| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 621 |
|
TRUCKLINK VINMAY TRADING PVT.LTD.
(PAN:AAECT4670L)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ALPS MOTOR FINANCE 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 27-OCT-2020 TO 26-APR-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
27-OCT-2020
|
|
| 622 |
|
|
TULIP EXPOTRADE PVT.LTD.
(CIN:U51909PB2007PTC031001
PAN:AACCT6697B)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIPS OF VERTEX SPINNING LTD. AND DMC INTERNATIONAL 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 29-OCT-2019 TO 28-OCT-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
29-OCT-2019
|
|
| 623 |
|
|
TULSI EXTRUSIONS LTD.
(CIN:L29120MH1994PLC081182
PAN:AAACT8441P)
|
|
|
|
GOPALDAS MAHESHWARI
PAN:AJJPM3286G
|
|
|
JAIPRAKASH B.KABRA
PAN:AFSPK7761D
|
|
|
OMPRAKASH S.JHAVAR
PAN:ACWPJ2948N
|
|
|
RAJESH B.JHUNJHUNWALA
PAN:AATPJ3401H
|
|
INDULGED IN FACILITATING SUBSCRIPTION OF GDRS BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY (TULSI) PLEDGED GDR WITH EURAM BANK VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1) OF PFUTP REGULATIONS, 2003 IN MATTER OF TULSI EXTRUSIONS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-MAR-2019 TO 27-MAR-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-MAR-2019 TO 27-MAR-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-MAR-2019
|
|
| 624 |
|
|
TULSI EXTRUSIONS LTD.
(CIN:L29120MH1994PLC081182
PAN:AAACT8441P)
|
|
|
|
PRADIP JASRAJ MUNDHARA
PAN:AAUPM2754K
|
|
|
SANJAYKUMAR RAMGOPAL TAPARIA
DIN:01186470
PAN:ABLPT6544N
|
|
INDULGED IN FACILITATING SUBSCRIPTION OF GDRS BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY (TULSI) PLEDGED GDR WITH EURAM BANK VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1) OF PFUTP REGULATIONS, 2003 IN MATTER OF TULSI EXTRUSIONS LTD.
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 28-MAR-2019 TO 27-MAR-2024
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-MAR-2019 TO 27-MAR-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-MAR-2019 TO 27-MAR-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-MAR-2019
|
|
| 625 |
|
|
TWENTIETH CENTURY PLANTATION PVT.LTD.
(PAN:AAACT1328F)
|
|
|
|
MAHENDRA BANAWARILAL BAGARIA
PAN:AABPB0291P
DIN:00005883
|
|
|
MOTILAL SARAF
PAN:AMPPS3565H
DIN:01685519
|
|
|
SHARADCHANDRA BHAGIRATH JAJU
PAN:ABRPJ2860M
DIN:05242941
|
|
|
VINOD KUMAR SARAF
PAN:ALRPS6933L
DIN:02081178
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
DIRECTED TO ISSUE NEWSPAPER PUBLICATION IN ONE NATIONAL DAILY (ENGLISH AND HINDI) AND IN ONE LOCAL DAILY
DIRECTED TO PROVIDE 30 DAYS FROM THE DATE OF ADVERTISEMENT TO CONTRIBUTORS/INVESTORS FOR SUBMITTING ANY CLAIM/COMPLAINT
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK AND TRANSFER/DEPOSIT ENTIRE OUTSTANDING AMOUNT PAYABLE TO INVESTORS
DIRECTED TO WIND-UP SCHEME AND REFUND THE MONEY COLLECTED UNDER SCHEME TO CONTRIBUTORS/INVESTORS
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO SUBMIT REPORT IN REGARD TO WINDING UP OF CIS AND REPAYMENT OF MONIES TO SEBI IN ACCORDANCE TO CIS REGULATIONS
DIRECTED TO SUBMIT REPAYMENT REPORT TO SEBI CERTIFIED BY TWO INDEPENDENT CHARTERED ACCOUNTANTS WHO ARE IN PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 19-MAR-2021 TO 18-MAR-2025
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-MAR-2021 TO 18-MAR-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-MAR-2021 TO 18-MAR-2025
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM INVESTORS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
19-MAR-2021
|
SAT: SAT VIDE ITS ORDER DATED 07/07/2021 CONDONED THE DELAY OF 10 DAYS IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER. FURTHER, DIRECTED TO SUSPEND RESTRAINED ORDER DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 30/07/2021 REJECTED THE APPLICATION AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 14/12/2021 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 19/03/2021. MATTER REMITTED TO WTM TO DECIDE AFRESH WITHIN SIX WEEKS FROM DATE OF THIS ORDER. FURTHER, DIRECTED APPELLANT TO TRANSFER RS 3.80 LAC TO SEBI WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATED 24/01/2022 AS THE NOTICEES HAVE ALREADY UNDERGONE RESTRAINT FROM DEALING WITH SECURITIES BY VIRTUE OF THE ORDER DATED 19/03/2021 DIRECTEDA) I PERIOD OF 30 DAYS AS WAS DIRECTED UNDER THE ORDER DATED 19/03/2021 TO LODGE CLAIM/COMPLAINT, IS EXTENDED AND SHALL REMAIN OPEN FOR SIX MONTHS FROM DATE OF THIS ORDER B) NOTICEE COMPANIES TO TAKE ALL POSSIBLE STEPS TO TRACE THE INVESTORS OF GREEN CHIP SCHEME TO MAKE REFUND AS PER TERMS OF OFFER C) AMOUNT DUE TO THE INVESTORS TO REMAIN DEPOSITED FOR SIX MONTHS IN INTEREST BEARING ESCROW ACCOUNT OPENED BY THE NOTICEE COMPANIES TO BE UTILISED FOR PAYMENT TOWARDS THE CLAIM OF INVESTORS D) ANY AMOUNT REMAINING BALANCE OUT OF THE AFORESAID AMOUNT AFTER REFUNDING THE INVESTORS OR AFTER TAKING ALL POSSIBLE STEPS TO REFUND EVEN AFTER SIX MONTHS FROM DATE OF THE PRESENT ORDER, TO BE TRANSFERRED TO IPEF UNDER SEBI (IEPF) REGULATIONS, 2009 E) PRESENT INCUMBENT DIRECTORS TO NOTICEES NOS.4 TO 6 TO ENSURE THAT THE AFORESAID DIRECTIONS ARE COMPLIED WITH I) LODGE CLAIM/COMPLAINT, EXTENDED AND SHALL REMAIN OPEN FOR SIX MONTHS FROM DATE OF THIS ORDER II) TAKE ALL POSSIBLE STEPS TO TRACE THE INVESTORS OF GREEN CHIP SCHEME TO MAKE REFUND AS PER TERMS OF OFFER. REFUNDS SHALL BE MADE BY DEMAND DRAFTS/PAY III) AMOUNT DUE TO THE INVESTORS TO REMAIN DEPOSITED FOR SIX MONTHS IN THE INTEREST BEARING ESCROW ACCOUNT OPENED BY THE COMPANIES TO BE UTILISED FOR PAYMENT TOWARDS THE CLAIM OF INVESTORS
SAT: SAT VIDE ITS ORDER DATED 09/05/2022 DIRECTED REPLY BE FILED WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND REJOINDER MAY BE FILED WITHIN FOUR WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 25/07/2022 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 21/09/2022 DIRECTED A) THAT RS.3.80 LACS DEPOSITED WITH SEBI TO BE TRANSFERRED TO INVESTOR PROTECTION & EDUCATION FUND ALONG WITH ACCRUED INTEREST, IF ANY, WITHIN FOUR WEEKS FROM DATE OF THIS ORDER B) APPELLANTS TO FILE WINDING UP REPORT AND REPAYMENT REPORT TO WHOM MONEY HAS BEEN REFUNDED WITHIN FOUR WEEKS FROM DATE OF THIS ORDER C) APPELLANTS TO FILE DETAILS LIST OF ALL CONTRIBUTORS/INVESTORS CONTACT DETAILS, DETAILS OF INVESTMENT OF THOSE INVESTORS WHOSE INVESTMENT HAVE NOT BEEN REFUNDED WITHIN FOUR WEEKS FROM DATE OF THIS ORDER D) REPORT TO CERTIFIED BY CHARTED ACCOUNTANT IN THE PRESCRIBE FORMAT WITHIN SIX WEEKS FROM DATE OF THIS ORDER
|
| 626 |
|
|
TWENTIETH CENTURY PLANTATION PVT.LTD.
(PAN:AAACT1328F)
|
|
|
|
PREMA GOPALDAS JAJOO
PAN:AHZPJ8751B
DIN:02064870
|
|
|
RITA SHARADCHANDRA JAJU
PAN:AADPJ4918K
DIN:02064853
|
|
|
UMA MAHENDRA BAGARIA
PAN:AAJPB7782K
DIN:00686226
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 19-MAR-2021 TO 18-MAR-2023
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 19-MAR-2021 TO 18-MAR-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
19-MAR-2021
|
|
| 627 |
|
|
TWINSTAR FINVEST PVT.LTD.
(PAN:AABCT1168Q)
|
|
|
|
MITHLESH SURESH SHARMA
|
|
|
SURESH JAIRAM SHARMA
PAN:ANFPS2503J
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF VERTEX SPINNING 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 29-JAN-2021 TO 28-JAN-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
29-JAN-2021
|
|
| 628 |
|
|
UNIQUE MULTI FOODS INDUSTRIES LTD.
(CIN:U01400PB2012PLC036347)
|
|
|
|
MALKINDER SINGH
DIN:07407549
PAN:ASWPS6806J
|
|
|
RAJINDER SINGH
DIN:03634397
PAN:ABNPS5493D
|
|
|
SUBHASH CHANDER SHARMA
DIN:03446903
PAN:APXPS7159E
|
|
DID NOT FILE PROSPECTUS WITH ROC VIOLATING SECTIONS 23(1) AND 26(4) READ WITH 2(70) OF THE COMPANIES ACT, 2013 IN MATTER OF UNIQUE MULTI FOODS INDUSTRIES LTD.
DID NOT MAKE APPLICATION FOR LISTING OF SECURITIES TO RECOGNIZED STOCK EXCHANGE VIOLATING SECTION 40(1) OF THE COMPANIES ACT, 2013 IN MATTER OF UNIQUE MULTI FOODS INDUSTRIES LTD.
|
RESTRAINED FROM MOBILIZING FUNDS FROM 22-MAY-2019 UNTIL FURTHER ORDERS
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 22-MAY-2019 UNTIL FURTHER ORDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAY-2019 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAY-2019 UNTIL FURTHER ORDERS
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED NOT TO DISPOSE OF, ALIENATE OR ENCUMBER ANY ASSETS / PROPERTIES
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC EITHER THROUGH OFFER AND ALLOTMENTS OF PREFERENCE SHARES AND/OR ALLOTMENT OF DEBENTURES
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO PROVIDE ALL INFORMATION REGARDING AMOUNT MOBILIZED INCLUDING NAMES OF DEBENTURE HOLDERS AND THEIR ADDRESSES, NUMBER OF SRNCDS ISSUED, PROMISED MATURITY AMOUNT WITH DATE OF MATURITY, AMOUNT REFUNDED AND DATE THEREOF DURING F.Y.2012-2016
22-MAY-2019
|
SEBI VIDE ITS NOTICE DATED 24/08/2022 DIRECTED TO PAY RS.4,45,33,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 30/05/2023 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 04/07/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.4,45,33,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 629 |
|
|
UNIVERSAL PRIME ALUMINIUM LTD.
(PAN:AAACU3632M)
|
|
|
INDULGED IN CREATION OF FALSE OR MISLEADING APPEARANCE OF TRADING VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D), 4(1) AND 4(2)(D) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ECE INDUSTRIES LTD.
INDULGED IN CREATION OF FALSE OR MISLEADING APPEARANCE OF TRADING TO MAKE DELISTING OFFER SUCCESSFUL VIOLATING REGULATIONS 4(5)(A) TO 4(5)(C) OF SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 IN MATTER OF ECE INDUSTRIES 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 28-MAY-2021 TO 27-MAY-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-MAY-2021
|
|
| 630 |
|
|
V & R YARNS PVT.LTD.
(PAN:AADCV1473C)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF AADHAAR VENTURES INDIA 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-2020 TO 29-JAN-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-JUL-2020
|
|
| 631 |
|
|
VAANI FABRICS
(PAN:AATHR5899F)
|
|
|
|
AJAY GUPTA
PAN:ABMPG0822F
|
|
INDULGED IN SENDING BULK SMS WITH BUY RECOMMENDATIONS WITH ULTIMATE GOAL OF OFFLOADING SHAREHOLDING OF PROMOTERS/DIRECTORS IN MATTER OF SUPREME TEX MART LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-NOV-2017 TO 31-OCT-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-NOV-2017 TO 31-OCT-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO CEASE & DESIST FROM DISSEMINATING NEWS OR MESSAGES IN ANY FORM RELATED TO SECURITIES MARKET, BY ANY MEANS WHATSOEVER FROM 01-NOV-2017 TO 31-OCT-2023
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
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 TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
DIRECTED TO DISGORGE RS.20,52,96,030
01-NOV-2017
|
|
| 632 |
|
|
VARDHMAN INFRACON PVT.LTD.
(PAN:AADCV4431A)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF EXCEL CASTRONICS 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 01-OCT-2021 TO 31-MAR-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
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
IMPOSED PENALTY RS.10,00,000
01-OCT-2021
|
SAT: SAT VIDE ITS ORDER DATED 05/01/2022 CONDONED THE DELAY IN FILING OF APPEAL. RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANTS TO FILE REJOINDER WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 11/01/2022 CONDONED THE DELAY OF 14 DAYS IN FILING OF APPEAL AND DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER ON OR BEFORE THE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 25/02/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 07/04/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 22/07/2022 DIRECTED TO PAY RS.10,97,658.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 14/09/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 14/10/2022 DIRECTED TO FILE THE REJOINDER, IF ANY, ON OR BEFORE NEXT DATE
SEBI VIDE ITS NOTICE DATED 20/12/2022 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
SAT: SAT VIDE ITS ORDER DATED 06/06/2023 REJECTED THE APPLICATION
|
| 633 |
|
|
VASUNDHARA CAPITAL & SECURITIES LTD.
(PAN:AAACV4765G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF SULABH ENGINEERS & SERVICES 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 03-SEP-2020 TO 02-SEP-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 13/07/2021 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS AND REJOINDER MAY BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 29/04/2022 DISMISSED THE APPEAL. NO COSTS
|
| 634 |
|
|
VEMURI FINVEST PVT.LTD.
(PAN:AAACV3615M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF APLAYA CREATIONS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-MAR-2019 TO 26-MAR-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-MAR-2019 TO 26-MAR-2027
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
27-MAR-2019
|
|
| 635 |
|
|
VERTEX SPINNING LTD.
(CIN:L28900MH1994PLC108684
PAN:AABCV5617N)
|
|
|
|
SACHIN SURESH SHARMA
PAN:ACWPS3831M
|
|
|
SURESH JAIRAM SHARMA
PAN:ANFPS2503J
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF VERTEX SPINNING 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 29-JAN-2021 TO 28-JUL-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
29-JAN-2021
|
|
| 636 |
|
|
VIBHUTI COMMODITIES PVT.LTD.
(PAN:AACCV0831D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF BHATIA COMMUNICATIONS & RETAIL (INDIA) LTD.
|
DIRECTED TO DISGORGE RS.7,49,56,333 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
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-MAY-2024 TO 29-MAY-2027
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-MAY-2024
|
SAT: SAT VIDE ITS ORDER DATED 08/11/2024 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 637 |
|
|
VIHAR INFRASTRUCTURE PVT.LTD.
(PAN:AADCV9737F)
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SHANTANU SHEOREY AQUAKULT 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 01-JUN-2021 TO 31-AUG-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
01-JUN-2021
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| 638 |
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VIHIT INVESTMENT
(PAN:AALFV9583E)
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF BIOCON LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-MAY-2021 TO 04-MAY-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-MAY-2021 TO 04-MAY-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO DISGORGE RS.15,37,000
05-MAY-2021
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SAT: SAT VIDE ITS ORDER DATED 17/05/2021 DISPOSED OFF THE URGENCY APPLICATION AND DIRECTED TO RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM THE DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. FURTHER, DIRECTED TO STAY THE EFFECT AND OPERATION OF IMPUGNED ORDER PROVIDED APPELLANT DEPOSIT THE PENALTY AND DISGORGEMENT AMOUNT OF RS.35 LACS WITHIN A WEEK FROM DATE OF THIS ORDER AND ALSO DEPOSIT A SUM OF RS.1 CRORE SECURITY TO SEBI
SAT: SAT VIDE ITS ORDER DATED 12/07/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 27/08/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 25/10/2021 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 28/07/2025 ALLOWED THE APPEALS AND SET ASIDE IMPUGNED ORDER DATED 05/05/2021
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| 639 |
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VIJAY BHAGWANDAS & CO.
(PAN:ARUPK1589P)
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SUMIT KUMAR
DIN:03199632
PAN:ARUPK1589P
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF ECO FRIENDLY FOOD PROCESSING PARK LTD., ESTEEM BIO ORGANIC FOOD PROCESSING LTD., CHANNEL NINE ENTERTAINMENT LTD. AND HPC BIOSCIENCES LTD.
MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSECTUS VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D), 4(1), 4(2)(A) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF CHANNEL NINE ENTERTAINMENT LTD.
MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSPECTUS VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF ECO FRIENDLY FOOD PROCESSING PARK LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-JUN-2015 TO 22-DEC-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JUN-2015 TO 22-DEC-2020
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
29-JUN-2015
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SEBI VIDE ITS ORDER DATED 14/06/2016 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 29/06/2015
SEBI VIDE ITS ORDER DATED 22/12/2020 DIRECTED TO A) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER MANNER FOR TILL THE DATE OF THIS ORDER B) EXISTING HOLDING OF SECURITIES INCLUDING UNITS OF MUTUAL FUNDS TO REMAIN FREEZE
SAT: SAT VIDE ITS ORDER DATED 15/06/2023 REJOINDER TO BE FILE WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATED 22/12/2020 DIRECTED TO A) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER MANNER FOR TILL THE DATE OF THIS ORDER B) EXISTING HOLDING OF SECURITIES INCLUDING UNITS OF MUTUAL FUNDS TO REMAIN FREEZE
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| 640 |
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VIJAYPATH MANAGEMENT PVT.LTD.
(PAN:AAACV8930F)
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INDULGED IN CREATION OF FALSE OR MISLEADING APPEARANCE OF TRADING VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D), 4(1) AND 4(2)(A) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ECE INDUSTRIES 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 28-MAY-2021 TO 27-MAY-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-MAY-2021
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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 32 of 34
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