| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
ARVIND SHUKLA
(PAN:ISZPS7481G)
(Along with : MALAY SHAILESHBHAI PATEL,
SHAILESH SOMABHAI PATEL,
JALAJ AGRAWAL)
|
|
|
INDULGED IN DEALING IN SECURITIES WHILE IN POSSESSION OF MATERIAL OR NON-PUBLIC INFORMATION OR COMMUNICATE SUCH MATERIAL OR NON-PUBLIC INFORMATION TO ANY OTHER PERSON VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT. 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(D) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF UNISON METALS LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2024 UNTIL FURTHER ORDERS
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
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
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER
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 OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.6,32,274 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
31-JUL-2024
|
|
| 42 |
|
|
ARVIND SHUKLA
(PAN:ISZPS7481G)
(Along with : MUKTI LODHA,
SHAILESH SOMABHAI PATEL,
JALAJ AGRAWAL)
|
|
|
INDULGED IN DEALING IN SECURITIES WHILE IN POSSESSION OF MATERIAL OR NON-PUBLIC INFORMATION OR COMMUNICATE SUCH MATERIAL OR NON-PUBLIC INFORMATION TO ANY OTHER PERSON VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT. 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(D) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF UNISON METALS LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2024 UNTIL FURTHER ORDERS
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
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
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER
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 OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.42,35,250 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
31-JUL-2024
|
|
| 43 |
|
|
ARVIND SHUKLA
(PAN:ISZPS7481G)
(Along with : JIGNESH PRAVINBHAI PETHANI,
YAYAATI HASMUKHRAY NADA,
SHAILESH SOMABHAI PATEL,
JALAJ AGRAWAL)
|
|
|
INDULGED IN DEALING IN SECURITIES WHILE IN POSSESSION OF MATERIAL OR NON-PUBLIC INFORMATION OR COMMUNICATE SUCH MATERIAL OR NON-PUBLIC INFORMATION TO ANY OTHER PERSON VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT. 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(D) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF UNISON METALS LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2024 UNTIL FURTHER ORDERS
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
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
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER
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 OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.37,49,190 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
31-JUL-2024
|
|
| 44 |
|
|
ARVIND SHUKLA
(PAN:ISZPS7481G)
(Along with : REETABEN ASHVINKUMAR SHUKLA,
YAYAATI HASMUKHRAY NADA,
SHAILESH SOMABHAI PATEL,
JALAJ AGRAWAL)
|
|
|
INDULGED IN DEALING IN SECURITIES WHILE IN POSSESSION OF MATERIAL OR NON-PUBLIC INFORMATION OR COMMUNICATE SUCH MATERIAL OR NON-PUBLIC INFORMATION TO ANY OTHER PERSON VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT. 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(D) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF UNISON METALS LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2024 UNTIL FURTHER ORDERS
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
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
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER
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 OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.12,11,311 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
31-JUL-2024
|
|
| 45 |
|
|
ARVIND SHUKLA
(PAN:ISZPS7481G)
(Along with : HARDIK JITENDRABHAI PATEL,
YAYAATI HASMUKHRAY NADA,
SHAILESH SOMABHAI PATEL,
JALAJ AGRAWAL)
|
|
|
INDULGED IN DEALING IN SECURITIES WHILE IN POSSESSION OF MATERIAL OR NON-PUBLIC INFORMATION OR COMMUNICATE SUCH MATERIAL OR NON-PUBLIC INFORMATION TO ANY OTHER PERSON VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT. 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(D) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF UNISON METALS LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2024 UNTIL FURTHER ORDERS
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
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
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER
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 OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.4,77,780 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
31-JUL-2024
|
|
| 46 |
|
|
ARVIND SHUKLA
(PAN:ISZPS7481G)
(Along with : NAHUSH ASHVINBHAI SHUKLA,
YAYAATI HASMUKHRAY NADA,
REETABEN ASHVINKUMAR SHUKLA,
SHAILESH SOMABHAI PATEL,
JALAJ AGRAWAL)
|
|
|
INDULGED IN DEALING IN SECURITIES WHILE IN POSSESSION OF MATERIAL OR NON-PUBLIC INFORMATION OR COMMUNICATE SUCH MATERIAL OR NON-PUBLIC INFORMATION TO ANY OTHER PERSON VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT. 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(D) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF UNISON METALS LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2024 UNTIL FURTHER ORDERS
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
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
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER
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 OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.20,88,798 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
31-JUL-2024
|
|
| 47 |
|
|
ASHISH BABURAO KELKAR
(PAN:ACAPK0708P)
(Along with : NIRMAL KUMAR SONI,
KIRAN JADHAV,
HIMANSHU GUPTA,
MUDIT GOYAL,
SIMI BHAUMIK)
|
|
|
|
SAAR COMMODITIES PVT.LTD.
PAN:AAJCS7343G
|
|
AIDED/ASSISTED PROFIT MAKERS IN MAKING PROFIT BASED ON ADVANCE INFORMATION OF STOCK RECOMMENDATIONS OF GUEST EXPERTS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-FEB-2024 UNTIL FURTHER ORDERS
DIRECTED TO DISGORGE RS.4,37,57,697 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
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 OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
08-FEB-2024
|
|
| 48 |
|
|
ASHISH BABURAO KELKAR
(PAN:ACAPK0708P)
(Along with : PARTHA SARATHI DHAR,
KIRAN JADHAV,
HIMANSHU GUPTA,
MUDIT GOYAL,
SIMI BHAUMIK)
|
|
|
AIDED/ASSISTED PROFIT MAKERS IN MAKING PROFIT BASED ON ADVANCE INFORMATION OF STOCK RECOMMENDATIONS OF GUEST EXPERTS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-FEB-2024 UNTIL FURTHER ORDERS
DIRECTED TO DISGORGE RS.53,84,661 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
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 OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
08-FEB-2024
|
|
| 49 |
|
|
ASHISH BABURAO KELKAR
(PAN:ACAPK0708P)
(Along with : NIRMAL KUMAR SONI,
KIRAN JADHAV,
HIMANSHU GUPTA,
MUDIT GOYAL,
SIMI BHAUMIK)
|
|
|
|
MANAN SHARECOM PVT.LTD.
PAN:AAPCM9816L
|
|
AIDED/ASSISTED PROFIT MAKERS IN MAKING PROFIT BASED ON ADVANCE INFORMATION OF STOCK RECOMMENDATIONS OF GUEST EXPERTS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-FEB-2024 UNTIL FURTHER ORDERS
DIRECTED TO DISGORGE RS.1,35,01,336 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
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 OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
08-FEB-2024
|
|
| 50 |
|
|
ASHISH BABURAO KELKAR
(PAN:ACAPK0708P)
|
|
|
PROVIDED NON-PUBLIC INFORMATION TO PROFIT MAKERS BEFORE BROADCASTING OF THEIR RECOMMENDATIONS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-FEB-2024 UNTIL FURTHER ORDERS
DIRECTED TO PRESERVE RECORDS OF VARIOUS SOCIAL MEDIA ACCOUNTS MAINTAIN BY THEM DIRECTLY OR INDIRECTLY
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
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 OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
ADVISE TO TO PRESERVE AND MAINTAIN ALL RECORDS, DOCUMENTS, MATERIAL, VIDEO RECORDS ETC., ALONG WITH THEIR CONTENT, RELATED TO MR.KIRAN JADHAV, MR.ASHISH KELKAR, MR.HIMANSHU GUPTA, MR.MUDIT GOYAL AND CONCERNED SHOWS TILL FINAL ORDER PASSED
08-FEB-2024
|
|
| 51 |
|
|
ASHISH BABURAO KELKAR
(PAN:ACAPK0708P)
(Along with : NIRMAL KUMAR SONI,
KIRAN JADHAV,
HIMANSHU GUPTA,
MUDIT GOYAL,
SIMI BHAUMIK)
|
|
|
|
KANHYA TRADING CO.
PAN:AAXFK5345H
|
|
AIDED/ASSISTED PROFIT MAKERS IN MAKING PROFIT BASED ON ADVANCE INFORMATION OF STOCK RECOMMENDATIONS OF GUEST EXPERTS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-FEB-2024 UNTIL FURTHER ORDERS
DIRECTED TO DISGORGE RS.1,10,41,979 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
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 OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
08-FEB-2024
|
|
| 52 |
|
|
ASHISH BABURAO KELKAR
(PAN:ACAPK0708P)
(Along with : NIRMAL KUMAR SONI,
HIMANSHU GUPTA,
MUDIT GOYAL)
|
|
|
AIDED/ASSISTED PROFIT MAKERS IN MAKING PROFIT BASED ON ADVANCE INFORMATION OF STOCK RECOMMENDATIONS OF GUEST EXPERTS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-FEB-2024 UNTIL FURTHER ORDERS
DIRECTED TO DISGORGE RS.4,43,975 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
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 OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
08-FEB-2024
|
|
| 53 |
|
|
ASHISH KAPUR
(PAN:AJPPK9522R)
|
|
|
EARNED HUGE ILL-GOTTEN GAINS BY CREATING ARTIFICIAL VOLUME AND PRICE MANIPULATION THROUGH RECOMMENDATIONS OF MR.SANJEEV BHASIN ON MEDIA CHANNELS AND OTHER SOCIAL MEDIA PLATFORMS
|
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.32,41,797
DIRECTED TO OPEN FIXED DEPOSIT ACCOUNTS IN SCHEDULED COMMERCIAL BANK TO CREDIT OR DEPOSIT JOINTLY OR SEVERALLY AMOUNT OF UNLAWFUL GAINS WITH A LIEN MARK IN FAVOUR OF SEBI AND THE AMOUNT KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-JUN-2025 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JUN-2025 TILL FURTHER ORDERS
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 REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NEITHER PERMIT ANY TRANSFER NOR REDEMPTION OF SECURITIES INCLUDING MUTUAL FUNDS UNITS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES TILL SUCH TIME UNLAWFUL GAINS CREDITED TO FIXED DEPOSIT ACCOUNT EXCEPT WITH 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
17-JUN-2025
|
|
| 54 |
|
|
ASHISH KAPUR
(PAN:AJPPK9522R)
|
|
|
|
LEO PORTFOLIOS PVT.LTD.
PAN:AAACL2384F
|
|
EARNED HUGE ILL-GOTTEN GAINS BY CREATING ARTIFICIAL VOLUME AND PRICE MANIPULATION THROUGH RECOMMENDATIONS OF MR.SANJEEV BHASIN ON MEDIA CHANNELS AND OTHER SOCIAL MEDIA PLATFORMS
|
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.65,65,533 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO OPEN FIXED DEPOSIT ACCOUNTS IN SCHEDULED COMMERCIAL BANK TO CREDIT OR DEPOSIT JOINTLY OR SEVERALLY AMOUNT OF UNLAWFUL GAINS WITH A LIEN MARK IN FAVOUR OF SEBI AND THE AMOUNT KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-JUN-2025 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JUN-2025 TILL FURTHER ORDERS
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 REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NEITHER PERMIT ANY TRANSFER NOR REDEMPTION OF SECURITIES INCLUDING MUTUAL FUNDS UNITS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES TILL SUCH TIME UNLAWFUL GAINS CREDITED TO FIXED DEPOSIT ACCOUNT EXCEPT WITH 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
17-JUN-2025
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| 55 |
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ASHISH KIRTI KOTHARI
(PAN:AMZPK9677J)
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INDULGED IN FRONT RUNNING THE TRADES OF BIG CLIENTS 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
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DIRECTED TO IMPOUND UNLAWFUL GAIN RS.4,82,63,670 ALONG WITH OTHER ENTITIES/PERSONS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-JAN-2025 UNTIL FURTHER ORDERS
DIRECTED TO CREDIT/DEPOSIT AMOUNT OF UNLAWFUL GAINS IN INTEREST BEARING ESCROW ACCOUNT WITH NATIONALIZED BANK WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND THE AMOUNT KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI EXCEPT FOR THE PURPOSE OF TRANSFER OF FUNDS TO ESCROW ACCOUNT
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
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER
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 OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
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 TO CEASE & DESIST FROM DIRECTLY OR INDIRECTLY, ENGAGED IN FRAUDULENT, MANIPULATIVE OR UNFAIR TRADE PRACTICE INCLUDING FRONT RUNNING ACTIVITIES FROM 27-JAN-2025 UNTIL FURTHER ORDERS
27-JAN-2025
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| 56 |
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ASHISH S.PAREKH
(PAN:AGSPP1248F)
(Along with : DIPA ASHISH PAREKH)
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INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003
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DIRECTED TO DISGORGE RS.30,74,159 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO TRANSFER DISGORGEMENT AMOUNT DEPOSITED IN ESCROW ACCOUNT TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF)
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 REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NOT TRANSFERRED SECURITIES HELD JOINTLY OR SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES TILL SUCH TIME UNLAWFUL GAINS CREDITED TO FIXED DEPOSIT ACCOUNT EXCEPT WITH PRIOR PERMISSION OF SEBI
16-JAN-2026
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| 57 |
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ASHOK KUMAR DAMANI
(PAN:ACXPD6089R)
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INDULGED IN EXTENDED FRONT RUNNING THE TRADES OF BIG CLIENTS VIOLATING CLAUSE (C) OF SUB-REGULATION (1) OF REGULATION 2 OF THE PFUTP REGULATIONS AND 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) OF SEBI (PFUTP) REGULATIONS, 2003
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DIRECTED TO IMPOUND UNLAWFUL GAIN RS.65,77,11,547 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI EXCEPT FOR THE PURPOSE OF TRANSFER OF FUNDS TO ESCROW ACCOUNT
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 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 OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
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
02-JAN-2025
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SAT: SAT VIDE ITS ORDER DATED 17/01/2025 GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 29/01/2025 REJECTED PRAYER FOR INTERIM ORDER
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| 58 |
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ASHOK KUMAR PODDAR
(PAN:AFTPP2389D)
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INDULGED IN EXTENDED FRONT RUNNING THE TRADES OF BIG CLIENTS VIOLATING CLAUSE (C) OF SUB-REGULATION (1) OF REGULATION 2 OF THE PFUTP REGULATIONS AND 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) OF SEBI (PFUTP) REGULATIONS, 2003
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DIRECTED TO IMPOUND UNLAWFUL GAIN RS.65,77,11,547 ALONG WITH OTHER ENTITIES/PERSONS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-JAN-2025 UNTIL FURTHER ORDERS
PROHIBITED BEING ASSOCIATED WITH ANY INTERMEDIARY OR ANY ENTITY REGISTERED WITH SEBI FROM 02-JAN-2025 UNTIL FURTHER ORDERS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI EXCEPT FOR THE PURPOSE OF TRANSFER OF FUNDS TO ESCROW ACCOUNT
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 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 OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
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
02-JAN-2025
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| 59 |
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ASHOK MAHESHWARI
(PAN:AZJPS6156K)
(Along with : DARSHAN BAKUL SHAH)
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INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING CLAUSES (A) TO (C) AND (E) OF SECTION 12A AND CLAUSES (A) TO (D) OF REGULATION 3, SUB REGULATION (1) OF REGULATION 4, CLAUSE (Q) OF SUB REGULATION (2) REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 2003
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DIRECTED TO DISGORGE RS.4,82,125 ALONG WITH OTHER ENTITIES/PERSONS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-APR-2024 UNTIL FURTHER ORDERS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI EXCEPT FOR THE PURPOSE OF TRANSFER OF FUNDS TO ESCROW ACCOUNT
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 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 OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
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
26-APR-2024
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SAT: SAT VIDE ITS ORDER DATED 28/06/2024 CONDONED THE DELAY OF 13 DAYS IN FILING OF APPEAL. GRANTED APPELLANT EIGHT WEEKS TO FILE REPLY FROM DATE OF THIS ORDER AND REJOINDER, IF ANY, TO BE FILED WITHIN THREE WEEKS THEREAFTER
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| 60 |
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ASHOK MAHESHWARI
(PAN:AZJPS6156K)
(Along with : KHUSBOO DARSHAN SHAH,
DARSHAN BAKUL SHAH)
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INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING CLAUSES (A) TO (C) AND (E) OF SECTION 12A AND CLAUSES (A) TO (D) OF REGULATION 3, SUB REGULATION (1) OF REGULATION 4, CLAUSE (Q) OF SUB REGULATION (2) REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 2003
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DIRECTED TO DISGORGE RS.24,86,789 ALONG WITH OTHER ENTITIES/PERSONS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-APR-2024 UNTIL FURTHER ORDERS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI EXCEPT FOR THE PURPOSE OF TRANSFER OF FUNDS TO ESCROW ACCOUNT
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 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 OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
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
26-APR-2024
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SAT: SAT VIDE ITS ORDER DATED 28/06/2024 CONDONED THE DELAY OF 13 DAYS IN FILING OF APPEAL. GRANTED APPELLANT EIGHT WEEKS TO FILE REPLY FROM DATE OF THIS ORDER AND REJOINDER, IF ANY, TO BE FILED WITHIN THREE WEEKS THEREAFTER
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| 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 3 of 23
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