| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 601 |
|
RAVINDER NATH LEEKHA
(PAN:ABRPL7538E)
|
|
|
|
HEXA TRADEX LTD.
PAN:AACCH5334B
|
|
PASSED INCORRECT RESOLUTION OF HEXA TRADEX LTD. AND ACQUIRER'S RELATED ENTITIES VIZ MR.PRITHVI RAJ JINDAL AND OTHER PROMOTER ENTITIES VIZ, JINDAL SAW LTD. JITF LNFRALOGISTICS LTD. AND SIGNMATECH INC TO BE IN COMPLIANCE WITH SECURITIES LAW VIOLATING REGULATIONS 10(3), 28(2) AND 28(3) OF SEBI (DELISTING) REGULATIONS, 2021 IN MATTER OF HEXA TRADEX LTD.
DID NOT GIVE REASONED RECOMMENDATIONS TO BOARD FOR ACCEPTING DELISTING PROPOSAL AND HEXA TRADEX LTD. ACTING THROUGH ITS BOARD OF DIRECTORS HAD NOT DONE DUE DILIGENCE TO QUESTION / IDC (COMMITTEE OF INDEPENDENT DIRECTORS) FOR FAILURE TO PROVIDE REASONED RECOMMENDATIONS VIOLATING REGULATION 26(3) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF HEXA TRADEX LTD
|
IMPOSED PENALTY RS.2,00,000
18-JUN-2024
|
SAT: SAT VIDE ITS ORDER DATED 08/10/2024 GRANTED RESPONDENT THREE WEEKS TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 18/12/2024 CONDONED THE DELAY IN FILING OF APPEAL
|
| 602 |
|
|
RAVINDRA DOSHI
(PAN:ADNPD3332L)
|
|
|
|
KORE DIGITAL PVT.LTD.
PAN:AADCK9543J
|
|
DID NOT PERFORM DUTIES AND RESPONSIBILITIES AS KEY MANAGERIAL PERSONNELS VIOLATING SECTION 27 OF SEBI ACT, 1992 AND REGULATIONS 4(1)(C), 4(1)(E), 4(1)(G),4(1)(H), 4(1)(J) AND 4(2)(E)(I) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF KORE DIGITAL LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 17-SEP-2026 UNTIL FURTHER ORDERS
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES OF KORE DIGITAL LTD., EITHER DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 17-SEP-2026 UNTIL FURTHER ORDERS
DIRECTED TO CO-OPERATE WITH SEBI IN INVESTIGATION BY FURNISHING ALL RELEVANT INFORMATION
DIRECTED SEBI TO APPOINT FORENSIC AUDITOR TO EXAMINE BOOKS OF ACCOUNTS
17-SEP-2026
|
|
| 603 |
|
|
RAVINDRA PRAKASH SEHGAL
(PAN:AMHPS4822M)
|
|
|
|
CARNATION INDUSTRIES LTD.
CIN:L27209WB1983PLC035920
PAN:AABCC0379E
|
|
DID NOT MAKE DISCLOSURE OF INFORMATION ABOUT FINANCIAL AFFAIRS OF COMPANY VIOLATING REGULATION 4(2)(F) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF CARNATION INDUSTRIES LTD.
SUBMITTED FALSE AND MISLEADING COMPLIANCE CERTIFICATE VIOLATING REGULATIONS 17(8) AND 33(2)(A) OF SEBI (LODR) REGULATION, 2015 IN MATTER OF CARNATION INDUSTRIES LTD.
DID NOT EXERCISE DUE DILIGENCE AS MEMBER OF AUDIT COMMITTEE VIOLATING REGULATION 18(3) READ WITH CLAUSES A(1), A(4) AND A(5) UNDER PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF CARNATION INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
26-AUG-2022
|
SAT: SAT VIDE ITS ORDER DATED 24/01/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 30/03/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 11/05/2023 CONDONED THE DELAY IN FILING OF REPLY AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 27/07/2023 DIRECTED TO PAY RS.1,13,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 16/08/2023 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 07/09/2023 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 16/08/2023
SEBI VIDE ITS ORDER DATED 07/09/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7010 OF 2023 DATED 27/07/2023
SAT: SAT VIDE ITS ORDER DATED 12/07/2024 DISMISSED THE APPEAL. NO COSTS
|
| 604 |
|
|
RAVINDRA SHARAD SUDHALKAR
(PAN:AGGPS1926B)
|
|
|
|
RELIANCE HOME FINANCE LTD.
CIN:L67190MH2008PLC183216
PAN:AAECR0305E
|
|
INDULGED IN SIPHONING OFF/DIVERSION OF FUNDS OF RHFL BY PROMOTERS AND MANAGEMENT AND RECEIPT OF MULTIPLE FRAUD MONITORING RETURNS (FMRS) FROM BANKS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(D), 4(1)(G) TO 4(1)(J), 4(2)(B) 4(2)(E), 23(2), 30(1), 30(7), 33(1) AND 51(1) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF RELIANCE HOME FINANCE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-FEB-2022 UNTIL FURTHER ORDERS
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 11-FEB-2022 UNTIL FURTHER ORDERS
11-FEB-2022
|
|
| 605 |
|
|
RAVINDRA SHARAD SUDHALKAR
(PAN:AGGPS1926B)
|
|
|
|
RELIANCE HOME FINANCE LTD.
CIN:L67190MH2008PLC183216
PAN:AAECR0305E
|
|
MISREPORTED FINANCIALS OF RELIANCE HOME FINANCE LTD. AND ITS BOOKS OF ACCOUNTS FOR FY. 2018-19 VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATION 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RELIANCE HOME FINANCE LTD.
DID NOT PROVIDE COMPLETE AND TIMELY INFORMATION REGARDING GENERAL PURPOSE CORPORATE LENDING/DISBURSAL TO BOARD OF DIRECTORS VIOLATING REGULATION 17(7) READ WITH SCHEDULE II PART A(I) AND (O) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF RELIANCE HOME FINANCE LTD.
INDULGED IN FRAUDULENT SCHEME OF DIVERTING ASSETS AND FUNDS VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), (8), 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF RELIANCE HOME FINANCE LTD.
FURNISHED COMPLIANCE CERTIFICATE WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF RELIANCE HOME FINANCE LTD.
DID NOT ADHERE TO CODE OF CONDUCT OF BOARD OF DIRECTORS AND SENIOR MANAGEMENT ON ANNUAL BASIS VIOLATING OF REGULATION 26(3) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF RELIANCE HOME FINANCE LTD.
DID NOT ADHERE TO REGULATION 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF RELIANCE HOME FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-AUG-2024 TO 21-AUG-2029
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-AUG-2024 TO 21-AUG-2029
RESTRAINED FROM BEING ASSOCIATED WITH SECURITIES MARKET INCLUDING AS A DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 22-AUG-2024 TO 21-AUG-2029
IMPOSED PENALTY RS.26,00,00,000
22-AUG-2024
|
SEBI VIDE ITS NOTICE DATED 05/11/2024 DIRECTED TO PAY RS.27,04,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 19/11/2024 GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE SEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 23/04/2025 CONDONED THE DELAY IN FILING OF APPEALS
SAT: SAT VIDE ITS ORDER DATED 24/09/2026 ALLOWED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED IMPUGNED ORDER SUBJECT TO DEPOSIT OF FULL PENALTY AND DISGORGEMENT AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 606 |
|
|
RAVINDRA SHARAD SUDHALKAR
(PAN:AGGPS1926B)
|
|
|
|
RELIANCE HOME FINANCE LTD.
CIN:L67190MH2008PLC183216
PAN:AAECR0305E
|
|
DID NOT ADDRESS THE QUERIES OF STOCK EXCHANGES WITHIN STIPULATED TIMELINE VIOLATING REGULATIONS 30(4) AND 30(12) READ WITH PARA C OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF RELIANCE HOME FINANCE LTD.
|
IMPOSED PENALTY RS.2,00,000
12-SEP-2023
|
|
| 607 |
|
|
REKHA R.BHIMJYANI
(PAN:AADPB8686L)
|
|
|
ABSTAINED FROM VOTING ON RESOLUTIONS INVOLVING RELATED PARTY TRANSACTIONS AS REQUIRED UNDER REGULATIONS 23(4) AND (7) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF R.T.EXPORTS LTD.
|
IMPOSED PENALTY RS.5,00,000
18-SEP-2019
|
SAT: SAT VIDE ITS ORDER DATED 21/01/2022 CONDONED THE DELAY IN FILING OF APPEAL AND QUASHED IMPUGNED ORDER DATED 18/09/2019. NO COSTS
|
| 608 |
|
|
RESHMA TALBANI
(PAN:AOWPT7215E)
|
|
|
|
AGRI-TECH (INDIA) LTD.
PAN:AAECA3539K
|
|
DID NOT DISCHARGE DUTY AS COMPLIANCE OFFICER VIOLATING REGULATIONS 6(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF AGRI-TECH (INDIA) LTD.
|
IMPOSED PENALTY RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-APR-2023
|
|
| 609 |
|
|
RICHA PIPALWA
(PAN:BBIPP1664H)
|
|
|
|
JALAN CEMENT WORKS LTD.
CIN:L65923WB1972PLC028322
PAN:AAACJ6788R
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF JALAN CEMENT WORKS LTD. (NOW KNOWN AS AASHRIT CAPITAL LTD.)& SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II), (6), (7), 4(2)(F)(III)(2), (3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF JALAN CEMENT WORKS LTD. (NOW KNOWN AS AASHRIT CAPITAL LTD.)
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 11-MAY-2022 TO 10-NOV-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.2,00,000
11-MAY-2022
|
SAT: SAT VIDE ITS ORDER DATED 13/06/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS THEREAFTER. DIRECTED THAT THE DEBARMENT ORDER AGAINST APPELLANT TO REMAIN STAYED DURING PENDENCY OF THE APPEAL AND APPELLANT TO DEPOSIT 50% OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND IF DEPOSITED, THE BALANCE AMOUNT NOT BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 29/07/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 22/08/2022 GRANTED THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 12/05/2023 CONDONED THE DELAY IN FILING OF APPEAL AND DISMISSED THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 01/05/2023 CONDONED THE DELAY IN FILING OF APPEAL
|
| 610 |
|
|
RIMA DHAWAN
(PAN:AAMPD6994L)
|
|
|
|
ARSS INFRASTRUCTURE PROJECTS LTD.
CIN:L14103OR2000PLC006230
PAN:AADCA4203D
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF ARSS INFRASTRUCTURE PROJECTS LTD. AND SUBSIDIARIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ARSS INFRASTRUCTURE PROJECTS LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF ARSS INFRASTRUCTURE PROJECTS LTD. AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(6) & 7, 4(2)(F)(III)(1), (3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ARSS INFRASTRUCTURE PROJECTS LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF ARSS INFRASTRUCTURE PROJECTS LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 25-NOV-2021 TO 24-MAY-2022
IMPOSED PENALTY RS.1,50,000
25-NOV-2021
|
SAT: SAT VIDE ITS ORDER DATED 02/05/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 30/06/2022 ALLOWED APPELLANTS FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 03/08/2022 GRANTED TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 11/04/2023 SET ASIDE IMPUGNED ORDER DATED 25/11/2021
|
| 611 |
|
|
RISHIKESH PRAVIN HERLEKAR
(PAN:AEHPH1905G)
|
|
|
ISSUED FALSE AND MISLEADING CERTIFICATE UNDER REGULATIONS 17(8) AND 33(2)(A) OF SEBI (LODR) REGULATION, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF OMKAR SPECIALITY CHEMICALS LTD.
|
IMPOSED PENALTY RS.2,00,000
28-SEP-2023
|
|
| 612 |
|
|
RITA SINGH
(PAN:ABKPS4308J)
|
|
|
|
MIDEAST INTEGRATED STEELS LTD.
PAN:AAACM0846P
|
|
INDULGED IN FALSIFICATION/FABRICATION OF BOOKS OF ACCOUNTS AND MANIPULATION OF FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 READ WITH SECTION 27(1) OF SEBI ACT, 1992 IN MATTER OF MIDEAST INTEGRATED STEELS LTD.
INDULGED IN FALSIFICATION/FABRICATION OF BOOKS OF ACCOUNTS AND MANIPULATION OF FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(2), 4(2)(F)(II)(6), 4(2)(F)(II)(7), 4(2)(F)(II)(8), 4(2)(F)(III)(7), 17(8) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF MIDEAST INTEGRATED STEELS LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 21-FEB-2024 TO 20-FEB-2026
RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR ANY INTERMEDIARY REGISTERED WITH SEBI AND FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY OR PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 21-FEB-2024 TO 20-FEB-2026
IMPOSED PENALTY RS.1,50,00,000
21-FEB-2024
|
SAT: SAT VIDE ITS ORDER DATED 15/04/2024 DIRECTED SEBI TO FILE A REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANTS TO FILE REJOINDER WITHIN THREE WEEKS THEREAFTER. STAYED THE DIRECTIONS GAVE IN PARAGRAPH 22.2 OF IMPUGNED ORDER DATED 21/02/2024 FOR ONE MONTH FROM DATE OF THIS ORDER SUBJECT TO THE CONDITION THAT APPELLANTS DEPOSIT RS.1 CRORE IN ESCROW ACCOUNT WITHIN SEVEN DAYS FROM DATE OF THIS ORDER. FURTHER, DIRECTED SEBI TO ENSURE ALL NECESSARY STEPS ARE TAKEN, INCLUDING ISSUING INSTRUCTION TO NSDL TO DEFREEZE DEMAT ACCOUNT OF APPELLANT AND ALLOW FRESH PLEDGE TO BE CREATED IN FAVOUR OF SBICAP TRUSTEE CO.LTD.
SAT: SAT VIDE ITS ORDER DATED 18/06/2024 CONDONED THE DELAY OF 36 DAYS IN FILING OF REPLY AND GRANTED THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 12/11/2024 APPELLANT SOUGHT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 29/04/2025 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 613 |
|
|
RITESH GUPTA
(PAN:AHTPG7835M)
|
|
|
|
EKI ENERGY SERVICES LTD.
CIN:U74200MP2011PLC025904
PAN:AACCE6986E
|
|
DID NOT CARRY OUT ADEQUATE DUE DILIGENCE AND EXERCISE INDEPENDENT JUDGMENT AS MEMBERS OF AUDIT COMMITTEE VIOLATING REGULATION 18(3) READ WITH CLAUSES 1, 4, 5 AND 11 TO 14 OF PARA A AND CLAUSE 1 OF PARA B OF PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF EKI ENERGY SERVICES LTD.
|
IMPOSED PENALTY RS.4,00,000
30-OCT-2026
|
|
| 614 |
|
|
RITU KAPUR
(PAN:AHQPK4186N)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF NETWORK 18 MEDIA & INVESTMENT LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1), 13(3) AND 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF NETWORK 18 MEDIA & INVESTMENT LTD.
ALLEGED DELAY IN COMPLIANCE OF CLAUSE 35 OF LISTING AGREEMENT READ WITH REGULATIONS 31(1) AND 103(1) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 IN MATTER OF NETWORK 18 MEDIA & INVESTMENT LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.31,60,374 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-AUG-2018
|
|
| 615 |
|
|
RITUSHRI SHARMA
(PAN:AUOPS7260G)
|
|
|
INDULGED IN MANIPULATION OF BOOKS OF ACCOUNTS AND PUBLISHED FALSE AND MISLEADING FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FEDDERS ELECTRIC & ENGINEERING LTD.
DID NOT EXERCISE DUE DILIGENCE AS MEMBER OF AUDIT COMMITTEE VIOLATING REGULATION 4(2)(F)(I)(2), 4(2)(F)(II)(2), 4(2)(F)(II)(6), 4(2)(F)(II)(7), 4(2)(F)(III)(7) AND 18(3) READ WITH PARA A OF PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 READ WITH CLAUSE 49(II)(D)(E), CLAUSE 49(IV)(A) OF SEBI CIRCULAR DATED 29/10/2004 AND CLAUSE 49(III)(D)(E) OF ERSTWHILE LISTING AGREEMENT DATED 17/04/2014 READ WITH REGULATION 103 OF SEBI (LODR) REGULATION, 2015 IN MATTER OF FEDDERS ELECTRIC & ENGINEERING LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 22-DEC-2023 TO 21-DEC-2025
RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR ANY INTERMEDIARY REGISTERED WITH SEBI AND FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY OR PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 22-DEC-2023 TO 21-DEC-2025
IMPOSED PENALTY RS.35,00,000
22-DEC-2023
|
SEBI VIDE ITS NOTICE DATED 12/04/2024 DIRECTED TO PAY RS.36,76,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 02/05/2024 CONDONED THE DELAY IN FILING OF APPEAL. ALLOWED FOUR WEEKS TO FILE REPLY AND FILE REJOINDER FOUR WEEKS THEREAFTER. IN THE MEANWHILE STAYED THE IMPUGNED ORDER SUBJECT TO DEPOSIT OF RS.10 LAC EACH BY BOTH APPELLANTS WITH SEBI WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 22/05/2024 GRANTED EXTENSION OF TWO WEEKS FROM 30/05/2024 TO DEPOSIT RS.10 LAC AS ORDERED BY TRIBUNAL
|
| 616 |
|
|
ROHTAS GOEL
(PAN:AAVPG9866B)
|
|
|
|
OMAXE LTD.
PAN:AAACO0171H
|
|
INDULGED IN FALSIFICATION/FABRICATION OF BOOKS OF ACCOUNTS AND MANIPULATION OF FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C), 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF OMAXE LTD.
INDULGED IN FALSIFICATION/FABRICATION OF BOOKS OF ACCOUNTS AND MANIPULATION OF FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(2), 4(2)(F)(II)(6), 4(2)(F)(II)(7), 4(2)(F)(III)(7), 4(1), 4(2)(E), 33(1)(A), 33(1)(C), 34(3) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF OMAXE LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF OMAXE LTD.
DID NOT EXERCISE DUE DILIGENCE AS A MEMBER OF AUDIT COMMITTEE VIOLATING REGULATION 18(3) READ WITH PART A OF PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF OMAXE LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 30-JUL-2024 TO 29-JUL-2026
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 30-JUL-2024 TO 29-JUL-2026
IMPOSED PENALTY RS.6,00,000
30-JUL-2024
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SAT: SAT VIDE ITS ORDER DATED 01/10/2024 ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN FOUR WEEKS THEREAFTER. STAYED THE DIRECTIONS IN PARAS NO.41(1) AND 41(2) SUBJECT TO DEPOSIT OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 16/12/2024 GRANTED APPELLANTS FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 08/05/2025 GRANTED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 01/09/2026 DISMISSED THE APPEAL. NO COSTS
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| 617 |
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ROHTAS GOEL
(PAN:AAVPG9866B)
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DREAM HOME DEVELOPERS PVT.LTD.
PAN:AACCD0572F
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GUILD BUILDERS PVT.LTD.
PAN:AACCG2350E
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OMAXE LTD.
PAN:AAACO0171H
|
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DID NOT ACHIEVE PRESCRIBED 25% MINIMUM PUBLIC SHAREHOLDING THROUGH INDEPENDENT PUBLIC SHAREHOLDERS VIOLATING RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH REGULATION 38 OF SEBI (LODR) REGULATIONS, 2015 AND PROVISION OF 2(II) ON “AMENDMENTS TO CLAUSE 40A – MINIMUM PUBLIC SHAREHOLDING” OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 AND CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015 IN MATTER OF OMAXE LTD.
MADE INCORRECT AND INFLATED DISCLOSURE OF PUBLIC SHAREHOLDING VIOLATING REGULATION 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015READ WITH CIRCULAR NO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 READ WITH REGULATION 2(ZB) OF SEBI (ICDR) REGULATIONS, 2009 AND REGULATION 2(PP) OF SEBI (ICDR) REGULATIONS 2018AND CLAUSE 35 OF LISTING AGREEMENT IN MATTER OF OMAXE LTD.
INDULGED IN FRAUDULENT AND DECEPTIVE SCHEME & ARTIFICE IN CONNECTION WITH DEALING IN SECURITIES VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT.,1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF OMAXE LTD.
PROVIDED DIRECTLY OR INDIRECTLY FINANCIAL ASSISTANCE FOR ACQUISITION OF ITS OWN SHARES VIOLATING SECTION 77(2) OF COMPANIES ACT, 1956 IN MATTER OF OMAXE LTD.
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IMPOSED PENALTY RS.37,00,000
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 24-SEP-2026 TO 23-SEP-2027
24-SEP-2026
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| 618 |
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ROLI GUPTA
(PAN:AJBPG3165G)
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JALAN CEMENT WORKS LTD.
CIN:L65923WB1972PLC028322
PAN:AAACJ6788R
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INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF JALAN CEMENT WORKS LTD. (NOW KNOWN AS AASHRIT CAPITAL LTD.)& SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II), (6), (7), 4(2)(F)(III)(2), (3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF JALAN CEMENT WORKS LTD. (NOW KNOWN AS AASHRIT CAPITAL LTD.)
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RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 11-MAY-2022 TO 10-NOV-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.2,00,000
11-MAY-2022
|
SAT: SAT VIDE ITS ORDER DATED 13/06/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS THEREAFTER. DIRECTED THAT THE DEBARMENT ORDER AGAINST APPELLANT TO REMAIN STAYED DURING PENDENCY OF THE APPEAL AND APPELLANT TO DEPOSIT 50% OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND IF DEPOSITED, THE BALANCE AMOUNT NOT BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 29/07/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 22/08/2022 GRANTED THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 01/05/2023 CONDONED THE DELAY IN FILING OF APPEAL
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| 619 |
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RONAK VINOD DESAI
(PAN:AOCPD8042B)
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PUBLISHED FALSE AND MISLEADING FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ADD-SHOP E-RETAIL LTD. AND WHITE ORGANICS AGRO LTD.
PUBLISHED FALSE AND MISLEADING FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1), 4(2)(E), 3(1)(A), 33(1)(C), 34(3) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF ADD-SHOP E-RETAIL LTD. AND WHITE ORGANICS AGRO LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ADD-SHOP E-RETAIL LTD. AND WHITE ORGANICS AGRO LTD.
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RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 06-MAY-2024 TILL FURTHER ORDERS
RESTRAINED FROM ACTING AS DIRECTORS OR KEY MANAGERIAL PERSONNEL OF ANY PUBLIC COMPANY, WHICH INTENDS TO RAISE MONEY FROM PUBLIC, INCLUDING DADA ORGANICS LTD. FROM 06-MAY-2024 TILL FURTHER ORDERS
06-MAY-2024
|
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| 620 |
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RUDRA NARAIN JHA
(PAN:ACCPJ7011J)
|
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LANDMARC LEISURE CORP.LTD.
CIN:L65990MH1991PLC060535
PAN:AAACL5117A
|
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INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF LANDMARC LEISURE CORP.LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF LANDMARC LEISURE CORP.LTD. VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LANDMARC LEISURE CORP.LTD.
DID NOT ADHERE TO REGULATION 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF LANDMARC LEISURE CORP.LTD.
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RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 20-JAN-2022 TO 19-JUL-2022
IMPOSED PENALTY RS.1,50,000
20-JAN-2022
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| Page 31 of 43
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