| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
ABHISHEK MORE
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATIONS 3(3) AND 3(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GROWEL INVESTMENTS LTD.
|
IMPOSED PENALTY RS.1,00,000
31-MAY-2007
|
|
| 42 |
|
|
ACHAL ANIL BAKERI
(PAN:AAWPB5727B)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SYMPHONY LTD.
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
20-JUL-2017
|
PENALTY AMOUNT OF RS.50 LACS PAID BY APPELLANTS ON 06/09/2017 VIDE DD NO.530159 DATED 06/09/2017 DRAWN ON ICICI BANK LTD. FOR RS.25 LACS AND RS.25 LACS VIDE DD NO.126240 DATED 06/09/2017 DRAWN ON THE KALUPUR COMMERCIAL CO-OPERATIVE BANK
SAT: SAT VIDE ITS ORDER DATED 16/02/2021 REJECTED THE APPLICATION FOR CONDONED THE DELAY IN FILING OF APPEAL AND DISMISSED THE APPEAL. NO COSTS
|
| 43 |
|
|
ACHARAJ BAI
(PAN:AADPA2704Q)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 44 |
|
|
ADAMALI KATHAWALA
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNION QUALITY PLASTICS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNION QUALITY PLASTICS LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNION QUALITY PLASTICS LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(5) AND 10(6) OF SAST REGULATIONS, 2011 IN MATTER OF UNION QUALITY PLASTICS LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF UNION QUALITY PLASTICS LTD.
|
IMPOSED PENALTY RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-AUG-2021
|
|
| 45 |
|
|
ADARSH MAHIPAL GUPTA
(PAN:ABRPG5368B)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY IN STIPULATED TIME AS REQUIRED UNDER REGULATIONS 6(3) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUTOLITE (INDIA) LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUTOLITE (INDIA) LTD.
|
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-APR-2012
|
|
| 46 |
|
|
ADARSH MAHIPAL GUPTA
(PAN:ABRPG5368B)
|
|
|
|
PALSOFT INFOSYSTEMS LTD.
PAN:AABCA3670N
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUTOLITE INDIA LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAY-2011
|
|
| 47 |
|
|
ADARSH SOMANI
(PAN:ALZPS4257K)
(Along with : RAJENDRA SOMANI,
MRIDULA SOMANI,
VANDANA SOMANI,
SURENDRA SOMANI,
SUSHEEL SOMANI,
SHURID SOMANI,
JAYA SOMANI,
HRIDAI SOMANI)
|
|
|
|
KOPRAN LABORATORIES LTD.
PAN:AAACK4406H
|
|
|
S V TRADING & AGENCIES LTD.
PAN:AABCS6163N
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(2) READ WITH 13(1) OF SAST REGULATIONS, 2011 IN MATTER OF SVARAJ TRADING & AGENCIES LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-MAY-2014
|
SAT: SAT VIDE ITS ORDER DATED 01/03/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 30/05/2014 AND RESTORED THE MATTER TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
SEBI VIDE ITS ORDER DATED 27/12/2017 IMPOSED PENALTY OF RS.15 LACS
|
| 48 |
|
|
ADITI BHANOT
(PAN:AOUPB4442H)
|
|
|
|
BHANOT LEASING LTD.
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF BHANOT CONSTRUCTION & HOUSING LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
02-AUG-2018
|
SAT: SAT VIDE ITS ORDER DATED 09/07/2021 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 02/08/2018
|
| 49 |
|
|
ADITI BHANOT
(PAN:AOUPB4442H)
|
|
|
|
BHANOT CONSTRUCTION & HOUSING LTD.
CIN:L45201DL1976PLC008294
PAN:AAACB0949A
|
|
|
BHANOT LEASING LTD.
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF BHANOT CONSTRUCTION & HOUSING LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-JAN-2018
|
SEBI VIDE ITS NOTICE DATED 03/10/2018 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 22/10/2018 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 03/10/2018
|
| 50 |
|
|
ADITI HIMATSINGKA
(PAN:AEIPB4750N)
|
|
|
DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PH TRADING LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
24-APR-2015
|
|
| 51 |
|
|
ADITYA ASIT MEHTA
(PAN:AKRPM6427C)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ASIT C.MEHTA FINANCIAL SERVICES LTD.
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-SEP-2015
|
SAT: SAT VIDE ITS ORDER DATED 21/03/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 29/09/2015 AND RESTORED THE MATTER TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
SEBI VIDE ITS ORDER DATED 17/05/2017 RE-IMPOSED PENALTY OF RS.25,00,000.00 U/S 15H(II) OF SEBI ACT ON THE NOTICEES MR.ASIT C.MEHTA, MR. DEENA A.MEHTA, ASIT C.MEHTA FOREX PVT.LTD., ASIT C.MEHTA COMMODITY SERVICES PVT.LTD., MR.ADITYA SIT MEHTA, MR.GOPA JAYESH DESAI, MS.RUPA ATUL SHAH, MS.SHOBHNABEN THAKORBHAI DESAI, ASIT CHIMANLAL MEHTA (HUF) AND JAYESH T.DESAI (HUF)
|
| 52 |
|
|
ADITYA D.MAHADEVIA
(PAN:AABPM3641A)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF TAK MACHINERY & LEASING LTD. (NOW KNOWN AS MANGAL CREDIT & FINCORP LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,81,525 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
29-OCT-2014
|
|
| 53 |
|
|
ADITYA JAIN
|
|
|
|
ADVIK LABORATORIES LTD.
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF ADVIK LABORATORIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1)A AND 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ADVIK LABORATORIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-OCT-2010 TO 26-OCT-2011
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-OCT-2010 TO 26-OCT-2011
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
27-OCT-2010
|
|
| 54 |
|
|
ADITYA P.SINHA
|
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.3,43,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAY-2002
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.1,02,000 FROM RS.3,43,000
|
| 55 |
|
|
ADITYA PATEL
(PAN:AJGPP7663P)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 56 |
|
|
ADITYA PATHAK
(PAN:AJRPP7868D)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 57 |
|
|
ADITYA PITTIE
|
|
|
|
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
|
| 58 |
|
|
ADITYA SANGHI
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 3(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 22.35% SHARES OF SANGHI INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
12-NOV-2008
|
|
| 59 |
|
|
AHIR HAMIRBHAI DESURABHAI
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GENUS COMMU-TRADE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GENUS COMMU-TRADE LTD.
|
IMPOSED PENALTY RS.1,25,000
22-OCT-2010
|
|
| 60 |
|
|
AHMAD MOHAMMAD AA AL OMANI
|
|
|
|
MARKAB CAPITAL WLL
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT VIOLATING SECTION 12A(F) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(1) AND 4 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNIPLY INDUSTRIES LTD.
DID NOT PUBLISH DETAILED PUBLIC STATEMENT VIOLATING REGULATION 13(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNIPLY INDUSTRIES LTD.
DID NOT DISPATCH LETTER OF OFFER TO SHAREHOLDERS VIOLATING REGULATION 18(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNIPLY INDUSTRIES LTD.
DID NOT ENSURE FINANCIAL ARRANGEMENTS MADE FOR FULFILLING THE PAYMENT OBLIGATIONS UNDER OPEN OFFER VIOLATING REGULATION 25(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNIPLY INDUSTRIES LTD.
DID NOT DEPOSIT REQUIRED AMOUNT IN ESCROW ACCOUNT VIOLATING REGULATION 17(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNIPLY INDUSTRIES LTD.
|
DIRECTED TO TAKE REQUISITE STEPS TO COMPLETE OPEN OFFER TO ACQUIRE TARGET COMPANY UNIPLY INDUSTRIES LTD. WITHIN FIFTEEN DAYS FROM DATE OF ORDER
DIRECTED TO PAY INTEREST @ 10% P.A. ALONG WITH CONSIDERATION AMOUNT FROM 26/09/2019 TO DATE OF PAYMENT OF CONSIDERATION TO SHAREHOLDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-FEB-2023 TILL COMPLIANCE WITH DIRECTIONS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-FEB-2023 TILL COMPLIANCE WITH DIRECTIONS
IMPOSED PENALTY RS.50,00,000
16-FEB-2023
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 3 of 151
|
