| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
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
|
|
| 42 |
|
|
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
|
|
| 43 |
|
|
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
|
| 44 |
|
|
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
|
|
| 45 |
|
|
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
|
| 46 |
|
|
AADHAAR VENTURES INDIA LTD.
(CIN:L67120GJ1995PLC024449
PAN:AABCP4155F)
|
|
|
|
JILS RAICHAND MADAN
PAN:AGKPM3175A
|
|
|
SOMABHAI SUNDERBHAI MEENA
PAN:BFYPM1247K
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS TO INVESTIGATING AUTHORITY IN MATTER OF AADHAAR VENTURES INDIA LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-AUG-2022
|
SEBI VIDE ITS NOTICE DATED 31/01/2024 DIRECTED TO PAY RS.11,81,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 31/01/2024 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 18/09/2024 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 31/01/2024
SEBI VIDE ITS ORDER DATED 18/09/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7551 OF 2024 DATED 31/01/2024
|
| 47 |
|
|
AADHAAR VENTURES INDIA LTD.
(CIN:L67120GJ1995PLC024449
PAN:AABCP4155F)
|
|
|
DID NOT MAKE DISCLOSURE IMMEDIATELY TO STOCK EXCHANGES ON THE EVENTS/INFORMATION WHICH HAD A BEARING ON THE PERFORMANCE/OPERATIONS OF THE COMPANY AS WELL AS PRICE SENSITIVE INFORMATION VIOLATING CLAUSE 36 OF ERSTWHILE LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.10,00,000
29-AUG-2022
|
SEBI VIDE ITS NOTICE DATED 31/01/2024 DIRECTED TO PAY RS.5,91,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 48 |
|
|
AADHAAR VENTURES INDIA LTD.
(CIN:L67120GJ1995PLC024449
PAN:AABCP4155F)
|
|
|
|
JILS RAICHAND MADAN
PAN:AGKPM3175A
|
|
|
JYOTI MUNVER
PAN:ALSPM2060P
|
|
|
OMPRAKASH ANANDILAL KHANDELWAL
PAN:ABGPK4008D
|
|
ENGAGED IN FRAUDULENT SCHEME OF FUND RAISING VIOLATING REGULATION 77(1) OF CHAPTER VII OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF AADHAAR VENTURES INDIA LTD.
ENGAGED IN FRAUDULENT SCHEME OF FUND RAISING VIOLATING SECTIONS
12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF AADHAAR VENTURES INDIA LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-FEB-2023
|
SEBI VIDE ITS NOTICE DATED 04/05/2023 DIRECTED TO PAY RS.6,25,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 18/08/2023 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 18/09/2023 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 18/08/2023
SEBI VIDE ITS NOTICE DATED 20/09/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.6,49,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS NOTICE DATED 05/04/2024 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 18/08/2023
|
| 49 |
|
|
AADHAAR VENTURES INDIA LTD.
(CIN:L67120GJ1995PLC024449
PAN:AABCP4155F)
|
|
|
|
SOMABHAI SUNDERBHAI MEENA
PAN:BFYPM1247K
|
|
DID NOT MAKE DISCLOSURE OF PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES VIOLATING CLAUSES 2.0, 2.1, 3.2 AND 7.0(II) OF SCHEDULE II CODE OF CORPORATE DISCLOSURE PRACTICES FOR PREVENTION OF INSIDER TRADING READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF AADHAAR VENTURES INDIA LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-AUG-2022
|
SEBI VIDE ITS NOTICE DATED 31/01/2024 DIRECTED TO PAY RS.5,91,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 18/09/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7552 OF 2024 DATED 31/01/2024
|
| 50 |
|
|
AADI INDUSTRIES LTD.
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
IMPOSED PENALTY RS.4,00,000
04-AUG-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
COMPANY VIA RTGS DATED 30/09/2020 HAS PAID RS.4.00 LACS TOWARDS PENALTY
|
| 51 |
|
|
AADIT MEDICINES LTD.
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF BLUE INFORMATION TECHNOLOGY LTD.
|
IMPOSED PENALTY RS.1,50,000
11-DEC-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 52 |
|
|
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
|
|
| 53 |
|
|
AADYA COMMODITIES PVT.LTD.
(PAN:AAHCA2094C)
(Along with : AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD.)
|
|
|
|
AMITA SINHA
PAN:AOIPS2038G
|
|
|
SANJEEV KUMAR SINHA
PAN:ALEPS6005L
|
|
|
VANDANA SINHA
PAN:ASUPS6193E
|
|
DID NOT SUBMIT INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MISUSED PLEDGING OF CLIENT’S SECURITIES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
DID NOT REDRESS INVESTOR COMPLAINTS
FALSIFIED TRIAL BALANCE, BANK BOOKS AND CONCEALED THE INFORMATION RELATED TO PLEDGING OF SECURITIES, CASH WITHDRAWAL AND FUND MOVEMENT RELATED TO ENTITIES VIOLATING SECTIONS 12(A) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2) (P) OF SEBI (PFUTP) REGULATIONS, 2003
|
IMPOSED PENALTY RS.25,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-APR-2022
|
SAT: SAT VIDE ITS ORDER DATED 12/10/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 17/11/2022 ALLOWED THREE WEEKS TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 06/01/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT VIDE ITS ORDER DATED 09/02/2023 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
|
| 54 |
|
|
AAINA ENGINEERING PVT.LTD.
(PAN:AACCA5725D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
31-JAN-2022
|
SAT: SAT VIDE ITS ORDER DATED 11/05/2022 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPLICATIONS
SAT: SAT VIDE ITS ORDER DATED 13/05/2022 DIRECTED REGISTRAR OF SAT TO SEND CERTIFIED COPY OF THIS ORDER TO SEBI WITHIN A WEEK FOR NECESSARY INFORMATION AND ACTION
SAT: SAT VIDE ITS ORDER DATED 21/11/2022 DISPOSED OF THE APPEAL DIRECTING APPELLANT TO FILE APPROPRIATE APPLICATION FOR SETTLEMENT BEFORE THE AUTHORITY WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 55 |
|
|
AAKANSHA ADVISORY SEVICES PVT.LTD.
(PAN:AACCA5459J)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
17-MAY-2019
|
|
| 56 |
|
|
AAKANSHA TREXIM PVT.LTD.
(PAN:AACCA3894K)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
21-AUG-2023
|
SAT: SAT VIDE ITS ORDER DATED 10/05/2024 CONDONED THE DELAY OF 189 DAYS IN FILING OF APPEAL. APPEAL DISMISSED WITH LIBERTY TO APPROACH THE SEBI TO SEEK RELIEF UNDER THE SETTLEMENT SCHEME
|
| 57 |
|
|
AAKAR ENGINEERING & MANUFACTURING CO.LTD.
(CIN:L29200MH1992PLC066083)
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,00,000
18-DEC-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 07/04/2022 DIRECTED TO PAY RS.1,54,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 11/01/2023 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 ORDER DATED 16/02/2023 DIRECTED ALL THE BANKS TO REMIT RS.1,64,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF AAKAR ENGINEERING & MANUFACTURING CO.LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 58 |
|
|
AALOK DEEP FINANCE PVT.LTD.
(PAN:AABCA2550R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(2A) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF SOM DISTILLERIES & BREWERIES LTD.
|
IMPOSED PENALTY RS.2,00,000
27-SEP-2019
|
|
| 59 |
|
|
AANKIT GRANITES LTD.
(PAN:AABCA5821D)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
IMPOSED PENALTY RS.2,00,000
09-FEB-2018
|
|
| 60 |
|
|
AANYA DEVELOPERS PVT.LTD.
(PAN:AAHCA0828Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
31-JAN-2022
|
SAT: SAT VIDE ITS ORDER DATED 30/09/2022 DISPOSED OF THE APPEAL DIRECTING APPELLANT TO FILE APPROPRIATE APPLICATION FOR SETTLEMENT BEFORE THE AUTHORITY WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 3 of 387
|
