| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
A.RAJ ABASAN PVT.LTD.
(PAN:AACCA5757F)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,42,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 42 |
|
|
A.S.VANIJYA PVT.LTD.
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS AND MATCHED ORDERS IN SCRIP OF GLOBAL CAPITAL MARKETS LTD.
|
IMPOSED PENALTY RS.2,00,000
31-AUG-2009
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 31/08/2009 SET ASIDE WITH NO ORDER AS TO COSTS.
|
| 43 |
|
|
A1 SOLUTIONS
(PAN:EJKPK0864F)
|
|
|
|
AJJU KUMAR
PAN:EJKPK0864F
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF MAURIA UDYOG LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUN-2026
|
|
| 44 |
|
|
A1 SOLUTIONS
(PAN:EJKPK0864F)
|
|
|
|
AJJU KUMAR
PAN:EJKPK0864F
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF MAURIA UDYOG 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 19-JUN-2023 TO 18-JUN-2027
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
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
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
21-JUN-2023
DIRECTED TO DISGORGE RS.1,29,56,803 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
30-JUN-2026
|
SEBI VIDE ITS ORDER DATED 30/06/2026 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH THE SECURITIES MARKET IN ANY MANNER, FOR A PERIOD OF FOUR YEARS FROM DATE OF INTERIM ORDER B) DISGORGE UNLAWFUL GAINS OF RS.1,29,56,803.00 ALONGWITH SIMPLE INTEREST @12% P.A. FROM 21/10/2020 TILL DATE OF PAYMENT OF DISGORGED AND AMOUNT TO BE REMITTED TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF) WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER
|
| 45 |
|
|
AA PLUS COMMODITY BROKING PVT.LTD.
(PAN:AAHCA2831P)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF DHYANA FINSTOCK LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-JUL-2020 TO 29-JUL-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-JUL-2020 TO 29-JUL-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-JUL-2020
|
|
| 46 |
|
|
AA PLUS COMMODITY BROKING PVT.LTD.
(PAN:AAHCA2831P)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF DHYANA FINSTOCK LTD.
|
IMPOSED PENALTY RS.10,00,000
11-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 01/03/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED EXEMPTION APPLICATION. RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER. IN THE MEANWHILE,EFFECT AND OPERATION OF THE IMPUGNED ORDER TO REMAIN STAYED DURING PENDENCY OF APPEAL
|
| 47 |
|
|
AABHAS ASAWA BENEFICIARY TRUST
(PAN:AACTA0632L)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 48 |
|
|
AACHMAN CONSULTANCY PVT.LTD.
(PAN:AALCA3441M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF VAKRANGEE LTD.
|
IMPOSED PENALTY
26-APR-2021
|
|
| 49 |
|
|
AACHMAN CONSULTANCY PVT.LTD.
(PAN:AALCA3441M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF VAKRANGEE LTD.
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-APR-2021
|
|
| 50 |
|
|
AACHMAN INFRASTRUCTURE PVT.LTD.
(CIN:U45200DL2010PTC205637
PAN:AAJCA0231F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF ERA INFRA ENGINEERING LTD.
|
IMPOSED PENALTY RS.10,000
28-JAN-2022
|
SEBI VIDE ITS NOTICE DATED 04/10/2022 DIRECTED TO PAY RS.12,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 09/05/2023 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 08/06/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.12,800.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 51 |
|
|
AACHMAN VANIJYA PVT.LTD.
(PAN:AACCA5165H)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
31-AUG-2021
|
|
| 52 |
|
|
AADARSHINI TRADING CO.PVT.LTD.
(PAN:AAHCA2691R)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
29-NOV-2021
|
SAT: SAT VIDE ITS ORDER DATED 05/04/2022 DISMISSED THE APPEAL. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 27/04/2022 ALLOWED RESTORATION APPLICATION AND RECALLED ORDER DATED 05/04/2022
SAT: SAT VIDE ITS ORDER DATED 02/05/2022 CONDONED THE DELAY IN FILING OF APPEAL. APPEAL DISMISSED.NO COSTS
SAT: SAT VIDE ITS ORDER DATED 30/01/2023 CONDONED THE DELAY IN FILING OF APPEAL AND DISPOSED OF THE APPEAL DIRECTING APPELLANT TO FILE APPROPRIATE APPLICATION FOR SETTLEMENT BEFORE THE AUTHORITY WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 53 |
|
|
AADARSHINI TRADING CO.PVT.LTD.
(PAN:AAHCA2691R)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 54 |
|
|
AADINATH PROPCON PVT.LTD.
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF SUN INFOWAYS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-MAR-2012 TO 28-FEB-2013
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-MAR-2012 TO 28-FEB-2013
01-MAR-2012
|
|
| 55 |
|
|
AADINATH PROPCON PVT.LTD.
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME IN SCRIP OF SUN INFOWAYS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-MAR-2008 TO 02-MAR-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-MAR-2008 TO 02-MAR-2010
03-MAR-2008
|
|
| 56 |
|
|
AADINATH SECURITIES PVT.LTD.
(PAN:AAFCA3411P)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,42,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 57 |
|
|
AADIT MEDICINES LTD.
|
|
|
MADE FALSE DECLARATION OF DIVIDEND AND PERFORMANCE OF BLUE INFORMATION TECHNOLOGY LTD.
MADE FALSE APPEARANCES OF TRADING IN SCRIP BLUE INFORMATION TECHNOLOGY LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-MAR-2008 TO 02-MAR-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-MAR-2008 TO 02-MAR-2010
03-MAR-2008
|
|
| 58 |
|
|
AADITYA FINECHEM PVT.LTD.
(PAN:AAKCA7745B)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
30-SEP-2021
|
|
| 59 |
|
|
AADITYA LUXURY HOTELS LTD.
|
|
|
|
BIMAL BHATT
|
|
INDULGED IN NUMEROUS SYNCHRONIZED DEALS WITH OTHER CLIENTS IN SCRIP OF VATSA MUSIC LTD. AT STEADILY INCREASING PRICES, THEREBY RIGGING UP THE PRICE OF THE SCRIP
VIOLATED REGULATIONS 4(A), 4(B), 4(C) AND 4(D) OF SEBI (PFUTP) REGULATIONS, 1995
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-AUG-2004 TO 30-AUG-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-AUG-2004 TO 30-AUG-2009
31-AUG-2004
|
|
| 60 |
|
|
AAINA ENGINEERING PVT.LTD.
(PAN:AACCA5725D)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 3 of 594
|
