| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 401 |
|
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
|
|
| 402 |
|
|
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
|
| 403 |
|
|
DIVYA JAIN
(PAN:AGCPM0147L)
|
|
|
ALLEGED DELAY IN MAKING 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 ADVIK LABORATORIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,61,731 VIDE CONSENT ORDER)
20-NOV-2014
|
|
| 404 |
|
|
DIVYA SHETH
(PAN:AAHPS8431L)
(Along with : RAJEEV VASANT SHETH,
AARTI SHETH)
|
|
|
|
DIVYA JEWELS INTERNATIONAL PVT.LTD.
PAN:AABCD2248K
|
|
DELAY IN MAKING 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 TARA JEWELS 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 TARA JEWELS LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
25-MAR-2021
|
|
| 405 |
|
|
DIWAKAR BHAGWATI GANDHI
(PAN:AAJPG3642B)
|
|
|
DELAY IN MAKING 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 MAHADUSHI INTERNATIONAL TRADE LTD.(CURRENTLY KNOWN AS NEGOTIUM INTERNATIONAL TRADE LTD.)
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MAHADUSHI INTERNATIONAL TRADE LTD.(CURRENTLY KNOWN AS NEGOTIUM INTERNATIONAL TRADE LTD.)
|
IMPOSED PENALTY RS.5,00,000
28-MAY-2021
|
|
| 406 |
|
|
DURGESHWARI DEVI CHOUDHURY
(PAN:BGEPC9538G)
(Along with : UPENDRA NARAYAN CHOUDHARY,
GOPALJI CHOUDHARY,
RUPA KUMARI)
|
|
|
|
DORNI VINIMOY PVT.LTD.
PAN:AAFCD3892H
|
|
|
H & K REALESTATE LLP
PAN:AAOFH4781M
|
|
|
TIMELY FINANCIAL CONSULTANTS PVT.LTD.
PAN:AAECT0938K
|
|
DID NOT MAKE 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 COOL CAPS INDUSTRIES LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
17-SEP-2025
|
|
| 407 |
|
|
DURRIYA ZURAR KATHAWALA
(PAN:AAHPK3757B)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNION QUALITY PLASTICS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNION QUALITY PLASTICS LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNION QUALITY PLASTICS LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(5) AND 10(6) OF SAST REGULATIONS, 2011 IN MATTER OF UNION QUALITY PLASTICS LTD.
DELAY IN MAKING 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 UNION QUALITY PLASTICS LTD.
|
IMPOSED PENALTY RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-AUG-2021
|
|
| 408 |
|
|
EDDIE SIN PO CHIU
(PAN:AHSPC2728G)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF MOSCHIP SEMICONDUCTOR TECHNOLOGY LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF MOSCHIP SEMICONDUCTOR TECHNOLOGY LTD.
|
IMPOSED PENALTY RS.4,00,000 ALONG WITH OTHER ENTITIES/PERSONS
17-OCT-2017
|
|
| 409 |
|
|
EKTA ANAND KABRA
(PAN:AHCPK0391F)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(5), 10(6), 10(7) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF KABRA EXTRUSIONTECHNIK LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF KABRA EXTRUSIONTECHNIK LTD.
ALLEGED ENGAGE IN CONTRA-TRADE VIOLATING CLAUSE 10 OF CODE OF CONDUCT GIVEN UNDER SCHEDULE B SPECIFYING MINIMUM STANDARDS FOR CODE OF CONDUCT READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF KABRA EXTRUSIONTECHNIK LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,85,391, PAID TO IEPF RS.83,179 VIDE CONSENT ORDER)
24-FEB-2021
|
|
| 410 |
|
|
EKTA MITTAL
(PAN:DOEPM8683E)
|
|
|
ACTED AS CONDUIT FOR MANIPULATION OF SHARES AND FACILITATED PROMOTERS OF VPGL TO SELL LARGE QUANTITIES OF SHARES IN MATTER OF VIKAS PROPPANT & GRANITE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 29(1), 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF VIKAS PROPPANT & GRANITE LTD.
EXECUTED OFF-MARKET TRANSACTION OF SHARES WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I)(A) OF SCRA, 1956 READ WITH SECTIONS 13, 16 AND 18 OF SCRA, 1956 AND SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF VIKAS PROPPANT & GRANITE 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 15-JAN-2024 TO 14-JAN-2027
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
IMPOSED PENALTY RS.7,00,000
15-JAN-2024
|
SAT: SAT VIDE ITS ORDER DATED 25/04/2024 DIRECTED SEBI TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS THEREAFTER. STAYED THE EFFECT AND OPERATION OF IMPUGNED ORDER IF APPELLANT DEPOSITORS.50 LAC AGAINST DISGORGEMENT AND 50% PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 09/07/2024 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 30/08/2024 GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER
|
| 411 |
|
|
EKTA MITTAL
(PAN:DOEPM8683E)
|
|
|
ACTED AS CONDUIT FOR MANIPULATION OF SHARES AND FACILITATED PROMOTERS OF VPGL TO SELL LARGE QUANTITIES OF SHARES IN MATTER OF VIKAS PROPPANT & GRANITE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 29(1), 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF VIKAS PROPPANT & GRANITE LTD.
EXECUTED OFF-MARKET TRANSACTION OF SHARES WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I)(A) OF SCRA, 1956 READ WITH SECTIONS 13, 16 AND 18 OF SCRA, 1956 AND SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF VIKAS PROPPANT & GRANITE LTD.
|
DIRECTED TO DISGORGE RS.1,28,65,000
15-JAN-2024
|
SAT: SAT VIDE ITS ORDER DATED 25/04/2024 DIRECTED SEBI TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS THEREAFTER. STAYED THE EFFECT AND OPERATION OF IMPUGNED ORDER IF APPELLANT DEPOSITORS.50 LAC AGAINST DISGORGEMENT AND 50% PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 09/07/2024 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 412 |
|
|
FALGUNI VYOMESH SHAH
(PAN:AAFPS0667J)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF HUBTOWN LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,22,800 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
11-OCT-2017
|
|
| 413 |
|
|
FATEH LAL SHAH
(PAN:AEOPS0905E)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 3(1) AND 4 OF SAST REGULATIONS, 2011 IN MATTER OF SHREENATH INDUSTRIAL INVESTMENT CO.LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-MAY-2018
|
SEBI VIDE ITS ORDER DATED 20/01/2025 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 20/01/2025 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
SEBI VIDE ITS NOTICE DATED 20/01/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.2111 OF 2019 DATED 02/05/2019
|
| 414 |
|
|
FAYAZ USMAN FAHEED
(PAN:AAIPU9054G)
|
|
|
DELAY IN COMPLETING ACQUISITION OF SHARES AS PER SHARE PURCHASE AGREEMENT (SPA) VIOLATING REGULATION 22(3) OF SAST REGULATIONS, 2011 IN MATTER OF SDC TECHMEDIA LTD.(FORMERLY KNOWN AS ONE SOURCE TECHMEDIA LTD.)
|
IMPOSED PENALTY RS.2,00,000
04-JUN-2021
|
|
| 415 |
|
|
FRANZ GOTZ
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(1) AND 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF EURO FINMART LTD.
|
IMPOSED PENALTY RS.1,00,000
11-FEB-2014
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 01/02/2022 DIRECTED TO PAY A RS.1,96,737.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 25/08/2023 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING THE SAID EQUITY SHARES OR RECEIVING ANY DIVIDEND THEREON AND B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION, CHARGE OR PLEDGE IN RESPECT OF THESE EQUITY SHARES AND ACCRUED DIVIDEND THEREON
|
| 416 |
|
|
GANAPATHY GITA
(PAN:AAGPG2647F)
|
|
|
DID NOT MAKE DISCLOSURES UPON INVOCATION OF PLEDGE OF SHARES TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 31(2) OF SAST REGULATIONS, 2011 IN MATTER OF EDSERVE SOFTSYSTEMS LTD.
ENTERED INTO OPPOSITE TRANSACTIONS DURING SIX MONTHS FROM PRIOR TRANSACTION VIOLATING CLAUSE 4.2 OF MODEL CODE OF CONDUCT OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF EDSERVE SOFTSYSTEMS LTD.
|
IMPOSED PENALTY RS.4,00,000
20-JUN-2019
|
SEBI VIDE ITS NOTICE DATED 11/03/2020 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 23/06/2022 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 11/03/2020
SEBI VIDE ITS ORDER DATED 24/06/2022 DIRECTED TO RELEASE PROPERTY IN NAME OF MR.S.GIRIDHARAN AND MS.GANAPATHY GITA TO TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST OF THE PROPERTY
|
| 417 |
|
|
GANGJI ARJAN GALA
(PAN:AAFPG8144G)
|
|
|
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 DUNE MERCANTILE LTD.
|
IMPOSED PENALTY RS.1,00,000
31-MAR-2022
|
|
| 418 |
|
|
GANPATRAJ LALCHAND CHOWDHARY
(PAN:ABWPL2726K)
|
|
|
|
RIDDHI SIDDHI GLUCO BIOLS LTD.
PAN:AABCR3417Q
|
|
MADE INCORRECT DISCLOSURE OF SHAREHOLDING PATTERN TO STOCK EXCHANGES VIOLATING CLAUSE 35 OF LISTING AGREEMENT READ WITH REGULATIONS 103(2), 31(1) AND 31(4) OF SEBI (LODR) REGULATIONS, 2015 AND SECTION 21 OF SCR ACT 1956 IN MATTER OF RIDDHI SIDDHI GLUCO BIOLS LTD.
MADE INCORRECT DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF RIDDHI SIDDHI GLUCO BIOLS LTD.
|
IMPOSED PENALTY RS.5,00,000
02-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 12/08/2021 ALLOWED RESPONDENT THREE WEEKS TIME TO FILE REJOINDER AND APPELLANTS TO FILE REJOINDER THREE WEEKS THEREAFTER. DIRECTED APPELLANTS TO DEPOSIT THE AMOUNT AS DIRECTED BY AO WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 09/03/2026 DISMISSED THE APPEAL. NO COSTS
|
| 419 |
|
|
GARIMA
(PAN:AQUPG7083K)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF PUNJAB ALKALIES & CHEMICALS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,77,813 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
21-OCT-2020
|
|
| 420 |
|
|
GARY KENNEDY
(PAN:ATIPK2266K)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF MOSCHIP SEMICONDUCTOR TECHNOLOGY LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF MOSCHIP SEMICONDUCTOR TECHNOLOGY LTD.
|
IMPOSED PENALTY RS.4,00,000 ALONG WITH OTHER ENTITIES/PERSONS
17-OCT-2017
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 21 of 84
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