| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 341 |
|
HEENA RAJNIBHAI PATEL
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.15,000
30-JUN-2005
|
|
| 342 |
|
|
HEERACHAND SALECHA
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.2,00,000
05-MAY-2005
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 343 |
|
|
HEERACHAND SALECHA
|
|
|
DID NOT PROVIDE INFORMATION TO SEBI
|
IMPOSED PENALTY RS.1,50,000
04-JAN-2007
|
|
| 344 |
|
|
HEMA PARESH PATEL
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF GENUS COMMUTRADE LTD.
|
IMPOSED PENALTY RS.2,00,000
28-AUG-2009
|
|
| 345 |
|
|
HEMANGINI VINITKUMAR PARIKH
(PAN:CYMPP9930J)
|
|
|
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.10,00,000
29-JAN-2021
|
SEBI VIDE ITS NOTICE DATED 23/09/2022 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
SEBI VIDE ITS NOTICE DATED 31/01/2025 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 23/09/2022
SEBI VIDE ITS NOTICE DATED 31/01/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.3892 OF 2021 DATED 28/06/2021
|
| 346 |
|
|
HEMANT MADHUSUDAN SETH
(DIN:01533972
PAN:ANOPS8607E)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF INDO PACIFIC SOFTWARE & ENTERTAINMENT LTD.
ENTERED INTO OFF-MARKET TRANSACTIONS WHICH WERE NOT IN THE NATURE OF SPOT DELIVERY CONTRACTS VIOLATING SECTIONS 13 AND 18 READ WITH SECTION 2(I) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN SCRIP OF INDO PACIFIC SOFTWARE & ENTERTAINMENT LTD.
|
IMPOSED PENALTY RS.5,50,000
29-FEB-2012
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
SEBI VIDE ITS NOTICE DATED 08/07/2014 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 05/08/2014 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 08/07/2014
|
| 347 |
|
|
HEMANT SINGH JHALA
(PAN:AAQPJ7906E)
|
|
|
DID NOT FURNISH REQUIRED INFORMATION IN RESPONSE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF AHMEDABAD STOCK EXCHANGE LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAY-2018
|
|
| 348 |
|
|
HEMENDRA SAKARCHAND SHAH
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.20,000
30-JUN-2005
|
INCLUDED IN SEBI LIST DATED 31/03/2011, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 01/01/2015 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
SEBI VIDE ITS NOTICE DATED 13/09/2024 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 01/01/2015
SEBI VIDE ITS ORDER DATED 13/09/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.529 OF 2015 DATED 01/01/2015
|
| 349 |
|
|
HEMLATA RAMESH HANKARE
(PAN:ACPPH5612Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, STRUCTURED AND CIRCULAR TRANSACTIONS IN SCRIPS OF ALLCARGO GLOBAL LOGISTICS LTD., ASIAN STAR CO.LTD., KSL & INDUSTRIES LTD., MAVENS BIOTECH LTD., PANORAMIC UNIVERSAL LTD., RASI ELECTRODES LTD., SAT INDUSTRIES LTD., USHDEV INTERNATIONAL LTD., KBS CAPITAL MANAGEMENT LTD., LOTUS EYE CARE HOSPITALS LTD., MVL LTD. AND ANIL PRODUCTS LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF ALLCARGO GLOBAL LOGISTICS LTD., ASIAN STAR CO.LTD., KSL & INDUSTRIES LTD., MAVENS BIOTECH LTD., PANORAMIC UNIVERSAL LTD., RASI ELECTRODES LTD., SAT INDUSTRIES LTD., USHDEV INTERNATIONAL LTD., KBS CAPITAL MANAGEMENT LTD., LOTUS EYE CARE HOSPITALS LTD., MVL LTD. AND ANIL PRODUCTS LTD.
|
IMPOSED PENALTY RS.11,00,000
07-MAR-2013
|
SEBI VIDE ITS NOTICE DATED 05/12/2014 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 13/09/2019 DIRECTED ALL THE BANKS TO REMIT RS.4,76,277.00 TO THE EXTENT LYING IN THE ACCOUNT OF MS.HEMLATA RAMESH HANKARE TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS NOTICE DATED 29/03/2023 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 05/12/2014
|
| 350 |
|
|
HEMRAJSINGH SURENDRASINGH VAGHELA
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION TO SEBI IN MATTER OF SHREE YAAX PHARMA & COSMETICS LTD.
|
IMPOSED PENALTY RS.2,00,000
03-DEC-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 351 |
|
|
HEMRAJSINGH SURENDRASINGH VAGHELA
|
|
|
|
KAJOL IMPEX LTD.
PAN:AAACJ9577E
|
|
INDULGED IN CREATION OF ARTIFICIALLY MARKET AND PRICE MANIPULATION IN SCRIP OF MOH LTD.
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2007 TO 19-JUN-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2007 TO 19-JUN-2009
20-JUN-2007
|
|
| 352 |
|
|
HIMANSHU PANDYA
|
|
|
DID NOT APPEAR AND FURNISH NECESSARY INFORMATION TO SEBI IN RESPONSE TO SUMMONS IN MATTER OF SOFTRACK TECHNOLOGY EXPORTS LTD.
|
IMPOSED PENALTY RS.10,000
13-AUG-2009
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 17/07/2014 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 25/07/2014 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 17/07/2014
|
| 353 |
|
|
HIRAK NATH SOUNTH
(DIN:01642164
PAN:APKPS6248B)
|
|
|
|
ROOFERS CAPITAL MANAGEMENT LTD.
CIN:U74140WB2009PLC140331
PAN:AAECR6116M
|
|
DID NOT ADHERE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF ROOFERS CAPITAL MANAGEMENT LTD.
|
IMPOSED PENALTY RS.2,00,000
30-OCT-2018
|
SEBI VIDE ITS NOTICE DATED 16/12/2020 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
|
| 354 |
|
|
HIRAK NATH SOUNTH
|
|
|
|
ROOFERS REALTY LTD.
|
|
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI IN MATTER OF IN MATTER OF ROOFERS REALTY LTD.
|
LAUNCHED PROSECUTION PROCEEDINGS
SIMPLE IMPRISONMENT FOR ONE YEAR
IMPOSED FINE RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-JUL-2019
|
CONVICTION
|
| 355 |
|
|
HIREN JASWANTLAL KHATRI
|
|
|
|
KHATRI ENTERPRISES
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS AND REVERSAL OF TRADES IN SCRIP OF CLASSIC DIAMOND (INDIA) LTD.
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF CLASSIC DIAMOND (INDIA) LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-APR-2011
|
|
| 356 |
|
|
HITENDER MALHOTRA
(PAN:CDUPM8087L)
|
|
|
|
UNITECH ADVISORS (INDIA) PVT.LTD.
PAN:AACCC5880D
|
|
DID NOT WIND UP SCHEMES AND DID NOT RETURN MONIES TO INVESTORS EVEN AFTER EXPIRY OF TENURE AS PER PRIVATE PLACEMENT MEMORANDUM
INVESTED CORPUS OF SCHEME IV IN ASSOCIATE COMPANIES
DID NOT REPORT ON QUARTERLY BASIS AS PRESCRIBED ON VENTURE CAPITAL ACTIVITY ON SEBI PORTAL WITHIN SEVEN DAYS FROM THE END OF CALENDAR QUARTER FOR QUARTERS ENDING
DID NOT PROVIDE INFORMATION TO SEBI
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT COMMUNICATE NAMES, DESIGNATION AND ADDRESSES (INCLUDING EMAIL ADDRESSES) OF ‘PRINCIPAL OFFICER’ AND ‘DESIGNATED DIRECTOR’, INCLUDING ANY CHANGES THEREIN TO THE OFFICE OF THE DIRECTOR-FIU
DID NOT CAPTURE KYC DETAILS OF CERTAIN CLIENTS IN ACCOUNT OPENING FORM AS SPECIFIED, VERIFIED/DOWNLOADED AND MAINTAINED CLIENTS DETAILS FROM THE SYSTEM OF KRA AND DID NOT OBTAIN REGISTRATION WITH KRA
|
DIRECTED TO ENSURE THAT THE SCHEME OF FUND WOUND UP BY PROVIDING EXIT TO ITS INVESTORS/UNIT HOLDERS
DIRECTED TO OBTAIN TWO SEPARATE VALUATIONS OF ALL REMAINING ASSETS OF SCHEME OF FUND FROM TWO INDEPENDENT AND/OR REGISTERED VALUERS
DIRECTED TO DETERMINE NAV OF THE SCHEME OF THE FUND BASED ON VALUATION REPORTS BY ADOPTING HIGHER OF VALUATION ARRIVED AT IN TWO VALUATION REPORTS
DIRECTED TO PROVIDE EXIT TO INVESTORS/UNIT HOLDERS FIRST BY OFFERING OPTION TO EXISTING INVESTORS/UNIT HOLDERS TO TAKE EXIT BY WAY OF IN SPECIE DISTRIBUTION OF INTEREST/RIGHTS/STAKES/SHARES, ETC. IN INVESTEE COMPANIES/PROJECTS
DIRECTED INVESTORS/UNIT HOLDERS WHO DO NOT EXERCISE THEIR OPTION FOR IN SPECIE DISTRIBUTION, TO BE GIVEN EXIT ON BASIS OF NAV DETERMINED AS PER DIRECTIONS
DIRECTED TO COMPLETE ENTIRE PROCESS OF WINDING UP OF SCHEME OF FUND AND PROVIDING EXIT TO INVESTORS/UNIT HOLDERS
DIRECTED TO FILE REPORT CERTIFIED BY CHARTERED ACCOUNTANT DECLARING THAT ALL THE INVESTORS OF SCHEME HAVE BEEN PROVIDED EXIT AND SCHEME OF FUND STANDS WOUND UP AND REPORT TO BE FILED WITHIN THREE WEEKS AFTER COMPLETION OF THE EXIT AND REPAYMENT TO INVESTORS/UNIT HOLDERS OF SCHEME
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-DEC-2023 TILL THE COMPLETION OF WINDING UP THE SCHEMES
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-DEC-2023 TILL THE COMPLETION OF WINDING UP THE SCHEMES
29-DEC-2023
|
SAT: SAT VIDE ITS ORDER DATED 19/03/2024 DIRECTED RESPONDENT TO FILE REPLY INCLUDING ON STAY APPLICATION WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 15/05/2024 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANTS TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 24/10/2024 APPELLANTS FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 02/04/2025 CONDONED THE DELAY IN FILING OF REPLY AND ALLOWED EXEMPTION APPLICATION
SAT: SAT VIDE ITS ORDER DATED 03/07/2025 GRANTED TWO WEEKS TO FILE REPLY AND REJOINDER, IF ANY, TO BE FILED WITHIN TWO WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 15/12/2025 DIRECTED TO PAY RS.1,50,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 14/01/2026 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS, MUTUAL FUNDS FOLIOS AND/OR POST OFFICE ACCOUNT 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 19/02/2026 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,52,41,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS NOTICE DATED 23/06/2026 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 14/01/2026
|
| 357 |
|
|
HITESH B.RAVAL
|
|
|
|
HITESH TEXTILE MILLS LTD.
|
|
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
DID NOT SUBMIT REPLY/SUBMISSION OF SHOW CAUSE NOTICE TO ISSUED IN MATTER OF VANISHING COMPANIES
DID NOT FILE STATUTORY RETURNS WITH REGISTRAR OF COMPANIES (ROC) FOR TWO YEARS
DID NOT FILE RETURNS WITH STOCK EXCHANGES FOR TWO YEARS
COMPANY WAS NOT TRACEABLE AT ITS REGISTERED OFFICE
DIRECTORS OF THE COMPANY WERE NOT TRACEABLE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-OCT-2016 TO 20-OCT-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-OCT-2016 TO 20-OCT-2021
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 21-OCT-2016 TO 20-OCT-2021
21-OCT-2016
|
|
| 358 |
|
|
HITESH J.SANGHVI
|
|
|
|
SAWACA BUSINESS MACHINES LTD.
|
|
PREFERENTIAL ALLOTMENT WAS IRREGULAR AND NOT IN ACCORDANCE WITH LAW IN AS MUCH AS THE COMPANY HAS RESORTED TO FICTITIOUS BOOK ENTRIES FOR SHOWING RECEIPT OF SUBSCRIPTION TOWARDS PREFERENTIAL ALLOTMENT OF SHARES
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JUL-2004 TO 12-JUL-2006
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JUL-2004 TO 12-JUL-2006
13-JUL-2004
|
|
| 359 |
|
|
HITESHBHAI MISTRI
(PAN:DDEPM8647B)
|
|
|
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 25/02/2025 DIRECTED TO PAY RS.6,57,250.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 20/03/2025 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
|
| 360 |
|
|
HUGH HAMILTON ANDREWS
|
|
|
|
JERMYN CAPITAL PLC
|
|
ALLEGED FAILURE IN APPEARING PERSONALLY AND/OR PROVIDING NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF DEALINGS OF JERMYN CAPITAL LLC
|
SUMMON ISSUED
24-SEP-2007
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 18 of 57
|
