| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 661 |
|
SANJAY GUPTA
(PAN:ABWPG4052D)
|
|
|
|
RICH CAPITAL & FINANCIAL SERVICES LTD.
PAN:AACCR4640N
|
|
INDULGED IN ISSUANCE OF MISLEADING CORPORATE ANNOUNCEMENTS PERTAINING TO THE RIGHTS ISSUE OF RICH CAPITAL & FINANCIAL SERVICES LTD.
|
IMPOSED PENALTY RS.2,50,000
19-APR-2012
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 31/12/2013, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 662 |
|
|
SANJAY GUPTA
(PAN:ABMPG6231C)
|
|
|
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 BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-NOV-2017 TILL FURTHER ORDERS
CEASED AND DESIST FROM DISSEMINATING NEWS OR MESSAGES IN ANY FORM RELATED TO SECURITIES MARKET, BY ANY MEANS WHATSOEVER FROM 01-NOV-2017 TILL FURTHER ORDERS
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
01-NOV-2017
DIRECTED TO DISGORGE RS.2,82,90,408
05-MAR-2019
|
SEBI VIDE ITS ORDER DATED 30/10/2018 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX PARTE ORDER DATED 01/11/2017
SEBI VIDE ITS ORDER DATED 05/03/2019 DIRECTED TO 1) DISGORGE RS.2,82,90,408.00 2) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME AMOUNTS GAIN MADE ALONGWITH WITH INTEREST CREDITED TO ESCROW ACCOUNT WITHOUT PERMISSION FROM SEBI 2) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT 3) BANKS AND DEPOSITORIES NO TO DEBIT,WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD BY NOTICEES 4) BANKS AND DEPOSITORIES TO ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED 5) PROVIDE FULL INVENTORY OF THEIR ASSETS, PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES / SECURITIES, IF HELD IN PHYSICAL FORM AND DETAILS OF COMPANIES HOLD SUBSTANTIAL OR CONTROLLING INTEREST
|
| 663 |
|
|
SANJAY GUPTA
(PAN:AAFHS6939H)
|
|
|
FACILITATED NIRMAL KOTECHA IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS, CARRYING OUT AND DISGUISING MANIPULATIVE INTENT AND GAINED ADVANTAGE FROM FORGERY IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 23-JUN-2020 TO 22-JUN-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-JUN-2020 TO 22-JUN-2022
23-JUN-2020
|
SAT: SAT VIDE ITS ORDER DATED 14/07/2020 STAYED IMPUGNED ORDER DATED 23/06/2020 IN SO FAR AS IT RELATES TO APPELLANT TILL THE NEXT DATE OF HEARING
|
| 664 |
|
|
SANJAY HUNDIA
|
|
|
|
ADVANCE FINSTOCK PVT.LTD.
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
AD-INTERIM EX-PARTE ORDER DATED 23/04/2009 CONFIRMED VIDE ORDER DATED 05/07/2010
SAT: APPEAL DISPOSED OFF IN TERMS OF THE ORDER PASSED BY TRIBUNAL IN APPEAL NO.98 OF 2010 (MR.NIMESH CHITALIA VS. SEBI) DECIDED ON 08/09/2010 WITH NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 665 |
|
|
SANJAY JETHALAL SONI
(PAN:BVSPS9741N)
|
|
|
INDULGED IN PLANTING UNSOLICITED AND MISLEADING ADVICE RECOMMENDING PURCHASE OF SHARES IN MATTER OF TIMBOR HOME 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-NOV-2020 TO 19-NOV-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
20-NOV-2020
|
SAT: SAT VIDE ITS ORDER DATED 04/02/2022 CONDONED DELAY IN FILING OF APPEAL. APPEAL DISMISSED AS INFRUCTUOUS
SAT: SAT VIDE ITS ORDER DATED 20/04/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 20/04/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 26/06/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.49,84,374.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS ORDER DATED 08/01/2025 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, IF ANY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, WESTERN REGIONAL OFFICE, AHMEDABAD D) DIRECTED INSPECTORS GENERAL OF REGISTRATION AND CONTROLLER OF STAMPS OF THE GUJARAT STATE AND CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS OF THE RESPECTIVE AREAS WHERE THE PROPERTIES ARE LOCATED E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED/HELD BY THE DEFAULTERS, IF PRESENTED FOR REGISTRATION
SEBI VIDE ITS NOTICE DATED 06/02/2026 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 25/11/2021
SEBI VIDE ITS NOTICE DATED 06/02/2026 CANCELLED RECOVERY CERTIFICATE AS PER SAT ORDER DATED 29/01/2026
SEBI VIDE ITS ORDER DATED 02/04/2026 SEBI RESCINDED PROHIBITORY ORDER NO.RO/1101/2025 DATED 08/01/2025
|
| 666 |
|
|
SANJAY KUMAR LODHA
(DIN:01861465)
|
|
|
|
HI-CLASS DIAMOND EXPORTS PVT.LTD.
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 667 |
|
|
SANJAY RAI
|
|
|
|
DADA TRADING CO.
|
|
|
LUXURY TRADING CO.
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
AD-INTERIM EX-PARTE ORDER DATED 23/04/2009 CONFIRMED VIDE ORDER DATED 12/01/2010
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 668 |
|
|
SANJAY TIWARI
|
|
|
|
RAGHUKUL DIAMONDS PVT.LTD.
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 669 |
|
|
SANJEEV ARORA
|
|
|
|
RITESH PROPERTIES & INDUSTRIES LTD.
|
|
MISLED INVESTORS BY PUBLISHING CORPORATE ANNOUNCEMENTS WITHOUT DISSEMINATING SAME TO STOCK EXCHANGE IN MATTER OF RITESH PROPERTIES & INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JAN-2016 TO 31-AUG-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JAN-2016 TO 31-AUG-2017
13-JAN-2016
|
SAT: SAT VIDE ITS ORDER DATED 31/08/2017 RESTRICTED THE RESTRAINT ORDER IMPOSED VIDE ITS ORDER DATED 13/01/2016 ONLY UPTO THE DATE OF PASSING THIS ORDER. NO COSTS
|
| 670 |
|
|
SANJEEV ARORA
(PAN:AAYPA9776B)
|
|
|
MISLED INVESTORS BY SUPPRESSING NEGATIVE INFORMATION IN MATTER OF RITESH PROPERTIES & INDUSTRIES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH WASH TRADES IN SCRIP OF RITESH PROPERTIES & INDUSTRIES LTD.
|
IMPOSED PENALTY RS.10,00,000
31-AUG-2012
|
SAT: SAT VIDE ITS ORDER DATED 07/05/2013 MODIFIED IMPUGNED ORDER DATED 31/08/2012 BY REDUCING PENALTY AMOUNT TO RS.1 LAC FROM RS.10 LACS. NO ORDER AS TO COSTS
|
| 671 |
|
|
SANJEEV SHARMA
(PAN:AARPS7233G)
|
|
|
|
SGI RESEARCH & ANALYSIS LTD.
CIN:U74140DL2010PLC203986
PAN:AAOCS5535R
|
|
ALLEGED INDULGENCE IN ISSUANCE OF PREFERENCE SHARES TO 162 INVESTORS VIOLATING PUBLIC ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES IN MATTER OF SGI RESEARCH & ANALYSIS LTD.
ALLEGED INDULGENCE IN ISSUANCE OF PREFERENCE SHARES BY MAKING FALSE PROMISES IN MATTER OF SGI RESEARCH & ANALYSIS LTD.
|
SHOW CAUSE NOTICE ISSUED
18-MAY-2012
|
|
| 672 |
|
|
SANJEEV SHARMA
(PAN:AARPS7233G)
|
|
|
|
SGI RESEARCH & ANALYSIS LTD.
CIN:U74140DL2010PLC203986
PAN:AAOCS5535R
|
|
ISSUED FALSE, MISLEADING AND DISTORTED INFORMATION/DECLARATIONS IN MATTER OF ISSUANCE OF CONVERTIBLE PREFERENCE SHARES OF SGI RESEARCH & ANALYSIS LTD.
ALLOTTED CONVERTIBLE PREFERENCE SHARES TO 162 INVESTORS VIOLATING SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 IN MATTER OF SGI RESEARCH & ANALYSIS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JAN-2013 TO 10-JAN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2013 TO 10-JAN-2023
DIRECTED TO REFUND MONEY COLLECTED TOWARDS SUBSCRIPTION OF CONVERTIBLE PREFERENCE SHARES ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
11-JAN-2013
|
SEBI VIDE ITS NOTICE DATED 28/08/2015 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 17/01/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND FIXED DEPOSIT ACCOUNTS OF SGI RESEARCH & ANALYSIS LTD., MR.LOKESHWAR DEV, MR.LOKESHWAR KUMAR DEV, MR.ULHAS P.KHAIR, MR.SIDDHARTH JAY MARATHE, MR.RAJ ZAVERI, MR.RAKESH KUMAR MAHESHWARI, MS.PRIYANKA SARASWAT DEV, MS.PRIYANKA DEV, MS.MAYA SIDDHARTH MARATHE, MSGAURI SIDDHARTH MARATHE, MS.PRIYA ZAVERI, MS.PRACHI MAHESHWARI, MR.PRADEEP KUMAR SHARMA, MR.BALDEV RAJ SHARMA, MR.RAMESH SHARMA, MR.SANJEEV SHARMA, AND MS.SONIA SHARMA TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 673 |
|
|
SANJIV C.PATEL
|
|
|
|
NETVISION WEB TECHNOLOGIES LTD.
PAN:AABCN6164G
|
|
ISSUED FALSE, MISLEADING AND DISTORTED CORPORATE ANNOUNCEMENTS IN MATTER OF NETVISION WEB TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-APR-2012 TO 19-APR-2014
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-APR-2012 TO 19-APR-2014
20-APR-2012
|
|
| 674 |
|
|
SANJIV PRAVINCHANDRA SHAH
|
|
|
ISSUED MISLEADING ADVERTISEMENT OF ISSUE OF BONUS SHARES OF UNIVERSAL MEDIA NETWORK LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-FEB-2008 TO 17-FEB-2010
18-FEB-2008
|
|
| 675 |
|
|
SANTA CHAKARABORTY
|
|
|
|
DELTA ALLIANCE INVESTMENTS
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
LURED LARGE NUMBER OF UNSUSPECTING INVESTORS OF EASTERN REGION BY ASSURING THEM HIGH RETURNS
|
RESTRAINED FROM ACCEPTING LOANS/DEPOSITS FROM PUBLIC FOR SECURITIES MARKET FROM 16-AUG-2004 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-AUG-2004 TILL FURTHER ORDERS
DEBARRED FROM ACTING AS UN-REGISTERED PORTFOLIO MANAGER FROM 16-AUG-2004 TILL FURTHER ORDERS
DEBARRED FROM PUBLISHING ADVERTISEMENTS LURING INVESTORS TO INVEST IN SECURITIES MARKET FROM 16-AUG-2004 TILL FURTHER ORDERS
16-AUG-2004
|
FILED CRIMINAL COMPLAINT ON 11/07/2008 AND PUBLIC CAUTIONED AND ADVISED NOT TO DEAL WITH RAJEEV KAPOOR
|
| 676 |
|
|
SANTOSH GAJANDER SINGH
(PAN:DAQPS5163B)
|
|
|
INDULGED IN SENDING BULK SMS WITH BUY RECOMMENDATIONS WITH ULTIMATE GOAL OF OFFLOADING SHAREHOLDING OF PROMOTERS/DIRECTORS IN MATTER OF SUPREME TEX MART LTD.
ACTED AS INVESTMENT ADVISOR OR RESEARCH ANALYST VIOLATING SECTION 12(1) OF SEBI ACT READ WITH REGULATION 3(1) OF SEBI (RESEARCH ANALYSTS) REGULATIONS, 2014 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
CEASED AND 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
01-NOV-2017
|
SEBI VIDE ITS ORDER DATED 06/07/2022 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATING WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR SIX YEARS B) DURING THE PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS TO REMAIN FROZEN
|
| 677 |
|
|
SANTOSH KUMAR LAHOTI
(PAN:AAVPL7078G)
|
|
|
|
ATN INTERNATIONAL LTD.
CIN:L65993WB1983PLC080793
PAN:AACCA5744Q
|
|
ALLEGED INDULGENCE IN ISSUANCE OF MIS-LEADING ADVERTISEMENTS IN MATTER OF ATN INTERNATIONAL LTD.
ALLEGED INDULGENCE IN VIOLATION OF MODEL CODE OF CONDUCT IN SCHEDULE I UNDER REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ATN INTERNATIONAL LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
20-JUN-2011
|
|
| 678 |
|
|
SARITADEVI PANCHARIYA
(PAN:AHWPP6223H)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA INDIA LTD.
INDULGED IN ISSUANCE OF MISLEADING/PREMATURE CORPORATE ANNOUNCEMENTS IN MATTER OF ALKA INDIA LTD.
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
13-NOV-2009
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 30/05/2014 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 19/08/2014 DIRECTED TO PAY DUES OF RS.13,67,849
SEBI VIDE ITS ORDER DATED 19/11/2014 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS/LOCKERS AND DEMAT ACCOUNTS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 30/05/2014
SAT: SAT VIDE ITS ORDER DATED 10/03/2017, IN ALL THE APPEALS (EXCEPT IN APPEAL NO.41 OF 2014) INTEREST DEMANDED BY RO FROM THE DATE OF THIS ORDERS ARE QUASHED AND SET ASIDED AND ALL THESE MATTERS ARE RESTORED TO THE FILE OF RO FOR FRESH COMPUTATION OF INTEREST IN TERMS OF THIS DECISION
|
| 679 |
|
|
SARLABEN HIRALAL SHAH
|
|
|
CONNIVED AND CONSPIRED WITH PLATINUM CORPORATION AND ITS DIRECTORS/PROMOTERS AND OFFLOADED SHARES IN THE WAKE OF FALSE & MISLEADING CORPORATE ANNOUNCEMENTS THEREBY MADE ILLEGAL PROGIT/GAIN IN MATTER OF PLATINUM CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-AUG-2016 TO 11-AUG-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-AUG-2016 TO 11-AUG-2019
DIRECTED TO DISGORGE RS.29,03,638
12-AUG-2016
|
SAT: SAT VIDE ITS ORDER DATED 28/06/2018 GAVE BENEFIT OF DOUBT. DIRECTED TO DISCHARGE THE LIABILITY BY LEGAL HEIRS. NO COSTS
SAT: DISMISSED MISC. APPLICATION. NO COSTS
|
| 680 |
|
|
SARVESH KUMAR GOORHA
(PAN:AAGPG8310D)
|
|
|
MISLED INVESTORS BY MAKING FALSE ANNOUNCEMENTS OF SUCCESSFUL SUBSCRIPTION OF GDRS OF CALS REFINERIES LTD.
DID NOT MAKE DISLOSURE OF RELATED PARTY TRANSACTION TO SEBI IN MATTER OF ISSUANCE OF GDRS OF CALS REFINERIES LTD.
DID NOT CO-OPERTAE WITH SEBI IN ITS INVESTIGATION IN MATTER OF ISSUANCE OF GDRS OF CALS REFINERIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-DEC-2014 TO 30-DEC-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2014 TO 30-DEC-2024
DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT WITH INDIAN SECURITIES AS UNDERLYING, IN ANY MANNER WHATSOEVER FROM 31-DEC-2014 TO 30-DEC-2024
31-DEC-2014
|
SAT: APPEAL DISMISSED. NO COSTS
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 34 of 43
|
