| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 401 |
|
FIVE CORE ELECTRONICS LTD.
(CIN:U32109DL2002PLC148250
PAN:AAACF6709Q)
|
|
|
|
AMARJIT SINGH KALRA
PAN:AKWPK0803H
|
|
|
JAGJIT KAUR KALRA
PAN:ANTPK4395G
|
|
|
SURINDER KAUR KALRA
PAN:AFMPK2461E
|
|
|
SURINDER SINGH KALRA
PAN:AFYPK7984E
|
|
MISUTILIZED AND MIS-APPROPRIATED IPO PROCEEDS OF RS.46.66 CRORES VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 READ WITH REGULATION 3(D) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF FIVE CORE ELECTRONICES LTD.
DEFAULTED IN APPOINTMENT OF COMPANY SECRETARY AS COMPLIANCE OFFICER VIOLATING REGULATION 6 OF SEBI (LODR) REGULATIONS, 2015
DEFAULTED ON APPOINTMENT OF REGISTRAR & SHARE TRANSFER AGENT VIOLATING REGULATION 7 OF SEBI (LODR) REGULATIONS, 2015
DID NOT ADHERE TO INVESTOR GRIEVANCE REPORT VIOLATING REGULATION 13(3) OF SEBI (LODR) REGULATIONS, 2015
DID NOT ADHERE TO SUBMISSION OF SHAREHOLDING PATTERN VIOLATING REGULATION 31 OF SEBI (LODR) REGULATIONS, 2015
DID NOT ADHERE TO SUBMISSION OF FINANCIAL RESULTS VIOLATING REGULATION 33 OF SEBI (LODR) REGULATIONS
|
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 31-MAY-2023 TO 30-MAY-2028
DIRECTED TO EXTEND NECESSARY CO–OPERATION TO INDEPENDENT AUDITOR/AUDIT FIRMS APPOINTED AND FURNISH ALL INFORMATION/DOCUMENTS
RESTRAINED FROM ASSOCIATING WITH ANY INTERMEDIARY REGISTERED WITH SEBI OR ANY LISTED ENTITY OR ITS MATERIAL UNLISTED SUBSIDIARY FROM 31-MAY-2023 TO 30-MAY-2028
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM INVESTORS
DIRECTED NSE TO APPOINT INDEPENDENT AUDITOR/AUDIT FIRM TO CONDUCT DETAILED FORENSIC AUDIT OF BOOKS OF ACCOUNTS OF COMPANY TO CONFIRM MIS-UTILIZATION OF IPO PROCEEDS
23-JUL-2020
|
SEBI VIDE ITS ORDER DATED 08/07/2021 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 23/07/2020
SEBI VIDE ITS ORDER DATED 31/05/2023 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR FIVE YEARS FROM DATE OF THIS ORDER
|
| 402 |
|
|
FLAWLESS TRADERS PVT.LTD.
(PAN:AABCF1377M)
|
|
|
AIDED AND ABETTED RANA SUGARS LTD. AND ITS PROMOTERS/DIRECTORS TO SIPHONING OFF/DIVERSION OF FUNDS FROM RANA SUGARS LTD. VIOLATING SECTIONS 12A(B) AND 12A (C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) AND 3(D) READ WITH 4(1), 4(2)(F) AND 4(2)(K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RANA SUGAR 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 27-AUG-2024 TO 26-AUG-2026
IMPOSED PENALTY RS.3,00,00,000
27-AUG-2024
|
SAT: SAT VIDE ITS ORDER DATED 06/01/2025 GRANTED APPELLANTS A WEEK’S TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 15/01/2025 ALLOWED THE EXEMPTION APPLICATION AND GRANTED EARLIER INTERIM PROTECTION TO BE CONTINUE TILL NEXT DATE OF HEARING
SAT: SAT VIDE ITS ORDER DATED 30/01/2025 GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 06/03/2025 DIRECTED SEBI TO FILE REPLY WITHIN FOUR WEEKS AND REJOINDER, IF ANY, TO BE FILED TWO WEEKS THEREAFTER. IN THE MEANWHILE, SEBI NOT TO INITIATE ANY COERCIVE ACTION AGAINST APPELLANTS
SAT: SAT VIDE ITS ORDER DATED 11/06/2025 CONDONED THE DELAY IN FILING OF REPLY AND GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 403 |
|
|
FLEX TRADE PVT.LTD.
(PAN:AAACF6723A)
|
|
|
|
MANISH AGARWAL
PAN:APLPA3819B
|
|
TRADED INDIRECTLY IN SECURITIES MARKET BY TRANSFERRING FUNDS, DIRECTLY/INDIRECTLY TO CONNECTED ENTITIES DURING THE INVESTIGATION PERIOD AND MADE UNLAWFUL GAINS
|
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 09-APR-2021 TO 08-APR-2025
DIRECTED TO DISGORGE RS.3,30,52,904 ALONG WITH OTHER ENTITIES/PERSONS
09-APR-2021
|
SEBI VIDE ITS NOTICE DATED 21/10/2022 DIRECTED TO PAY RS.3,30,26,842.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 09/11/2022 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 NOTICE DATED 05/01/2023 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 09/11/2022
|
| 404 |
|
|
FORTIS HEALTHCARE LTD.
(PAN:AAACF0987E)
|
|
|
|
BHAVDEEP SINGH
PAN:BHHPS8103F
|
|
|
GAGANDEEP SINGH BEDI
PAN:AOJPB8749L
|
|
AIDED IN MISUSE AND DIVERSION OF PUBLIC SHAREHOLDERS FUNDS THROUGH BORROWER COMPANIES (BEST, FERN AND MODLAND) FOR BENEFIT OF RHC HOLDING PVT.LTD. VIOLATING SECTION 12(C) OF SEBI ACT, 1992 AND REGULATIONS 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FORTIS HEALTHCARE LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF FORTIS HEALTHCARE LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF FORTIS HEALTHCARE 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 19-APR-2022 TO 18-APR-2024
IMPOSED PENALTY RS.5,00,00,000
19-APR-2022
|
|
| 405 |
|
|
FORTUNATE INFRA DEVELOPERS PVT.LTD.
(PAN:AABCF4418M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF YAMINI INVESTMENTS CO.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 04-SEP-2023 TO 03-SEP-2025
04-SEP-2023
|
SAT: SAT VIDE ITS ORDER DATED 09/11/2023 CONDONED THE DELAY IN FILING OF APPEAL. IN THE MEANWHILE, RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE. STAYED EFFECT AND OPERATION OF THE IMPUGNED ORDER
|
| 406 |
|
|
FREXON SUPPLIERS PVT.LTD.
(PAN:AADCF4723H)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF MAURIA UDYOG LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF 7NR RETAIL LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF DARJEELING ROPEWAY CO.LTD. (NOW KNOWN AS DARJEELING INDUSTRIES LTD.)
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF GBL INDUSTRIES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF VISHAL FABRICS LTD.
|
IMPOSED PENALTY RS.50,00,000
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 30-JUN-2026 TO 29-JUN-2030
30-JUN-2026
|
SAT: SAT VIDE ITS ORDER DATED 11/09/2026 ALLOWED RESPONDENT SIX WEEK TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED IMPUGNED ORDER
|
| 407 |
|
|
FUNCTION FINANCIAL CONSULTANTS PVT.LTD.
(PAN:AABCF5486H)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF MYSTIC ELECTRONICS LTD. (EARLIER KNOWN AS PEARL ELECTRONICS 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 26-JUN-2020 TO 25-JUN-2021
26-JUN-2020
|
|
| 408 |
|
|
FUTURE CORPORATE RESOURCES LTD.
(PAN:AAJCS3979E)
|
|
|
|
ANIL BIYANI
PAN:AACPB0200F
|
|
|
KISHORE BIYANI
PAN:AACPB0199B
|
|
|
RAJESH PATHAK
PAN:ALIPP6155A
|
|
|
RAJKUMAR PANDE
PAN:AHTPP4635J
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF FUTURE RETAIL 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 03-FEB-2021 TO 02-FEB-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-FEB-2021
|
SAT: SAT VIDE ITS ORDER DATED 09/04/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 20/12/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 03/02/2021. NO COSTS
|
| 409 |
|
|
FUTURE INVESTMENT
(PAN:ECYPK7182R)
|
|
|
|
PINKY KELVA
PAN:ECYPK7182R
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
PRESSURISED CLIENTS TO BUY MULTIPLE PRODUCTS AND PAY ADDITIONAL AMOUNT
SOLD PRODUCTS TO CLIENTS WHICH WERE NOT SUITABLE TO RISK PROFILE OF THE CLIENTS
INITIALLY ASKED ITS CLIENTS TO PAY A SMALL AMOUNT TOWARDS FEES BUT LATER ON FORCED THEM TO PAY LARGER AMOUNTS
DID NOT REFUND THE FEE TAKEN IN ADVANCED FROM CLIENTS
SOUGHT FROM ITS CLIENT’S TRADING ACCOUNT USER ID AND PASSWORD FROM ITS CLIENTS
DID NOT REDRESS INVESTOR COMPLAINTS
|
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 29-SEP-2020 TILL FURTHER ORDERS
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 29-SEP-2020 TILL FURTHER ORDERS
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 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 NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 29-SEP-2020 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
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
29-SEP-2020
|
SEBI VIDE ITS ORDER DATED 03/06/2021 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 29/09/2020
|
| 410 |
|
|
FUTURE INVESTMENT
(PAN:ECYPK7182R)
|
|
|
|
PINKY KELVA
PAN:ECYPK7182R
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
CHARGED EXTRA MONEY FROM CLIENTS/INVESTORS
SOLD MULTIPLE PACKAGES AND COLLECTS MULTIPLE PAYMENTS IN A SHORT PERIOD FROM CLIENTS
SOLD ADVISORY SERVICES PRIOR TO COMMUNICATION OF RISK PROFILE
DID NOT OBTAIN TRADING ACCOUNT CREDENTIALS FROM CLIENTS FOR TRADING ON THEIR BEHALF
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES IN STIPULATED TIME
DID NOT REDRESS INVESTOR COMPLAINTS
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 24-NOV-2023 TO 23-NOV-2024
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 24-NOV-2023 TO 23-NOV-2024
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
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
24-NOV-2023
|
|
| 411 |
|
|
G.V.FILMS LTD.
(CIN:L92490MH1989PLC238780
PAN:AAACG2118C)
|
|
|
|
BALAKUMAR VETHAGIRI GIRI
PAN:AADPG2683A
|
|
|
DINESH MOHAN NAIK
PAN:ACAPN2393M
|
|
|
NAVALPAKKAM KUPPAN RAJENDIRAN
PAN:AAFPR1465F
|
|
|
SAIDAPET PACHAI DHANARAJ
PAN:AACPD6781H
|
|
|
SHIVKUMAR BHANUPRATAP SINGH
PAN:AKIPS3532R
|
|
|
SUDHAKAR MALLAPPA SHETTY
PAN:ALPPS0603R
|
|
|
SURESH BOMMAYYA AMIN
PAN:ADGPA3896H
|
|
|
THANGAVELU PITCHANDI
PAN:AAEPP5258M
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF G.V.FILMS LTD. & SUBSIDIARIES VIOLATING REGULATIONS 4(1)(A), (B), (C), (E) AND (G) OF SEBI (LODR) REGULATIONS, 2015
DID NOT ADHERE TO ACCOUNTING STANDARD VIOLATING REGULATION 48 OF SEBI (LODR) REGULATIONS, 2015
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF G.V.FILMS LTD.
DID NOT FURNISH INFORMATION SOUGHT BY FORENSIC AUDITOR
DID NOT ADHERE TO LISTING AGREEMENT VIOLATING SECTION 21 OF SCRA, 1956
|
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 26-AUG-2022 TO 06-JAN-2023
IMPOSED PENALTY RS.11,00,000
26-AUG-2022
|
SAT: SAT VIDE ITS ORDER DATED 06/01/2023 CONDONED THE DELAY IN FILING OF APPEAL AND REDUCED DEBARMENT PERIOD FROM ONE YEAR TO PERIOD UNDERGONE AND REDUCED PENALTY AMOUNT TO RS.20 LAC FROM RS.30 LAC
|
| 412 |
|
|
GAGANDEEP CONSTRUCTION CO.PVT.LTD.
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF SULABH ENGINEERS & SERVICES 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 03-SEP-2020 TO 02-SEP-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-SEP-2020
|
|
| 413 |
|
|
GAJAKARNA TRADING PVT.LTD.
(PAN:AAECG2103R)
|
|
|
MISUSED STOCK EXCHANGE SYSTEM TO GENERATE FICTITIOUS LONG-TERM CAPITAL GAINS (LTCG) TO CONVERT UNACCOUNTED INCOME INTO ACCOUNTED ONE WITH NO PAYMENT OF TAXES AS LTCG IS TAX EXEMPT IN MATTER OF PINE ANIMATION 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-NOV-2019 TO 07-MAY-2020
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
08-MAY-2015
|
SEBI VIDE ITS ORDER DATED 22/08/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 08/05/2015 EXCEPT THAT NOTICEES CAN: A) ENTER INTO DELIVERY BASED TRANSACTIONS IN CASH SEGMENT IN SECURITIES COVERED IN NSE NIFTY 500 INDEX SCRIPS AND / OR S&P BSE 500 SCRIPS B) SUBSCRIBE TO UNITS OF MUTUAL FUNDS INCLUDING THROUGH SIP AND REDEEM THE UNITS OF MUTUAL FUNDS SO SUBSCRIBED C) DEAL IN DEBT/GOVERNMENT SECURITIES D) INVEST IN ETF E) AVAIL THE BENEFITS OF CORPORATE ACTIONS LIKE RIGHTS ISSUE, BONUS ISSUE, STOCK SPLIT, DIVIDEND, ETC. F) TENDER THE SHARES LYING IN THEIR DEMAT ACCOUNT IN ANY OPEN OFFER/DELISTING OFFER UNDER THE RELEVANT REGULATIONS OF SEBI. SEBI ALLOWED THEM FURTHER RELAXATIONS/RELIEFS A) THEY ARE PERMITTED TO SELL THE SECURITIES LYING IN THEIR DEMAT ACCOUNTS AS ON THE DATE OF THE INTERIM ORDER, OTHER THAN THE SHARES OF THE COMPANIES WHICH ARE SUSPENDED FROM TRADING BY THE CONCERNED STOCK EXCHANGE, IN ORDERLY MANNER UNDER THE SUPERVISION OF THE STOCK EXCHANGES SO AS NOT TO DISTURB THE MARKET EQUILIBRIUM AND DEPOSIT THE SALE PROCEEDS IN AN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK B) THEY MAY DEAL WITH OR UTILIZE THE SALE PROCEEDS LYING IN THE ESCROW ACCOUNT UNDER THE SUPERVISION OF THE CONCERNED STOCK EXCHANGE
SEBI VIDE ITS ORDER DATED 18/11/2019 DIRECTED TO A) DEBARRED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR 5 YEARS AND B) FREEZED EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
SAT: SAT VIDE ITS ORDER DATED 08/06/2021 DISMISSED THE APPEAL. NO COSTS
|
| 414 |
|
|
GAJPAL BUILDINFRA PVT.LTD.
(PAN:AADCG5699R)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF AADHAAR VENTURES INDIA 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 30-JUL-2020 TO 29-JAN-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-JUL-2020
|
|
| 415 |
|
|
GANGWAL COMMODITIES PVT.LTD.
|
|
|
|
ASHISH SARDA
PAN:AYGPS8734D
|
|
ACTED AS AN INFORMATION CARRIER VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1) READ WITH 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF PARSHVANATH FINVEST PVT.LTD., THAR SHARE BROKERS PVT.LTD. AND GANGWAL COMMODITIES PVT.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 28-NOV-2024 TO 27-NOV-2026
IMPOSED PENALTY RS.20,00,000
28-NOV-2024
|
|
| 416 |
|
|
GIRISH B.BHATT (HUF)
(PAN:AACHG1818C)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUNRISE ASIAN 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 06-SEP-2021 TO 05-MAR-2022
06-SEP-2021
|
SAT: SAT VIDE ITS ORDER DATED 14/02/2023 ALLOWED APPELLANT FURTHER TWO WEEKS TO FILE REJOINDER
|
| 417 |
|
|
GLOBAL SECURITIES LTD.
(CIN:L67120GJ1994PLC021269
PAN:AACCG3465C)
|
|
|
|
DEVESH UPADHYAY
PAN:AAHPU5069Q
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF GLOBAL SECURITIES 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 08-SEP-2020 TO 07-SEP-2021
08-SEP-2020
|
|
| 418 |
|
|
GLORIOUS VINCOM PVT.LTD.
(PAN:AADCG3846Q)
|
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INDULGED IN OFF-LOADING OF SHARES AFTER CIRCULATION OF BULK SMSES AT A HUGE PROFIT VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DARSHAN ORNA 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 19-DEC-2022 TO 19-DEC-2027
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-DEC-2022
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SEBI VIDE ITS NOTICE DATED 07/09/2023 DIRECTED TO PAY RS.11,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 09/10/2023 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 16/11/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.11,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS NOTICE DATED 08/01/2026 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 09/10/2023
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| 419 |
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GLORIOUS VINCOM PVT.LTD.
(PAN:AADCG3846Q)
(Along with : ROBERT RESOURCES LTD.,
ECONO TRADE (INDIA) LTD.,
ECONO BROKING PVT.LTD.,
SAI METALTECH LLP)
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HANIF KASAMBHAI SHEKH
PAN:CBEPS9710A
|
|
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HASINA KASAMBHAI SHEKH
PAN:BFHPS4813N
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF 7NR RETAIL 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 19-JUN-2023 TO 18-JUN-2027
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 TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
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 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
21-JUN-2023
DIRECTED TO DISGORGE RS.3,34,739 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
30-JUN-2026
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SEBI VIDE ITS ORDER DATED 30/06/2026 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH THE SECURITIES MARKET IN ANY MANNER, FOR A PERIOD OF FOUR YEARS FROM DATE OF INTERIM ORDER B) JOINTLY AND SEVERALLY, DISGORGE THE UNLAWFUL GAINS OF RS.3,34,739.00 ALONGWITH SIMPLE INTEREST @12% P.A. FROM 21/10/2020 TILL DATE OF PAYMENT OF DISGORGED AND AMOUNT TO BE REMITTED TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF) WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER
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| 420 |
|
|
GLORIOUS VINCOM PVT.LTD.
(PAN:AADCG3846Q)
(Along with : ROBERT RESOURCES LTD.,
ECONO TRADE (INDIA) LTD.,
ECONO BROKING PVT.LTD.,
SAI METALTECH LLP)
|
|
|
|
HANIF KASAMBHAI SHEKH
PAN:CBEPS9710A
|
|
|
HASINA KASAMBHAI SHEKH
PAN:BFHPS4813N
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF GBL INDUSTRIES 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 19-JUN-2023 TO 18-JUN-2027
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 TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
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 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
21-JUN-2023
DIRECTED TO DISGORGE RS.1,55,13,742 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
30-JUN-2026
|
SEBI VIDE ITS ORDER DATED 30/06/2026 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH THE SECURITIES MARKET IN ANY MANNER, FOR A PERIOD OF FOUR YEARS FROM DATE OF INTERIM ORDER B) JOINTLY AND SEVERALLY, DISGORGE THE UNLAWFUL GAINS OF RS.1,55,13,742.00 ALONGWITH SIMPLE INTEREST @12% P.A. FROM 21/10/2020 TILL DATE OF PAYMENT OF DISGORGED AND AMOUNT TO BE REMITTED TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF) WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT 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 21 of 59
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