| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 581 |
|
S.K.KAJARIA
|
|
|
|
INDITALIA REFCON LTD.
PAN:AAACI1128G
|
|
FAILED TO PAY PENALTY
VIOLATED SECTION 27 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.1,01,250 BY THE ACCUSED TO SEBI
|
| 582 |
|
|
S.K.SHELGIKAR
|
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 27 OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 583 |
|
|
S.M.HEGDE
|
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 27 OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 584 |
|
|
S.N.DATTA
|
|
|
|
HINDUSTAN LEVER LTD.
|
|
DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(I),3(II) AND 3(III) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 27 OF SEBI ACT, 1992
VIOLATED SECTION 26 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 585 |
|
|
S.N.MEHTA
|
|
|
|
VIPUL DRUGS PVT.LTD.
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 11 B OF SEBI ACT, 1992
VIOLATED SECTION 11 (1) OF SEBI TAKEOVER CODE, 1997
VIOLATED SECTION 21 (3) OF SEBI TAKEOVER CODE, 1997
VIOLATED SECTION 44 OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 586 |
|
|
S.N.PRASAD
(PAN:ADWPP7032J)
|
|
|
INDULGED IN DIVERSION OF FUNDS FROM UNITED SPIRITS LTD. TO VARIOUS COMPANIES/ENTITIES OF UB GROUP INCLUDING KINGFISHER AIRLINES LTD. VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 IN MATTER OF UNITED SPIRITS LTD.
INDULGED IN DIVERSION OF FUNDS FROM UNITED SPIRITS LTD. TO VARIOUS COMPANIES/ENTITIES OF UB GROUP INCLUDING KINGFISHER AIRLINES LTD. VIOLATING REGULATIONS 3(D), 4(1) ALONGWITH 4(2)(E), (F) AND (K) OF SEBI (PROHIBITION OF FRAUDULENT AND UNFAIR TRADE PRACTICES) REGULATIONS, 2003 IN MATTER OF UNITED SPIRITS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-JAN-2017 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-JAN-2017 TILL FURTHER ORDERS
25-JAN-2017
|
SAT: APPEAL DISMISSED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 08/01/2018 GRANTED EXTENSION OF TIME TO SEBI TO COMPLETE THE HEARING AND PASS APPROPRIATE FINAL ORDER BY 31/03/2018. NO COSTS
SEBI VIDE ITS ORDER DATED 15/02/2018 MODIFIED THE DIRETIONS - NOTICEES MAY SELL/REDEEM/LIQUIDATE THE SECURITIES HELD BY AS ON DATE AND UTILIZE THE PRODEES THEREOF TO MITIGATE THEIR FINANCIAL CONSTRAINTS. NOTICEES SHALL CONTUNUE TO REMAI RESTRAINED FROM BUYING OR DEALING IN SECURITIES IN ANY OTHER MANNER WHATSOEVER, EITHER DIRECTLY OR INDIRECTLY, EXCEPT SELLING OR REDEEMIN AS PERMITTED
SAT: SAT VIDE ITS ORDER DATED EXTENDED TIME TO PASS APPROPRIATE ORDERS AGAINST RESPONDANTS TILL 31/05/2018. MISC. APPLICATION DISPOSED OFF. NO COSTS
SEBI VIDE ITS ORDER DATED 01/06/2018 VACATED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 25/01/2017 READ WITH ORDER DATED 15/02/2018
|
| 587 |
|
|
S.P.S.KHURANA
|
|
|
|
VIBHAVARI FINANCE & INVESTMENT CO.PVT.LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 588 |
|
|
S.RANJITH KUMAR
|
|
|
|
POWERFLOW HOLDING & TRADING PVT.LTD.
|
|
FAILED TO PAY PENALTY
VIOLATED SECTION 27 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 589 |
|
|
SACHIN SURESH PATIL
|
|
|
VIOLATED SECTION 24 (2) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
30-JUN-2010
|
CONVICTED TO UNDERGO SIMPLE IMPRISONMENT FOR ONE MONTH
|
| 590 |
|
|
SADHANA DILIP NABERA
|
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 27 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 591 |
|
|
SAHIDANAND RAI
|
|
|
|
SRG INFOTECH (INDIA) LTD.
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
VIOLATED SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 592 |
|
|
SAILESH BHATT
|
|
|
|
EKTA CERAMICS LTD.
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SECTION 26 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 593 |
|
|
SALIL DUBEY
|
|
|
|
FIDELITY FINVEST PVT.LTD.
|
|
|
FOURAYS CONSTRUCTIONS PVT.LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 594 |
|
|
SAMPAT KUMAR PAREKH
|
|
|
|
UNIQUE INVESTMENTS
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 12 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 595 |
|
|
SANDEEP BANSAL
|
|
|
|
SRG INFOTECH (INDIA) LTD.
|
|
VIOLATED SEBI ACT, 1992
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 596 |
|
|
SANDEEP KUMAR GUPTA
|
|
|
|
R.C.GUPTA & CO.PVT.LTD.
|
|
VIOLATED SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
SEBI FILED CRIMINAL PROSECUTION AGAINST THE ACCUSED FOR NON-PAYMENT OF PENALTY IMPOSED BY ADJUDICATING OFFICER. IN TERMS OF CLAUSE 2.11(B) OF THE LITIGATION MANUAL, AS THE ACCUSED WERE EXNORATED IN THE QUASI JUDICIAL PROCEEDINGS ARISING OF THE SAME CAUSE OF ACTION, THE MATTER WAS APPROVED FOR WITHDRWAAL BY THE COMPETENT AUTHORITY. ACCORDINGLY, THE MATTER WAS DISPOSED OFF AS WITHDRAWN BY SEBI SPECIAL COURT, MUMBAI
|
| 597 |
|
|
SANDIP MURKAR
(PAN:AYLPM7098P)
|
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 598 |
|
|
SANGITA JAYESH VALIA
(PAN:ACDPV4956F)
|
|
|
|
VASPARR SHELTER LTD.
PAN:AABCV2888D
|
|
|
YASHRAJ CONTAINEURS LTD.
CIN:L28120MH1993PLC073160
PAN:AAACV4846L
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 599 |
|
|
SANJAY AGGARWAL
|
|
|
|
R.C.GUPTA & CO.PVT.LTD.
|
|
VIOLATED SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 600 |
|
|
SANJAY BIPIN LAI
(PAN:AAEPL6967H)
|
|
|
VIOLATED SECTIONS 12A(A) TO (C) OF THE SEBI ACT READ WITH REGULATIONS 3(B) TO 3(D) & 4(2)(C), 4(2)(F), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES OF K SERA SERA LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-SEP-2017
|
|
| 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 30 of 39
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