| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 681 |
|
SHARP INDUSTRIES LTD.
(PAN:AAFFS9104E)
|
|
|
|
HASMUKH T.SHETH
|
|
|
RAJESH T.SHETH
|
|
|
VINOD T.SHETH
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.2,00,000
31-JAN-2005
|
|
| 682 |
|
|
SHARP INDUSTRIES LTD.
(PAN:AAFFS9104E)
|
|
|
|
RAJESH T.SHETH
|
|
ALLEGED VIOLATION OF PREFERENTIAL ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES IN ALLOTMENT OF SHARES OF SHARP INDUSTRIES LTD.
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,964, ADMINISTRATION CHARGES RS.10,000 VIDE CONSENT ORDER)
28-NOV-2008
|
|
| 683 |
|
|
SHELTER VYAPAR PVT.LTD.
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUBH LAXMI PROJECTS LTD.
DID NOT FURNISH COMPLETE DETAILS TO SEBI OF TRANSACTIONS IN SCRIP OF SUBH LAXMI PROJECTS LTD.
|
IMPOSED PENALTY RS.40,00,000
26-FEB-2009
|
|
| 684 |
|
|
SHENTRACON TREXIM PVT.LTD.
(PAN:AAECS0920L)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF MURLI INDUSTRIES LTD.
|
IMPOSED PENALTY RS.2,00,000
24-JUL-2013
|
|
| 685 |
|
|
SHIV ENTERPRISES
(PAN:EGSPK2609R)
|
|
|
|
MUJAFFAR KHAN
PAN:EGSPK2609R
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF CONTINENTAL SEEDS & CHEMICALS LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF CONTINENTAL SEEDS & CHEMICALS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-NOV-2024 TO 28-NOV-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-NOV-2024 TO 28-NOV-2025
DIRECTED TO DISGORGE RS.2,24,17,400 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
29-NOV-2024
|
SAT: SAT VIDE ITS ORDER DATED 06/01/2025 GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER. STAYED IMPUGNED ORDER SUBJECT TO DEPOSIT OF 50% OF PENALTY AMOUNT WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND ALSO STAYED THE DIRECTION IN PARAGRAPH 129.4 SUBJECT TO DEPOSIT OF RS.50 LAC DISGORGEMENT AMOUNT WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 15/01/2025 GRANTED APPELLANTS TWO MORE WEEKS TO DEPOSIT AMOUNT AS DIRECTED ON 06/01/2025
SAT: SAT VIDE ITS ORDER DATED 05/03/2025 GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND APPELLANTS TO FILE REJOINDER TWO WEEKS THEREAFTER. STAYED THE DIRECTIONS CONTAINED IN PARAGRAPH 129.2, 129.3. 129.5 TO 129.11 OF IMPUGNED ORDER DATED 29/11/2024 SUBJECT TO DEPOSIT OF RS.25 LAC WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 19/03/2025 GRANTED APPELLANT FURTHER TWO WEEKS TO DEPOSIT
SAT: SAT VIDE ITS ORDER DATED 07/07/2025 GRANTED APPELLANT TWO WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 13/08/2025 DIRECTED TO PAY RS.3,72,76,530.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 686 |
|
|
SHIV ENTERPRISES
(PAN:EGSPK2609R)
|
|
|
|
MUJAFFAR KHAN
PAN:EGSPK2609R
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF CONTINENTAL SEEDS & CHEMICALS LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF CONTINENTAL SEEDS & CHEMICALS LTD.
|
IMPOSED PENALTY RS.12,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-NOV-2024
|
SAT: SAT VIDE ITS ORDER DATED 06/01/2025 GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER. STAYED IMPUGNED ORDER SUBJECT TO DEPOSIT OF 50% OF PENALTY AMOUNT WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND ALSO STAYED THE DIRECTION IN PARAGRAPH 129.4 SUBJECT TO DEPOSIT OF RS.50 LAC DISGORGEMENT AMOUNT WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 15/01/2025 GRANTED APPELLANTS TWO MORE WEEKS TO DEPOSIT AMOUNT AS DIRECTED ON 06/01/2025
SAT: SAT VIDE ITS ORDER DATED 05/03/2025 GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND APPELLANTS TO FILE REJOINDER TWO WEEKS THEREAFTER. STAYED THE DIRECTIONS CONTAINED IN PARAGRAPH 129.2, 129.3. 129.5 TO 129.11 OF IMPUGNED ORDER DATED 29/11/2024 SUBJECT TO DEPOSIT OF RS.25 LAC WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 19/03/2025 GRANTED APPELLANT FURTHER TWO WEEKS TO DEPOSIT
SAT: SAT VIDE ITS ORDER DATED 07/07/2025 GRANTED APPELLANT TWO WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 20/08/2025 DIRECTED TO PAY RS.13,21,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 687 |
|
|
SHIV IMPEXS
|
|
|
AIDED AND ABETTED EDSERV SOFTSYSTEMS LTD. IN DIVERTING RS.2 CRORE FROM ITS ISSUE PROCEEDS
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF EDSERV SOFTSYSTEMS LTD.
|
IMPOSED PENALTY RS.2,41,00,000
30-DEC-2011
|
SEBI VIDE ITS NOTICE DATED 25/06/2014 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 688 |
|
|
SHIVAANGAN VINTRADE PVT.LTD.
(PAN:AAQCS1691C)
(Along with : RAJLAXMI INDUSTRIES LTD.)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF RAJLAXMI INDUSTRIES LTD.
DID NOT PROVIDE INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF RAJLAXMI INDUSTRIES LTD.
|
IMPOSED PENALTY RS.40,00,000 ALONG WITH OTHER ENTITIES/PERSONS
11-APR-2022
|
|
| 689 |
|
|
SHIVAM TRADING CO.
(PAN:AQMPG2650C)
|
|
|
|
PRAVEEN GOYAL
PAN:AQMPG2650C
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
ISSUED FICTITIOUS CONTRACT NOTES
FALSIFIED/FABRICATED DOCUMENT TO GIVE IMPRESSION OF AUTHENTICITY ABOUT ITS TRANSACTIONS
DELAY IN TRANSFER OF SHARES TO TRANSFEREES SUBSEQUENT TO RECEIPT OF PAYMENT FROM TRANSFEREES VIOLATING SECTION 2(I)(A) OF SCRA, 1956 AND SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION G.S.R 219(E) DATED 02/03/2000 AND SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF DELTA LEASING AND FINANCE LTD.
DID NOT FURNISH REQUIRED INFORMATION IN RESPONSE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF DELTA LEASING AND FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2023 TO 30-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2023 TO 30-APR-2023
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JAN-2023
|
|
| 690 |
|
|
SHONKH TECHNOLOGIES INTERNATIONAL LTD.
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.50,000
10-JUN-2005
|
|
| 691 |
|
|
SHREE NIDHI TRADING CO.LTD.
(PAN:AADCS7865D
CIN:L67120WB1982PLC035305)
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF TRANSACTION IN SHARES OF COMPANY
|
IMPOSED PENALTY RS.1,00,000
11-SEP-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2009, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 692 |
|
|
SHREE RADHE
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF GULSHAN POLYOLS LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF GULSHAN POLYOLS LTD.
|
IMPOSED PENALTY RS.30,00,000
30-DEC-2011
|
SAT: SAT VIDE ITS ORDER DATED 10/09/2013 MODIFIED SEBI'S ORDER DATED 30/12/2011 BY REDUCING PENALTY AMOUNT TO RS.10 LACS FROM RS.30 LACS. NO COSTS
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 693 |
|
|
SHREE SHITALNATH STOCK BROKING PVT.LTD.
|
|
|
|
MEHUL RAMESHCHANDRA ANKLESHWARIA
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.20,000
27-APR-2005
|
|
| 694 |
|
|
SHREE YAAX PHARMA & COSMETICS LTD.
|
|
|
ISSUED MISLEADING CORPORATE ANNOUNCEMENTS IN ORDER TO CREATE ARTIFICIAL VOLUMES IN SCRIP OF SHREE YAAX PHARMA & COSMETICS LTD.
SUBMITTED FALSE/MISLEADING DOCUMENTS AND INFORMATION IN MATTER OF SHREE YAAX PHARMA & COSMETICS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-JAN-2010 TO 21-JAN-2015
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-JAN-2010 TO 21-JAN-2015
22-JAN-2010
|
SEBI VIDE ORDER DATED 22/01/2010 PERMITTED CONCERNED STOCK EXCHANGES TO ALLOW SQUARE OFF EXISTING OPEN POSITIONS IN F&O SEGMENT, IF ANY, IMMEDIATELY AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
|
| 695 |
|
|
SHREE YAAX PHARMA & COSMETICS LTD.
|
|
|
|
ANANT C.PATEL
|
|
|
ARVIND K.PATEL
|
|
|
DIPAK S.TALATI
|
|
|
JITENDRA RAJGOR
|
|
|
KANTIBHAI M.PATEL
|
|
|
MANEKLAL VELSIBHAI THAKKAR
|
|
|
PARUL DAVE
|
|
|
PRAKASH J.PATEL
|
|
|
VIJAY S.TALATI
|
|
|
YOGESH S.DAVE
|
|
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
DID NOT SUBMIT REPLY/SUBMISSION OF SHOW CAUSE NOTICE TO ISSUED IN MATTER OF VANISHING COMPANIES
DID NOT FILE STATUTORY RETURNS WITH REGISTRAR OF COMPANIES (ROC) FOR TWO YEARS
DID NOT FILE RETURNS WITH STOCK EXCHANGES FOR TWO YEARS
COMPANY WAS NOT TRACEABLE AT ITS REGISTERED OFFICE
DIRECTORS OF THE COMPANY WERE NOT TRACEABLE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-OCT-2016 TO 20-OCT-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-OCT-2016 TO 20-OCT-2021
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 21-OCT-2016 TO 20-OCT-2021
21-OCT-2016
|
|
| 696 |
|
|
SHREENATH HARVESTING PVT.LTD.
(PAN:AAMCS3192A)
|
|
|
INDULGED IN OFF-MARKET TRANSACTIONS IN SCRIP OF BANK OF RAJASTHAN LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF BANK OF RAJASTHAN LTD.
|
IMPOSED PENALTY RS.5,00,000
14-FEB-2013
|
SAT: SAT VIDE ITS ORDER DATED 11/02/2014 UPHELD PENALTY IMPOSED UNDER SECTIONS 15HA AND 15H(II) AND SET ASIDE PENALTY IMPOSED UNDER SECTION 15 A(A) OF SEBI ACT.
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 697 |
|
|
SHREYA TIE UP PVT.LTD.
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF OASIS CINE COMMUNICATION LTD.
|
IMPOSED PENALTY RS.2,00,000
23-NOV-2010
|
|
| 698 |
|
|
SHREYAS HOLDINGS LTD.
|
|
|
DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME
|
IMPOSED PENALTY RS.21,00,000 ALONG WITH OTHER ENTITIES/PERSONS
24-OCT-2003
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.1,50,000 FROM RS.21,00,000 WITH NO ORDER AS TO COSTS
|
| 699 |
|
|
SHRIRAM ASSET MANAGEMENT CO.LTD.
|
|
|
|
D.A.GADGIL
|
|
DID NOT ENSURE INVESTMENT OF FUNDS WAS CARRIED OUT AS A PRUDENT BUSINESSMAN AND IN THE BEST INTEREST OF THE UNITHOLDERS
DID NOT ENSURE INVESTMENT OF FUNDS DID NOT GIVE ANY UNDUE OR UNFAIR ADVANTAGE TO ENTITIES HAVING ASSOCIATION WITH SPONSORS AND MANAGED PORTFOLIO OF SCHEMES OF SHRIRAM MUTUAL FUND IN THE INTEREST OF ASSOCIATES OF SPONSORS AND NOT IN THE INTEREST OF ORDINARY UNITHOLDERS
DID NOT EXERCISE DUE DILIGENCE
PURCHASED SHARES FOR EXTRANEOUS CONSIDERATION OF BAILING OUT BROKERS FACING PAYMENT PROBLEMS FOR THEIR TRADING IN THE SHARES OF VIDEOCON INTERNATIONAL LTD. AND IN PURSUANCE OF CLANDESTINE BUYBACK ARRANGEMENT WITH VIDEOCON GROUP
CREATED FALSE DOCUMENTARY EVIDENCE WITH A VIEW TO MISLEAD THE INVESTIGATIONS BY PREPARING ANTE-DATED CORRESPONDENCE BETWEEN SHRIRAM MUTUAL FUND AND THE BROKER TO GIVE AN IMPRESSION THAT THE SHARES WERE PURCHASED ON A DATE DIFFERENT FROM THE ACTUAL DATE OF TRANSACTION
|
RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR/TRUSTEE OF CAPITAL MARKET RELATED INSTITUTIONS/ENTITIES/PUBLIC POSITIONS FROM 24-OCT-2002 TO 23-OCT-2003
24-OCT-2002
|
|
| 700 |
|
|
SHUKUN CONSTRUCTION LTD.
(CIN:L45201GJ1993PLC019120)
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.10,00,000
21-MAR-2011
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 35 of 44
|
