| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
KAILASH CHANDRA AGRAWAL
|
|
|
|
ASHOKA REFINERIES LTD.
|
|
ALLEGED DELAY IN TRANSFER OF SHARES OF ASHOKA REFINERIES LTD.
ALLEGED INDULGENCE IN PRICE RIGGING IN SCRIP OF ASHOKA REFINERIES LTD.
|
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 22-JUL-2009 TO 21-JUL-2011
22-JUL-2009
|
|
| 42 |
|
|
KAMAL PRIYAKANT JHAVERI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPOS OF VARIOUS COMPANIES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-MAR-2009 TO 28-FEB-2012
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 01-MAR-2009 TO 28-FEB-2012
27-APR-2006
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,80,00,000, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.24,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 01-MAR-2009 TO 28-FEB-2012
10-FEB-2009
|
CONFIRMED INTERIM ORDER DATED APR. 27,2006
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO COMPLETE ENQUIRIES BEFORE 31/10/2008.ADJUDICATION PROCEEDINGS SHOULD ALSO BE DISPOSED OF BEFORE END OF OCTOBER THIS YEAR
SEBI VIDE ITS CONSENT ORDER DATED 10/02/2009 REVOKED DIRECTIONS ISSUED IN AD-INTERIM CONFIRMATORY ORDER DATED 09/05/2007. DIRECTED TO DISGORGE UNLAWFUL GAIN OF RS.24 LACS AND RS.180.00 LACS TOWARDS SETTLEMENT CHARGES AND UNDERGO VOLUNTARY DEBARMENT FOR 3 YEARS FROM 01/03/2009.DIRECTED NSDL TO PERMIT OPERATION OF DEMAT ACCOUNT FOR LIMITED PURPOSE OF SALE OF SPECIFIED SHARES.INSTRUCTED KARVY STOCKBROKING LTD. (DP) AND KHANDWALA INTEGRATED FINANCIAL SERVICES PVT.LTD. (STOCK BROKER) TO TAKE PRIOR CLEARANCE FROM NSDL AND AMOUNT OF SHARES SOLD SHOULD NOT EXCEED RS.2.04 CRORES. DIRECTED NSE TO PAY ENTIRE SALE PROCEEDS DIRECTLY TO SEBI WITHIN 7 DAYS. FURTHER DIRECTED TO COMPLETE SALE OF SHARES LATEST BY 20/02/2009
DIRECTED 1.BELA, SUMANGALA AND KAMAL TO COMPLETE ALL NECESSARY FORMALITIES TO GIVE EFFECT TO SALE OF THEIR SHARES TO ACQUIRERS WITHIN 15 DAYS FROM DATE OF THIS ORDER 2.MANAGER TO THE OFFER TO TRANSFER ENTIRE SALE PROCEED TO KARVY 3.AMOUNT OF RS.32,00,000 BE KEPT IN ESCROW ACCOUNT BY KARVY TO BE RELEASED ON 28/02/2012 UPON COMPLETION OF DEBARMENT PERIOD
SEBI VIDE ITS ORDER DATED 12/07/2011 AMENDED ITS ORDER DATED 25/10/2010 BY PERMITTING SALE OF DELISTED SHARES TO ACQUIRER TILL 15/07/2011 WITH ALL OTHER DIRECTIONS REMAINING THE SAME
|
| 43 |
|
|
KENNEDY R.GAJRA
|
|
|
|
G.G.AUTOMOTIVE GEARS LTD.
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF G.G.AUTOMOTIVE GEARS LTD.
ALLEGED FAILURE IN APPEARING PERSONALLY AND/OR PROVIDING NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF G.G.AUTOMOTIVE GEARS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 31-MAR-2011 TO 30-MAR-2013
31-MAR-2011
|
COMPANY VIDE DEMAND DRAFT NO.450291 DATED 16/03/2011 DRAWN ON UNION BANK OF INDIA DEPOSITED RS 15 LACS TOWARDS SETTLEMENT CHARGES
|
| 44 |
|
|
KETAN R.SHAH
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF HAVELLS INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 20-MAR-2009 TO 19-MAR-2011
20-MAR-2009
|
|
| 45 |
|
|
KIRAN JADHAV
(PAN:ACBPJ4456A)
|
|
|
ALLEGED PROVIDING NON-PUBLIC INFORMATION TO CERTAIN ENTITIES (PROFIT MAKERS) PRIOR TO BROADCASTING OF THEIR RECOMMENDATIONS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.62,40,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 16-JAN-2025 TO 15-JUL-2025
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-JAN-2025 TO 15-JUL-2025
16-JAN-2025
|
|
| 46 |
|
|
KIRTIBEN R.PATEL
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS AND PRICE MANIPULATION IN SCRIP OF GENUS COMMU-TRADE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.30,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 31-DEC-2008 TO 30-DEC-2010
31-DEC-2008
|
|
| 47 |
|
|
KULDEEP RAWAT
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ADINATH BIO-LABS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 24-AUG-2009 TO 23-OCT-2009
20-AUG-2009
|
|
| 48 |
|
|
KUSUM KASERA
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3,4(1),4(2)(A),(B),(G) & (N) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SBEC SUGAR LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-DEC-2008 TO 15-MAR-2009
16-DEC-2008
|
|
| 49 |
|
|
MAHESH M.SHAH
|
|
|
ALLEGED ACTING AS FRONT ENTITY FOR CERTAIN ENTITIES WHO MANIPULATED PRICE OF SCRIP OF GENUS COMMU-TRADE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 19-MAR-2009 TO 18-MAR-2012
19-MAR-2009
|
|
| 50 |
|
|
MANGAYARKARASI SUNDAR
(PAN:AMPPM2461E)
|
|
|
|
MANSUN CONSULTANCY PVT.LTD.
PAN:AALCM1703G
|
|
ALLEGED ACTED AS INVESTMENT ADVISOR WITHOUT SEBI REGISTRATION
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.46,80,000, DISGORGEMENT AMOUNT RS.4,59,95,763, INTEREST RS.1,47,74,100 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 25-MAY-2023 TO 24-MAY-2024
25-MAY-2023
|
|
| 51 |
|
|
MANISH CHATURVEDI
(PAN:AEEPC6410J)
|
|
|
ALLEGED INDULGENCE IN FRONT RUNNING THE TRADES OF SOCIETE GENERALE VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) READ WITH 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.44,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 06-OCT-2025 TO 05-APR-2026
06-OCT-2025
|
|
| 52 |
|
|
MANISHA H.VORA
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF STOCKNET INTERNATIONAL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 07-SEP-2009 TO 06-DEC-2009
01-SEP-2009
|
|
| 53 |
|
|
MANOJ KUMAR BOTHRA
|
|
|
|
ADINATH BIO-LABS LTD.
PAN:AAECA5539M
CIN:L24230WB1982PLC034492
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ADINATH BIO-LABS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 07-SEP-2009 TO 06-NOV-2009
01-SEP-2009
|
|
| 54 |
|
|
MUDIT GOYAL
(PAN:AMLPG9294K)
|
|
|
ALLEGED PROVIDING NON-PUBLIC INFORMATION TO CERTAIN ENTITIES (PROFIT MAKERS) PRIOR TO BROADCASTING OF THEIR RECOMMENDATIONS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.62,40,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 16-JAN-2025 TO 15-JUL-2025
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-JAN-2025 TO 15-JUL-2025
16-JAN-2025
|
|
| 55 |
|
|
MUSTAFA N.SAYYED
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF TODAY’S WRITING PRODUCTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 24-MAY-2011 TO 23-MAY-2012
24-MAY-2011
|
|
| 56 |
|
|
MUSTAFA N.SAYYED
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH CIRCULAR/SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF WELLWORTH OVERSEAS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 23-FEB-2010 TO 22-AUG-2010
22-FEB-2010
|
|
| 57 |
|
|
MVS ANANTHAKRISHNAN
|
|
|
ALLEGED INDULGENCE IN CORNERING OF SUBSTANTIAL QUANTITY OF SHARES BY ACQUARING IN OPEN MARKET AS WELL AS BY WAY OF ALLOTMENT IN PUBLIC ISSUE OF WELLWIN INDUSTRY LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 15-JUN-2010 TO 14-SEP-2010
15-JUN-2010
|
|
| 58 |
|
|
NARESH THAKKER
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF HITECH DRILLING SERVICES INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 10-MAR-2009 TO 09-MAR-2011
03-MAR-2009
|
|
| 59 |
|
|
NIMISHA KADAKIA
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-AUG-2008 TO 13-NOV-2008
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 14-AUG-2008 TO 13-NOV-2008
27-APR-2006
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,34,210, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.2,65,790 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 14-AUG-2008 TO 13-NOV-2008
12-AUG-2008
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.265790 AGAINST NOTIONAL UNDUE GAIN AND RS.134210 AGAINST SETTLEMENT CHARGES AND AGREED TO BE ON VALUNTARY BAN OF ADDITIONAL THREE MONTHS FROM DEALING IN SECURITIES MARKET AS PER CONSENT ORDER DATED 12/08/2008
|
| 60 |
|
|
NIRMAL JAGDISH PAREEK
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH SYNCHRONIZED AND CIRCULAR TRANSACTIONS AND REVERSAL OF TRADE TRANSACTIONS IN SCRIPS OF AARTI DRUGS LTD.AND HAVELLS INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.54,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 19-JUN-2009 TO 18-JUL-2009
19-JUN-2009
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 3 of 6
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