| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 421 |
|
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
|
| 422 |
|
|
SUNIL GAGLANI
|
|
|
|
SOFTRAK TECHNOLOGY EXPORTS LTD.
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 423 |
|
|
SUNIL KUMAR GOEL
(PAN:AJTPG6767G)
|
|
|
INDULGED IN FINANCING OF OWN GDR ISSUE AND MISLED INVESTORS BY MAKING FALSE DISCLOSURES TO SEBI VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(B) TO 3(D) & 4(2)(C), 4(2)(F), 4(2)K AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES OF IKF TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-SEP-2017 TO 04-SEP-2027
DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT WITH INDIAN SECURITIES AS UNDERLYING, IN ANY MANNER WHATSOEVER FROM 05-SEP-2017 TO 04-SEP-2027
05-SEP-2017
|
|
| 424 |
|
|
SUNIL MEHTA
|
|
|
|
MOBILE TELECOMMUNICATIONS LTD.
PAN:AACCM2659J
CIN:L32100GJ1995PLC024812
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CASE DISMISSED BY COURT. REVISION PETITION FILED BY SEBI IS PENDING BEFORE BOMBAY HIGH COURT
|
| 425 |
|
|
SUNIL SHARMA
|
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 426 |
|
|
SURENDRA CHHALANI
|
|
|
|
MEGA CORP.LTD.
PAN:AACCM9506E
CIN:L01120DL1985PLC092375
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 427 |
|
|
SURESH GURBUX MOTWANI
|
|
|
|
AMI IMPEX
|
|
|
AUTO INVESTMENT PVT.LTD.
|
|
|
HABISCUS INVESTMENTS PVT.LTD.
|
|
|
JAYDEEP INVESTMENTS & TRADING CO.PVT.LTD.
|
|
|
M’BELLE INTERNATIONAL PVT.LTD.
|
|
|
MAYFAIR REALTORS PVT.LTD.
|
|
|
MOTWANI ENTERPRISES PVT.LTD.
|
|
|
NEW BHARAT BUILDERS (BOMBAY) PVT.LTD.
|
|
|
ONLOOKER INVESTMENTS PVT.LTD.
|
|
|
ROOFIT INDUSTRIES LTD.
|
|
|
SUN EARTH CERAMICS LTD.
PAN:AAACA7953K
|
|
|
VEEGEE HOLDINGS & FINANCES PVT.LTD.
|
|
|
WADA ARUN ASBESTOS PRODUCTS PVT.LTD.
|
|
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
VIOLATED SECTION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 428 |
|
|
SURESH HEMWANI
|
|
|
|
ALKAN PROJECTS PVT.LTD.
|
|
|
AMI IMPEX
|
|
|
HABISCUS INVESTMENTS PVT.LTD.
|
|
|
JAYDEEP INVESTMENTS & TRADING CO.PVT.LTD.
|
|
|
M’BELLE INTERNATIONAL PVT.LTD.
|
|
|
MAYFAIR REALTORS PVT.LTD.
|
|
|
NEW BHARAT BUILDERS (BOMBAY) PVT.LTD.
|
|
|
ONLOOKER INVESTMENTS PVT.LTD.
|
|
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
VIOLATED SECTION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 429 |
|
|
SURESH SACHDEV
|
|
|
|
INFORMATION TECHNOLOGIES (INDIA) LTD.
CIN:U65910UP1994PLC017049
PAN:AAACI1891E
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
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
|
CASE DISMISSED BY COURT. REVISION PETITION FILED BY SEBI IS PENDING BEFORE THE ADDITIONAL SESSIONS JUDGE, DELHI
|
| 430 |
|
|
SURYANIL GHOSH
|
|
|
|
DINESH DALMIA TECHNOLOGY TRUST
|
|
VIOLATED REGULATION 4 OF 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
|
|
| 431 |
|
|
SUSHIL M.THAKKAR
|
|
|
|
JAYDEEP INVESTMENTS & TRADING CO.PVT.LTD.
|
|
|
M’BELLE INTERNATIONAL PVT.LTD.
|
|
|
MAYFAIR REALTORS PVT.LTD.
|
|
VIOLATED SECTION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 432 |
|
|
SYED ASHFAQ PEERAN
|
|
|
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
|
|
| 433 |
|
|
T.S.NAIR
|
|
|
|
PUKHRAJ HOLDINGS 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
|
|
| 434 |
|
|
T.TAKANO
(PAN:ANTPT5139K
DIN:03491442)
|
|
|
VARIOUS INSTANCES OF FALSIFICATION AND MISSTATEMENTS IN THE BOOKS OF ACCOUNTS OF RICOH FOR THE YEAR ENDED 31/03/2016 VIOLATING SECTION 12A(A), 12A(B) & 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C), 3(D), 4(1), 4(2)(E), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF RICOH INDIA LTD.
|
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 12-FEB-2018 TO 11-FEB-2023
12-FEB-2018
|
SEBI VIDE ITS ORDER DATED 16/08/2018 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM EX-PARTE ORDER DATED 12/02/2018 READ WITH ORDER DATED 06/03/2018. FURTHER, SEBI EXTENDED THE TIME FOR SUBMISSION OF FORENSIC AUDIT REPORT TO SEBI THROUGH BSE TO 30/09/2018
SAT: SAT VIDE ITS ORDER DATED 29/01/2020 QUASHED IMPUGNED ORDER DATED 12/02/2018. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 11/08/2021 DIRECTED RESPONDENT TO FILE OPINION OF THE RESPONDENT DATED 19/10/2020 IN THE SEALED COVER DURING COURSE OF THE DAY
SAT: SAT VIDE ITS ORDER DATED 30/08/2021 DISMISSED THE APPEAL
SEBI VIDE ITS ORDER DATED 30/01/2023 DIRECTED TO A) RESTRAINED FROM HOLDING POST OF DIRECTOR OR ANY KEY MANAGERIAL POSITION OR ASSOCIATING THEMSELVES IN ANY CAPACITY WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR FIVE YEARS
SAT: SAT VIDE ITS ORDER DATED 19/04/2023 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS. DIRECTED APPELLANT TO DEPOSIT 50% OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. IF THE AMOUNT DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 26/06/2023 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 28/11/2023 CONDONED THE DELAY IN FILING OF REPLY AND REPLY AND REJOINDER WERE TAKEN ON RECORD
|
| 435 |
|
|
T.TAKANO
(PAN:ANTPT5139K
DIN:03491442)
|
|
|
VARIOUS INSTANCES OF FALSIFICATION AND MISSTATEMENTS IN THE BOOKS OF ACCOUNTS OF RICOH FOR THE YEAR ENDED 31/03/2016 VIOLATING SECTION 12A(A), 12A(B) & 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C), 3(D), 4(1), 4(2)(E), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF RICOH 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-JAN-2023 TO 29-JAN-2026
DIRECTED SEBI TO APPOINT INDEPENDENT AUDIT FIRM TO CONDUCT DETAILED FORENSIC AUDIT OF BOOKS OF ACCOUNTS OF RICOH FOR F.Y.2012-13 ONWARDS
IMPOSED PENALTY RS.60,00,000
12-FEB-2018
|
SEBI VIDE ITS ORDER DATED 16/08/2018 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM EX-PARTE ORDER DATED 12/02/2018 READ WITH ORDER DATED 06/03/2018. FURTHER, SEBI EXTENDED THE TIME FOR SUBMISSION OF FORENSIC AUDIT REPORT TO SEBI THROUGH BSE TO 30/09/2018
SAT: SAT VIDE ITS ORDER DATED 29/01/2020 QUASHED IMPUGNED ORDER DATED 12/02/2018. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 11/08/2021 DIRECTED RESPONDENT TO FILE OPINION OF THE RESPONDENT DATED 19/10/2020 IN THE SEALED COVER DURING COURSE OF THE DAY
SAT: SAT VIDE ITS ORDER DATED 30/08/2021 DISMISSED THE APPEAL
SEBI VIDE ITS ORDER DATED 30/01/2023 DIRECTED TO RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS) DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR A PERIOD OF THREE YEARS FROM DATE OF THIS ORDER B) IMPOSED PENALTY RS.50 LAC U/S 15HA OF SEBI ACT. AND RS.50 LAC U/S 15HA OF SEBI ACT. AND RS.10 U/S 23H OF SCRA
SAT: SAT VIDE ITS ORDER DATED 19/04/2023 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS. DIRECTED APPELLANT TO DEPOSIT 50% OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. IF THE AMOUNT DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 26/06/2023 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 10/08/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 03/10/2023 CONDONED THE DELAY IN FILING OF REPLY
SAT: SAT VIDE ITS ORDER DATED 28/11/2023 CONDONED THE DELAY IN FILING OF REPLY AND REPLY AND REJOINDER WERE TAKEN ON RECORD
|
| 436 |
|
|
T.V.KRISHNAMURTY
|
|
|
|
PENTAMEDIA GRAPHICS LTD.
CIN:L74210TN1976PLC007142
PAN:AAACP1647B
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 437 |
|
|
TARUN JAIN
|
|
|
|
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
|
|
| 438 |
|
|
TUSHAR A.MAJUMDAR
|
|
|
|
MANNA GLASS-TECH INDUSTRIES LTD.
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6 SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 439 |
|
|
TUSHAR SHAH
|
|
|
|
OM SECURITIES
|
|
VIOLATED SECTION 24 OF SEBI (PFUTP) REGULATION, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 440 |
|
|
UMA KARTHIKEYAN
(DIN:00092543
PAN:AKPPK3166J)
|
|
|
|
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
|
SAT: SAT VIDE ITS ORDER DATED 21/12/2020 CONDONED THE DELAY IN FILING OF APPEAL AND DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 19/05/2021 CONDONED THE DELAY IN FILING OF APPEAL. ALLOWED THE APPLICATION AND QUASHED IMPUGNED ORDERS. MATTER REMITTED TO AO/WTM TO PASS A FRESH ORDER AFTER SERVING SCN
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
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 22 of 25
|
