| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 441 |
|
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.
|
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 25-FEB-2022 TO 02-SEP-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
02-JAN-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 ORDER DATED 25/02/2022 DIRECTED TO A) RESTRAIN 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 FIVE YEARS FROM DATE OF THIS ORDER B) DURING PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING MUTUAL FUNDS UNITS TO REMAIN FROZEN
SAT: SAT VIDE ITS ORDER DATED 02/09/2022 PARTLY ALLOWED THE APPEAL BY REDUCING DEBARMENT PERIOD FROM FIVE YEARS TO PERIOD UNDERGONE
|
| 442 |
|
|
UMESH KUMAR MITTAL
(PAN:ABJPM0512B)
|
|
|
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
26-MAR-2019
|
SEBI VIDE ITS NOTICE DATED 02/09/2019 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
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
SEBI VIDE ITS NOTICE DATED 26/08/2022 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 02/09/2019
SEBI VIDE ITS ORDER DATED 31/08/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.2417 OF 2019 DATED 01/08/2019
|
| 443 |
|
|
UMESH KUMAR MITTAL
(PAN:ABJPM0512B)
|
|
|
|
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
|
| 444 |
|
|
UMESH R.KHARIWALA
|
|
|
|
ADAM COMSOF LTD.
PAN:AABCA2067R
|
|
|
ADSUL TRADING PVT.LTD.
|
|
|
CAVALIER SECURITIES LTD.
PAN:AAACC6370Q
|
|
|
KOLAR SHAREX PVT.LTD.
PAN:AAACK6474D
|
|
|
MASTERMIND MERCANTILE CO-OP.LTD.
|
|
|
MILLION INVESTRADE LTD.
|
|
|
SANGAM INFOTECH PVT.LTD.
PAN:AAGCS2995F
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
30-SEP-2011
|
|
| 445 |
|
|
USHA GANESARAJAH
|
|
|
|
PENTAMEDIA GRAPHICS LTD.
CIN:L74210TN1976PLC007142
PAN:AAACP1647B
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 446 |
|
|
V.C.RAI
|
|
|
|
INFORMATION TECHNOLOGIES (INDIA) LTD.
CIN:U65910UP1994PLC017049
PAN:AAACI1891E
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
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
|
CASE DISMISSED BY COURT. REVISION PETITION FILED BY SEBI IS PENDING BEFORE THE ADDITIONAL SESSIONS JUDGE, DELHI
|
| 447 |
|
|
V.CHANDRASEKARAN
|
|
|
|
PENTAMEDIA GRAPHICS LTD.
CIN:L74210TN1976PLC007142
PAN:AAACP1647B
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 448 |
|
|
V.K.AGARWAL
|
|
|
|
AMBIKA FERRO ALLOYS PVT.LTD.
|
|
|
AMIT SHARE TRADING PVT.LTD.
|
|
|
ANJALI FLAT ROLLED SHEETS PVT.LTD.
|
|
|
AQUARIUS STEELS PVT.LTD.
|
|
|
ARUNODAY VINIMAY PVT.LTD.
|
|
|
CLASSIC DEALERS & ADVANCES PVT.LTD.
|
|
|
DECENT DEALERS & ADVANCES PVT.LTD.
|
|
|
DEEP TRADERS & ADVANCES PVT.LTD.
|
|
|
EUREKA MACHINERIES PVT.LTD.
|
|
|
KRP CONSULTANTS PVT.LTD.
|
|
|
NEWAGE COMMERCIAL PVT.LTD.
|
|
|
PARVATI CASTINGS PVT.LTD.
|
|
|
SUMAC IRON & STEEL PVT.LTD.
|
|
|
TAURAS PORTFOLIOS LTD.
|
|
|
VARREN FINANCIAL SERVICES LTD.
|
|
|
VEDANT STEEL CASTING & FORGING 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
|
|
| 449 |
|
|
V.K.BINDLESH
|
|
|
|
DECENT DEALERS & ADVANCES PVT.LTD.
|
|
|
DEEP TRADERS & ADVANCES 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
|
|
| 450 |
|
|
V.K.MANTRI
|
|
|
|
CLASSIC DEALERS & ADVANCES 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
|
|
| 451 |
|
|
V.M.SUNDARAM
|
|
|
|
DSQ SOFTWARE LTD.
PAN:AAACS5071J
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 5 SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6 SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 452 |
|
|
V.N.DHOOT
|
|
|
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
|
|
| 453 |
|
|
V.N.NADKARNI
|
|
|
|
GUJARAT CAPITAL VENTURES LTD.
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 454 |
|
|
V.R.GUNDANNAVAR
|
|
|
|
S.N.FINANCE LTD.
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 455 |
|
|
V.R.VENKATCHALAM
(PAN:AADPV3203H)
|
|
|
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
DID NOT OBTAIN PRE-CLEARANCE OF OPPOSITE TRANSACTION EXECUTING WITHIN SIX MONTHS VIOLATING UNDER PART A OF SCHEDULE I READ WITH REGULATION 12 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF TCP LTD.
|
IMPOSED PENALTY RS.15,03,00,000
31-JAN-2018
|
SAT: APPEALS DISMISSED. NO COSTS
SEBI VIDE ITS NOTICE DATED 05/12/2018 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 13/02/2020 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE MOVABLE AND IMMOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF PROPERTIES LISTED IN ORDER C) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES HELD BY THE DEFAULTERS, IF PRESENTED FOR REGISTRATION
SAT: SAT VIDE ITS ORDER DATED 25/02/2020 DIRECTED APPELLANT TO APPROACH RECOVERY OFFICER BY FILING APPROPRIATE APPLICATION U/S 28A OF SEBI ACT, 1992 READ WITH SECTIONS 220 TO 227, 228A, 229 AND 232 ETC OF THE INCOME TAX ACT AND INCOME TAX (CERTIFICATES PROCEEDINGS) RULES, 1962
SEBI VIDE ITS ORDER DATED 13/11/2019 DIRECTED ALL THE BANKS TO REMIT RS.18,24,69,318.00 TO THE EXTENT LYING IN THE ACCOUNT OF V.R.VENKATCHALAM BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS ORDER DATED 12/10/2021 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 05/12/2018
|
| 456 |
|
|
V.RAJASEKHARAN
(PAN:AERPR0716F)
|
|
|
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
DID NOT OBTAIN PRE-CLEARANCE OF OPPOSITE TRANSACTION EXECUTING WITHIN SIX MONTHS VIOLATING UNDER PART A OF SCHEDULE I READ WITH REGULATION 12 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF TCP LTD.
|
IMPOSED PENALTY RS.1,03,00,000
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
|
| 457 |
|
|
VAISHALI R.SHAH
|
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
30-JUN-2010
|
|
| 458 |
|
|
VANGINI SRINIVAS
|
|
|
|
RANSI SOFTWARES INDIA LTD.
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 459 |
|
|
VARSHA R.PARIKH
|
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY/STOCK CHANGES AS REQUIRED UNDER REGULATION 7 OF SEBI TAKEOVER CODE, 1997
VIOLATED SECTION 10 OF SEBI TAKEOVER CODE, 1997
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 460 |
|
|
VARSHABEN J.SHAH
|
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
30-JUN-2010
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 23 of 25
|
