| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 321 |
|
KEYNOTE PAINTING DEALERS PVT.LTD.
(PAN:AACCH5764P)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET & PRICE MANIPULATION IN SCRIP OF JAISUKH DEALERS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-MAR-2022 TO 27-SEP-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-MAR-2022 TO 27-SEP-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-MAR-2022
|
|
| 322 |
|
|
KHAN ENTERPRISE
(PAN:AXFPR4439L)
|
|
|
|
RAM PRAKASH
PAN:AXFPR4439L
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF ECO FRIENDLY FOOD PROCESSING PARK LTD., ESTEEM BIO ORGANIC FOOD PROCESSING LTD., CHANNEL NINE ENTERTAINMENT LTD. AND HPC BIOSCIENCES LTD.
MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSPECTUS 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 IPO OF ECO FRIENDLY FOOD PROCESSING PARK LTD.
MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSECTUS 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 IPO OF ESTEEM BIO ORGANIC FOOD PROCEESING LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-JUN-2015 TO 22-DEC-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JUN-2015 TO 22-DEC-2020
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
29-JUN-2015
|
SEBI VIDE ITS ORDER DATED 14/06/2016 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 29/06/2015
SEBI VIDE ITS ORDER DATED 17/02/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 29/06/2015
SAT: SAT VIDE ITS ORDER DATED 15/06/2023 REJOINDER TO BE FILE WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATED 22/12/2020 DIRECTED TO A) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER MANNER FOR TILL THE DATE OF THIS ORDER B) EXISTING HOLDING OF SECURITIES INCLUDING UNITS OF MUTUAL FUNDS TO REMAIN FREEZE
SEBI VIDE ITS ORDER DATED 22/12/2020 DIRECTED TO A) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER MANNER FOR TILL THE DATE OF THIS ORDER B) RESTRAINT THE EXISTING HOLDING OF SECURITIES INCLUDING THE UNITS OF MUTUAL FUNDS REMAIN UNDER FREEZE
|
| 323 |
|
|
KINGFISHER PROPERTIES PVT.LTD.
(PAN:AAECK3394G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF TURBOTECH ENGINEERING LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-MAY-2019 TO 13-MAY-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-MAY-2019 TO 13-MAY-2026
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
14-MAY-2019
|
|
| 324 |
|
|
KINITA REAL ESTATE PVT.LTD.
(PAN:AADCK7739G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF AADHAAR VENTURES INDIA LTD.
|
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 30-JUL-2020 TO 29-JAN-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-JUL-2020
|
|
| 325 |
|
|
K-LIFESTYLE & INDUSTRIES LTD.
(CIN:L74999DN1987PLC000035
PAN:AABCS1364B)
|
|
|
|
JAIPRAKASH MISHRA
PAN:ALZPM1786B
|
|
|
RAJENDRA PATHAK
PAN:AQBPP0893P
|
|
DID NOT FURNISH INFORMATION AND DID NOT COOPERATE WITH FORENSIC AUDITOR
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF K LIFESTYLE & INDUSTRIES LTD. AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), (8), 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF K LIFESTYLE & INDUSTRIES LTD.
DID NOT ADHERE TO REGULATION 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF K LIFESTYLE & INDUSTRIES LTD.
|
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 21-DEC-2021 TO 20-DEC-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.40,00,000
21-DEC-2021
|
|
| 326 |
|
|
K-LIFESTYLE & INDUSTRIES LTD.
(CIN:L74999DN1987PLC000035
PAN:AABCS1364B)
|
|
|
|
NARAYAN RAMCHANDRA GHUMATKAR
DIN:01717979
PAN:AKKPG0652L
|
|
|
PRAVIN KUMAR
PAN:ASIPP2546G
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF K LIFESTYLE & INDUSTRIES LTD. AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), (8), 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF K LIFESTYLE & INDUSTRIES LTD.
DID NOT ADHERE TO REGULATION 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF K LIFESTYLE & INDUSTRIES LTD.
|
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 21-DEC-2021 TO 20-JUN-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.9,00,000
21-DEC-2021
|
|
| 327 |
|
|
KPK FIN CONSULTANCY PVT.LTD.
(PAN:AAECK1577D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF SULABH ENGINEERS & SERVICES LTD.
|
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 03-SEP-2020 TO 02-SEP-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 13/07/2021 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS AND REJOINDER MAY BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 29/04/2022 DISMISSED THE APPEAL. NO COSTS
|
| 328 |
|
|
LABDHI ENTERPRISES
(PAN:AACFL1039J)
|
|
|
|
FALGUNI KETAN PAREKH
PAN:AABPP7364B
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES OF DEALERS OF RELIANCE SECURITIES LTD. AND OTHER CONNECTED ENTITIES VIOLATING REGULATIONS 3(A) TO (D) AND 4(1) & 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003
|
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 07-AUG-2020 UNTIL FURTHER ORDERS
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 07-AUG-2020 UNTIL FURTHER ORDERS
DIRECTED TO OPEN ESCROW ACCOUNT WITH A NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT TO BE PROCEEDS GENERATED FROM FRONT RUNNING TRADES WITHOUT PERMISSION FROM SEBI
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 BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 07-AUG-2020 UNTIL FURTHER ORDERS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO DISGORGE RS.16,92,095 ALONG WITH OTHER ENTITIES/PERSONS
07-AUG-2020
|
SEBI VIDE ITS ORDER DATED 30/06/2021 DIRECTED TO A) RESTRAINED FROM BUYING, SELLING OR DEALING IN THE SECURITIES MARKET OR ASSOCIATING THEMSELVES WITH SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER TILL FURTHER DIRECTIONS B) CEASE AND DESIST FROM UNDERTAKING ANY ACTIVITY IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER TILL FURTHER DIRECTIONS C) DURING THE PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS AND DEMAT ACCOUNTS SHALL REMAIN FROZEN
SEBI VIDE ITS ORDER DATED 29/12/2022 DIRECTED TO DISGORGE RS.16,92,095.00 ALONG WITH ACCRUED INTEREST AND TRANSFER FROM THE ESCROW ACCOUNT TO IPEF AND RELEASE ADDITIONAL AMOUNT OF RS.17,905.00 TO THE NOTICEES
SAT: SAT VIDE ITS ORDER DATED 07/06/2023 CONDONED THE DELAY IN FILING OF APPEAL. IN THE MEANWHILE, RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED IMPUGNED ORDER AND DIRECTED APPELLANT TO DEPOSIT BALANCE DISGORGEMENT AMOUNT AND PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 329 |
|
|
LALITKUMAR RANMAL (HUF)
(PAN:AAAHL5176L)
|
|
|
PARTICIPATED IN FRAUDULENT DEVICE, SCHEME OR ARTIFICIAL AT VARIOUS STAGES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D), 4(1) AND 4(2)(A) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RIDDHI SIDDHI GLUCO BIOLS LTD.
FRAUDULENTLY TRADED TO MAKE DELISTING OFFER SUCCESSFUL VIOLATING REGULATIONS 4(5)(A) TO 4(5)(C) OF SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 IN MATTER RIDDHI SIDDHI GLUCO BIOLS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-AUG-2021 TO 10-AUG-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-AUG-2021 TO 10-AUG-2023
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 11-AUG-2021 TO 10-AUG-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
11-AUG-2021
|
SAT: SAT VIDE ITS ORDER DATED 28/10/2021 DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER. EFFECT AND OPERATION OF THE IMPUGNED ORDER STAYED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 07/04/2022 GRANTED APPELLANT THREE WEEKS & NO MORE TIME TO FILE REJOINDER
|
| 330 |
|
|
LARK COMMERCIAL PVT.LTD.
(PAN:AABCL8354Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF SULABH ENGINEERS & SERVICES LTD.
|
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 03-SEP-2020 TO 02-SEP-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 13/07/2021 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS AND REJOINDER MAY BE FILED WITHIN TWO WEEKS THEREAFTER
|
| 331 |
|
|
LARK MERCHANTS PVT.LTD.
(PAN:AKUPS4580M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF SULABH ENGINEERS & SERVICES LTD.
|
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 03-SEP-2020 TO 02-SEP-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 13/07/2021 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS AND REJOINDER MAY BE FILED WITHIN TWO WEEKS THEREAFTER
|
| 332 |
|
|
LEMAN DIVERSIFIED FUND
(PAN:AABCL8363M)
|
|
|
INDULGED IN FACILITATING SUBSCRIPTION OF GDRS AMOUNTING TO USD 9.99 MN.BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY (WINSOME) PLEDGED GDR WITH EURAM BANK VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF WINSOME TEXTILE INDUSTRIES LTD.
|
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 15-DEC-2021 TO 14-DEC-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
15-DEC-2021
|
SAT: SAT VIDE ITS ORDER DATED 27/06/2022 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED THE APPLICATION. ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER AND EFFECT AND OPERATION OF THE IMPUGNED ORDER STAY TILL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 23/09/2022 ALLOWED APPELLANT FURTHER TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 04/11/2022 DIRECTED TO FILE REJOINDER WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 13/09/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 15/12/2021
|
| 333 |
|
|
LEMON VINCOM PVT.LTD.
(PAN:AABCL7829A)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF SULABH ENGINEERS & SERVICES LTD.
|
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 03-SEP-2020 TO 02-SEP-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 13/07/2021 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS AND REJOINDER MAY BE FILED WITHIN TWO WEEKS THEREAFTER
|
| 334 |
|
|
LITHMUS CAPITAL CONSULTANCE LTD.
(CIN:U74140DL2011PTC222246
PAN:AACCL0866A)
|
|
|
MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSPECTUS 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 IPO OF ECO FRIENDLY FOOD PROCESSING PARK LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-DEC-2020 TO 21-DEC-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-DEC-2020 TO 21-DEC-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
22-DEC-2020
|
|
| 335 |
|
|
LITMUS INVESTMENTS LTD.
(PAN:AABCL0009J)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF SULABH ENGINEERS & SERVICES LTD.
|
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 03-SEP-2020 TO 02-SEP-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 13/07/2021 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS AND REJOINDER MAY BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 29/04/2022 DISMISSED THE APPEAL. NO COSTS
SAT VIDE ITS ORDER DATED 05/09/2023 DISMISSED THE APPEAL
|
| 336 |
|
|
LMR GREEN REALTY PVT.LTD.
(CIN:U70101DL2012PTC231844
PAN:AACCL1899B)
|
|
|
MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSECTUS VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D), 4(1), 4(2)(A) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF CHANNEL NINE ENTERTAINMENT LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-DEC-2020 TO 21-DEC-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-DEC-2020 TO 21-DEC-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
22-DEC-2020
|
SAT: SAT VIDE ITS ORDER DATED 15/06/2023 REJOINDER TO BE FILE WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 337 |
|
|
LMR GREEN REALTY PVT.LTD.
(CIN:U70101DL2012PTC231844
PAN:AACCL1899B)
|
|
|
MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSPECTUS 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 IPO OF ECO FRIENDLY FOOD PROCESSING PARK LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-DEC-2020 TO 21-DEC-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-DEC-2020 TO 21-DEC-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
22-DEC-2020
|
|
| 338 |
|
|
LOFTIER INVESTMENT ADVISOR & RESEARCH PVT.LTD.
(PAN:AADCL2283J)
|
|
|
|
AMIT TRIPATHI
PAN:AXPPT8469C
|
|
|
BHUVANESHWAR TIWARI
PAN:AGZPT7217K
|
|
|
PRAMIL NIGAM
DIN:07922955
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 30-NOV-2022 TO 29-MAY-2023
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-NOV-2022 TO 29-MAY-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-NOV-2022 TO 29-MAY-2023
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 30-NOV-2022 TO 29-MAY-2023
CEASED TO SOLICIT OR UNDERTAKE INVESTMENT ADVISORY ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 30-NOV-2022 TO 29-MAY-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-NOV-2022
|
SEBI VIDE ITS NOTICE DATED 10/04/2024 DIRECTED TO PAY RS.78,02,605.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 14/10/2025 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 20/11/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.90,69,531.85 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 339 |
|
|
LOOKLIKE TRADE PVT.LTD.
(PAN:AACCL2013K)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET & PRICE MANIPULATION THROUGH OFF-MARKET TRANSFERS IN SCRIP OF VOLTAIRE LEASING & FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-APR-2020 TO 12-APR-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-APR-2020 TO 12-APR-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
13-APR-2020
|
|
| 340 |
|
|
LYKA LABS LTD.
(PAN:AAACL0820G)
|
|
|
INDULGED IN FINANCING OF OWN GDR ISSUE AND MISLED INVESTORS BY MAKING FALSE DISCLOSURES TO SEBI VIOLATING SECTION 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D), 4(1), 4(2) (F), (K) & (R) OF SEBI (PFUTP) REGULATIONS, 2003
|
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 05-JUN-2020 TO 04-JUN-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-JUN-2020 TO 04-JUN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-JUN-2020 TO 04-JUN-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
05-JUN-2020
|
SAT: SAT VIDE ITS ORDER DATED 15/12/2021 CONDONED THE DELAY IN FILING OF APPEAL AND DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 07/02/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 11/03/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 23/11/2022 PARTLY ALLOWED THE APPEAL BY REDUCING DEBARMENT PERIOD FROM THREE YEARS TO THE PERIOD UNDERGONE
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 17 of 34
|
