| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 701 |
|
PAT FINANCIAL CONSULTANTS PVT.LTD.
(PAN:AAACP3115E)
(Along with : FIDELITY MULTITRADE PVT.LTD.,
PASHA FINANCE PVT.LTD.,
SUPERIOR FINANCIAL CONSULTANCY SERVICES PVT.LTD.)
|
|
|
|
BHARAT JAYANTILAL PATEL
PAN:AAAPP6652R
|
|
|
HARDIK BHARAT PATEL
PAN:AHIPP1407H
|
|
|
MINAL BHARAT PATEL
PAN:AACPP5126G
|
|
|
RUCHIT BHARAT PATEL
PAN:ANDPP9202F
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SUPER SALES INDIA LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-DEC-2020
|
SAT: SAT VIDE ITS ORDER DATED 06/05/2022 DIRECTED APPELLANTS TO FILE CERTIFIED COPY OF IMPUGNED ORDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER. FURTHER, DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANTS TO FILE REJOINDER THREE WEEKS THEREAFTER. EFFECT AND OPERATION OF IMPUGNED ORDER DATED 23/12/2020 TO REMAIN STAYED DURING PENDENCY OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 08/07/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 29/08/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
|
| 702 |
|
|
PATREX VYAPAR PVT.LTD.
(PAN:AABCP9991P)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(1) AND 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF BNK CAPITAL MARKETS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.13,54,688 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
29-NOV-2021
|
|
| 703 |
|
|
PAVAKI VANIJYA PVT.LTD.
(PAN:AAEOP9088O)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1), 29(2) READ WITH REGULATION 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF MAGNUM LTD.
|
IMPOSED PENALTY RS.50,000
30-MAY-2013
|
|
| 704 |
|
|
PAWAN MADANLAL KOTHARI (HUF)
(PAN:AAHHP5475R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35(2) OF SAST REGULATIONS, 2011 IN MATTER OF SAIANAND COMMERCIAL LTD. (ERSTWHILE OREGON COMMERCIAL LTD.)
|
IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-NOV-2018
|
|
| 705 |
|
|
PAWANKUMAR PODDAR & CO.(HUF)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GOVIND RUBBER LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF GOVIND RUBBER LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 10(7) OF SAST REGULATIONS, 2011 IN MATTER OF GOVIND RUBBER LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,91,581 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-FEB-2019
|
|
| 706 |
|
|
PCI FERRMONE CHEMICALS (INDIA) PVT.LTD.
(PAN:AADCP2293C)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(1) OF SAST REGULATIONS, 2011 IN MATTER OF NGL FINE-CHEM LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.12,59,700 VIDE CONSENT ORDER)
25-FEB-2025
|
|
| 707 |
|
|
PEARL ARCADE TRADING PVT.LTD.
(PAN:AAFCP6925M)
(Along with : WAVE INTER TRADES PVT.LTD.,
EMBASSY FINANCE & CONSULTANTS PVT.LTD.,
TOHEE TRADING & AGENCIES PVT.LTD.)
|
|
|
|
ANKIT JAIN
PAN:AAGPJ3942C
|
|
|
RASHMI JAIN
PAN:AAGPJ3943D
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF MISHKA FINANCE & TRADING LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
14-JUL-2022
|
SAT: SAT VIDE ITS ORDER DATED 09/01/2023 DISMISSED THE APPEAL WITH MODIFICATION THAT APPELLANT WILL PAY RS.1 LAC FOR VIOLATION OF REGULATION 13(2A) OF PIT REGULATIONS
SEBI VIDE ITS NOTICE DATED 31/05/2023 DIRECTED TO PAY RS.1,50,850.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 708 |
|
|
PENSIVE AGENCIES PVT.LTD.
(PAN:AAECP6720H)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF ERA INFRA ENGINEERING LTD.
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-DEC-2015
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 709 |
|
|
PERFECT COMPANY ADVICE PVT.LTD.
(PAN:AADCP8209L)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING IN CORRECT FORMAT TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF PERFECT OCTAVE MEDIA PROJECTS LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-NOV-2021
|
|
| 710 |
|
|
PFAUDLER INC.
(PAN:AAACP2126M)
|
|
|
ALLEGED DELAY IN BRINGING DOWN NON-PUBLIC SHAREHOLDING TO 75% VIOLATING REGULATION 7(4) OF SAST REGULATIONS, 2011 IN MATTER OF GMM PFAUDLER LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,97,661 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
20-MAR-2019
|
|
| 711 |
|
|
PHARMA TRADING CO.PVT.LTD.
(PAN:AABCP8476H)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF UNITED BREWERIES (HOLDINGS) LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF UNITED BREWERIES (HOLDINGS) LTD.
|
IMPOSED PENALTY RS.6,00,000
27-JUN-2019
|
|
| 712 |
|
|
PIGEON CONSTRUCTIONS PVT.LTD.
(PAN:AACCP6748B)
|
|
|
EXECUTED OFF-MARKET TRANSACTION OF SHARES WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) OF SCRA, 1956 READ WITH SECTIONS 13, 16 AND 18 OF SCRA, 1956 AND READ WITH SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF WISEC GLOBAL LTD.
MADE UNTRUE AND INCORRECT INFORMATION IN DIS BY STATING REASON FOR TRANSFER TO LOAN WHILE CARRYING OUT OFF-MARKET TRANSACTIONS WITHOUT ANY PLEDGE-RELATED TRANSACTION VIOLATING REGULATION 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF WISEC GLOBAL LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/ CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2)(A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF WISEC GLOBAL LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF WISEC GLOBAL LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF WISEC GLOBAL LTD.
|
IMPOSED PENALTY RS.8,00,000
30-JUN-2022
|
|
| 713 |
|
|
PINKY AGRO FOODS PVT.LTD.
(PAN:AAGCP0004N)
|
|
|
INDULGED IN MANIPULATIVE TRANSACTIONS IN DERIVATIVE SEGMENT THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF GITANJALI GEMS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8A(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GITANJALI GEMS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF GITANJALI GEMS LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF TAKEOVER REGULATIONS, 1997 AND REGULATIONS 3(2) OF TAKEOVER REGULATIONS, 2011 IN MATTER OF GITANJALI GEMS LTD.
|
ORDERED FOR INVESTIGATION
10-MAR-2017
|
|
| 714 |
|
|
PLAUDLER INC.
|
|
|
DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 13(2) (E) OF SAST REGULATIONS, 2011 IN MATTER OF GMM PFAUDLER LTD.
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JAN-2015
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 715 |
|
|
PODDAR BROTHERS INVESTMENT PVT.LTD.
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GOVIND RUBBER LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF GOVIND RUBBER LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 10(7) OF SAST REGULATIONS, 2011 IN MATTER OF GOVIND RUBBER LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,91,581 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-FEB-2019
|
|
| 716 |
|
|
POONAM FAST FOODS PVT.LTD.
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF ROSELABS FINANCE LTD.
|
IMPOSED PENALTY RS.3,00,000
28-MAY-2014
|
|
| 717 |
|
|
POONAM RESORTS LTD.
(PAN:AADCP3940L)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF LINKHOUSE INDUSTRIES LTD.
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
24-MAY-2018
|
SEBI VIDE ITS NOTICE DATED 29/10/2018 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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
SAT: SAT VIDE ITS ORDER DATED 05/12/2019 ALLOWED THE APPEAL. NO COSTS
SEBI VIDE ITS ORDER DATED 10/12/2019 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS,DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF DEFAULTERS WHICH WERE ATTACHED PURSUANT TO NOTICE OF ATTACHMENT DATED 29/10/2018
|
| 718 |
|
|
PRABHA FARMS PVT.LTD.
(PAN:AACCP3782D)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF TECHINDIA NIRMAN LTD. (FORMERLY KNOWN AS NATH SEEDS LTD.)
|
IMPOSED PENALTY RS.9,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-JUN-2024
|
|
| 719 |
|
|
PRADEEP METALS LTD.
(PAN:AAACP9350P)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,33,500 VIDE CONSENT ORDER)
16-SEP-2015
|
|
| 720 |
|
|
PRAKASH CONSTROWELL LTD.
(PAN:AABCP3573F)
|
|
|
|
ANUP KARWA
PAN:BFNPK5368C
|
|
|
PRAFULLA SUBHASHCHANDRA BHAT
PAN:AMEPB0155F
|
|
|
VIPUL DILEEP LATHI
PAN:ACQPL5044B
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
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 PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12(E) OF SEBI ACT, 1992 READ WITH REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
EXECUTED CONTRA TRADE WITHIN PERIOD OF SIX MONTHS VIOLATING CLAUSE 10 OF CODE OF CONDUCT AS SPECIFIED UNDER SCHEDULE B READ WITH REGULATIONS 9(1) AND 9(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 4(1) AND 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE 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-JUL-2024 TO 23-JUL-2026
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO DISGORGE RS.1,53,46,007
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
24-JUL-2024
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 36 of 55
|
