| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 641 |
|
RAJESH BHATIA
(PAN:AAHPB9438N)
|
|
|
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION TO RELATIVES VIOLATING REGULATIONS 3(1) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF TREE HOUSE EDUCATION & ACCESSORIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-MAY-2021 TO 23-MAY-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-MAY-2021 TO 23-MAY-2022
IMPOSED PENALTY RS.15,00,000
24-MAY-2021
|
SAT: SAT VIDE ITS ORDER DATED 30/08/2021 ALLOWED RESPONDENT THREE WEEKS TIME TO FILE REPLY AND APPELLANT FILE REJOINDER THREE WEEKS THEREAFTER. IN THE MEANWHILE, EFFECT AND OPERATION OF IMPUGNED ORDER TO REMAIN STAYED UPON PROVIDED THE APPELLANTS DEPOSIT OF RS.15 LAC WITH RESPONDENT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 08/11/2021 CONDONED THE DELAY IN FILING OF REPLY AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 21/12/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 31/01/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 11/03/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 25/04/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 28/06/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 27/03/2025 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 24/05/2021. NO COSTS
|
| 642 |
|
|
RAJESH CHAMY
(PAN:AFCPC1117P)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF TITAN CO.LTD.
|
IMPOSED PENALTY RS.1,00,000
27-DEC-2021
|
|
| 643 |
|
|
RAJESH CHOPRA
(PAN:ADXPC1041R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF VARUN BEVERAGES LTD.
|
IMPOSED PENALTY RS.3,00,000
18-FEB-2022
|
|
| 644 |
|
|
RAJESH DAGA
(PAN:ADRPD8616P)
|
|
|
DID NOT OBTAIN PRE-CLEARANCE FOR TRADES VIOLATING CLAUSE 6 OF SCHEDULE B OF MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY DESIGNATED PERSONS READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ELECTROSTEEL CASTINGS LTD.
TRADED WHILE TRADING WINDOW WAS CLOSED VIOLATING CLAUSE 4(1) OF SCHEDULE B OF MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY DESIGNATED PERSONS READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ELECTROSTEEL CASTINGS LTD.
ENTERED INTO OPPOSITE TRANSACTIONS WITHIN SIX MONTHS VIOLATING CLAUSE 10 SCHEDULE B OF MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY DESIGNATED PERSONS READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ELECTROSTEEL CASTINGS LTD.
|
IMPOSED PENALTY RS.5,00,000
28-MAR-2024
|
|
| 645 |
|
|
RAJESH GUPTA
(PAN:AAAPG7884Q)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHILPI CABLE TECHNOLOGIES LTD.
DELAY IN PAYMENT OF CONSIDERATION OF OFF-MARKET TRANSACTIONS VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.G.S.R.219 (E) DATED 02/03/2000 AND SECTIONS 13 AND 18 OF SCRA READ WITH SECTIONS 2(I) OF SCRA ACT, 1956 IN MATTER OF SHILPI CABLE TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.15,00,000
19-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 30/08/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED EFFECT AND OPERATION OF IMPUGNED ORDER DURING PENDENCY OF THE APPEAL. DIRECTED APPELLANTS TO DEPOSIT 50% PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 646 |
|
|
RAJESH GUPTA
(PAN:AAAPG7884Q)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHILPI CABLE TECHNOLOGIES LTD.
DELAY IN PAYMENT OF CONSIDERATION OF OFF-MARKET TRANSACTIONS VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.G.S.R.219 (E) DATED 02/03/2000 AND SECTIONS 13 AND 18 OF SCRA READ WITH SECTIONS 2(I) OF SCRA ACT, 1956 IN MATTER OF SHILPI CABLE TECHNOLOGIES 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 19-JUN-2023 TO 18-JUN-2024
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
DIRECTED TO DISGORGE RS.6,90,98,715
19-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 16/10/2023 ALLOWED APPELLANTS TWO WEEKS TO FILE PHYSICAL COPY OF REJOINDER AFFIDAVIT
SAT: SAT VIDE ITS ORDER DATED 29/11/2023 CONDONED THE DELAY IN FILING OF APPEAL AND REPLY TAKEN ON RECORD
|
| 647 |
|
|
RAJESH KUMAR K.
(PAN:ALZPK3311Q)
|
|
|
ALLEGED FAILURE IN IMPLEMENTING CODE OF CONDUCT VIOLATING REGULATION 12(1) OF SEBI (PIT) REGULATIONS, 1992 READ WITH CLAUSE 1.2 OF CODE OF CONDUCT SPECIFIED UNDER PART B OF SCHEDULE I READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MANAPPURAM FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,48,000 VIDE CONSENT ORDER)
08-JUL-2020
|
|
| 648 |
|
|
RAJESH PATHAK
(PAN:ALIPP6155A)
|
|
|
|
FUTURE CORPORATE RESOURCES LTD.
CIN:U74140MH2007PTC175603
PAN:AAJCS3979E
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF FUTURE RETAIL LTD.
|
IMPOSED PENALTY RS.25,00,000
03-FEB-2021
|
SAT: SAT VIDE ITS ORDER DATED 22/02/2021 DIRECTED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 20/12/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 03/02/2021. NO COSTS
|
| 649 |
|
|
RAJESH PATHAK
(PAN:ALIPP6155A)
|
|
|
|
FUTURE CORPORATE RESOURCES LTD.
CIN:U74140MH2007PTC175603
PAN:AAJCS3979E
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF FUTURE RETAIL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-FEB-2021 TO 02-FEB-2023
03-FEB-2021
|
SAT: SAT VIDE ITS ORDER DATED 09/04/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 20/12/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 03/02/2021. NO COSTS
|
| 650 |
|
|
RAJESH PATHAK
(PAN:ALIPP6155A)
|
|
|
|
FUTURE CORPORATE RESOURCES LTD.
CIN:U74140MH2007PTC175603
PAN:AAJCS3979E
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF FUTURE RETAIL 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-FEB-2021 TO 02-FEB-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-FEB-2021
|
SAT: SAT VIDE ITS ORDER DATED 09/04/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 20/12/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 03/02/2021. NO COSTS
|
| 651 |
|
|
RAJESH RAMANLAL SHAH
(PAN:AMCPS0309L)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(2A) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SUNRISE ASIAN LTD.
|
IMPOSED PENALTY RS.1,00,000
29-SEP-2020
|
SEBI VIDE ITS NOTICE DATED 25/03/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS 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 20/05/2022 DIRECTED ALL THE BANKS TO REMIT RS. 1,22,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.RAJESH SHAH TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 652 |
|
|
RAJESHKUMAR JHUNJHUNWALA
(PAN:AABPJ9214G)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF APTECH LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,21,74,129, DISGORGEMENT AMOUNT RS.81,84,289, INTEREST RS.42,59,418 VIDE CONSENT ORDER)
14-JUL-2021
|
|
| 653 |
|
|
RAJESHWARI KULKARNI
(PAN:AGEPK7106M)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF GEODESIC LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF GEODESIC LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,35,921 VIDE CONSENT ORDER)
02-NOV-2018
|
|
| 654 |
|
|
RAJGOPALACHARI VENKATTESH
(PAN:ABHPV7270P)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 AND SECTIONS 12A(D) AND (E), 15G (I) AND 15HB OF SEBI ACT, 1992 IN MATTER OF DCB BANK LTD.
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING CLAUSE 6 OF MINIMUM STANDARD FOR CODE OF CONDUCT UNDER SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DCB BANK LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.66,93,750, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.11,35,390, INTEREST RS.7,23,788 VIDE CONSENT ORDER)
09-MAR-2021
|
|
| 655 |
|
|
RAJINDER JEET SINGH BAGGA
(PAN:AALPB8867B)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF VARUN BEVERAGES LTD.
|
IMPOSED PENALTY RS.3,00,000
23-FEB-2022
|
SAT: SAT VIDE ITS ORDER DATED 13/06/2022 DIRECTED REJOINDER TO BE FILED WITHIN THREE WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 14/07/2022 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 21/11/2022 DISMISSED THE APPEAL. NO COSTS
|
| 656 |
|
|
RAJINDER MITTAL
(PAN:AARPM9226F)
|
|
|
|
BCL INDUSTRIES LTD.
CIN:AAACB5510B
PAN:AAACB5510B
|
|
ALLEGED FAILURE TO DISCLOSE MANOJ FINVEST PVT.LTD. AS PART OF PROMOTER GROUP VIOLATING REGULATION 31(4) OF SEBI (LODR) REGULATIONS, 2015 READ WITH REGULATIONS 2(1)(PP)(IV)(B) OF SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF BCL INDUSTRIES LTD.
ALLEGED FAILURE TO COVER MANOJ FINVEST PVT.LTD. UNDER CODE OF CONDUCT OF BCL INDUSTRIES LTD. TO REGULATE, MONITOR AND REPORT TRADING BY DESIGNATED PERSONS AND IMMEDIATE RELATIVES OF DESIGNATED PERSONS VIOLATING REGULATION 9(4) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BCL INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.28,60,000 VIDE CONSENT ORDER)
06-MAR-2025
|
|
| 657 |
|
|
RAJIV KAPOOR
(PAN:ABXPK6196M)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF MINDA INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,03,516 VIDE CONSENT ORDER)
20-NOV-2019
|
|
| 658 |
|
|
RAJKUMAR PANDE
(PAN:AHTPP4635J)
|
|
|
|
FUTURE CORPORATE RESOURCES LTD.
CIN:U74140MH2007PTC175603
PAN:AAJCS3979E
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF FUTURE RETAIL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-FEB-2021 TO 02-FEB-2023
03-FEB-2021
|
SAT: SAT VIDE ITS ORDER DATED 09/04/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 20/12/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 03/02/2021. NO COSTS
|
| 659 |
|
|
RAJKUMAR PANDE
(PAN:AHTPP4635J)
|
|
|
|
FUTURE CORPORATE RESOURCES LTD.
CIN:U74140MH2007PTC175603
PAN:AAJCS3979E
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF FUTURE RETAIL 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-FEB-2021 TO 02-FEB-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-FEB-2021
|
SAT: SAT VIDE ITS ORDER DATED 09/04/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 20/12/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 03/02/2021. NO COSTS
|
| 660 |
|
|
RAJKUMAR PANDE
(PAN:AHTPP4635J)
|
|
|
|
FUTURE CORPORATE RESOURCES LTD.
CIN:U74140MH2007PTC175603
PAN:AAJCS3979E
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF FUTURE RETAIL LTD.
|
IMPOSED PENALTY RS.25,00,000
03-FEB-2021
|
SAT: SAT VIDE ITS ORDER DATED 20/12/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 03/02/2021. NO COSTS
|
| 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 33 of 50
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