D.RAVISANKAR
(Along with : R.VALLABAI,
K.R.JAIN,
R.RAJASANKAR,
S.DURAI,
V.P.RAMANATHAN)
|
|
|
|
SANKAR HOMES PVT.LTD.
|
|
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 ARCHANA SOFTWARE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ARCHANA SOFTWARE LTD.
DID NOT MAKE 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 ARCHANA SOFTWARE LTD.
|
IMPOSED PENALTY RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-DEC-2015
|
|
| 335 |
|
|
D.SUDHAKARA REDDY
(PAN:AAGPR3101F)
|
|
|
DELAY IN MAKING DISCLOSURE UPON INVOCATION OF PLEDGE OF SHARES TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3), 13(4) AND 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF REGALIAA REALTY LTD.
DELAY IN MAKING DISCLOSURES UPON INVOCATION OF PLEDGE OF SHARES TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF REGALIAA REALTY LTD.
|
IMPOSED PENALTY RS.2,00,000
30-SEP-2019
|
|
| 336 |
|
|
DAIVIK JATINBHAI SHAH
(PAN:BXYPS2715J)
|
|
|
|
ETT LTD.
|
|
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
|
|
| 337 |
|
|
DAKSHAYANI REDDY
(PAN:ADVPD0196L)
(Along with : SANHITHA REDDY,
STUTHI REDDY,
P.SOUJANYA REDDY)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(5), 10(6) AND 10(7) OF SAST REGULATIONS, 2011 IN MATTER OF PALRED TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-MAY-2019
|
|
| 338 |
|
|
DAKSHAYANI REDDY
(PAN:ADVPD0196L)
(Along with : PALEM SRIKANTH REDDY,
SANHITHA REDDY,
STUTHI REDDY,
P.SOUJANYA REDDY)
|
|
|
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 PALRED TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-MAY-2019
|
|
| 339 |
|
|
DAMODAR PRASAD SARDA
(PAN:AAOPS3227P)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SARDA PROTEINS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,97,188 VIDE CONSENT ORDER)
10-JUL-2019
|
|
| 340 |
|
|
DAMODARBHAI B.PATEL
(PAN:AEDPP7405H)
|
|
|
DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 13(1) READ WITH 13(2)(E) OF SAST REGULATIONS, 2011 IN MATTER OF BARODA RAYON CORP.LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-FEB-2024
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 17 of 84
|
