| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
ANITA KAKAR SHARMA
(PAN:ARBPK3057B)
|
|
|
|
LEEL ELECTRICALS LTD.
PAN:AAACL0484G
|
|
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(F)(I)(2), 4(2)(F)(II)(2),(6)(7), 4(2)(F)(III)(7), 23(4) READ WITH 23(1) AND 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING CLAUSE 41(1)(A) OF ERSTWHILE LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF LEEL ELECTRICAL LTD.
DID NOT ADHERE TO REGULATIONS 6(2)(A) TO 6(2)(C) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LEEL ELECTRICAL 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 18-APR-2024 TO 17-APR-2029
18-APR-2024
|
SAT: SAT VIDE ITS ORDER DATED 26/09/2024 GRANTED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 08/10/2024 CONDONED THE DELAY OF 100 DAYS IN FILING OF APPEAL. GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER. NO RECOVERY OF PENALTY AMOUNT SUBJECT TO DEPOSIT OF RS.3 LAC WITH SEBI WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 22 |
|
|
ANITA KAKAR SHARMA
(PAN:ARBPK3057B)
|
|
|
|
LEEL ELECTRICALS LTD.
PAN:AAACL0484G
|
|
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(F)(I)(2), 4(2)(F)(II)(2),(6)(7), 4(2)(F)(III)(7), 23(4) READ WITH 23(1) AND 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING CLAUSE 41(1)(A) OF ERSTWHILE LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF LEEL ELECTRICAL LTD.
DID NOT ADHERE TO REGULATIONS 6(2)(A) TO 6(2)(C) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LEEL ELECTRICAL LTD.
|
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 18-APR-2024 TO 17-APR-2027
IMPOSED PENALTY RS.30,00,000
18-APR-2024
|
SEBI VIDE ITS NOTICE DATED 23/07/2024 DIRECTED TO PAY RS.3,12,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 29/08/2024 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 07/10/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.3,21,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SAT: SAT VIDE ITS ORDER DATED 26/09/2024 GRANTED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT VIDE ITS ORDER DATED 08/10/2024 CONDONED THE DELAY OF 100 DAYS IN FILING OF APPEAL. GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER. NO RECOVERY OF PENALTY AMOUNT SUBJECT TO DEPOSIT OF RS.3 LAC WITH SEBI WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 23 |
|
|
ANKUSH ASHOK GUPTA
(PAN:AHCPG2531K)
|
|
|
ENTERED INTO SPOT DELIVERY CONTRACTS WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) READ WITH SECTIONS 13, 16 AND 18 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF SVC RESOURCES LTD.
|
IMPOSED PENALTY RS.5,00,000
31-JUL-2018
|
SEBI VIDE ITS NOTICE DATED 10/07/2019 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 ORDER DATED 26/11/2019 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS,DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF DEFAULTERS WHICH WERE ATTACHED PURSUANT TO NOTICE OF ATTACHMENT DATED 30/08/2019
SAT: SAT VIDE ITS ORDER DATED 23/11/2021 DISPOSED OF THE APPLICATION BY DIRECTING APPEAL TO BE LISTED FOR ADMISSION AND FINAL DISPOSAL ON 13/12/2021.IN THE MEANWHILE, IF APPELLANTS DEPOSITS 50% OF THE AMOUNT AS PER THE IMPUGNED ORDER WITHIN TWO WEEKS FROM DATE OF THIS ORDER, THE BALANCE AMOUNT SHALL NOT RECOVERED AND ATTACHMENT ORDER WOULD BE LIFTED
|
| 24 |
|
|
ANOOP RAMAKANT BAGARIA
(PAN:AGTPB1096L)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF ROCKON FINTECH LTD.
INDULGED IN CREATION OF REVERSAL OF TRADE TRANSACTIONS AND OFF-MARKET TRANSFERS WITHOUT ANY CONSIDERATION IN MATTER OF ROCKON FINTECH LTD.
|
IMPOSED PENALTY RS.2,00,000
11-MAY-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 14/10/2019 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
SEBI VIDE ITS ORDER DATED 06/12/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.2,89,965.00 LYING OUTSTANDING IN ACCOUNT OF MR.ANOOP BAGARIA
SEBI VIDE ITS ORDER DATED 11/08/2020 DIRECTED ALL THE BANKS TO REMIT RS.86,145.09 TO THE EXTENT LYING IN THE ACCOUNT OF MR.ANOOP BAGARIA TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 25 |
|
|
ANSOYABEN RAJENDRAKUMAR SHUKAL
(PAN:BPPPS5842K)
|
|
|
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION SAME DAY OR NEXT DAY VIOLATING SECTION 2(I)(A) READ WITH SECTIONS 13, 16 AND 18 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN IPOS OF L&T FINANCE HOLDINGS LTD., TREE HOUSE EDUCATION LTD. AND FUTURE VENTURES INDIA LTD.
|
IMPOSED PENALTY RS.15,000
31-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 19/07/2021 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY TO RS.15,000.00 FROM RS.25,000.00
SAT: SAT VIDE ITS ORDER DATED 05/10/2021 REJECTED MODIFICATION APPLICATION
|
| 26 |
|
|
ARCHIT JINDAL
(PAN:AGNPJ5775G)
|
|
|
DELAY IN SETTLING TRANSACTIONS IN RESPECT OF SALE OF SHARES VIOLATING SECTIONS 13, 16 AND 18 OF SC(R)A READ WITH SEBI NOTIFICATION G.S.R.219(E) DATED 02/03/2000 & SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF DELTA LEASING & FINANCE LTD.
|
IMPOSED PENALTY RS.50,000
18-OCT-2022
|
SEBI VIDE ITS NOTICE DATED 22/03/2022 DIRECTED TO PAY RS.54,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 10/04/2023 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 10/05/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.55,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 27 |
|
|
ARUN KOCHAR
(PAN:ARFPK1390P)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SMALL TRADES IN SCRIP OF WISEC GLOBAL LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF WISEC GLOBAL LTD.
EXECUTED OFF-MARKET TRANSACTION OF SHARES WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) OF SCRA, 1956 READ WITH SECTIONS 13, 16 AND 18 OF SCRA, 1956 AND READ WITH SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF WISEC GLOBAL LTD.
DID NOT PROVIDE INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF WISEC GLOBAL LTD.
|
IMPOSED PENALTY RS.13,00,000
30-JUN-2022
|
SAT: SAT VIDE ITS ORDER DATED 15/12/2022 ALLOWED THE APPLICATION AND RECALLED ORDER DATED 01/11/2022
SAT: SAT VIDE ITS ORDER DATED 20/01/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 10/02/2023 DIRECTED TO PAY RS.14,18,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 06/03/2023 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 ORDER DATED 10/04/2023 DIRECTED ALL THE BANKS TO REMIT RS.13,42,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.ARUN KOCHAR TO SEBI BY WAY OF EFT/NEFT/RTGS
SAT: SAT VIDE ITS ORDER DATED 19/05/2023 DISMISSED THE APPEAL. NO COST
SEBI VIDE ITS NOTICE DATED 08/08/2025 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 06/03/2025
SEBI VIDE ITS ORDER DATED 08/08/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6243 OF 2023 DATED 10/02/2023
|
| 28 |
|
|
ARVIND BABULAL GOYAL
(DIN:03146099
PAN:ACIPG0193J)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF INCAP FINANCIAL SERVICES LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10 AND 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF INCAP FINANCIAL SERVICES LTD.
DID NOT SUBMIT DOCUMENTARY PROOF OF PAYMENT MADE OR RECEIPT OF CONSIDERATION BY COUNTERPARTY VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.G.S.R.219 (E) DATED 02/03/2000 AND SECTIONS 13 AND 18 OF SCRA READ WITH SECTIONS 2(I) OF SCRA ACT, 1956 IN MATTER OF INCAP FINANCIAL SERVICES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, SELF AND REVERSAL OF TRADES TRANSACTIONS IN SCRIP OF INCAP FINANCIAL SERVICES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 12(1) AND 13(4) OF SEBI (PIT) REGULATION, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATION, 2015 IN MATTER OF INCAP FINANCIAL SERVICES LTD.
ENTERED INTO OPPOSITE TRANSACTIONS DURING SIX MONTHS FROM PRIOR TRANSACTION VIOLATING CLAUSES 1.2 AND 4.2 OF MODEL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR LISTED COMPANIES AS UNDER REGULATIONS 12(1) AND 12(3) SCHEDULE I SPECIFIED IN PART A OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INCAP FINANCIAL SERVICES LTD.
PLANTED FALSE OR MISLEADING NEWS BY CIRCULATING SMS TO CREATE POSITIVE NEWS IN MATTER OF INCAP FINANCIAL SERVICES LTD.
|
IMPOSED PENALTY RS.19,70,000
30-APR-2020
|
SEBI VIDE ITS NOTICE DATED 31/05/2021 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
SAT: SAT VIDE ITS ORDER DATED 17/05/2021 ALLOWED APPELLANT THREE WEEKS FURTHER TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 09/07/2021 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS ORDER DATED 10/05/2022 DIRECTED ALL THE BANKS TO REMIT RS.24,83,200.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.ARVIND BABULAL GOYAL TO SEBI BY WAY OF EFT/NEFT/RTGS
SAT VIDE ITS ORDER DATED 30/10/2023 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 30/04/2020 AND MATTER REMITTED TO AO TO DECIDE THE MATTER AFRESH
SEBI VIDE ITS NOTICE DATED 31/10/2023 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 31/05/2021
|
| 29 |
|
|
ARVIND BABULAL GOYAL
(DIN:03146099
PAN:ACIPG0193J)
|
|
|
CONSIDERABLE DELAY IN MAKING PAYMENT OF SHARES OF ALPHA HI-TECH FUEL LTD. PURCHASED IN OFF-MARKET DEALS VIOLATING SECTION 2(I) (A) READ WITH SECTION 13 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
IMPOSED PENALTY RS.1,00,000
31-AUG-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 29/06/2015 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 ORDER DATED 14/07/2015 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 29/06/2015
|
| 30 |
|
|
ARVIND KUMAR MADHU DOSHI
(PAN:AGUPM7961N)
|
|
|
EXECUTED OFF-MARKET TRANSACTION OF SHARES WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) READ WITH SECTIONS 13, 16 AND 18 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF KAILASH AUTO FINANCE LTD.
|
IMPOSED PENALTY RS.1,00,000
27-NOV-2020
|
|
| 31 |
|
|
ATIN JAIN
(PAN:AQEPJ7037Q)
|
|
|
ENTERED INTO OFF-MARKET TRANSACTION OF 25000 SHARES VIOLATING SECTION 13, 16 AND 18 READ WITH SECTIONS 13, 16 AND 2(I) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF CITYON SYSTEMS (INDIA) LTD.
|
IMPOSED PENALTY RS.1,00,000
27-FEB-2020
|
|
| 32 |
|
|
ATUL GUPTA
(PAN:AFZPG6089H)
|
|
|
|
TULIVE DEVELOPERS LTD.
PAN:AAACK4787D
|
|
DID NOT ADHERE TO PRESCRIBED METHODS OF COMPLIANCE WITH MINIMUM PUBLIC SHAREHOLDING REQUIREMENTS AS PER CLAUSE 40A OF LISTING AGREEMENT IN MATTER OF TULIVE DEVELOPERS LTD.
DID NOT ADHERE TO PRESCRIBED METHODS OF COMPLIANCE WITH MINIMUM PUBLIC SHAREHOLDING REQUIREMENTS VIOLATING PROVISIONS OF SECTION 21 OF SCRA AND PROVISO TO REULE 19A (1) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-AUG-2015
|
|
| 33 |
|
|
B.D.AGARWAL
|
|
|
|
VIKAS WSP LTD.
CIN:L24139HR1988PLC030300
PAN:AAACV7816Q
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
SECURITIES CONTRACTS (REGULATION) ACT, 1956 SECURITES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SECTION 24 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED
DISMISSED FOR NON PROSECUTION
|
| 34 |
|
|
BHANUBEN JAISUKHLAL SHAH
|
|
|
SOLD SHARES IN SPOT DELIVERY CONTRACT WITHOUT RECEIVING PAYMENT VIOLATING SECTION 2(I) (A) READ WITH SECTION 13 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF ALPHA HI TECH FUEL LTD.
|
IMPOSED PENALTY RS.5,00,000
23-OCT-2009
|
SAT: APPEAL FAILED AND DISMISSED. NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 21/12/2017 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 07/09/2022 DIRECTED ALL THE BANKS TO REMIT RS.12,71,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MS.BHANUBEN JAISUKHLAL SHAH BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS NOTICE DATED 03/10/2023 DIRECTED TO PAY RS.13,31,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 35 |
|
|
BHANUPRASAD DIPAKKUMAR TRIVEDI
|
|
|
|
ZENET SOFTWARE LTD.
PAN:AAACZ0978K
|
|
FILED APPLICATION FOR SUBSCRIPTION AND/OR ACQUISITION OF SHARES IN FICTITIOUS NAME
VIOLATED SECTION 12A OF SEBI ACT.,1992
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SEBI DEPOSITORIES ACT, 1996
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 36 |
|
|
BHANUPRASAD DIPAKKUMAR TRIVEDI
|
|
|
CONSIDERABLE DELAY IN MAKING PAYMENT OF 11 LAKH SHARES OF IDFC PURCHASED IN OFF-MARKET DEALS VIOLATING SECTION 16 AND SECTION 13 READ WITH SECTION 18 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
IMPOSED PENALTY RS.5,00,000
29-APR-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2013, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 37 |
|
|
BHARAT RAJ PUNJ
(PAN:AAHPP4196K)
|
|
|
|
LEEL ELECTRICALS LTD.
PAN:AAACL0484G
|
|
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(F)(I)(2), 4(2)(F)(II)(2),(6)(7), 4(2)(F)(III)(7), 23(4) READ WITH 23(1) AND 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING CLAUSE 41(1)(A) OF ERSTWHILE LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF LEEL ELECTRICAL LTD.
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RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 18-APR-2024 TO 17-APR-2027
IMPOSED PENALTY RS.5,00,00,000
18-APR-2024
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SEBI VIDE ITS NOTICE DATED 23/07/2024 DIRECTED TO PAY RS.5,20,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 29/08/2024 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
SAT: SAT VIDE ITS ORDER DATED 27/01/2025 GRANTED RESPONDENT TWO WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 24/02/2025 GRANTED APPELLANT TWO WEEKS TO FILE REJOINDER
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BHARAT RAJ PUNJ
(PAN:AAHPP4196K)
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LEEL ELECTRICALS LTD.
PAN:AAACL0484G
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INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(F)(I)(2), 4(2)(F)(II)(2),(6)(7), 4(2)(F)(III)(7), 23(4) READ WITH 23(1) AND 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING CLAUSE 41(1)(A) OF ERSTWHILE LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF LEEL ELECTRICAL LTD.
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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 18-APR-2024 TO 17-APR-2029
18-APR-2024
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SAT: SAT VIDE ITS ORDER DATED 08/10/2024 CONDONED THE DELAY OF 100 DAYS IN FILING OF APPEAL. GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER. NO RECOVERY OF PENALTY AMOUNT SUBJECT TO DEPOSIT OF RS.3 LAC WITH SEBI WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 10/10/2024 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND FILE REJOINDER WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 27/01/2025 GRANTED RESPONDENT TWO WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 24/02/2025 GRANTED APPELLANT TWO WEEKS TO FILE REJOINDER
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| 39 |
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BHARAT SHANTILAL THAKKAR
(PAN:AAZPT9542R)
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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.
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IMPOSED PENALTY RS.5,00,000
29-FEB-2012
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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 07/08/2014 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
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BHARAT ZEENATH DOSHI
(PAN:AAAPZ4548C)
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EXECUTED OFF-MARKET TRANSACTION OF SHARES WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) READ WITH SECTIONS 13, 16 AND 18 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF KAILASH AUTO FINANCE LTD.
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IMPOSED PENALTY RS.1,00,000
27-NOV-2020
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| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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