| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 381 |
|
S.MADHAVA
|
|
|
|
BELLARY STEELS & ALLOYS LTD.
|
|
|
PANCHALOHA HOTEL PVT.LTD.
CIN:U55101KA1997PTC021707
|
|
|
S.N.FINANCE LTD.
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 382 |
|
|
S.N.BANSAL
|
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACCUSED IS DECLARED PO. FILE CONSIGNED TO RR
|
| 383 |
|
|
S.RAMANI
|
|
|
|
PENTAMEDIA GRAPHICS LTD.
CIN:L74210TN1976PLC007142
PAN:AAACP1647B
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 384 |
|
|
SAILESH BHATT
|
|
|
|
EKTA CERAMICS LTD.
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SECTION 26 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 385 |
|
|
SAMPAT KUMAR PAREKH
|
|
|
|
UNIQUE INVESTMENTS
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 12 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 386 |
|
|
SANDEEP VYAS
|
|
|
|
PARVATI CASTINGS PVT.LTD.
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 387 |
|
|
SANJAY DALMIA
(PAN:AADPD9438N)
|
|
|
REPORTED INFLATED SHAREHOLDING OF PROMOTERS IN MATTER OF GHCL LTD.
|
IMPOSED PENALTY RS.25,00,000
25-OCT-2013
|
SAT: APPEAL DISMISSED. NO COSTS
|
| 388 |
|
|
SANJAY GUPTA
|
|
|
|
AMBIKA FERRO ALLOYS PVT.LTD.
|
|
|
INFORMATION TECHNOLOGIES (INDIA) LTD.
CIN:U65910UP1994PLC017049
PAN:AAACI1891E
|
|
|
VEDANT STEEL CASTING & FORGING PVT.LTD.
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 389 |
|
|
SANJAY KOTHARI
|
|
|
VIOLATED REGULATION 4(A) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 4(B) OF SEBI (PFUTP) REGULATIONS, 1995
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
COMPOUNDED ON PAYMENT OF PENALTY AMOUNT AND LEGAL COST OF RS.31,75,250.00
|
| 390 |
|
|
SANJAY TIBREWALA
(PAN:ACQPT0742E)
|
|
|
MISLED INVESTORS BY INDIRECTLY APPLIED IN THE IPO OF FINEOTEX CHEMICALS LTD. THROUGH TWO HNI CLIENTS VIOLATING REGULATIONS 57(1), 60(4) (A) AND 60(7) (A) AND CLAUSE 2(XVI) (B) (2) OF PART A OF SCHEDULE VIII READ WITH REGULATION 57(2) (A) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
ENGAGED INDIRECTLY TWO HNI CLIENTS TO APPLY IN IPO OF FINEOTEX CHEMICALS LTD. AND RECEIVED FUNDS BACK FROM THEM AFTER SALE OF SHARES ON FIRST DAY OF LISTING VIOLATING SECTION 12A (A), (B), (C) OF SEBI ACT READ WITH REGULATIONS 3(A) TO 3(D) READ WITH REGULATIOJN 4(1), 4(2) (C) AND 4(2) (K) OF SEBI (PFUTP) REGULATIONS, 2003
|
IMPOSED PENALTY RS.25,00,000
29-JAN-2018
|
|
| 391 |
|
|
SANJAYKUMAR RAMGOPAL TAPARIA
(DIN:01186470
PAN:ABLPT6544N)
|
|
|
|
TULSI EXTRUSIONS LTD.
CIN:L29120MH1994PLC081182
PAN:AAACT8441P
|
|
INDULGED IN FACILITATING SUBSCRIPTION OF GDRS BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY (TULSI) PLEDGED GDR WITH EURAM BANK VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1) OF PFUTP REGULATIONS, 2003 IN MATTER OF TULSI EXTRUSIONS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-MAR-2019 TO 27-MAR-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-MAR-2019 TO 27-MAR-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-MAR-2019
|
SAT: SAT VIDE ITS ORDER DATED 02/09/2021 PARTLY ALLOWED THE APPEAL BY REDUCING PERIOD OF DEBARMENT TO TWO AND HALF YEAR FROM FIVE YEARS
|
| 392 |
|
|
SANJEEV SUNDER
|
|
|
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
|
|
| 393 |
|
|
SANTOSH GUPTA
|
|
|
|
TAURAS PORTFOLIOS LTD.
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 394 |
|
|
SARITA CHOWDHURI
|
|
|
|
HARIYANA METALS LTD.
|
|
|
SHRI GOPAL FINANCE LTD.
|
|
|
UTTAM INVESTMENTS
|
|
VIOLATED REGULATION 3 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CHIEF METROPOLITAN MAGISTRATE ESPLANADE COURT MUMBAI VIDE ITS ORDER DATED 12/02/2014 DISPOSED OFF THE CASE
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.360000.00 TO SEBI
|
| 395 |
|
|
SARVESH GARG
|
|
|
|
DESIGN AUTO SYSTEMS LTD.
CIN:U03410MP1987PLC003941
|
|
VIOLATED REGULATION 3 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATIONS 4 (A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CASE DISMISSED BY COURT. IN REVISION FILED BY SEBI, THE CASE AGAINST ACCUSED NO. 1, 2 AND OTHER DIRECTORS OF ACCUSED NO. 1 WERE COMPOUNDED ON PAYMENT OF RS. 7,75,000/- AND CASE AGAINST ACCUSED NO. 3 TO 9 PENDING IN SESSION COURT
CLUBBED WITH CONSENT FOR RS.7,75,000
|
| 396 |
|
|
SATISH R.SHAH
(PAN:ACBPS8940G)
|
|
|
|
SAWACA BUSINESS MACHINES LTD.
|
|
|
SAWACA COMMUNICATION LTD.
CIN:L64201GJ1995PLC024912
|
|
FAILED TO PAY PENALTY
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.4,64,954.00
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.6,15,955.00
|
| 397 |
|
|
SATYA PRAKASH MITTAL
(PAN:ABJPM0511C)
|
|
|
|
SYBLY INDUSTRIES LTD.
PAN:AACCS6886M
|
|
DEVISED AND IMPLEMENTED SCHEME WHICH FACILITATED SUBSCRIPTION OF GDRS BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA BY PLEDGING GDR VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1) AND 4(2)(F), (K) & (R) OF PFUTP REGULATIONS, 2003 IN MATTER OF SYBLE INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-NOV-2018 TO 14-JUL-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-NOV-2018 TO 14-JUL-2022
16-NOV-2018
|
SAT: SAT VIDE ITS ORDER DATED 11/08/2021 DIRECTED APPELLANT TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND RESPONDENT TO FILE REJOINDER TWO WEEKS THEREAFTER
|
| 398 |
|
|
SATYA PRAKASH MITTAL
(PAN:ABJPM0511C)
|
|
|
INDULGED IN ISSUANCE OF GDRS FRAUDULENTLY AND EXECUTED PLEDGE AGREEMENT ON BEHALF OF SYBLY VIOLATING SECTION 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 SYBLY INDUSTRIES LTD.
|
IMPOSED PENALTY RS.10,00,000
27-MAR-2019
|
SEBI VIDE ITS NOTICE DATED 03/09/2019 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
SAT: SAT VIDE ITS ORDER DATED 25/01/2021 DISMISSED THE APPEAL
|
| 399 |
|
|
SAUMIL A.BHAVNAGARI
(PAN:ABMPB3581C)
|
|
|
|
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
|
|
| 400 |
|
|
SAURABH SURESHBHAI PANDYA
|
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
30-JUN-2010
|
|
| 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 25
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