| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 641 |
|
SAMEER AMIT SHAH
(PAN:FAWPS1709B)
|
|
|
|
SEACOAST SHIPPING SERVICES LTD.
PAN:AACCM2171R
|
|
PUBLISHED FALSE AND MISLEADING FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E), 4(1)(G), 4(1)(H), 4(1)(J), 4(2)(E)(I), 6(1), 6(1A), 18(2), 23(2), 27(2)(A), 32, 33(1)(A), 33(1)(C), 33(3)(D), 34(2)(A) AND 48 OF THE SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEACOAST SHIPPING SERVICES LTD.
DID NOT COMPLY WITH REGULATIONS 18(1)(D) READ WITH 16(1)(B) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEACOAST SHIPPING SERVICES LTD.
DID NOT ADHERE TO PREPARATION OF FINANCIAL STATEMENTS AND ACCOUNTING STANDARD VIOLATING REGULATION 34(3) READ WITH CLAUSE 1 OF PARA A OF SCHEDULE V TO SEBI (LORD) REGULATIONS, 2015 IN MATTER OF SEACOAST SHIPPING SERVICES LTD.
PUBLISHED FALSE AND MISLEADING FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH 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 SEACOAST SHIPPING SERVICES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-SEP-2024 TO 29-SEP-2029
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2024 TO 29-SEP-2029
RESTRAINED FROM ACTING AS DIRECTOR/KEY MANAGERIAL PERSONNEL OF ANY LISTED COMPANY OR SUBSIDIARY OR ANY COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY SEBI REGISTERED INTERMEDIARY FROM 30-SEP-2024 TO 29-SEP-2029
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
30-SEP-2024
IMPOSED PENALTY RS.50,00,000
24-SEP-2025
|
SAT: SAT VIDE ITS ORDER DATED 06/12/2024 DISMISSED THE APPEAL WITH LIBERTY TO APPELLANTS TO RAISE ALL CONTENTIONS BEFORE THE WTM OF SEBI
SAT: SAT VIDE ITS ORDER DATED 06/05/2025 EXTENDED TIME TILL 30/09/2025
SEBI VIDE ITS ORDER DATED 24/09/2025 DIRECTED TO A) RESTRAINED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES OR ACCESSING CAPITAL MARKETS, DIRECTLY OR INDIRECTLY, IN ANY MANNER, WHATSOEVER FOR FIVE YEARS FROM DATE OF INTERIM ORDER CUM SCN I.E.30/09/2024 B) RESTRAINED FROM ASSOCIATING HIMSELF WITH ANY INTERMEDIARIES REGISTERED WITH SEBI, ANY LISTED PUBLIC COMPANY OR ANY COMPANY THAT INTENDS TO RAISE MONEY FROM PUBLIC IN ANY MANNER WHATSOEVER INCLUDING AS A DIRECTOR OR KEY MANAGERIAL PERSONNEL FOR FIVE YEARS FROM DATE OF INTERIM ORDER CUM SCN I.E.30/09/2024C) IMPOSED PENALTY OF RS.30 LAC U/S 15HA AND RS.20 LAC U/S 15HB OF SEBI ACT. AND TO PAY WITHIN FORTY-FIVE (45) DAYS FROM DATE OF RECEIPT OF THIS ORDER
|
| 642 |
|
|
SAMIR KATYAL
(PAN:ADDPK0100D)
|
|
|
|
JAI MATA GLASS LTD.
CIN:L26101HP1981PLC004430
PAN:AAACJ3873F
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF JAI MATA GLASS 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 JAI MATA GLASS LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF JAI MATA GLASS LTD. AND 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 JAI MATA GLASS LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF JAI MATA GLASS LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF JAI MATA GLASS 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 23-NOV-2021 TO 22-MAY-2022
IMPOSED PENALTY RS.1,50,000
23-NOV-2021
|
|
| 643 |
|
|
SAMSHER GARUD
(PAN:AGZPG2591B)
|
|
|
|
LANDMARC LEISURE CORP.LTD.
CIN:L65990MH1991PLC060535
PAN:AAACL5117A
|
|
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.
|
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.1,12,500
20-JAN-2022
|
SAT: SAT VIDE ITS ORDER DATED 16/02/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND REJOINDER MAY BE FILE WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 26/07/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 20/01/2022
|
| 644 |
|
|
SANDEEP GUPTA
(PAN:AADPG0923F)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 4(1)(C), 4(1)(D), 4(1)(I) AND 30(10) OF SEBI (LODR) REGULATIONS, 2011 IN MATTER OF ASIAN HOTELS (W) LTD.
ALLEGED VIOLATION OF REGULATIONS 30(7) AND 4(1)(D) OF SEB) (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULAR DATED 21/11/2019 IN MATTER OF ASIAN HOTELS (W) LTD.
ALLEGED VIOLATION OF REGULATIONS 30(2) READ WITH SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 AND REGULATION 4(2)(F) OF SEBI (LODR) REGULATIONS, 2015 AND SEBI CIRCULAR DATED 18/10/ 2019 IN MATTER OF ASIAN HOTELS (W) LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.29,25,000 VIDE CONSENT ORDER)
05-JUL-2023
|
|
| 645 |
|
|
SANDEEP PURI
(PAN:AHUPP2196B)
|
|
|
ALLEGED CERTIFY CONSOLIDATED FINANCIAL STATEMENTS VIOLATING CLAUSE 49(V) OF LISTING AGREEMENT IN MATTER OF FORTIS HEALTHCARE LTD.
ALLEGED CERTIFY MISLEADING FINANCIAL STATEMENTS VIOLATING CLAUSE 49(IX) OF LISTING AGREEMENT (POST AMENDMENT DATED 17/04/2014) READ WITH REGULATION 103 OF SEBI (LODR) REGULATIONS, 2015 AND SECTION 21 OF SCRA, 1956 AND REGULATIONS 17(8) AND 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF FORTIS HEALTHCARE LTD.
ALLEGED FAILURE IN CARRYING OUT DUE DILIGENCE AND EXERCISE INDEPENDENT JUDGEMENT WITH RESPECT TO GRANT OF LOANS/INVESTMENTS TO 3 BORROWER COMPANIES VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992
ALLEGED INDULGENCE IN MISUSE AND DIVERSION OF PUBLIC SHAREHOLDERS FUNDS THROUGH 3 BORROWER COMPANIES FOR BENEFIT OF RHC HOLDING LTD. AND CONSEQUENTLY MR.MALVINDER MOHAN SINGH AND MR.SHIVINDER MOHAN SINGH VIOLATING REGULATIONS 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FORTIS HEALTHCARE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.93,50,000 VIDE CONSENT ORDER)
31-JAN-2022
|
|
| 646 |
|
|
SANDESH SAWANT
(PAN:AMGPS1282A)
|
|
|
|
IRIS MEDIAWORKS LTD.
CIN:L92412MH1992PLC067841
PAN:AAACB4506D
|
|
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF IRIS MEDIAWORKS LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF IRIS MEDIAWORKS LTD. VIOLATING REGULATIONS 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF IRIS MEDIAWORKS LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF IRIS MEDIAWORKS LTD. VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 4(2)(F)(III)(1) (3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF IRIS MEDIAWORKS 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 17-NOV-2021 TO 16-NOV-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.7,00,000
17-NOV-2021
|
SAT: SAT VIDE ITS ORDER DATED 02/11/2022 CONDONED THE DELAY IN FILING OF APPEAL AND 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 05/01/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 13/02/2023 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 14/06/2023 DISMISSED THE APPEAL
|
| 647 |
|
|
SANDIP RAY
(PAN:ANQPR2065K)
|
|
|
|
V.B.INDUSTRIES LTD.
CIN:L51909WB1982PLC035222
PAN:AAACV9152B
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF VBIL AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF V.B.INDUSTRIES LTD.
|
IMPOSED PENALTY RS.3,00,000
08-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 13/01/2022 CONDONED OF DELAY IN FILING OF APPEAL AND DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 21/03/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 27/04/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 29/07/2022 CONDONED THE DELAY IN FILING OF APPEAL AND PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY TO 25% IMPOSED BY WTM
SAT: SAT VIDE ITS ORDER DATED 04/11/2022 CONDONED THE DELAY IN FILING OF REVIEW APPLICATION. DISMISSED REVIEW APPLICATION
SEBI VIDE ITS ORDER DATED 22/11/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4345 OF 2021 DATED 07/12/2021
|
| 648 |
|
|
SANDIP RAY
(PAN:ANQPR2065K)
|
|
|
|
V.B.INDUSTRIES LTD.
CIN:L51909WB1982PLC035222
PAN:AAACV9152B
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF VBIL AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF V.B.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 08-JUL-2021 TO 07-JAN-2022
08-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 13/01/2022 CONDONED OF DELAY IN FILING OF APPEAL AND DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 21/03/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 27/04/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 29/07/2022 CONDONED THE DELAY IN FILING OF APPEAL AND PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY TO 25% IMPOSED BY WTM
SAT: SAT VIDE ITS ORDER DATED 04/11/2022 CONDONED THE DELAY IN FILING OF REVIEW APPLICATION. DISMISSED REVIEW APPLICATION
|
| 649 |
|
|
SANJAY DALMIA
(PAN:AADPD9438N)
|
|
|
|
GOLDEN TOBACCO LTD.
PAN:AAACG1421A
|
|
DIVERTED FUND IN DISGUISE OF TRANSFERS FOR LAND DEVELOPMENT AND FURTHER TRANSFER TO PROMOTER RELATED ENTITIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF GOLDEN TOBACCO LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATIONS 33(2)(A) AND 103 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF GOLDEN TOBACCO 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-AUG-2025 TO 28-AUG-2027
IMPOSED PENALTY RS.30,00,000
29-AUG-2025
|
|
| 650 |
|
|
SANJAY DHINGRA
(PAN:AAFPD9561J)
|
|
|
|
KWALITY LTD.
PAN:AABCK1289R
|
|
MISREPRESENTED/MISSTATED FINANCIALS STATEMENTS VIOLATING SECTIONS 12A(A) TO 2A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF KWALITY LTD.
MISREPRESENTED/MISSTATED FINANCIALS STATEMENTS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(E), 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)(1), 4(2)(F)(III)(2), 4(2)(F)(III)(3), 4(2)(F)(III)(6), 4(2)(F)(III)(12), 33(1)(A), 33(1)(C), 33(2)(A) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTIONS 27(1) AND 27(2) OF SEBI ACT, 1992 IN MATTER OF KWALITY LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTIONS 27(1) AND 27(2) OF SEBI ACT, 1992 IN MATTER OF KWALITY 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-JUN-2024 TO 27-JUN-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 28-JUN-2024 TO 27-JUN-2026
IMPOSED PENALTY RS.1,50,00,000
28-JUN-2024
|
|
| 651 |
|
|
SANJAY KUMAR SAREEN
(PAN:AAPPS0724E)
|
|
|
|
JAI MATA GLASS LTD.
CIN:L26101HP1981PLC004430
PAN:AAACJ3873F
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF JAI MATA GLASS 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 JAI MATA GLASS LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF JAI MATA GLASS LTD. AND 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 JAI MATA GLASS LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF JAI MATA GLASS 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 23-NOV-2021 TO 22-MAY-2022
IMPOSED PENALTY RS.1,50,000
23-NOV-2021
|
|
| 652 |
|
|
SANJIV KAVALJIT SINGH
(PAN:AMQPS9270C)
|
|
|
INDULGED IN MANIPULATION OF BOOKS OF ACCOUNTS OR FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(2),(6),(7) AND 4(2)(F)(III)(7) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF FEDDERS ELECTRIC & ENGINEERING LTD.
DID NOT EXERCISE INDEPENDENT JUDGEMENT AS MEMBERS OF AUDIT COMMITTEE OF A LISTED COMPANY VIOLATING REGULATION 18(3) READ WITH PARA A OF PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF FEDDERS ELECTRIC & ENGINEERING LTD.
ISSUED FALSE AND MISLEADING CERTIFICATE UNDER REGULATIONS 17(8) AND 33(2)(A) OF SEBI (LODR) REGULATION, 2015 IN MATTER OF FEDDERS ELECTRIC & ENGINEERING LTD.
DID NOT EXERCISE DUE DILIGENCE AS MEMBER OF AUDIT COMMITTEE VIOLATING SECTION 21 OF SCRA READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF FEDDERS ELECTRIC & ENGINEERING LTD.
|
IMPOSED PENALTY RS.5,00,000
28-MAR-2023
|
|
| 653 |
|
|
SARASWATHY GOPALAN
(PAN:APVPS1354P)
|
|
|
|
MEDIAONE GLOBAL ENTERTAINMENT LTD.
PAN:AAACR0405M
|
|
DID NOT EXERCISE DUE DILIGENCE AS A MEMBER 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 MEDIAONE GLOBAL ENTERTAINMENT LTD.
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.5,00,000
27-FEB-2026
|
SEBI VIDE ITS NOTICE DATED 22/05/2026 DIRECTED TO PAY RS.5,21,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 18/06/2026 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS, MUTUAL FUNDS FOLIOS AND/OR POST OFFICE ACCOUNT 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 08/09/2026 CONDONED THE DELAY OF 108 DAYS IN FILING OF APPEAL AND GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. DIRECTED BANKS TO PERMIT DEBIT ONLY FOR THE PURPOSE OF MAKING DEPOSIT OF RS.2 CRORE
|
| 654 |
|
|
SARIKA MODI
(PAN:AJDPM8227B)
|
|
|
|
MANGALAM GLOBAL ENTERPRISE PVT.LTD.
|
|
ALLEGED INDULGENCE IN PUBLISHING OF MISSTATED FINANCIAL STATEMENTS, PASSING OF FICTITIOUS BOOK ENTRIES AND DIVERSION OF FUNDS FROM THE COMPANY FOR BENEFIT OF PROMOTER GROUP COMPANIES VIOLATING REGULATIONS 4(2)(E) (1), 4(2)(F)(I)(1),(2), 4(2)(F)(II)(2),(5),(6),(7),(8) AND 4(2)(F)(III)(1),(2),(3),(6),(8),(12),(14), 25(5) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27(1) OF SEBI ACT, 1992 IN MATTER OF MANGALAM GLOBAL ENTERPRISE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.9,42,500 VIDE CONSENT ORDER)
30-MAR-2026
|
|
| 655 |
|
|
SAROJ DEVI KOTHARI
(PAN:ARCPK1018M)
|
|
|
|
JMD VENTURES LTD.
PAN:AAACA4340C
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF JMD AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II) (6) & (7), 4(2)(F)(III) (1), (3), (6) AND (12) OF SEBI (LODR) REGULATION, 2015 IN MATTER OF JMD VENTURES LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF JMD VENTURES 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 14-SEP-2021 TO 13-MAR-2022
IMPOSED PENALTY RS.1,00,000
14-SEP-2021
|
SEBI VIDE ITS NOTICE DATED 06/05/2022 DIRECTED TO PAY RS.1,08,693.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 25/05/2022 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 20/07/2022 CONDONED THE DELAY IN FILING OF APPEAL. RESPONDENT TO FILE REPLY WITHIN THREE WEEKS. IN THE MEANWHILE, APPELLANTS TO DEPOSIT 50% OF PENALTY AMOUNT ON OR BEFORE NEXT DATE. IF AMOUNT IS DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 05/08/2022 GRANTED RESPONDENT TWO WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 06/09/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 29/11/2022 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 25/05/2022
SEBI VIDE ITS ORDER DATED 29/11/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4739 OF 2022 DATED 06/05/2022
|
| 656 |
|
|
SASHI PANDEY
(PAN:BROPP5797B)
|
|
|
|
SHIVOM INVESTMENT & CONSULTANCY LTD.
PAN:AAACG9355K
|
|
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF SHIVOM INVESTMENT & CONSULTANCY LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF SHIVOM INVESTMENT & CONSULTANCY LTD. VIOLATING REGULATIONS 4(2)(F)(II)(1), (6), (7), 4(2)(F)(III)(2), (3) (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SHIVOM INVESTMENT & CONSULTANCY 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 24-FEB-2023 TO 23-MAY-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.2,00,000
24-FEB-2023
|
SEBI VIDE ITS NOTICE DATED 27/06/2024 DIRECTED TO PAY RS.2,35,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 07/10/2024 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
|
| 657 |
|
|
SATISH KAGLIWAL
(PAN:AHKPK9953B)
|
|
|
|
AGRI-TECH (INDIA) LTD.
PAN:AAECA3539K
|
|
DID NOT ADHERE TO CORPORATE GOVERNANCE REPORT VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(2), 4(2)(F)(II)(7), 4(2)(F)(II)(8) AND 4(2)(F)(III)(7) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF AGRI-TECH (INDIA) LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II 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
|
|
| 658 |
|
|
SATISH KUMAR AGRAWAL
(PAN:ABBPA9216E)
|
|
|
MISREPRESENTED/MISSTATED/MANIPULATED FINANCIALS AND MISUSED OF BOOKS OF ACCOUNTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH 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 SANWARIA CONSUMER LTD.
MISREPRESENTED/MISSTATED/MANIPULATED FINANCIALS AND MISUSED BOOKS OF ACCOUNTS VIOLATING REGULATION 4(2)(F)(I)(2), 4(2)(F)(II)(2), 4(2)(F)(II)(6), 4(2)(F)(II)(7) AND 4(2)(F)(III)(7) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SANWARIA CONSUMER LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) AND 33(2)(D) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF SANWARIA CONSUMER LTD.
DID NOT ADHERE TO PREPARATION OF FINANCIAL STATEMENTS AND ACCOUNTING STANDARD VIOLATING REGULATIONS 4(1), 4(2)(E), 33(1)(A), 33(1)(C), 33(3)(B), 34(2)(B), 34(3) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF SANWARIA CONSUMER LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-NOV-2023 TO 29-NOV-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-NOV-2023 TO 29-NOV-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.1,05,00,000
30-NOV-2023
|
SAT: SAT VIDE ITS ORDER DATED 15/03/2024 CONDONED THE DELAY IN FILING OF APPEAL. ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND FILE REJOINDER FOUR WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 19/11/2024 GRANTED APPELLANT TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 30/04/2025 CONDONED THE DELAY IN FILING OF APPEAL AND DISPOSED OF MISC. APPLICATION NO.754 OF 2024
|
| 659 |
|
|
SATISH KUMAR GUPTA
(PAN:AACPG7419H)
|
|
|
|
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 07/07/2022 ALLOWED URGENCY APPLICATION. STAYED DEBARMENT ORDER DURING PENDENCY OF THE APPEAL PROVIDED APPELLANT DEPOSIT 50% OF PENALTY AMOUNT ON OR BEFORE NEXT DATE. IF THE AMOUNT DEPOSITED, BALANCE AMOUNT NOT TO 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 24/03/2023 CONDONED THE DELAY IN FILING OF REVIEW APPLICATION. REVIEW APPLICATION REJECTED
SAT: SAT VIDE ITS ORDER DATED 01/05/2023 CONDONED THE DELAY IN FILING OF APPEAL
|
| 660 |
|
|
SATISH KUMAR GUPTA
(PAN:AEUPG2708P)
|
|
|
|
KWALITY LTD.
PAN:AABCK1289R
|
|
MISREPRESENTED/MISSTATED FINANCIALS STATEMENTS VIOLATING SECTIONS 12A(A) TO 2A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF KWALITY LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTIONS 27(1) AND 27(2) OF SEBI ACT, 1992 IN MATTER OF KWALITY LTD.
DID NOT ADHERE TO REGULATIONS 33(1)(A), 33(1)(C) AND 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTIONS 27(1) AND 27(2) OF SEBI ACT, 1992 FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF KWALITY 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-JUN-2024 TO 27-JUN-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 28-JUN-2024 TO 27-JUN-2026
IMPOSED PENALTY RS.75,00,000
28-JUN-2024
|
SAT: SAT VIDE ITS ORDER DATED 22/10/2024 CONDONED THE DELAY OF 14 DAYS IN FILING OF APPEAL. GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED INTERIM ORDER FOR RECOVERY SUBJECT TO APPELLANT DEPOSIT RS.25 LAC WITHIN SIX WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 20/12/2024 GRANTED FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 05/03/2025 GRANTED APPELLANTS FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 24/06/2025 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 33 of 43
|
