| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
A.SIVAKUMARAN
(PAN:AIYPS4944H)
|
|
|
|
KAASHYAP TECHNOLOGIES LTD.
CIN:U72300TN1997PLC038233
PAN:AAACK4451A
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION OF GDR ISSUE VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF KAASHYAP TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.10,00,000
29-JUL-2022
|
SEBI VIDE ITS NOTICE DATED 17/05/2023 DIRECTED TO PAY RS.11,11,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 08/06/2023 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 31/07/2023 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 08/06/2023
SEBI VIDE ITS ORDER DATED 31/07/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6545 OF 2023 DATED 17/05/2023
SAT: SAT VIDE ITS ORDER DATED 04/09/2023 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 29/07/2022
SEBI VIDE ITS NOTICE DATED 08/09/2023 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 08/06/2023
SEBI VIDE ITS NOTICE DATED 08/09/2023 CANCELLED RECOVERY CERTIFICATE AS PER SAT ORDER DATED 04/09/2023
|
| 22 |
|
|
A.SRIDHAR
|
|
|
DID NOT ENSURE IMPLEMENTATION OF MODEL CODE OF CONDUCT VIOLATING CLAUSES 1.2, 3.2, 4.2, 5 AND 6 OF SCHEDULE I, PART A OF MODEL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR LISTED COMPANIES UNDER REGULATIONS 12(1) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PALRED TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.2,00,000
20-OCT-2021
|
|
| 23 |
|
|
A.SRINIVAS
(PAN:AHZPA1708R)
|
|
|
|
ABHISHEK INFRAVENTURES LTD.
PAN:AAACE2100L
|
|
MISUSED THE FUNDS RAISED THROUGH PREFERENTIAL ALLOTMENT VIOLATING SECTIONS 12(A) TO 12A(B) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ABHISHEK INFRAVENTURES LTD.
|
IMPOSED PENALTY RS.14,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-SEP-2022
|
|
| 24 |
|
|
A.V.SHAH
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF SAFAL HERBS LTD. (FORMERLY KNOWN AS PARIKH HERBALS LTD.)
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF SAFAL HERBS LTD. (FORMERLY KNOWN AS PARIKH HERBALS LTD.)
|
IMPOSED PENALTY RS.1,00,000
20-SEP-2023
|
SEBI VIDE ITS NOTICE DATED 03/09/2024 DIRECTED TO PAY RS.1,14,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 25/11/2024 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 23/12/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,17,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 25 |
|
|
A.VENKATESWARLU
(PAN:BKEPA5210K)
|
|
|
|
VENMAX DRUGS & PHARMACEUTICALS LTD.
PAN:AAACY1073C
|
|
INDULGED IN MIS-STATEMENT OF ACCOUNTS AND DIVERSION OF FUNDS FROM LISTED COMPANY AND/OR ITS SUBSIDIARIES/ASSOCIATES VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) AND 4(2)(F) & (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CG POWER & INDUSTRIAL SOLUTIONS LTD.
|
IMPOSED PENALTY RS.6,00,000
14-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 10/01/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 08/03/2022ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 20/04/2022 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 27/04/2022 DIRECTED ALL THE BANKS TO REMIT RS.6,57,614.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.A.VENKATESWARLU TO SEBI BY WAY OF EFT/NEFT/RTGS
SAT: SAT VIDE ITS ORDER DATED 14/11/2022 PARTLY ALLOWED THE APPEAL BY SETTING ASIDE THE IMPUGNED ORDER DATED 14/07/2021
SEBI VIDE ITS ORDER DATED 27/12/2022 CANCELLED RECOVERY CERTIFICATE AS PER SAT ORDER DATED 14/11/2022
|
| 26 |
|
|
A.Y.FAZALBHOY
(PAN:AACPF3671J)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PHIL CORP.LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF PHIL CORP.LTD.
|
IMPOSED PENALTY RS.3,00,000
23-MAR-2020
|
|
| 27 |
|
|
AADITYA TIKMANI
(PAN:AENPA3339M)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF UV BOARDS LTD.
|
IMPOSED PENALTY RS.1,00,000
05-NOV-2020
|
|
| 28 |
|
|
AAHUTI RASIK MISTRY
(PAN:AKSPM8453F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SADHNA BROADCAST LTD. USING MISLEADING YOUTUBE VIDEOS WITH FALSE CONTENT BACKED BY PAID MARKETING CAMPAIGN
|
IMPOSED PENALTY RS.5,00,000
29-MAY-2025
|
SAT: SAT VIDE ITS ORDER DATED 11/07/2025 GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER. STAYED RECOVERY SUBJECT TO DEPOSIT 50% PENALTY AND/OR DISGORGEMENT AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 02/09/2025 CONDONED THE DELAY OF FIVE DAYS IN FILING OF APPEAL. GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED IMPUGNED ORDER SUBJECT TO DEPOSIT OF 50% PENALTY AND DISGORGEMENT AMOUNT WITH RESPONDENT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 18/09/2025 CONDONED THE DELAY OF 12 DAYS IN FILING OF APPEAL. GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. STAYED RECOVERY SUBJECT TO DEPOSIT OF 50% PENALTY AND DISGORGEMENT AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 19/11/2025 CONDONED THE DELAY OF 88 DAYS IN FILING OF APPEAL. GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
|
| 29 |
|
|
AAKANSHA RAJENDRA SURANA
(PAN:BINPS1338B)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF GAYATRI SUGARS LTD.
|
IMPOSED PENALTY RS.5,00,000
31-MAY-2023
|
SAT: SAT VIDE ITS ORDER DATED 08/08/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED PENALTY AMOUNT IMPOSED UPON THE APPELLANTS
SEBI VIDE ITS NOTICE DATED 21/08/2023 DIRECTED TO PAY RS.5,16,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 31/08/2023, DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE. STAYED PENALTY AMOUNT IMPOSED UPON APPELLANTS
SAT: SAT VIDE ITS ORDER DATED 10/10/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 01/12/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 24/01/2024 STAYED THE EFFECT AND OPERATION OF IMPUGNED ORDER TILL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 22/05/2024 GRANTED APPELLANT FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 04/10/2024 GRANTED APPELLANTS FOUR WEEKS TO FILE REJOINDER
|
| 30 |
|
|
AAKASH DILIP DOSHI
(PAN:AILPD8283D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF DARSHAN ORNA LTD. USING SOCIAL MEDIA CHANNELS
|
IMPOSED PENALTY RS.90,00,000
30-JUL-2025
|
SAT: SAT VIDE ITS ORDER DATED 16/09/2025 GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN THREE WEEKS THEREAFTER. NO COERCIVE ACTION SUBJECT TO DEPOSIT 50% PENALTY AMOUNT WITHIN EIGHT WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 13/10/2025 GRANTED EIGHT WEEKS INSTEAD OF FOUR WEEKS TO DEPOSIT 50% OF PENALTY AMOUNT
SAT: SAT VIDE ITS ORDER DATED 26/11/2025 SET ASIDE IMPUGNED ORDER DATED 30/07/2025 AND MATTER REMITTED TO AO FOR FRESH CONSIDERATION IN ACCORDANCE WITH LAW. NO COSTS
|
| 31 |
|
|
AAKASH JOSHI
(PAN:AINPJ4355Q)
|
|
|
|
BOURSE INDIA INVESTMENT ADVISOR
PAN:AANFB7695P
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
DISSEMINATED FALSE AND MISLEADING INFORMATION ON WEBSITE SHOWING FIRM AS AN INVESTMENT ADVISOR WITH LONG EXPERIENCE AND CLAIMED HIGH RETURNS AND MAXIMUM BENEFITS ETC.
|
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 ACCEPT REFUND CLAIMS/REQUESTS FROM THE PUBLIC
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
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 25-AUG-2023 TO 24-AUG-2025
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-AUG-2023 TO 24-AUG-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-AUG-2023 TO 24-AUG-2025
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 25-AUG-2023 TO 24-AUG-2025
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI FROM 25-AUG-2023 TO 24-AUG-2025
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
25-AUG-2023
|
SAT: SAT VIDE ITS ORDER DATED 12/01/2024 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 21/02/2024 GRANTED ADDITIONAL THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 17/10/2024 DIRECTED TO PAY RS.6,91,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 17/10/2024 DIRECTED TO PAY RS.1,22,82,409.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 32 |
|
|
AAKASH PRAKASH SHAH
(PAN:BFCPS3505J)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
31-AUG-2021
|
SAT: SAT VIDE ITS ORDER DATED 29/11/2022 CONDONED THE DELAY IN FILING OF APPEAL AND DISPOSED OF THE APPEAL DIRECTING APPELLANT TO FILE APPROPRIATE APPLICATION FOR SETTLEMENT BEFORE THE AUTHORITY WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 33 |
|
|
AAKESH CHOPRA
(PAN:AENPC7889Q)
(Along with : KIRTI SALVI,
AMBRISH BARSATI PAL)
|
|
|
|
MPF SYSTEMS LTD.
PAN:AADCM7896A
|
|
DID NOT DEMONSTRATE ANY STEP TO RECOVER SUNDRY DEBTS AND ALSO FAILED TO FILE ANY DOCUMENT TO SUBSTANTIATE THEIR SUBMISSION TO RECTIFY ERROR MADE BY EARLIER MANAGEMENT VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1), 4(2)(F) & (R) OF PFUTP REGULATIONS, 2003
ACCEPTED LOANS & ADVANCES FROM DIRECTORS (INCLUDING INDEPENDENT DIRECTORS) WITHOUT SPECIFYING THE TERMS OF REPAYMENT AND PAYING/CHARGING ANY INTEREST
DID NOT ADHERE TO SEBI REGULATIONS APPROVING LOAN TRANSACTIONS BETWEEN COMPANY AND DIRECTORS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(A) TO 3(D) & 4(1), 4(2)(F) & (R) OF PFUTP REGULATIONS, 2003
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2020
|
SEBI VIDE ITS ORDER DATED 22/12/2020 ENHANCED PENALTY AMOUNT FROM RS.6.00 LACS TO RS.10.00 LACS AND DIRECTED TO PAY WITHIN FORTY FIVE DAYS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 16/03/2021 ALLOWED TWO WEEKS TIME TO FILE APPROPRIATE APPLICATION ALONG WITH AFFIDAVIT FOR CONDONING THE DELAY
SAT: SAT VIDE ITS ORDER DATED 06/04/2021 CONDONED THE DELAY IN FILING OF APPEAL. ALLOWED RESPONDENT FOUR WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 24/03/2022 ALLOWED THE APPEAL AND QUASHED AND SET ASIDED IMPUGNED ORDER DATED 22/12/2020. MATTER REMITTED TO AO TO DECIDE THE MATTER AFRESH
SEBI VIDE ITS ORDER DATED 26/05/2022 REDUCED PENALTY TO RS.5 LAC FROM RS.10 LAC U/S 15HA OF SEBI ACT,1992 AND PAID BY THE NOTICES JOINTLY AND SEVERALLY
SAT: SAT VIDE ITS ORDER DATED 04/09/2023 DISMISSED THE APPEAL
SEBI VIDE ITS NOTICE DATED 11/12/2023 DIRECTED TO PAY RS.12,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 02/01/2024 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 04/01/2024 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 02/01/2024
SEBI VIDE ITS ORDER DATED 04/01/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7452 OF 2023 DATED 11/12/2023
|
| 34 |
|
|
AAKESH CHOPRA
(PAN:AENPC7889Q)
(Along with : KIRTI SALVI,
ANIL KOTHARI,
AMBRISH BARSATI PAL)
|
|
|
|
MPF SYSTEMS LTD.
PAN:AADCM7896A
|
|
DID NOT FOLLOW PRINCIPLES OF CORPORATE GOVERNANCE TO PROTECT RIGHTS OF MINOR SHAREHOLDERS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(A) TO 3(D) & 4(1), 4(2)(F) & (R) OF PFUTP REGULATIONS, 2003
DID NOT CLEAR STATUS REGARDING NUMBER OF INDEPENDENT DIRECTOR DURING INVESTIGATION PERIOD VIOLATING REGULATION 17 OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE PROVISION OF INDEPENDENT DIRECTOR IN AUDIT COMMITTEE IN ANNUAL REPORT OF 2014 VIOLATING REGULATION 18(1) (B) OF SEBI (LODR) REGULATIONS, 2015
MISREPRESENTED ACCOUNTING STANDARD AND FINANCIAL DISCLOSURE VIOLATING REGULATION 33(2) (A) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2020
|
SEBI VIDE ITS ORDER DATED 22/12/2020 ENHANCED PENALTY AMOUNT FROM RS.4.00 LACS TO RS.6.00 LACS AND DIRECTED TO PAY WITHIN FORTY FIVE DAYS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 16/03/2021 ALLOWED TWO WEEKS TIME TO FILE APPROPRIATE APPLICATION ALONG WITH AFFIDAVIT FOR CONDONING THE DELAY
SAT: SAT VIDE ITS ORDER DATED 06/04/2021 CONDONED THE DELAY IN FILING OF APPEAL. ALLOWED RESPONDENT FOUR WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 24/03/2022 ALLOWED THE APPEAL AND QUASHED AND SET ASIDED IMPUGNED ORDER DATED 22/12/2020. MATTER REMITTED TO AO TO DECIDE THE MATTER AFRESH
SEBI VIDE ITS ORDER DATED 26/05/2022 REDUCED PENALTY TO RS.5 LAC FROM RS.6 LAC U/S 23E AND 23H OF SCRA,1956 AND PAID BY THE NOTICES JOINTLY AND SEVERALLY
SAT: SAT VIDE ITS ORDER DATED 04/09/2023 DISMISSED THE APPEAL
SEBI VIDE ITS NOTICE DATED 11/12/2023 DIRECTED TO PAY RS.12,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 02/01/2024 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 04/01/2024 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 02/01/2024
SEBI VIDE ITS ORDER DATED 04/01/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7452 OF 2023 DATED 11/12/2023
|
| 35 |
|
|
AALIYA SARESHWALA
|
|
|
|
PARSOLI CORP.LTD.
PAN:AABCP9030F
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF PARSOLI CORP.LTD.
ENTERED INTO OFF-MARKET TRANSACTIONS WHICH WERE NOT IN THE NATURE OF SPOT DELIVERY CONTRACTS VIOLATING SECTIONS 13 AND 16 READ WITH SECTION 18 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
IMPOSED PENALTY RS.3,00,000
01-MAR-2011
|
SAT: APPEAL DISMISSED
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 16/12/2013 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 30/05/2022 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 16/12/2013
|
| 36 |
|
|
AANAND BALAVANTRAI BOGHANI
(PAN:AGIPB2369K)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ANUKARAN COMMERCIAL ENTERPRISES LTD.
|
IMPOSED PENALTY RS.5,00,000
10-MAR-2021
|
|
| 37 |
|
|
AANANDI SURI
(PAN:BSQPS6893G)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10 AND 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MOREPEN LABORATORIES LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-MAR-2018
|
|
| 38 |
|
|
AANCHAL JAIN
|
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|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1),13(3),13(4),13(4A) AND 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF FIEM INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1), 29(2) & 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF FIEM INDUSTRIES LTD.
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IMPOSED PENALTY RS.1,00,000
03-FEB-2015
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| 39 |
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AANCHAL JINDAL
(PAN:AIHPJ4158R)
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DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF PAWANSUT HOLDINGS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF PAWANSUT HOLDINGS LTD.
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IMPOSED PENALTY RS.3,00,000
30-AUG-2019
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SEBI VIDE ITS NOTICE DATED 04/03/2020 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
SEBI VIDE ITS ORDER DATED 30/07/2020 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 04/03/2020
SAT: SAT VIDE ITS ORDER DATED 27/08/2021 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 31/08/2021 PARTLY ALLOWED THE APPEAL BY REDUCING THE PENALTY AMOUNT TO RS.3 LAC FROM RS.10.50 LAC TO BE PAID WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATED 18/11/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.2754 OF 2020 DATED 13/01/2020
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| 40 |
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AANCHAL JINDAL
(PAN:AIHPJ4158R)
|
|
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DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF FOCUS INDUSTRAIAL RESOURCES LTD.
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IMPOSED PENALTY RS.1,00,000
22-SEP-2020
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SAT: SAT VIDE ITS ORDER DATED 01/07/2021 CONDONED THE DELAY OF 82 DAYS IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 10/08/2021 APPELLANTS FILE THE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER
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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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| Page 2 of 586
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