| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
AKBAR B.JIWANI
|
|
|
|
WALKER (INDIA) LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 22 |
|
|
AKHIL SWAMI
|
|
|
|
SIDDHARTHA PHARMACHEM LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2001 TO 27-FEB-2006
28-FEB-2001
|
|
| 23 |
|
|
AKHILESHWAR PRASAD
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3(A) TO (D), 4 (1), 4 (2) (F) AND 4 (2) (R) OF SEBI (PFUTP) REGULATIONS, 2003 READ WITH SECTION 12A (A) TO (C) OF SEBI ACT, 1992 IN THE MATTER OF HORIZON INFRASTRUCTURE LTD. (NOW KNOWN AS SKIL INFRASTRUCTURE LTD.)
ALLEGED VIOLATION OF CLAUSES 31, 35 AND 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN THE MATTER OF HORIZON INFRASTRUCTURE LTD. (NOW KNOWN AS SKIL INFRASTRUCTURE LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,32,74,000, INTEREST RS.5,10,595 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAY-2017
|
|
| 24 |
|
|
AKSHAT SHAH
|
|
|
|
KARUNA CABLES LTD.
|
|
ALLOTTED SHARES TO BENAMI OR FICTITIOUS ENTITIES
FILED FAKE AND MISLEADING DISCLOSURES OF PROMOTER'S HOLDING TO STOCK EXCHANGE
CONVERTED PARTLY PAID SHARES TO FULLY PAID WITHOUT RECEIVING ALLOTMENT MONEY
MADE FALSE REPRESENTATION THROUGH CORPORATE ANNOUNCEMENTS TO MISLEAD/INDUCE INVESTORS
ACTED IN CONCERT WITH INTER CONNECTED ENTITIES/BROKERS/CLIENTS TO CREATE FALSE MARKET AND TO SELL THEIR OWN HOLDINGS AT AN ARTIFICIALLY INFLATED PRICE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-NOV-2005 TILL FURTHER ORDERS
DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 29-NOV-2005 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES OF PROMOTERS/PERSONS ACTING IN CONCERT/DIRECTORS/CLIENTS IN DEFAULT FROM 29-NOV-2005 TILL FURTHER ORDERS
29-NOV-2005
|
CONFIRMED INTERIM ORDER DATED 29/11/2005
SAT: ALLOWED TO PLEDGE SHARES AND DIRECTED THAT MONEY RECEIVED SHALL BE PUT IN COMPANY'S A/C AND TO SUBMIT AUDITOR'S UTILISATION CERTIFICATE
|
| 25 |
|
|
AMARNATH CHHATWAL
|
|
|
|
PATLIPUTRA CREDIT & SECURITIES LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-JUL-1999 TO 18-JUL-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUL-1999 TO 18-JUL-2004
19-JUL-1999
|
|
| 26 |
|
|
AMBA PREETHAM PARIGI
(PAN:AAQPP5318J)
|
|
|
ALLEGED INDULGENCE IN MISSTATEMENT IN BOOKS OF ACCOUNTS VIOLATING CLAUSE 49(III(D) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF ACCEL FRONTLINE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.8,12,500 VIDE CONSENT ORDER)
16-NOV-2022
|
|
| 27 |
|
|
AMBALAL N.PATEL
|
|
|
|
NAISARGIK AGRITECH (INDIA) LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 28 |
|
|
AMBIKA J.JAGTAP
|
|
|
|
AMIGO EXPORTS LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 29 |
|
|
AMIT JASTE
(PAN:AGDPJ1508R)
|
|
|
DID NOT MAKE COMPLETE OR CORRECT DISCLOSURES OF SHAREHOLDING TO STOCK EXCHANGE VIOLATING SECTION 21 OF SCRA, 1956 READ WITH CLAUSES 35, 47 (A) AND 52(1) (B) OF LISTING AGREEMENT IN THE MATTER OF GLODYNE TECHNOSERVE LTD.
|
IMPOSED PENALTY RS.2,00,000
22-DEC-2017
|
SAT: SAT VIDE ITS ORDER DATED 12/04/2018 DIRECTED APPELLANT TO PAY PENALTY AMOUNT OF RS.2 LACS TO SEBI WITHIN 4 WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
|
| 30 |
|
|
AMRITBHAI TULSIBHAI PATEL
(PAN:AJCPP6373L)
|
|
|
|
SHREEJI DYECHEM LTD.
PAN:AAFCS3170D
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 31 |
|
|
AMRITLAL C.SHAH
|
|
|
|
MRUG PHARMACEUTICALS LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-OCT-2000 TO 03-OCT-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-OCT-2000 TO 03-OCT-2005
04-OCT-2000
|
|
| 32 |
|
|
AMUL M.GANDHI
|
|
|
|
SUSHIL PACKAGINGS (INDIA) LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2000 TO 19-JUN-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2000 TO 19-JUN-2005
20-JUN-2000
|
|
| 33 |
|
|
AMULYA MANDAL
|
|
|
|
SIMPLEX HOLDINGS LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-NOV-2007 TO 26-NOV-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-NOV-2007 TO 26-NOV-2012
27-NOV-2007
|
|
| 34 |
|
|
ANANTH SWAMINATHAN
|
|
|
|
SSP POLYMER INDUSTRIES LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2001 TO 27-FEB-2006
28-FEB-2001
|
|
| 35 |
|
|
ANIL KUMAR
|
|
|
|
ZED INVESTMENTS LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 36 |
|
|
ANIL KUMAR SUREKHA
(PAN:AJGPS8652M)
|
|
|
|
BALASORE ALLOYS LTD.
PAN:AAACI3967P
|
|
PUBLISHED WRONG AND MISLEADING FINANCIALS VIOLATING SECTION 12A(A) OF SEBI ACT, 1992 READ WITH REGULATIONS 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BALASORE ALLOYS LTD.
PUBLISHED WRONG AND MISLEADING FINANCIALS VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(2)(6)(7), 4(2)(F)(III)(3)(6)(7), 33(1)(A), 33(1)(C), 48, 17(8) AND 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 READ WITH CLAUSE 49(IX) OF LISTING AGREEMENT DATED 17/04/2014 READ WITH REGULATION 103 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BALASORE ALLOYS LTD.
PUBLISHED WRONG AND MISLEADING FINANCIALS OF COMPANY VIOLATING SECTION 21 OF SCRA, 1956 AND SECTIONS 27(1) AND 27(2) OF SEBI ACT, 1992 IN MATTER OF BALASORE ALLOYS LTD.
|
IMPOSED PENALTY RS.5,00,000
18-AUG-2023
|
SAT: SAT VIDE ITS ORDER DATED 23/11/2023 RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILE WITHIN THREE WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 17/01/2024 DIRECTED TO PAY RS.5,31,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 37 |
|
|
ANIL NARAYAN LONKAR
(PAN:AAHPL2701Q)
|
|
|
|
RASOYA PROTEINS LTD.
CIN:L15143MH1992PLC066662
PAN:AABCM1757C
|
|
DID NOT MAKE DISCLOSURES TO BSE AS REQUIRED UNDER CLAUSE 22 AND 36 OF LISTING AGREEMENT AND MADE FALSE & MISLESDING DISCLOSURES/REPRESENTATIONS IN ANNUAL REPORT OF RASOYA PROTIEN LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-SEP-2014 TO 22-OCT-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-SEP-2014 TO 22-OCT-2021
DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT EXCHANGEABLE OR CONVERTIBLE INTO SECURITIES, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER
24-SEP-2014
|
SEBI VIDE ITS ORDER DATED 23/03/2015 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 24/09/2014
SAT: SAT VIDE ITS ORDER DATED 12/09/2017 DISPOSED OFF THE APPEAL AS THE COUNSEL FOR SEBI ON INSTRUCTION STATES THAT INVESTIGATION IN CASE OF APPELLANT WOULD BE COMPLETED WITHIN A PERIOD OF THREE MONTHS FROM DATE OF THIS ORDER AND IF DEEMED FIT SHOW CAUSE NOTICE WOULD BE ISSUED WITHIN A PERIOD OF TWO WEEKS THEREAFTER. NO COSTS
|
| 38 |
|
|
ANIL PUROHIT
(PAN:AGOPP5498D)
|
|
|
|
BLUE CIRCLE SERVICES LTD.
CIN:L74140MH1983PLC029378
PAN:AAACB2131L
|
|
DID NOT MAKE DISCLOSURE OF CANCELLATION/TERMINATION OF DEALS TO STOCK EXCHANGES VIOLATING CLAUSE 2.1 UNDER REGULATION 12(2) OF SCHEDULE II OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF BLUE CIRCLE SERVICES LTD.
DID NOT MAKE DISCLOSURE OF CANCELLATION/TERMINATION OF DEALS TO STOCK EXCHANGES VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATIONS) ACT, 1956 IN MATTER OF BLUE CIRCLE SERVICES LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-DEC-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 24/10/2018 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
|
| 39 |
|
|
ANIL SUREKA
|
|
|
|
ISPAT INDUSTRIES LTD.
|
|
DID NOT FURNISH PRICE SENSITIVE INFORMATION TO STOCK EXCHANGE BEFORE DISCLOSING SAME IN AN INTERVIEW
|
IMPOSED PENALTY RS.1,00,000
01-DEC-2005
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 01/12/2005 SET ASIDE LEAVING PARTIES TO BEAR THEIR OWN COSTS
|
| 40 |
|
|
ANIL SUREKA
|
|
|
|
ISPAT INDUSTRIES LTD.
|
|
DID NOT MAKE ADEQUATE DISCLOSURES AS PER SEBI REGULATIONS IN THE LISTING AGREEMENT IN RESPECT OF PRICE SENSITIVE INFORMATION
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
31-MAR-2004
|
|
| 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 2 of 34
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