| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 381 |
|
DHAVAL RAJESH GORASIA
(PAN:AGQPG9683F)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 382 |
|
|
DHILIN HARSHAD MEHTA
(PAN:AFWPM0506N)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3) AND 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SHREE ASHTAVINAYAK CINE VISION LTD.
DID NOT POST CODE OF CONDUCT ON THE WEBSITE OF THE COMPANY VIOLATING CLAUSE 4.2 OF MODEL CODE OF CONDUCT PART A OF SCHEDULE I READ WITH REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SHREE ASHTAVINAYAK CINE VISION LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8A(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHREE ASHTAVINAYAK CINE VISION LTD.
|
IMPOSED PENALTY RS.6,00,000
27-MAR-2018
|
SEBI VIDE ITS NOTICE DATED 26/11/2018 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 02/02/2021 DIRECTED ALL THE BANKS TO REMIT RS.6,63,516.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR. DHILIN MEHTA BY WAY OF EFT/NEFT/RTGS
|
| 383 |
|
|
DHIRAJ GHAI
(PAN:AAVPG4321P)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
|
| 384 |
|
|
DHIRENDRAKUMAR DHARAMDAS AGARWAL
(PAN:AAZPA8189K)
|
|
|
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 PARICHAY INVESTMENTS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1), 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PARICHAY INVESTMENTS LTD.
|
IMPOSED PENALTY RS.3,00,000
26-SEP-2018
|
SAT: SAT VIDE ITS ORDER DATED 03/05/2019 CONDONED THE DELAY OF 92 DAYS IN FILING OF APPEAL AND PARTLY ALLOWED THE APPEAL BY REDUCING THE PENALTY TO RS.3.00 LACS FROM RS.6.00 LACS AND DIRECTED TO DEPOSIT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 385 |
|
|
DHIRUBHIA SUKKARBHAI NAKIA
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GENUS COMMU-TRADE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GENUS COMMU-TRADE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GENUS COMMU-TRADE LTD.
|
IMPOSED PENALTY RS.50,000
10-JUN-2010
|
|
| 386 |
|
|
DHRENENDRA SHAH
(PAN:AAFPS7919B)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4) READ WITH REGULATION 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF VEER ENERGY INFRASTRUCTURE LTD.
|
IMPOSED PENALTY RS.1,00,000
20-FEB-2013
|
|
| 387 |
|
|
DHRUVA NARAYAN JHA
(PAN:ACVPJ2857K)
|
|
|
|
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
SEBI VIDE ITS ORDER DATED 22/10/2020 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 24/10/2018
|
| 388 |
|
|
DHUMIL V.SHETH
(PAN:AYDPS4431Q)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SHARP INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3), 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SHARP INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 12(1) AND 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHARP INDUSTREIS LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
06-SEP-2017
|
|
| 389 |
|
|
DIGAMBAR PATIL
(PAN:AAGCA0999K)
|
|
|
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 JAYANT MERCANTILE CO.LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF JAYANT MERCANTILE CO.LTD.
|
IMPOSED PENALTY RS.2,00,000
20-DEC-2017
|
SEBI VIDE ITS NOTICE DATED 22/06/2018 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 10/07/2018 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 30/05/2018
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 390 |
|
|
DIKUL M.SHAH
(PAN:AAFHS1796A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 391 |
|
|
DIKUL MAHENDRAKUMAR SHAH
(PAN:ACTPS7330L)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 392 |
|
|
DILEEP MALHOTRA
(PAN:AFBPM6027K)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3), 13(4) AND 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF EMPIRE INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.22,69,712 VIDE CONSENT ORDER)
20-NOV-2017
|
|
| 393 |
|
|
DILIP BEKE
|
|
|
|
ANJUDI PROPERTY & INVESTMENTS PVT.LTD.
|
|
DEALT IN SCRIP OF TATA FINANCE LTD.ON BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JAN-2008 TO 10-JAN-2013
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2008 TO 10-JAN-2013
11-JAN-2008
|
SAT: CASE REMANDED TO SEBI TO ISSUE FRESH NOTICE AND FRESH ORDER BY END OF MARCH 2009
SAT: DIRECTED TO FURNISH LATEST STATEMENT OF DEMAT ACCOUNTS BY 31/10/2008 TO BOARD, THEN BOARD SHALL ALLOW APPLICANT TO SELL ALL SHARES THROUGH RECOGNISED STOCK BROKER AND APPLICANT SHALL FURNISH ALL THE INFORMATION TO BOARD. DIRECTED TO SALE OF SHARE BE COMPLETED BY JANUARY, 2009
|
| 394 |
|
|
DILIP BEKE
|
|
|
|
ANJUDI PROPERTY & INVESTMENTS PVT.LTD.
|
|
DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3 A OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
DISMISSED
THE MATTER IS DISPOSED OFF AS COMPOUNDED
|
| 395 |
|
|
DILIP KUMAR GADIA
|
|
|
ALLEGED FAILURE IN ADOPTION OF CODE OF CONDUCT VIOLATING CLAUSE 1.2 OF MODEL CODE OF CONDUCT AS SPECIFIED UNDER PART A OF SCHEDULE I READ WITH REGULATIONS 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF COROMANDEL INTERNATIONAL LTD. (EARLIER KNOWN AS LIBERTY PHOSPHATE LTD.)
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,80,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
31-OCT-2017
|
|
| 396 |
|
|
DILIP NABERA
|
|
|
DEALT IN SCRIP OF SUN INFOWAYS LTD.ON BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION
|
IMPOSED PENALTY RS.5,00,000
06-NOV-2006
|
SAT: APPEAL ALLOWED.NO ORDER AS TO COSTS
|
| 397 |
|
|
DILIP S.PENDSE
|
|
|
|
KHUDA GAWAH INVESTMENTS PVT.LTD.
|
|
|
NALINI PROPERTIES PVT.LTD.
|
|
DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 13 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3 A OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
SAT: SAT VIDE ITS ORDER DATED 29/08/2017 DISPOSED OFF THE APPEAL. AS COUNSEL FOR THE APPELLANT STATED THAT THE APPELLANT HAS DIED DURING PENDENCY OF THE APPEAL. AS A RESULT PROCEEDINGS QUA THE APPELLANT STANDS ABATED. NO COSTS
DISCHARGED
THE MATTER IS DISPOSED OFF AS COMPOUNDED
DISMISSED
|
| 398 |
|
|
DILIP S.PENDSE
|
|
|
|
NALINI PROPERTIES PVT.LTD.
|
|
|
TATA FINANCE LTD.
|
|
DEALT IN SCRIP OF TATA FINANCE LTD.ON BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION
|
IMPOSED PENALTY RS.5,00,000
27-SEP-2006
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE AND CASE REMITTED BACK TO AO TO ISSUE FRESH SHOW CAUSE NOTICE AND FINAL ORDER THEREAFTER
AS IT IS PROVED THAT ANURADHA PENDSE AND NALINI PROPERTIES PVT.LTD. DEALT IN SHARES OF TATA FINANCE LTD. ON THE BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION COMMUNICATED BY DILIP S.PENDSE. HENCE PENALTY IMPOSED RS.500000.00 EACH
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 16/04/2009 SET ASIDE LEAVING PARTIES TO BEAR THEIR OWN COSTS
SEBI VIDE ITS ORDER DATED 28/07/2017 RE-ITERATED THAT THE PENALTY UNDER SECTION 15G OF THE SEBI ACT IS NOT POSSIBLE IN THE FACTS AND CIRCUMSTANCES OF THIS CASE AS THE NOTICEE HAS EXPIRED AND THE PROCEEDINGS ARE ACCORDINGLY DISPOSED OFF
|
| 399 |
|
|
DILIP S.PENDSE
|
|
|
|
NALINI PROPERTIES PVT.LTD.
|
|
DEALT IN SCRIP OF TATA FINANCE LTD.ON BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-DEC-2007 TO 27-DEC-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2007 TO 27-DEC-2009
11-JAN-2008
|
SAT: CASE REMANDED TO SEBI TO ISSUE FRESH NOTICE AND FRESH ORDER BY END OF MARCH 2009
SAT: DIRECTED TO FURNISH LATEST STATEMENT OF DEMAT ACCOUNTS BY 31/10/2008 TO BOARD, THEN BOARD SHALL ALLOW APPLICANT TO SELL ALL SHARES THROUGH RECOGNISED STOCK BROKER AND APPLICANT SHALL FURNISH ALL THE INFORMATION TO BOARD. DIRECTED TO SALE OF SHARE BE COMPLETED BY JANUARY, 2009
SEBI, VIDE ORDER DATED 31/03/2009 RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING OR ASSOCIATING WITH SECURITIES MARKET IN ANY MANNER OR IN ANY CAPACITY WHATSOEVER FOR A PERIOD OF FIVE YEARS WITH IMMEDIATE EFFECT I.E. FROM 31/03/2009
SAT: SAT VIDE ITS ORDER DATED 29/08/2017 DISPOSED OFF THE APPEAL. AS COUNSEL FOR THE APPELLANT STATED THAT THE APPELLANT HAS DIED DURING PENDENCY OF THE APPEAL. AS A RESULT PROCEEDINGS QUA THE APPELLANT STANDS ABATED. NO COSTS
|
| 400 |
|
|
DILIP S.PENDSE
|
|
|
AIDED IN INSIDER TRADING TRANSACTIONS BY J.E. TALAULICAR IN SHARES OF TATA FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-DEC-2003 TO 21-JUN-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-DEC-2003 TO 21-JUN-2004
22-DEC-2003
|
SAT: APPEAL DISMISSED AS INFRUCTUOUS
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE WITH NO ORDER AS TO COSTS
SAT: SAT VIDE ITS ORDER DATED 29/08/2017 DISPOSED OFF THE APPEAL. AS COUNSEL FOR THE APPELLANT STATED THAT THE APPELLANT HAS DIED DURING PENDENCY OF THE APPEAL. AS A RESULT PROCEEDINGS QUA THE APPELLANT STANDS ABATED. NO COSTS
|
| 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 20 of 82
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