| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 541 |
|
PARAGON INVESTMENTS PVT.LTD.
|
|
|
|
HEENA RAJNIBHAI PATEL
|
|
|
NILESH J.PATEL
|
|
|
RAJNI M.PATEL
|
|
INDULGED IN FICTITIOUS TRADING TO CREATE ARTIFICIAL MARKET/PRICE RISE WITHOUT INTENDING TO TRANSFER THE BENEFICIAL OWNERSHIP OF THE SHARES IN SCRIP OF AVINASH INFORMATION TECHNOLOGIES LTD. (FORMERLY MANGALYA EXPORTS LTD.)
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2006 TO 30-JAN-2007
31-JAN-2006
|
|
| 542 |
|
|
PARAGON INVESTMENTS PVT.LTD.
|
|
|
|
RAJNI M.PATEL
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.15,000
30-JUN-2005
|
|
| 543 |
|
|
PARAGON INVESTMENTS PVT.LTD.
|
|
|
|
RAJNI M.PATEL
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.15,000
30-JUN-2005
|
|
| 544 |
|
|
PARSOLI CORP.LTD.
(PAN:AABCP9030F)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS/NOTICES/LETTERS
DID NOT MAKE DISCLOSURE OF SHAREHOLDING PATTERN TO BSE VIOLATING SECTION 21 OF SCRA, 1956 READ WITH CLAUSE 35 OF LISTING AGREEMENT
|
IMPOSED PENALTY RS.5,00,000
08-MAR-2011
|
SAT: APPEAL DISMISSED
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 16/12/2013 DIRECTED ALL THE BANKS 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 30/05/2022 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 16/12/2013
|
| 545 |
|
|
PARSOLI CORP.LTD.
(PAN:AABCP9030F)
|
|
|
|
UVES MOHAMMED YUNUS SARESHWALA
DIN:00123493
PAN:AOFPS5856M
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF PARSOLI CORP.LTD.
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF PARSOLI CORP.LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PARSOLI CORP.LTD.
ENTERED INTO OFF-MARKET TRANSACTIONS WHICH WERE NOT IN THE NATURE OF SPOT DELIVERY CONTRACTS VIOLATING SECTIONS 13 AND 16 READ WITH SECTION 18 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
IMPOSED PENALTY RS.7,50,000
25-FEB-2011
|
SAT: APPEAL DISMISSED
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 16/12/2013 DIRECTED ALL THE BANKS 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
|
| 546 |
|
|
PARSOLI CORP.LTD.
(PAN:AABCP9030F)
|
|
|
|
UVES MOHAMMED YUNUS SARESHWALA
DIN:00123493
PAN:AOFPS5856M
|
|
|
ZAFAR YUNUS SARESHWALA
DIN:00123536
PAN:ANYPS8494D
|
|
INTRODUCED, TRANSFERRED AND DEMATERIALISED 80,800 FAKE SHARES OF PARSOLI CORP.LTD. IN FAVOUR OF PROMOTERS/FRONT ENTITIES
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN MATTER OF ISSUANCE OF 80,800 FAKE SHARES OF PARSOLI CORP.LTD. TO PROMOTERS/FRONT ENTITIES
DID NOT HANDLE AND MAINTAIN SHARE TRANSFER WORK AT SINGLE POINT AS REQUIRED UNDER REGULATION 53A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996 IN MATTER OF PARSOLI CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-JUL-2010 TO 26-JUL-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-JUL-2010 TO 26-JUL-2017
27-JUL-2010
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
SAT: APPEAL DISMISSED
SAT: SAT VIDE ITS ORDER DATED 28/01/2020 DISMISSED THE APPEAL
|
| 547 |
|
|
PARSOLI CORP.LTD.
(PAN:AABCP9030F)
|
|
|
DID NOT MAKE DISCLOSURE TO BSE IN MATTER OF TRANSFER OF 9,61,600 SHARES BY PROMOTERS VIOLATING LISTING AGREEMENT
INDUCED INVESTORS BY MAKING MISLEADING/FALSE PUBLIC ANNOUNCEMENT OF DECLARATION OF DIVIDEND
DID NOT CO-OPERATE WITH SEBI IN INVESTIGATION AND MADE MISLEADING/CONTRADICTORY STATEMENTS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUN-2010 TO 27-JUN-2011
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUN-2010 TO 27-JUN-2011
28-JUN-2010
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
SAT: APPEAL DISMISSED
SAT: APPEAL DISMISSED
|
| 548 |
|
|
PARSOLI CORP.LTD.
(PAN:AABCP9030F)
|
|
|
|
ZAFAR YUNUS SARESHWALA
DIN:00123536
PAN:ANYPS8494D
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF PARSOLI CORP.LTD.
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF PARSOLI CORP.LTD.
|
IMPOSED PENALTY RS.5,50,000
28-FEB-2011
|
SAT: APPEAL DISMISSED
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 16/12/2013 DIRECTED ALL THE BANKS 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
|
| 549 |
|
|
PARTH INVESTMENTS & CONSULTANTS PVT.LTD.
|
|
|
DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME
|
IMPOSED PENALTY RS.50,000
07-DEC-2006
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 28/03/2018 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 ORDER DATED 17/02/2023 DIRECTED ALL THE BANKS TO REMIT RS.1,48,500.00 TO THE EXTENT LYING IN THE ACCOUNT OF PARTH INVESTMENTS & CONSULTANTS PVT.LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 550 |
|
|
PARTON COMMERCIAL PVT.LTD.
(PAN:AAECP6196R)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
DID NOT UNPLEDGE AND RETURN SECURITIES TO CLIENTS UPON FULFILMENT OF PAY-IN-OBLIGATION
MADE UNAUTHORISED TRANSFER OF SHARES FROM CLIENT’S DEMAT ACCOUNTS
PROVIDED MISLEADING INFORMATION TO STOCK EXCHANGES
|
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 07-OCT-2019 TO 06-OCT-2024
CEASED AND DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 07-OCT-2019 TO 06-OCT-2024
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR TO CREATE OR INVOKE OR RELEASE ANY INTEREST OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF NSE AND BSE
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
IMPOSED PENALTY RS.10,00,000
07-OCT-2019
|
SEBI VIDE ITS ORDER DATED 06/12/2019 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 07/10/2019
SEBI VIDE ITS ORDER DATED 11/01/2023 DIRECTED TO RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES EITHER DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR FIVE YEARS
SAT: SAT VIDE ITS ORDER DATED 29/03/2023 DIRECTED APPELLANTS TO FILE CERTIFIED COPY OF THE IMPUGNED ORDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER. RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER. FURTHER, DIRECTED APPELLANTS TO DEPOSIT 50% OF PENALTY WITHIN THREE WEEKS FROM DATE OF THIS ORDER. IF AMOUNT DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 12/05/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 04/07/2023 ALLOWED APPELLANTS FURTHER TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 03/08/2023 ALLOWED APPELLANT FURTHER A WEEK’S TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 05/12/2023 DIRECTED TO PAY RS.11,21,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 21/12/2023 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 09/02/2024 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 21/12/2023
SEBI VIDE ITS ORDER DATED 09/02/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7433 OF 2023 DATED 05/12/2023
SAT: SAT VIDE ITS ORDER DATED 04/10/2024 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 20/03/2025 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
SAT: SAT VIDE ITS ORDER DATED 17/06/2026 DISMISSED THE APPEAL FOR NON-PROSECUTION. NO COSTS
|
| 551 |
|
|
PASUPATI ENCLAVE PVT.LTD.
(PAN:AAECP4278L)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF PG ELECTROPLAST LTD.
|
IMPOSED PENALTY RS.1,00,000
02-AUG-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS ORDER DATED 14/07/2023 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 14/12/2023 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 14/07/2023
SEBI VIDE ITS ORDER DATED 14/12/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4305 OF 2021 DATED 29/11/2021
|
| 552 |
|
|
PATEL ASSOCIATES
|
|
|
|
SUNILBHAI PATEL
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS AND REVERSAL OF TRADES IN SCRIP OF CLASSIC DIAMOND (INDIA) LTD.
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF CLASSIC DIAMOND (INDIA) LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-APR-2011
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.2,47,500.00
|
| 553 |
|
|
PATEL INVESTMENTS
|
|
|
|
GIRISH J.PATEL
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF CLASSIC DIAMOND (INDIA) LTD.
|
IMPOSED PENALTY RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS
29-APR-2011
|
|
| 554 |
|
|
PAYAGPOUR VINIMAY PVT.LTD.
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.30,000
19-MAY-2005
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 555 |
|
|
PERFECT RADIATORS & OIL COOLERS PVT.LTD.
(CIN:U34300DL2003PTC120935
PAN:AADCP0752E)
|
|
|
DID NOT FURNISH NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF LEEL ELECTRICALS LTD.
|
IMPOSED PENALTY RS.5,00,000
31-MAR-2023
|
|
| 556 |
|
|
PILLAIYAR PATTIYAR TEXTILES LTD.
|
|
|
DID NOT SUBMIT REQUIRED INFORMATION TO SEBI IN THE CASE OF SCRIP OF DSQ BIOTECH LTD.
|
IMPOSED PENALTY RS.10,00,000
11-DEC-2007
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 557 |
|
|
PINCON LIFESTYLE LTD.
(PAN:AACCM2684D)
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS TO INVESTIGATING AUTHORITY OF SEBI
|
IMPOSED PENALTY RS.1,00,000
30-SEP-2022
|
SEBI VIDE ITS NOTICE DATED 16/05/2023 DIRECTED TO PAY RS.1,10,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 07/07/2023 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 19/09/2023 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 07/07/2023
SEBI VIDE ITS ORDER DATED 19/09/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6548 OF 2023 DATED 16/05/2023
|
| 558 |
|
|
PLACIDO MARKETING PVT.LTD.
(PAN:AAGCP6892C)
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF DELTA LEASING & FINANCE LTD.
|
IMPOSED PENALTY RS.1,00,000
18-OCT-2022
|
SEBI VIDE ITS NOTICE DATED 23/03/2022 DIRECTED TO PAY RS.1,07,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 17/04/2023 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 17/05/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,09,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 559 |
|
|
POLO SETCO TIE-UP PVT.LTD.
(PAN:AABCP7880R)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
DID NOT UNPLEDGE AND RETURN SECURITIES TO CLIENTS UPON FULFILMENT OF PAY-IN-OBLIGATION
MADE UNAUTHORISED TRANSFER OF SHARES FROM CLIENT’S DEMAT ACCOUNTS
PROVIDED MISLEADING INFORMATION TO STOCK EXCHANGES
|
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 07-OCT-2019 TO 06-OCT-2024
CEASED AND DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 07-OCT-2019 TO 06-OCT-2024
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR TO CREATE OR INVOKE OR RELEASE ANY INTEREST OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF NSE AND BSE
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
IMPOSED PENALTY RS.10,00,000
07-OCT-2019
|
SEBI VIDE ITS ORDER DATED 06/12/2019 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 07/10/2019
SEBI VIDE ITS ORDER DATED 11/01/2023 DIRECTED TO RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES EITHER DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR FIVE YEARS
SAT: SAT VIDE ITS ORDER DATED 29/03/2023 DIRECTED APPELLANTS TO FILE CERTIFIED COPY OF THE IMPUGNED ORDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER. RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER. FURTHER, DIRECTED APPELLANTS TO DEPOSIT 50% OF PENALTY WITHIN THREE WEEKS FROM DATE OF THIS ORDER. IF AMOUNT DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 12/05/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 04/07/2023 ALLOWED APPELLANTS FURTHER TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 03/08/2023 ALLOWED APPELLANT FURTHER A WEEK’S TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 05/12/2023 DIRECTED TO PAY RS.11,21,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 21/12/2023 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 ORDER DATED 29/02/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7434 OF 2023 DATED 05/12/2023
SAT: SAT VIDE ITS ORDER DATED 04/10/2024 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 20/03/2025 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
SAT: SAT VIDE ITS ORDER DATED 17/06/2026 DISMISSED THE APPEAL FOR NON-PROSECUTION. NO COSTS
|
| 560 |
|
|
POOJAN TRADECOM PVT.LTD.
(PAN:AAECP2532R)
|
|
|
INDULGED IN SIPHONING OFF IPO PROCEEDS IN MATTER OF MIDVALLEY ENTERTAINMENT LTD.
DID NOT PROVIDE INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF MIDVALLEY ENTERTAINMENT LTD.
|
IMPOSED PENALTY RS.7,00,000
31-MAY-2022
|
|
| 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 28 of 44
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