| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 561 |
|
POONAM HARESH JASHNANI
(PAN:ADUPJ8724H)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(A) AND (E) OF SEBI ACT, 1992 AND REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF UNITED SPIRITS LTD.
|
IMPOSED PENALTY RS.1,31,92,893
30-JUN-2020
|
SEBI VIDE ITS NOTICE DATED 14/06/2021 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 NOTICE DATED 14/12/2022 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 14/06/2021
SEBI VIDE ITS NOTICE DATED 20/03/2023 CANCELLED RECOVERY CERTIFICATE AS PER SAT ORDER DATED 30/11/2022
|
| 562 |
|
|
PRABHAT KUMAR HALDAR
(PAN:AAQPH4586G)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF HALDAR VENTURE LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF HALDAR VENTURE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
16-JAN-2019
|
|
| 563 |
|
|
PRADEEP K.SRIVASTAVA
(PAN:AZGPS6592J)
|
|
|
DID NOT MONITOR TRADES OF ALL DESIGNATED PERSONS, COMPLIANCE OF COMPANY’S CODE OF CONDUCT AND ADMINISTER SEBI (PIT) REGULATIONS EFFECTIVELY IN THE COMPANY DURING THE INVESTIGATION PERIOD VIOLATING REGULATIONS 9(3) READ WITH 2(1)(C) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF KWALITY LTD.
|
IMPOSED PENALTY RS.2,00,000
10-JAN-2024
|
|
| 564 |
|
|
PRADEEP KUMAR DHOOT
(PAN:AANPD5593J)
|
|
|
EXECUTED OFF MARKET TRANSACTIONS WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF VIDEOCON INDUSTRIES LTD.
|
IMPOSED PENALTY RS.20,00,000
08-OCT-2021
|
SEBI VIDE ITS NOTICE DATED 19/12/2024 DIRECTED TO PAY RS.27,81,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 565 |
|
|
PRADEEP KUMAR JINDAL
(PAN:AAIPJ8526A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) AND 13(5)(B) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DELTA LEASING & FINANCE LTD.
|
IMPOSED PENALTY RS.1,00,000
29-JUL-2022
|
SEBI VIDE ITS NOTICE DATED 06/12/2022 DIRECTED TO PAY RS.1,07,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 12/04/2023 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 15/05/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,12,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 566 |
|
|
PRADEEP KUMAR SHARMA
(PAN:FRNPS3638R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED REGULATIONS 13(4) AND 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF VAIBHAV GLOBAL LTD.
|
IMPOSED PENALTY RS.1,00,000
30-JUN-2022
|
|
| 567 |
|
|
PRAFULBHAI PARSHOTTAMBHAI BAVISHIYA
(PAN:ACYPP9907H)
|
|
|
DID NOT OBTAIN PRE-CLEARANCE OF OPPOSITE TRANSACTION EXECUTED WITHIN SIX MONTHS VIOLATING CLAUSE 3(A) OF CODE OF CONDUCT AS REQUIRED UNDER REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SIDDARTH BUSINESS LTD. (CURRENTLY KNOWN AS SHIVAMSHREE BUSINESS LTD.)
|
IMPOSED PENALTY RS.1,00,000
28-JAN-2020
|
|
| 568 |
|
|
PRAFULLA SUBHASHCHANDRA BHAT
(PAN:AMEPB0155F)
|
|
|
|
PRAKASH CONSTROWELL LTD.
PAN:AABCP3573F
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12(E) OF SEBI ACT, 1992 READ WITH REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
EXECUTED CONTRA TRADE WITHIN PERIOD OF SIX MONTHS VIOLATING CLAUSE 10 OF CODE OF CONDUCT AS SPECIFIED UNDER SCHEDULE B READ WITH REGULATIONS 9(1) AND 9(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
|
IMPOSED PENALTY RS.3,00,000
24-JUL-2024
|
SEBI VIDE ITS NOTICE DATED 27/10/2025 DIRECTED TO PAY RS.15,09,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 17/11/2025 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS, MUTUAL FUNDS FOLIOS AND/OR POST OFFICE ACCOUNT 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
|
| 569 |
|
|
PRAFULLA SUBHASHCHANDRA BHAT
(PAN:AMEPB0155F)
|
|
|
|
PRAKASH CONSTROWELL LTD.
PAN:AABCP3573F
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 4(1) AND 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
|
IMPOSED PENALTY RS.10,00,000
24-JUL-2024
|
SEBI VIDE ITS NOTICE DATED 27/10/2025 DIRECTED TO PAY RS.15,09,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 17/11/2025 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS, MUTUAL FUNDS FOLIOS AND/OR POST OFFICE ACCOUNT 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
|
| 570 |
|
|
PRAFULLA SUBHASHCHANDRA BHAT
(PAN:AMEPB0155F)
|
|
|
|
PRAKASH CONSTROWELL LTD.
PAN:AABCP3573F
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 4(1) AND 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE 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 24-JUL-2024 TO 23-JUL-2026
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO DISGORGE RS.54,71,510
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
24-JUL-2024
|
SEBI VIDE ITS NOTICE DATED 27/10/2025 DIRECTED TO PAY RS.99,05,259.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 17/11/2025 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS, MUTUAL FUNDS FOLIOS AND/OR POST OFFICE ACCOUNT 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
|
| 571 |
|
|
PRAFULLA SUBHASHCHANDRA BHAT
(PAN:AMEPB0155F)
|
|
|
|
PRAKASH CONSTROWELL LTD.
PAN:AABCP3573F
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12(E) OF SEBI ACT, 1992 READ WITH REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
EXECUTED CONTRA TRADE WITHIN PERIOD OF SIX MONTHS VIOLATING CLAUSE 10 OF CODE OF CONDUCT AS SPECIFIED UNDER SCHEDULE B READ WITH REGULATIONS 9(1) AND 9(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE 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 24-JUL-2024 TO 23-JUL-2026
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO DISGORGE RS.30,66,644
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
24-JUL-2024
|
SEBI VIDE ITS NOTICE DATED 27/10/2025 DIRECTED TO PAY RS.99,05,259.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 17/11/2025 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS, MUTUAL FUNDS FOLIOS AND/OR POST OFFICE ACCOUNT 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
|
| 572 |
|
|
PRAGNABEN SURYAKANT SHAH
(PAN:BGXPS9598D)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF GALA GLOBAL PRODUCTS LTD.
|
IMPOSED PENALTY RS.2,00,000
23-NOV-2020
|
|
| 573 |
|
|
PRAKASH C.KANUGO
(PAN:AFKPK2696F)
|
|
|
|
PRAKASH STEELAGE LTD.
PAN:AAACP6673K
|
|
ENTERED INTO OFF-MARKET TRANSACTIONS WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) TO 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF PRAKASH STEELAGE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PRAKASH STEELAGE LTD.
EXECUTED OFF-MARKET TRANSACTION OF SHARES WITHOUT RECEIVING/TRANSFERRING CONSIDERATION VIOLATING SECTION 2(I) READ WITH SECTIONS 13, 16 AND 18 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF PRAKASH STEELAGE LTD.
|
IMPOSED PENALTY RS.5,00,000
29-JUL-2022
|
SEBI VIDE ITS NOTICE DATED 16/11/2022 DIRECTED TO PAY RS.17,86,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 20/10/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 20/12/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS ORDER DATED 20/12/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6036 OF 2022 DATED 16/11/2022
SAT: SAT VIDE ITS ORDER DATED 31/01/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 08/05/2023 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 20/06/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPLICATION
SAT: SAT VIDE ITS ORDER DATED 06/11/2023 CONDONED THE DELAY IN FILING OF APPEAL. PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.5 LAC FROM RS.17 LAC. NO COSTS
|
| 574 |
|
|
PRAMOD SINGH
(PAN:BDEPS6975E)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INDIABULLS VENTURES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-OCT-2021 TO 31-DEC-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
01-OCT-2021
|
|
| 575 |
|
|
PRAMOD SINGH
(PAN:BDEPS6975E)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INDIABULLS VENTURES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-OCT-2021 TO 31-MAR-2022
01-OCT-2021
|
|
| 576 |
|
|
PRANNOY ROY
(PAN:AAHPR6037K)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) & (E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3 AND 4 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF NEW DELHI TELEVISION LTD.
TRADED WHILE TRADING WINDOW WAS CLOSED VIOLATING CLAUSES 3.2.2, 3.2.5 READ WITH 3.2.1 OF MODEL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING UNDER SCHEDULE I READ WITH REGULATIONS 12(2) AND 12(1) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF NEW DELHI TELEVISION LTD.
|
DIRECTED TO DISGORGE RS.16,97,38,335 ALONG WITH OTHER ENTITIES/PERSONS
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 27-NOV-2020 TO 26-NOV-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
27-NOV-2020
|
SAT: SAT VIDE ITS ORDER DATED 04/01/2021 DIRECTED APPELLANT TO DEPOSIT 50% OF THE DISGORGED AMOUNT BEFORE THE RESPONDENT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND AMOUNT DEPOSITED TO BE KEPT IN INTEREST BEARING ACCOUNT
SAT: SAT VIDE ITS ORDER DATED 30/09/2022 ALLOWED MISC. APPLICATION AND DIRECTED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 05/10/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 27/11/2020
|
| 577 |
|
|
PRANSHU BHUTRA
(PAN:AJGPB4087R)
|
|
|
|
INFOSYS LTD.
PAN:AAACI4798L
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 AND REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INFOSYS LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAY-2021 UNTIL FURTHER ORDERS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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 BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 31-MAY-2021 UNTIL FURTHER ORDERS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
31-MAY-2021
|
SEBI VIDE ITS ORDER DATED 15/09/2021 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD-INTERIM ORDER DATED 31/05/2021 SUBJECT TO MODIFICATIONS AFTER TAKING INTO ACCOUNT THE SPECIFIC FACTS AND CIRCUMSTANCES - A) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES OF INFOSYS, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER UNTIL FURTHER ORDER B) DIRECTIONS ISSUED VIDE PARA 71.9 AND 71.10 OF THE INTERIM ORDER STANDS MODIFIED TO THE EXTENT OF ALLOWING CREDIT AND DEBIT OF SECURITIES IN THE ACCOUNTS
SAT: SAT VIDE ITS ORDER DATED 25/04/2022 ALLOWED THE APPEALS AND QUASHED INTERIM ORDER DATED 31/05/2021 AND CONFIRMATORY ORDER DATED 15/09/2021
|
| 578 |
|
|
PRASHANT BOORUGU
(PAN:AAOPB7558E)
|
|
|
|
METKORE ALLOYS & INDUSTRIES LTD.
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF METKORE ALLOYS & INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF METKORE ALLOYS & INDUSTRIES LTD.
|
IMPOSED PENALTY RS.4,00,000
08-FEB-2018
|
|
| 579 |
|
|
PRASHANT SHARAD MULEKAR
(PAN:AACPM1058Q)
|
|
|
DID NOT MAKE DISCLOSURES UPON INVOCATION OF PLEDGE OF SHARES TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) OF SAST REGULATIONS, 2011 IN MATTER OF GEODESIC LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF GEODESIC LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) AND 13(4A) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF GEODESIC LTD.
|
IMPOSED PENALTY RS.5,00,000
19-JUL-2021
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SEBI VIDE ITS NOTICE DATED 28/07/2022 DIRECTED TO PAY RS.5,66,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 30/08/2022 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 03/10/2022 DIRECTED ALL THE BANKS TO REMIT RS.18,58,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.PRASHANT MULEKAR BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS ORDER DATED 07/08/2024 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CREATING CHARGE IN RESPECT OF ALL THE MOVABLE AND IMMOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER ANY DISPOSAL, TRANSFER, ALIENATION OR CREATING CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTER AND CHARGES, IF ANY, WITHIN ONE WEEK FROM DATE OF THIS ORDER D) CERTIFIED COPIES OF ALL THE TITLE DEEDS, VALUATION REPORTS OF ALL THE PROPERTIES HLED BY HIM WITHIN TWO WEEKS FROM DATE OF THIS ORDER E) DIRECTED INSPECTORS GENERAL OF REGISTRATION OF MAHARASHTRA AND THE CONCERNED SUB-REGISTRAR OF THE AREA WHERE THE PROPERTY IS SITUATED F) 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 OWNED/HELD BY THE DEFAULTER, IF PRESENTED FOR REGISTRATION
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PRASHANT SHARAD MULEKAR
(PAN:AACPM1058Q)
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DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) AND 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF GEODESIC LTD.
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IMPOSED PENALTY RS.2,00,000
31-OCT-2018
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SEBI VIDE ITS NOTICE DATED 24/01/2020 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 06/02/2020 DIRECTED ALL THE BANKS TO REMIT RS.2,31,444.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.PRASHANT MULEKAR BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS ORDER DATED 15/07/2020 DIRECTED ALL THE BANKS TO REMIT RS.1,93,537.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.PRASHANT MULEKAR TO SEBI BY WAY OF EFT/NEFT/RTGS
AS PER SEBI NOTICE DATED 14/03/2022 NOTICEE IS UNTRACEABLE
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