| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
ABHISHEK MEHTA
(PAN:CLJPM2392B)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ADF FOODS LTD.
|
IMPOSED PENALTY RS.40,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-JUN-2022
|
SAT: SAT VIDE ITS ORDER DATED 06/02/2023 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS NOTICE DATED 17/02/2023 DIRECTED TO PAY RS.43,,61,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 01/03/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6248 OF 2023 DATED 17/02/2023
|
| 22 |
|
|
ADITYA OMPRAKASH GAGGAR
(PAN:AARPG6390G)
|
|
|
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION THROUGH WHATSAPP MESSAGES VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BATA INDIA LTD.
|
IMPOSED PENALTY RS.15,00,000
16-JUN-2020
|
SAT: SAT VIDE ITS ORDER DATED 24/09/2020 CONDONED THE DELAY OF 40 DAYS IN FILING OF APPEAL AND ALLOWED MISC.APPLICATION NO.297 OF 2020. GRANTED FOUR WEEKS TIME TO RESPONDENT TO FILE AFFIDAVIT IN REPLY AND TWO WEEKS THEREAFTER FOR FILING AFFIDAVIT IN REJOINDER, IF ANY AND PLACED THE APPEAL FOR FINAL DISPOSAL ON 25/11/2020
SAT: SAT VIDE ITS ORDER DATED 22/03/2021 ALLOWED THE APPEAL AND SET ASIDED THE IMPUGNED ORDERS
|
| 23 |
|
|
AJAY BHATIA
(PAN:AAMPB2104N)
|
|
|
|
QUANTLASE LAB LLC
|
|
ALLEGED COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION TO OTHERS VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ADANI GREEN ENERGY LTD., ADANI ENTERPRISES LTD. AND ADANI TRANSMISSION LTD.
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 READ WITH REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ADANI GREEN ENERGY LTD., ADANI ENTERPRISES LTD. AND ADANI TRANSMISSION LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,04,87,903, DISGORGEMENT AMOUNT RS.55,34,457, INTEREST RS.9,58,902 VIDE CONSENT ORDER)
16-SEP-2025
|
|
| 24 |
|
|
AJAY KUMAR JINDAL
(PAN:ADDPJ7208H)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) AND 13(5)(B) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DELTA LEASING & FINANCE LTD.
|
IMPOSED PENALTY RS.1,00,000
29-JUL-2022
|
SEBI VIDE ITS NOTICE DATED 06/12/2022 DIRECTED TO PAY RS.1,07,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 12/04/2023 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 15/05/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,12,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS NOTICE DATED 26/05/2023 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 12/04/2023
SEBI VIDE ITS ORDER DATED 26/05/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6093 OF 2022 DATED 06/12/2022
|
| 25 |
|
|
AJAY SINGH
(PAN:BFZPS0443E)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF TITAN CO.LTD.
|
IMPOSED PENALTY RS.1,00,000
27-JUL-2022
|
SAT: SAT VIDE ITS ORDER DATED 07/02/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER. NO COSTS
|
| 26 |
|
|
AJOY CHAWLA
(PAN:AADPC3230D)
|
|
|
ALLEGED TRADING IN SHARES WHEN TRADING WINDOW WAS CLOSED VIOLATING CLAUSE 4 AND 10 OF CODE OF CONDUCT UNDER SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF TITAN CO.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.30,44,063 VIDE CONSENT ORDER)
13-OCT-2020
|
|
| 27 |
|
|
AKASH DUTTA
(PAN:APNPD2982A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF TITAN CO.LTD.
|
IMPOSED PENALTY RS.1,00,000
20-SEP-2022
|
|
| 28 |
|
|
AKBAL NARAYAN SINGH
(PAN:ABFPS9453D)
|
|
|
ALLOTTED EQUITY SHARES UNDER PREFERENTIAL ALLOTMENT TO INDIVIDUAL WITHOUT RECEIPT OF PROPER CONSIDERATION FROM SOME OF THE ALLOTTEES AND ONE OF THEM DID NOT HAVE PAN VIOLATING CLAUSE 13.1C OF SEBI (DIP) GUIDELINES, 2000 READ WITH REGULATION 111 OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED REGULATIONS 13(1), 13(3), 13(4) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-JUN-2021 TO 21-JUN-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-JUN-2021 TO 21-JUN-2026
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 22-JUN-2021 TO 21-JUN-2026
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
22-JUN-2021
|
|
| 29 |
|
|
AKSHAY KAPOOR
(PAN:BGHPK6431R)
(Along with : ANJU SOMANI)
|
|
|
TRADED WHILE IN POSSESSION OF UPSI AND COMMUNICATED UPSI TO OTHERS VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3 AND 4 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF LUX INDUSTRIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-JAN-2022 UNTIL FURTHER ORDERS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 24-JAN-2022 UNTIL FURTHER ORDERS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED TO FREEZE BANK ACCOUNTS
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS WITHOUT PERMISSION OF SEBI
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 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 TO IMPOUND BANK ACCOUNTS
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.1,49,925 ALONG WITH OTHER ENTITIES/PERSONS
24-JAN-2022
|
SEBI VIDE ITS ORDER DATED 27/05/2022 DIRECTED TO A) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES OF LUX INDUSTRIES LTD., EITHER DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER UNTIL FURTHER ORDERS B) RESTRAINT RELATED TO BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN RESPECT OF LUX INDUSTRIES LTD. NOT TO PROHIBIT THE CREDIT OF SHARES TO BE RECEIVED ON ACCOUNT OF STOCK OPTION, BONUS ETC. ISSUED BY THE COMPANY C) FUNDS DEPOSITED BY ENTITIES IN INTEREST BEARING ESCROW ACCOUNT/FDR TO REMAIN IN SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS
SEBI VIDE ITS ORDER DATED 06/11/2023 A) REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 24/01/2022 WHICH WERE CONFIRMED WITH MODIFICATIONS VIDE ORDER DATED 27/05/2022 B) RELEASED AMOUNT IMPOUNDED PURSUANT TO INTERIM ORDER DATED 24/01/2022 READ WITH ORDER DATED 27/05/2022 ALONG WITH INTEREST IF ANY, ACCRUED ON THE SAID AMOUNT
|
| 30 |
|
|
ALKA KAMBOJ
(PAN:AAJPK1777B)
|
|
|
DID NOT OBTAIN PRE-CLEARANCE FOR TRADING IN COMPANY DURING TRADING WINDOW CLOSED AND ENTERED INTO CONTRA TRADES WITHIN PERIOD OF SIX MONTHS VIOLATING CLAUSE 10 OF CODE OF CONDUCT SCHEDULE B READ WITH REGULATION 9 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF HERO MOTOCORP LTD.
|
IMPOSED PENALTY RS.1,00,000
26-SEP-2019
|
|
| 31 |
|
|
ALKA SUNIL KHANDELWAL
(PAN:AJCPK7932N)
|
|
|
ENTERED INTO OPPOSITE TRANSACTION WITHIN SIX MONTHS FROM PRIOR TRANSACTION VIOLATING CLAUSE 10 OF MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY INSIDERS AS UNDER SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ALOK INDUSTRIES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
23-SEP-2021
|
|
| 32 |
|
|
ALPANA R.KIRLOSKAR
(PAN:AARPK0165B)
|
|
|
TRADED ON BEHALF OF KIRLOSKAR INDUSTRIES LTD. WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(I) AND 2(HA) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF KIRLOSKAR BROTHERS LTD.
|
IMPOSED PENALTY RS.3,05,00,000
20-OCT-2020
|
SAT: SAT VIDE ITS ORDER DATED 24/12/2020 STAYED THE EFFECT AND OPERATION OF IMPUGNED ORDER PROVIDED APPELLANT WILL NOT SELL THEIR SHARES IN KIRLOSKAR INDUSTRIES LTD. TO THE VALUE OF RS.10 CRORES
SAT: SAT VIDE ITS ORDER DATED 12/10/2022 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDERS DATED 28/10/2020
SAT: SAT VIDE ITS ORDER DATED 04/12/2023 DISPOSED OF MISC.APPLICATION AND DIRECTED SEBI TO PAY COST RS.5 LAC, TO BE DEPOSITED BEFORE REGISTRAR OF TRIBUNAL WITHIN TWO WEEKS FROM DATE OF THIS ORDERA
|
| 33 |
|
|
AMALENDU MUKHERJEE
(DIN:03544485
PAN:AMWPM2947A)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) & (E) OF SEBI ACT, 1992 AND REGULATIONS 3(I) AND 4 READ WITH REGULATION 12 AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF RICOH INDIA LTD.
|
IMPOSED PENALTY RS.20,00,000
31-JAN-2022
|
SEBI VIDE ITS NOTICE DATED 05/07/2022 DIRECTED TO PAY RS.21,41,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 11/08/2022 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 ORDER DATED 05/09/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF MR.AMALENDU MUKHERJEE TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 34 |
|
|
AMALENDU MUKHERJEE
(DIN:03544485
PAN:AMWPM2947A)
|
|
|
|
FOURTH DIMENSION SOLUTION LTD.
PAN:AABCF7508A
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3A OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF RICOH INDIA LTD.
|
DIRECTED TO DISGORGE
DIRECTED TO CREDIT AMOUNTS TO ESCROW ACCOUNT IN NATIONALISED BANK
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
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
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-JUL-2020 TO 05-JUL-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-JUL-2020 TO 05-JUL-2027
17-MAR-2020
|
SAT: SAT VIDE ITS ORDER DATED 27/05/2020 DIRECTED APPELLANT TO FILE REPLY ON OR BEFORE 15/06/2020
SEBI VIDE ITS ORDER DATED 06/07/2020 DIRECTED TO A) DISGORGE UNLAWFUL GAINS OF RS.2,30,34,010 ALONG WITH SIMPLE INTEREST @12% P.A.FROM 17/11/2015 TILL DATE OF PAYMENT WITHIN 45 (FORTY-FIVE) DAYS FROM DATE OF RECEIPT OF THIS ORDER B) NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK ACCOUNTS HELD BY AMALENDU MUKHERJEE EXCEPT FOR THE PURPOSES OF COMPLIANCE OF THIS ORDER C) DEPOSITORIES AND REGISTRAR AND TRANSFER AGENTS NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI IN RESPECT OF DEMAT ACCOUNTS HELD BY AMALENDU MUKHERJEE EXCEPT FOR THE PURPOSES OF COMPLIANCE OF THIS ORDER D) NOT TO DISPOSE OF OR ALIENATE ANY OF ASSETS/PROPERTIES/SECURITIES TILL SUCH TIME DIRECTION OF THIS ORDER COMPLIED E) NOT TO BUY, SELL OR OTHERWISE DEAL IN SECURITIES MARKET IN ANY MANNER OR ACCESS SECURITIES MARKET, DIRECTLY OR INDIRECTLY FROM THE DATE OF THIS ORDER TILL EXPIRY OF SEVEN YEARS FROM DATE OF COMPLETION OF PAYMENT OF DISGORGEMENT AMOUNT ALONG WITH INTEREST AND ALSO RESTRAINED FROM ASSOCIATING HIMSELF WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM DATE OF THIS ORDER TILL EXPIRY OF SEVEN YEARS FROM DATE OF COMPLETION OF PAYMENT OF DISGORGEMENT AMOUNT ALONG WITH INTEREST F) PROVIDE INFORMATION TO SEBI, IN CASE WIFE OF THE NOTICEE IS A JOINT ACCOUNT HOLDER WITH HIM WITHIN ONE WEEK FROM DATE OF RECEIPT OF THIS ORDER I) DETAILS OF PAYMENT MADE TO JOINT ACCOUNT AS EVIDENCED BY BANK STATEMENT FOR RELEVANT PERIOD II) DOCUMENTARY PROOF OF SOURCE OF INCOME OF NOTICEE’S WIFE FOR THE CREDITS MENTIONED IN JOINT ACCOUNT III) COPY OF INCOME TAX STATEMENT OF NOTICEE’S WIFE FOR RELEVANT FINANCIAL YEARS CORRESPONDING TO THE CREDITS IN THE BANK ACCOUNT IV) CERTIFICATE OF CHARTERED ACCOUNTANT ON VERIFICATION OF THE DOCUMENTS STATING THAT MONEY CREDITED IN JOINT ACCOUNT BELONGS TO HIS WIFE
|
| 35 |
|
|
AMAR JIT SINGH SORAN
(PAN:AAMPS1208C)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(2) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INDIAN ENERGY EXCHANGE LTD.
|
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.22,65,05,625
DIRECTED TO IMPOUND BANK ACCOUNTS
DIRECTED TO OPEN FIXED DEPOSIT ACCOUNTS IN THEIR NAMES TO CREDIT OR DEPOSIT IMPOUNDING AMOUNT WITH A LIEN MARK IN FAVOUR OF SEBI AND AMOUNT KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-OCT-2025 UNTIL FURTHER ORDERS
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS WITHOUT PERMISSION OF SEBI
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER
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 NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES TILL SUCH TIME UNLAWFUL GAINS CREDITED TO FIXED DEPOSIT ACCOUNT EXCEPT WITH PRIOR PERMISSION OF 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
15-OCT-2025
|
SAT: SAT VIDE ITS ORDER DATED 17/12/2025 A) DIRECTED APPELLANTS TO SUBMIT AFFIDAVIT TO SEBI WITH CERTIFICATE OF VALUATION OF IMMOVABLE PROPERTIES BY CERTIFIED VALUER EMPANELMENT WITH INCOME TAX DEPARTMENT WITHIN ONE WEEK FROM DATE OF THIS ORDER B) STAYED IMPUGNED ORDER SUBJECT TO DEPOSIT RS.50 CRORE IN NATIONALIZED BANK WITH LIEN MARKED IN FAVOUR OF SEBI C) SEBI TO PROVIDE INSPECTION WITHIN ONE WEEK AND APPELLANTS TO FILE REPLY/SUBMISSION WITHIN FOUR WEEKS THEREAFTER. NO COSTS
|
| 36 |
|
|
AMAR NARENDRA GALA
(PAN:AEIPG9529A)
|
|
|
|
ENBEE TRADE & FINANCE LTD.
PAN:AAACE6791P
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1)(B) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ENBEE TRADE & FINANCE LTD.
|
IMPOSED PENALTY RS.1,00,000
31-AUG-2018
|
|
| 37 |
|
|
AMBAR GAUTAM KULKARNI
(PAN:AIVPK1247L)
(Along with : JYOTSNA GAUTAM KULKARNI,
NIHAL GAUTAM KULKARNI)
|
|
|
TRADED WHILE IN POSSESSION OF NON-PUBLIC INFORMATION OF CAPITAL LOSS 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 KIRLOSKAR BROTHERS LTD.
TRADED ON BEHALF OF KIRLOSKAR INDUSTRIES LTD. WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(I) AND 2(HA) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF KIRLOSKAR BROTHERS LTD.
|
DIRECTED TO DISGORGE RS.2,51,54,950 ALONG WITH OTHER ENTITIES/PERSONS
20-OCT-2020
|
SAT: SAT VIDE ITS ORDER DATED 12/10/2022 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDERS DATED 28/10/2020
|
| 38 |
|
|
AMEE ASHOK KADVANI
(PAN:AIYPK7209F)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ATLANTA INFRASTRUCTURE & FINANCE LTD.
|
IMPOSED PENALTY RS.50,000
30-AUG-2022
|
|
| 39 |
|
|
AMEE DHIREN SHAH
(PAN:BMIPS9852B)
|
|
|
|
AFFLUENCE FINCON SERVICE PVT.LTD.
PAN:AAHCA7554R
|
|
|
SHAH DHIREN MAHENDRAKUMAR (HUF)
PAN:ABBHS0132B
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND (E) OF SEBI ACT, 1992 AND REGULATIONS 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INFIBEAM AVENUES LTD.
|
DIRECTED TO DISGORGE RS.2,60,93,086 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT AMOUNTS TO ESCROW ACCOUNT IN NATIONALISED BANK
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
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
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 27-APR-2021 TO 26-APR-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
24-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 07/09/2020 DIRECTED APPELLANTS TO PROVIDE FIXED DEPOSIT OF RS.2,60,93,085.85 IN NAME OF SEBI FOR ONE YEAR WITHIN TWO SEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATED 27/04/2021 DIRECTED TO A) RESTRAIN FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH THE SECURITIES MARKET IN ANY MANNER, WHATSOEVER, FOR A PERIOD OF ONE (1) YEAR, FROM THE DATE OF THIS ORDER B) DISGORGED AMOUNT OF RS.2,60,93,085.85 SHALL BE REMITTED TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF) AS PER SAT VIDE ITS ORDER DATED 07/09/2020 C) DURING THE PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING MUTUAL FUNDS UNITS SHALL REMAIN FROZEN
SAT: SAT VIDE ITS ORDER DATED 07/05/2021 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER THREE WEEK THEREAFTER. LISTED MATTER FOR ADMISSION AND FINAL DISPOSAL ON 05/07/2021. FURTHER STAYED EFFECT AND OPERATION OF IMPUGNED ORDER AND DIRECTED THAT THE DEPOSITS OF RS 2.61 CRORE LYING WITH SEBI TO CONTINUE IN THE FIXED DPOSIT DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 10/10/2024 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 27/04/2021
|
| 40 |
|
|
AMEE DHIREN SHAH
(PAN:BMIPS9852B)
|
|
|
|
AFFLUENCE FINCON SERVICE PVT.LTD.
PAN:AAHCA7554R
|
|
|
SHAH DHIREN MAHENDRAKUMAR (HUF)
PAN:ABBHS0132B
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND (E) OF SEBI ACT, 1992 AND REGULATIONS 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INFIBEAM AVENUES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2021 TO 26-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-APR-2021 TO 26-APR-2023
IMPOSED PENALTY RS.15,00,000
24-AUG-2020
|
SEBI VIDE ITS ORDER DATED 27/04/2021 DIRECTED TO A) RESTRAIN FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, IN ANY MANNER, WHATSOEVER, FOR A PERIOD OF TWO (2) YEARS, FROM THE DATE OF THIS ORDER B) DIRECTED TO PAY PENALTY OF RS.15 LACS EACH U/S 15G OF SEBI ACT. WITHIN A PERIOD OF FORTY-FIVE (45) DAYS, FROM THE DATE OF RECEIPT THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 07/05/2021 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER THREE WEEK THEREAFTER. LISTED MATTER FOR ADMISSION AND FINAL DISPOSAL ON 05/07/2021. FURTHER STAYED EFFECT AND OPERATION OF IMPUGNED ORDER AND DIRECTED THAT THE DEPOSITS OF RS 2.61 CRORE LYING WITH SEBI TO CONTINUE IN THE FIXED DPOSIT DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 10/10/2024 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 27/04/2021
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 2 of 50
|
