| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 401 |
|
SAURABH VORA
|
|
|
|
APCO PHARMA LTD.
|
|
VIOLATED SECTION 24 OF SEBI (PFUTP) REGULATION, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 402 |
|
|
SHAILENDRA N.PATADIA
|
|
|
|
HITECHI JEWELLERY INDUSTRIES LTD.
CIN:U99999MH1992PLC067131
PAN:AAACH1071P
|
|
VIOLATED REGULATION 4(A) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 4(B) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 403 |
|
|
SHAILENDRA N.PATADIA
|
|
|
|
HITECHI JEWELLERY INDUSTRIES LTD.
CIN:U99999MH1992PLC067131
PAN:AAACH1071P
|
|
VIOLATED REGULATION 4(A) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 4(B) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 404 |
|
|
SHARAD GANDHI
(PAN:ADBPH9278J)
(Along with : RAJIV R.KOTIA,
ASHOK MODI)
|
|
|
|
SUNGOLD CAPITAL LTD.
PAN:AAJCS0998M
|
|
DID NOT SUBMIT CORRECT SHAREHOLDING PATTERN TO STOCK EXCHANGES BY CLASSIFYING SHAREHOLDING OF PROMOTER GROUP AS PUBLIC HOLDING VIOLATION REGULATION 3 (D) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SUNGOLD CAPITAL LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUN-2017
|
SAT: SAT VIDE ITS ORDER DATED 12/06/2019 CONDONED THE DELAY OF 5 DAYS IN FILING OF APPEAL. APPEAL DISMISSED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 03/03/2020 REJECTED THE REVIEW APPLICATION
|
| 405 |
|
|
SHARAD GUJRATHI
|
|
|
|
BONANZA BIOTECH LTD.
|
|
|
COVERAGE & CONSULTANTS LTD.
|
|
VIOLATED REGULATION 3 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
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
|
| 406 |
|
|
SHASHIKANT
|
|
|
|
STERLITE INDUSTRIES (INDIA) LTD.
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 27 OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 407 |
|
|
SHEETAL S.SHAH
(PAN:ANYPS3796C)
|
|
|
|
SAWACA BUSINESS MACHINES LTD.
|
|
|
SAWACA COMMUNICATION LTD.
CIN:L64201GJ1995PLC024912
|
|
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
|
| 408 |
|
|
SHEFALI SHAILESH TOLIA
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3(A) TO (D), 4 (1) AND 4 (2) (A) & (G) 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.)
|
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
|
|
| 409 |
|
|
SHIRISH CHANDRAKANT SHAH
|
|
|
VIOLATED REGULATIONS 4 (A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 6(A) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 410 |
|
|
SHIV KUMAR
|
|
|
|
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
|
|
| 411 |
|
|
SHRENI ARJUN
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3(A) TO (D), 4 (1) AND 4 (2) (A) & (G) 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.)
|
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
|
|
| 412 |
|
|
SHRENI RAJESH TOLIA
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3(A) TO (D), 4 (1) AND 4 (2) (A) & (G) 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.)
|
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
|
|
| 413 |
|
|
SOAYUBEN H.VORA
|
|
|
|
EXCELL MULTITECH LTD.
|
|
|
KARVY STOCK BROKING LTD.
PAN:AABCK5190K
(Member : BSE/NSE/HSE)
|
|
|
SEER FINLEASE PVT.LTD.
|
|
|
TAURAS INFOSYS LTD.
|
|
|
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
|
|
| 414 |
|
|
SONALI PARTHIV SHAH
|
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
30-JUN-2010
|
|
| 415 |
|
|
SRAVANTHI YAKKANTI
(PAN:ACEPY9948F)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A (D) & (E) OF SEBI ACT, 1992 AND REGULATIONS 3 AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ICSA (INDIA) LTD.
VIOLATED REGULATION 3(C) AND (D) OF SEBI (PFUTP) REGULATIONS READ WITH SECTION 12A (B) AND (C) OF SEBI ACT, 1992
|
IMPOSED PENALTY RS.40,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
15-OCT-2015
|
SAT: SAT VIDE ITS ORDER DATED 12/07/2019 AFFIRMED PENALTY OF RS.40 CRORES U/S 15G & 15HA OF SEBI ACT FOR INDSIDER TRADING
|
| 416 |
|
|
SRIVATSAN P.
(PAN:AMZPS7213C)
|
|
|
MISUSED STOCK EXCHANGE TRADING PLATFORM TO MANIPULATE THE PRICE OF SHARES OF TCP LTD. VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1) AND 4(2) (A) & (E) OF PFUTP REGULATIONS, 2003
|
IMPOSED PENALTY RS.1,00,00,000
31-JAN-2018
|
SAT: APPEALS DISMISSED. NO COSTS
SEBI VIDE ITS NOTICE DATED 13/11/2019 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
|
| 417 |
|
|
SUBODH KUMAR GOEL
(PAN:ACBPG3533H)
|
|
|
|
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
SAT: SAT VIDE ITS ORDER DATED 14/07/2022 REDUCED DEBARMENT PERIOD OF COMPANY, MANAGING DIRECTOR, DIRECTOR AND INDEPENDENT DIRECTOR FROM FIVE YEARS TO PERIOD UNDERGONE
|
| 418 |
|
|
SUBODH KUMAR GOEL
(PAN:ACBPG3533H)
|
|
|
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
|
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
SAT: SAT VIDE ITS ORDER DATED 14/07/2022 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.10 LAC FROM RS.25 LAC
|
| 419 |
|
|
SUJAL CHANDRAKANT SHAH
(PAN:AAEPS4618Q)
|
|
|
|
DPS SHARES & SECURITIES PVT.LTD.
PAN:AABCD1053A
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 420 |
|
|
SUKUMAR SUBRAMANIAN
(DIN:01835134
PAN:AOUPS4543L)
|
|
|
|
SANRAA MEDIA LTD.
PAN:AAACS9093A
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION 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 SANRAA MEDIA LTD.
INDULGED IN ISSUANCE OF MISLEADING CEO/CFO CERTIFICATE OF FAIRNESS OF FINANCIAL STATEMENTS OF SML FOR FY 2008-09 IN MATTER OF SANRAA MEDIA LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-NOV-2019
|
SEBI VIDE ITS NOTICE DATED 23/08/2022 CERTIFIED THAT RS.1,34,01,000.00 IS DUE FROM MR.SUKUMAR SUBRAMANIAN, MR.RAJEEV AGARWAL, MR.KRISHNAN RAJAGOPAL AND MR.RAJENDRAN SIVASHANKARAN JOINTLY AND SEVERALLY
SAT: SAT VIDE ITS ORDER DATED 02/09/2022 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY TO RS.10 LAC FROM RS.1 CRORE
SEBI VIDE ITS NOTICE DATED 07/11/2022 CONSIDERING THE ORDER OF HON’BLE SAT DATED 02/09/2022 MODIFIED RECOVERY AMOUNT TO RS 3,61,000 DUE FROM MR.SUKUMAR SUBRAMANIAN
SEBI VIDE ITS NOTICE DATED 11/09/2020 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 21/11/2022 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 11/09/2020
|
| 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 25
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