| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 401 |
|
DILIP S.SHANGHVI
|
|
|
ALLEGED VIOLATION OF INTERNAL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FRAMED BY COMPANY IN TERMS OF REGULATION 12(2) READ WITH 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SUN PHARMACEUTICAL INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.18,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
10-AUG-2017
|
|
| 402 |
|
|
DILIP SHETH
(PAN:AAJPS6896B)
|
|
|
|
ALANG INDUSTRIAL GASES LTD.
CIN:L24111GJ1995PLC025266
PAN:AAACA3238R
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF ALANG INDUSTRIAL GASES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF ALANG INDUSTRIAL GASES LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-SEP-2020
|
|
| 403 |
|
|
DILIP YEWALE
(PAN:AAMPY5403F)
|
|
|
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 (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MAHINDRA & MAHINDRA LTD.
|
IMPOSED PENALTY RS.2,00,000
12-AUG-2014
|
SAT: SAT VIDE ITS ORDER DATED 10/07/2015 MODIFIED IMPUGNED ORDERS BY REDUCING THE PENALTY AMOUNT TO RS.1,00,000 FROM RS.2,00,000 FOR VIOLATION OF REGULATION 13(4) READ WITH 13(5) OF SEBI PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 HOWEVER ADDITIONAL PENALTY OF RS.2,00,000 IMPOSED UNDER SECTION 15 HB OF SEBI ACT IS SUSTAINED.NO COSTS
|
| 404 |
|
|
DIMPLE PRASAD KOTHARI
|
|
|
|
ALKA SECURITIES LTD.
PAN:AAACA4835E
(Member : NSE)
|
|
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 ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUL-2009 TILL FURTHER ORDERS
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 AD-INTERIM ORDER DATED 28/07/2009 CONFIRMED AND DIRECTED BSE AND NSE TO 1) APPOINT AN INDEPENDENT AUDITOR ON OR BEFORE 22/10/2009 TO VERIFY OWNERSHIP OF SHARES LYING IN BENEFICIAL OWNER ACCOUNTS OF THEIR RESPECTIVE TRADING MEMBERS 2) ASK AUDIOTRS TO SUBMIT REPORT WITHIN A PERIOD OF SIX WEEKS FROM DATE OF APPOINTMENT
SAT: APPEAL DISPOSED OFF WITH DIRECTION TO SEBI TO CONCLUDE INVESTIGATIONS EXPEDITIOUSLY BUT NOT LATER THAN 31/03/2010
SAT: DIRECTED SEBI THAT IN CASE IT PROPOSES TO PROCEED AGAINST APPLICANTS UNDER SECTION 11B,IT SHOULD ISSUE SHOW CAUSE NOTICE NOT LATER THAN 31/08/2010 AND APPLICANT SHALL RESPOND WITHIN TWO WEEKS FROM DATE OF ITS RECEIPT, WHEREAFTER SEBI SHALL PROCEED IN MATTER AND CONCLUDE THE PROCEEDINGS BEFORE END OF THIS YEAR
SAT: DIRECTED SEBI VIDE ORDER DATED 16/11/2010, TO RELEASE THE SHARES TO THE PERSONS AS RECOMMENDED BY THREE MEMBERS COMMITTEE ON THE CONDITIONS MENTIONED IN THEIR REPORT AND AFTER TAKING INTO ACCOUNT THE REPRESENTATION
SEBI VIDE ITS ORDER DATED 30/12/2010 PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, FOR A PERIOD OF ONE YEAR FROM DATE OF THIS ORDER
|
| 405 |
|
|
DINESH AGRAWAL
(PAN:AEDPA4294D)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF KDDL LTD.
|
IMPOSED PENALTY RS.3,00,000
29-JAN-2018
|
|
| 406 |
|
|
DINESH BHIKHABHAI GHEVARIYA
(PAN:ABCPG0638B)
|
|
|
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
|
| 407 |
|
|
DINESH DALMIA
(PAN:ACPPD9838G)
|
|
|
|
DINESH DALMIA TECHNOLOGY TRUST
|
|
|
DSQ BIOTECH LTD.
|
|
|
DSQ HOLDINGS LTD.
|
|
|
DSQ SOFTWARE LTD.
PAN:AAACS5071J
|
|
|
NAINA BARTER 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 11 (C) 6 OF SEBI ACT, 1992
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
FAILED TO PAY PENALTY
VIOLATED REGULATION 5 SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6 SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF PENALTY AMOUNT AND COMPOUNDING CHARGES TO SEBI
|
| 408 |
|
|
DINESH JAYANTLAL DOSHI
(PAN:AHTPD3510C)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ACCLAIM INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ACCLAIM INDUSTRIES LTD.
|
IMPOSED PENALTY RS.3,00,000
31-AUG-2018
|
SEBI VIDE ITS NOTICE DATED 30/01/2019 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
SEBI VIDE ITS NOTICE DATED 21/08/2023 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 30/01/2019
|
| 409 |
|
|
DINESH R.DUBEY
|
|
|
|
DHANLAXMI LEASE FINANCE LTD.
CIN:U67120GJ1995PLC024788
PAN:AABCD6189R
|
|
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 VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 410 |
|
|
DINESH SEETHA
(PAN:AAFPS9628H)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGE IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF DINESH ALLORGA LTD. (NOW KNOWN AS HEMO ORGANIC LTD.)
|
IMPOSED PENALTY RS.1,50,000
22-JUN-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 411 |
|
|
DINESHCHAND SURANA
(PAN:AACPS3233K)
|
|
|
|
SURANA INDUSTRIES LTD.
PAN:AAACS3123M
|
|
MADE CORPORATE ANNOUNCEMENTS REGARDING PREFERENTIAL ALLOTMENTS AND THERAFTER DEFERRING/DROPPING AGENDA ITEMS RELATING TO SUCH ALLOTMENTS IN MATTER OF SURANA INDUSTRIES LTD.
DELAY IN DISSEMINATION OF PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES RELATED TO PREFERENTIAL ALLOTMENT VIOLATING REGULATION 12(2) & (3) READ WITH CLAUSE 2.1 OF SCHEDULE II OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SURANA INDUSTRIES LTD.
DELAY IN SENDING INTIMATION OF CLOSURE OF BOARD MEETING TO STOCK EXCHANGES VIOLATING PROVISIONS OF CLAUSE 22(A) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-SEP-2014
|
SAT: SAT VIDE ITS ORDER DATED 25/08/2015 ALLOWED THE APPELLANTS TO WITHDRAWN THE APPEAL AS ALSO MISC. APPLICATION WITH LIBERTY TO FILE FRESH APPEAL WITHIN A PERIOD OF FOUR WEEKS FROM THE DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 28/04/2016 ALLOWED APPEAL TO BE WITHDRAWN AND DIRECTED APPELLANTS TO PAY PENALTY IMPOSED IN IMPUGNED UNDER THE ORDER IMPUGNED IN THE APPEAL WITHIN THREE MONTHS FROM THE DATE OF THIS ORDER. NO COSTS
|
| 412 |
|
|
DINESHKUMAR RAVISHANKAR RAVAL
(PAN:AWCPR5539J)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF AVIVA INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF AVIVA INDUSTRIES LTD.
|
IMPOSED PENALTY RS.2,00,000
09-AUG-2021
|
SEBI VIDE ITS ORDER DATED 24/05/2022 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 19/01/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.2,61,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 413 |
|
|
DIPAK KALYANJI TANNA
(PAN:AABPT0578E)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF LOOKS HEALTH SERVICES LTD.
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 LOOKS HEALTH SERVICES LTD.
|
IMPOSED PENALTY RS.4,00,000
25-JUL-2014
|
|
| 414 |
|
|
DIPAK RAGHUNATH SHINDE
(PAN:AMBPS1356A)
|
|
|
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 (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MAHINDRA & MAHINDRA LTD.
|
IMPOSED PENALTY RS.2,00,000
28-APR-2014
|
SAT: SAT VIDE ITS ORDER DATED 10/07/2015 MODIFIED IMPUGNED ORDERS BY REDUCING THE PENALTY AMOUNT TO RS.1,00,000 FROM RS.2,00,000 FOR VIOLATION OF REGULATION 13(4) READ WITH 13(5) OF SEBI PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 HOWEVER ADDITIONAL PENALTY OF RS.2,00,000 IMPOSED UNDER SECTION 15 HB OF SEBI ACT IS SUSTAINED.NO COSTS
|
| 415 |
|
|
DIPIN SURANA
(PAN:AINPS9083Q)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF P.M.TELELINNKS LTD.
|
IMPOSED PENALTY RS.2,00,000
27-MAR-2015
|
|
| 416 |
|
|
DIPIN SURANA
(PAN:AINPS9083Q)
|
|
|
|
GOLKONDA ENGINEERING ENTERPRISES LTD.
PAN:AABCG0251D
|
|
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 P.M.TELELINNKS LTD.
|
IMPOSED PENALTY
02-FEB-2018
|
|
| 417 |
|
|
DIPIN SURANA
(PAN:AINPS9083Q)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF P.M.TELELINKS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF P.M.TELELINNKS LTD.
|
IMPOSED PENALTY
29-JUN-2018
|
|
| 418 |
|
|
DIVVYANI ANNAND SARNAAIK
(PAN:AMWPS3147E)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GLODYNE TECHNOSERVE LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4), 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GLODYNE TECHNOSERVE LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF GLODYNE TECHNOSERVE LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF GLODYNE TECHNOSERVE LTD.
|
IMPOSED PENALTY RS.30,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-NOV-2017
|
SAT: SAT VIDE ITS ORDER DATED 24/07/2019 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.30 LACS FROM RS.40 LACS TO BE PAID WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 31/05/2021 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 04/08/2021 DIRECTED ALL THE BANKS TO REMIT RS.21,63,301.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.DIVVYANI SARNAAIK TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS NOTICE DATED 01/03/2024 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 31/05/2021
SEBI VIDE ITS ORDER DATED 01/03/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.3544 OF 2021 DATED 20/04/2021
|
| 419 |
|
|
DIVYA GUPTA
(PAN:AEMPG5825R)
|
|
|
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
|
| 420 |
|
|
E.SUDHIR REDDY
(PAN:AABPE7595F)
|
|
|
|
HINDUSTAN DORR OLIVER LTD.
|
|
DID NOT CLOSE TRADING WINDOW AS REQUIRED UNDER CLAUSE 1.2,3.2(1) AND 3.2(3) (D) OF MODEL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR LISTED COMPANIES AS PRESCRIBED UNDER REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF HINDUSTAN DORR-OLIVER LTD.
|
IMPOSED PENALTY RS.2,50,000 ALONG WITH OTHER ENTITIES/PERSONS
29-APR-2011
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 29/04/2011 SET ASIDE WITH NO ORDER AS TO COSTS
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 21 of 82
|
