| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 321 |
|
SANJAY JETHALAL SONI
(PAN:BVSPS9741N)
|
|
|
|
J M SONI CONSULTANCY
PAN:AAGFJ2939P
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
22-NOV-2019
|
SEBI VIDE ITS NOTICE DATED 06/08/2024 DIRECTED TO PAY RS.4,75,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 08/01/2025 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, IF ANY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, WESTERN REGIONAL OFFICE, AHMEDABAD D) DIRECTED INSPECTORS GENERAL OF REGISTRATION AND CONTROLLER OF STAMPS OF THE GUJARAT STATE AND CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS OF THE RESPECTIVE AREAS WHERE THE PROPERTIES ARE LOCATED E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED/HELD BY THE DEFAULTERS, IF PRESENTED FOR REGISTRATION
SEBI VIDE ITS ORDER DATED 06/08/2024 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 19/02/2025 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 06/08/2024
SEBI VIDE ITS ORDER DATED 19/02/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7926 OF 2024 DATED 06/08/2024
|
| 322 |
|
|
SANJEEV KUMAR MITTAL
(PAN:AIVPM0122A)
|
|
|
|
BHARATIYA GLOBAL INFOMEDIA LTD.
CIN:L74999DL1994PLC062967
PAN:AABCB8175B
|
|
MIS-UTILIZED/DIVERTED IPO PROCEEDS OF RS.23.46 CRORE FOR THE PURPOSES AND/OR IN MANNER OTHER THAN THOSE DISCLOSED IN RHP/PROSPECTUS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
MIS-UTILIZED/DIVERTED IPO PROCEEDS OF RS.12.50 CRORE IN GRAB OF ICD INVESTMENTS IN THREE COMPANIES IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
MIS-UTILIZED/DIVERTED IPO PROCEEDS BY MAKING PAYMENTS TO PROMOTER/PROMOTER RELATED ENTITIES WITHOUT MAKING ANY DISCLOSURE IN RHP/PROSPECTUS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
MISUTILIZED/DIVERTED IPO PROCEEDS BY TRANSFERRING FUNDS TO TRADERS WHO INDULGED IN SYNCHRONIZED AND ARTIFICIAL TRADING ON THE DAY OF LISTING OF SHARES IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT PROVIDE INFORMATION RELATING TO ICD LOANS TAKEN PRIOR TO FILING OF RHP AND REPAID THE SAME WITHOUT MAKING ANY DISCLOSURE IN RHP/PROSPECTUS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT PROVIDE CORRECT INFORMATION OF TRANSACTIONS ENTERED INTO WITH VENDORS WHICH WERE PRE DECIDED IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT PROVIDE CORRECT DISCLOSURES RELATED TO PERCENTAGE OF PURCHASE ORDER PLACED IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT PROVIDE INFORMATION OF RELATED PARTY TRANSACTIONS WITH GADEO IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT CALL BACK RS.11.15 CRORE OUT OF PURPORTED ICD INVESTMENTS OF RS.12.50 CRORE AS DIRECTED VIDE SEBI ORDER DATED 28/12/2011 IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DISOBEYED SEBI’S ORDER BY NOT DEPOSITING UNUTILIZED IPO PROCEEDS AND ICD INVESTMENTS RECOVERED IN INTEREST BEARING ESCROW ACCOUNT AND MIS-UTILIZED AMOUNT SO RECOVERED IN GRAB OF WORKING CAPITAL REQUIREMENTS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
MISLED SEBI BY PROVIDING THREE DIFFERENT VERSIONS OF ICD, LOANS AND INVESTMENTS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
|
DIRECTED TO ENSURE COMPLIANCE OF DIRECTIONS OF CALL BACK OF RS.23.46 CRORES AND RS.11.15 CRORES
DIRECTED TO FURNISH COMPLIANCE REPORT TO SEBI DULY CERTIFIED BY INDEPENDENT SEBI REGISTERED MERCHANT BANKER WITHIN TWO WEEKS OF THE DATE OF COMPLIANCE
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-AUG-2014 TO 07-AUG-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-AUG-2014 TO 07-AUG-2019
08-AUG-2014
|
SAT: APPEAL ALLOWED TO BE WITHDRAWN WITH LIBERTY TO FILE FRESH APPEAL WITHIN A PERIOD OF TWO WEEKS FROM THE DATE OF THIS ORDER I.E. 18/09/2014
SAT: SAT VIDE ITS ORDER DATED 08/09/2016 PERMITTED APPELLANTS TO WITHDRAW THE APPEAL WITH LIBERTY TO FILE FRESH APPEAL ON OR BEFORE 18/11/2016 AS REQUESTED BY THE COUNSEL FOR APPELLANTS. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 20/11/2017 DISPOSED OFF THE APPEAL AS INFRUCTUOUS. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 19/10/2022 DISMISSED THE APPEAL
|
| 323 |
|
|
SANJEEV KUMAR SINHA
(PAN:ALEPS6005L)
|
|
|
|
AADYA COMMODITIES PVT.LTD.
PAN:AAHCA2094C
(Member : MCX)
|
|
|
AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD.
PAN:AAECA3909P
(Depository Participants : CDSL,Member : NSE/BSE/MCX)
|
|
CREATED PLEDGE OF SECUTITIES OF ITS CLIENTS AND DID NOT MAKE DISCLOSURE TO NSE VIOLATING CLAUSES A(1) AND A(5) OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS UNDER SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT REPORT ITS DP ACCOUNTS TO NSE VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/MIRSD2/CIR/P/2016/95 DATED 26/09/2016
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 06-AUG-2021 TO 05-AUG-2026
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 06-AUG-2021 TO 05-AUG-2026
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY BY AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD. AND AADYA COMMODITIES PVT.LTD. AND MR.SANJEEVA KUMAR SINHA EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO CLIENTS/INVESTORS UNDER WRITTEN CONFIRMATION OF CONCERNED STOCK EXCHANGES
22-AUG-2017
|
SEBI VIDE ITS ORDER DATED 31/10/2018 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 22/08/2017 SUBJECT TO MODIFICATION MENTIONED IN INTERIM ORDER
SEBI VIDE ITS ORDER DATED 06/08/2021 DIRECTED TO A) CONTINUE RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER, EITHER DIRECTLY OR INDIRECTLY, FOR FURTHER 5 YEARS FROM DATE OF THIS ORDER B) JOINTLY AND SEVERALLY, BE LIABLE TO REPAY/REFUND THE INVESTORS/CLIENT’S MONEY WITH INTEREST OF 15% P.A. FROM THE DATE WHEN REPAYMENT BECAME DUE TILL DATE OF ACTUAL REPAYMENT UNDER SUPERVISION OF NSE, BSE AND MCX C) JOINTLY AND SEVERALLY, BE LIABLE TO RETURN THE SECURITIES DUE TO THE CLIENTS/INVESTORS OF AATIPL HAVING CREDIT BALANCES OR MONEY EQUIVALENT TO THEIR VALUE AS ON THE DATE WHEN SETTLEMENT OF SECURITIES BY AATIPL BECAME DUE TO SUCH CLIENTS UNDER SUPERVISION OF NSE, BSE AND MCX D) NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS, WHETHER MOVABLE OR IMMOVABLE (INCLUDING FUNDS IN THEIR BANK ACCOUNTS) OR CREATE ANY INTEREST OR CHARGE IN ANY SUCH ASSETS TILL SUCH TIME THE REFUNDS/REPAYMENTS
|
| 324 |
|
|
SANJEEV SHARMA
(PAN:AARPS7233G)
|
|
|
|
SGI RESEARCH & ANALYSIS LTD.
CIN:U74140DL2010PLC203986
PAN:AAOCS5535R
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE ORDER DATED 11/01/2013
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-NOV-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 325 |
|
|
SANJEEV SINGH
(DIN:01808069
PAN:AXYPS2851E)
|
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-AUG-2023
|
SEBI VIDE ITS NOTICE DATED 01/12/2023 DIRECTED TO PAY RS.52,51,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 01/01/2024 CANCELLED RECOVERY CERTIFICATE AS PER SAT ORDER DATED 04/12/2023
|
| 326 |
|
|
SARBANI ADHIKARY
|
|
|
|
SUMANGAL INDUSTRIES LTD.
CIN:U70100WB2010PLC150956
PAN:AAPCS1196R
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
14-SEP-2018
|
SEBI VIDE ITS NOTICE DATED 05/09/2022 DIRECTED TO PAY RS.1,49,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 07/09/2022 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
|
| 327 |
|
|
SARITA M.MALOO
(PAN:ACVPM7332E)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MURLI INDUSTRIES LTD.
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.11,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUN-2020
|
SAT: SAT VIDE ITS ORDER DATED 31/08/2021 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER BY SETTING ASIDE THE ATTACHMENT ORDER ALSO. REMITTED MATTER TO AO TO DECIDE AFRESH AFTER GRANTING OPPORTUNITY OF HEARING TO THE APPELLANTS
SEBI VIDE ITS ORDER DATED 30/08/2022 RE-IMPOSED PENALTY AMOUNT TO RS.10 CRORE U/S 15H(II) AND RS.1 CRORE U/S 15HB OF SEBI ACT PAYABLE JOINTLY AND SEVERALLY
SEBI VIDE ITS NOTICE DATED 13/12/2022 DIRECTED TO PAY RS.11,55,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 23/05/2023 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 20/09/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.12,54,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 328 |
|
|
SATISH SHUKLA
(PAN:BLWPS1911G)
|
|
|
|
PROFIT GURU
PAN:BLWPS1911G
|
|
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
SOLD MULTIPLE ADVISORY SERVICES TO CLIENTS BY FREQUENTLY UPDATING/CHANGING RISK PROFILE
CHARGED UNREASONABLE, ARBITRARILY AND INCONSISTENT FEE
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE
SOLD PRODUCTS TO CLIENTS WHICH WERE NOT SUITABLE TO RISK PROFILE OF THE CLIENTS
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
21-MAR-2023
|
SEBI VIDE ITS NOTICE DATED 27/07/2023 DIRECTED TO PAY RS.10,51,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 329 |
|
|
SATISH SHUKLA
(PAN:BLWPS1911G)
|
|
|
|
PROFIT GURU
PAN:BLWPS1911G
|
|
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
SOLD MULTIPLE ADVISORY SERVICES TO CLIENTS BY FREQUENTLY UPDATING/CHANGING RISK PROFILE
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE
SOLD MULTIPLE PRODUCTS AND CHARGED UNREASONABLE FEES AND/OR SERVICE CHARGE
|
SUSPENDED REGISTRATION AS INVESTMENT ADVISER FROM 12-OCT-2023 TO 11-OCT-2025
12-OCT-2023
|
|
| 330 |
|
|
SATYENDRA RAI
(PAN:AERPR1108R
DIN:06376984)
|
|
|
|
LIFE CARE INFRATECH LTD.
PAN:AACCL1319G
CIN:U70102UP2011PLC047389
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE ITS ORDER DATED 14/09/2015 TO REFUND ALL THE MONEY COLLECTED THROUGH RPS ALONG WITH INTEREST
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-MAR-2018
|
SEBI VIDE ITS NOTICE DATED 05/02/2021 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
|
| 331 |
|
|
SHADILAL CHOPRA
(PAN:AAAPC6067F)
|
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE ORDER DATED 10/08/2009 IN MATTER OF ATLANTA LTD.
|
IMPOSED PENALTY RS.48,26,500
20-FEB-2013
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 332 |
|
|
SHAHENDRA SINGH BAGHEL
(PAN:ATTPB8244M)
|
|
|
|
SAI PRAKASH PROPERTIES DEVELOPMENT LTD.
PAN:AANCS7178R
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-OCT-2020
|
|
| 333 |
|
|
SHANTIDEVI BAJRANGLAL MALOO
(PAN:ACHPM5772C)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MURLI INDUSTRIES LTD.
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.11,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUN-2020
|
SAT: SAT VIDE ITS ORDER DATED 31/08/2021 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER BY SETTING ASIDE THE ATTACHMENT ORDER ALSO. REMITTED MATTER TO AO TO DECIDE AFRESH AFTER GRANTING OPPORTUNITY OF HEARING TO THE APPELLANTS
SEBI VIDE ITS ORDER DATED 30/08/2022 RE-IMPOSED PENALTY AMOUNT TO RS.10 CRORE U/S 15H(II) AND RS.1 CRORE U/S 15HB OF SEBI ACT PAYABLE JOINTLY AND SEVERALLY
SEBI VIDE ITS NOTICE DATED 13/12/2022 DIRECTED TO PAY RS.11,55,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 18/08/2023 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 20/09/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.12,54,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 334 |
|
|
SHARIKA KHER
(PAN:ABQPK4927R)
|
|
|
SUBSCRIBED TO UNITS OF SCHEMES BEFORE CHANGE IN VALUATION OF DEFAULTED SECURITIES BASED ON UNPUBLISHED INFORMATION VIOLATING SECTION 12A(E) OF SECBI ACT, 1992 READ WITH REGULATIONS 3(A), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF JM FINANCIAL MUTUAL FUND
DID NOT COMMUNICATE TO INVESTORS REGARDING IMPENDING SALE OF DEFAULTED
SECURITIES VIOLATING CLAUSE E(3)(D) OF SEBI CIRCULAR DATED 17/11/2016 IN MATTER OF JM FINANCIAL MUTUAL FUND
|
IMPOSED PENALTY RS.8,00,000
31-JUL-2024
|
|
| 335 |
|
|
SHASHANK B.BHAPKAR
(PAN:AQHPB8639H)
|
|
|
|
SAI PRASAD CORP.LTD.
CIN:U70102PN2011PLC141639
PAN:AAQCS7428B
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUL-2018
|
SEBI VIDE ITS NOTICE DATED 20/12/2018 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
|
| 336 |
|
|
SHASHI GARG
(PAN:AIGPG7786F)
|
|
|
|
CPR CAPITAL SERVICES LTD.
PAN:AAACC3235A
(Member : NSE/BSE/MSEI)
|
|
DID NOT CAPTURE INCOME DETAILS OF CLIENTS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT FOLLOW NORMS FOR NOMENCLATURE OF ACCOUNTS
MISUSED PLEDGING OF CLIENT’S SECURITIES
DID NOT FURNISH REQUISITE INFORMATION TO SEBI
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES ON ANTI MONEY LAUNDERING STANDARDS
|
IMPOSED PENALTY
22-MAY-2023
|
SEBI VIDE ITS NOTICE DATED 15/09/2023 DIRECTED TO PAY RS.4,21,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 11/10/2023 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 26/03/2025 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 11/10/2023
|
| 337 |
|
|
SHIBA PRAVIN
(DIN:02843035
PAN:ATOPP9889R)
|
|
|
|
LIFE CARE REAL DEVELOPERS LTD.
PAN:AABCL8415G
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.65,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-JAN-2019
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SEBI VIDE ITS NOTICE DATED 01/09/2020 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
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| 338 |
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SHILPA MALOO
(PAN:AIBPM3182A)
|
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DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MURLI INDUSTRIES LTD.
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
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IMPOSED PENALTY RS.11,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUN-2020
|
SAT: SAT VIDE ITS ORDER DATED 31/08/2021 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER BY SETTING ASIDE THE ATTACHMENT ORDER ALSO. REMITTED MATTER TO AO TO DECIDE AFRESH AFTER GRANTING OPPORTUNITY OF HEARING TO THE APPELLANTS
SEBI VIDE ITS ORDER DATED 30/08/2022 RE-IMPOSED PENALTY AMOUNT TO RS.10 CRORE U/S 15H(II) AND RS.1 CRORE U/S 15HB OF SEBI ACT PAYABLE JOINTLY AND SEVERALLY
SEBI VIDE ITS NOTICE DATED 13/12/2022 DIRECTED TO PAY RS.11,55,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 23/05/2023 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 20/09/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.12,54,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 339 |
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SHIVRAM KUSHWAH
(PAN:BDGPK0032E
DIN:02338542)
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|
|
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GARIMA REAL ESTATE & ALLIED LTD.
CIN:U70100MP2007PLC019955
PAN:AADCG0853B
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OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.3,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-MAR-2020
|
|
| 340 |
|
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SHOBHIT MEHROTRA
(PAN:AAAPM0737E)
|
|
|
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HDFC ASSET MANAGEMENT CO.LTD.
PAN:AAACH7614L
|
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ALLEGED VIOLATION OF REGULATIONS 25(6B), 33(4) AND 39(1) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
ALLEGED VIOLATION OF REGULATIONS 25(6B) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
ALLEGED VIOLATION OF CLAUSES 6 AND 9 OF CODE OF CONDUCT SPECIFIED IN SCHEDULE FIFTH OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,20,46,420 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-APR-2020
|
|
| 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 17 of 21
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