| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 701 |
|
SHARDA PUJARA
(PAN:ALOPP8823F)
|
|
|
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
|
|
| 702 |
|
|
SHARMA SANJAY MANILAL
|
|
|
|
NIRMAL ENTERPRISES
|
|
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
|
| 703 |
|
|
SHASHWAT AGARWAL
(PAN:ABUPA2590C)
|
|
|
|
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
|
| 704 |
|
|
SHIBU GEORGE K.
|
|
|
|
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
|
|
| 705 |
|
|
SHIKHA GUPTA
(PAN:ABWPG3108Q)
|
|
|
|
SUPREME TEX MART LTD.
|
|
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 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
DIRECTED TO CEASE & 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
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
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
01-NOV-2017
DIRECTED TO DISGORGE RS.80,21,831
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.80,21,831.00 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
SAT: SAT VIDE ITS ORDER DATED 28/07/2021 DIRECTED APPELLANTS TO SERVE REVISED APPLICATIONS FOR CONDONATION OF DELAY ETC. WITHIN A WEEK FROM DATE OF THIS ORDER AND APPLICATION FOR BRINGING ON RECORD ADDITIONAL DOCUMENTS BE FILED WITHIN TWO WEEKS AND REJOINDER MAY BE FILED WITHIN A WEEK THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 13/09/2021 CONDONED THE DELAY OF 291 DAYS IN FILING OF APPEAL. APPEAL DISMISSED
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 C) DISGORGE AMOUNT RS.80,21,831.00 ALONG WITH SIMPLE INTEREST @ 12% P.A. FROM DATE OF IMPOUNDING ORDER TILL DATE OF ACTUAL PAYMENT D) REMIT DISGORGEMENT AMOUNT TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF)
SEBI VIDE ITS NOTICE DATED 26/10/2022 DIRECTED TO PAY RS.1,07,82,956.35 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 15/11/2022 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
SEBI VIDE ITS ORDER DATED 16/12/2022 DIRECTED ALL THE BANKS TO REMIT RS.1,08,88,162.93 TO THE EXTENT LYING IN THE ACCOUNT OF MS.SHIKHA GUPTA TO SEBI BY WAY OF EFT/NEFT/RTGS
SAT: SAT VIDE ITS ORDER DATED 04/01/2023 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED SEBI TO SUPPLY CERTIFIED COPY OF IMPUGNED ORDER TO APPELLANT WITHIN TWO WEEKS FROM DATE OF THIS ORDER. REPLY TO BE FILED WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 01/03/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 12/06/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 11/07/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 21/08/2023 ALLOWED APPELLANT FURTHER TWO WEEKS TO FILE REJOINDER
|
| 706 |
|
|
SHILPA JINDAL
(PAN:ATRPJ4399P)
|
|
|
INDULGED IN SENDING BULK SMS WITH TRADING RECOMMENDATIONS IN MATTER OF KALPA COMMERCIAL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-APR-2018 UNTIL FURTHER ORDERS
DIRECTED TO CEASE & DESIST FROM DISSEMINATING NEWS OR MESSAGES IN ANY FORM RELATED TO SECURITIES MARKET, BY ANY MEANS WHATSOEVER FROM 27-APR-2018 UNTIL FURTHER ORDERS
27-APR-2018
|
SEBI VIDE ITS ORDER DATED 26/09/2019 CONFIRMED ITS DIRECTION ISSUED VIDE ITS INTERIM ORDER DATED 27/04/2018
SEBI VIDE ITS ORDER DATED 05/02/2021 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER READ WITH CONFIRMATORY ORDER DATED 26/09/2019
|
| 707 |
|
|
SHIV KUMAR AGARWAL
(PAN:AAVPA0129R)
|
|
|
INDULGED IN ISSUANCE OF MISLEADING CORPORATE ANNOUNCEMENTS RELATED TO ACQUISITION OF BUSINESS OF POONAM INDUSTRIES AND PREFERENTIAL/RIGHTS ISSUE ETC IN MATTER OF GUJARAT ARTH LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHAGES AS REQUIRED UNDER REGULATION 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GUJARAT ARTH LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GUJARAT ARTH LTD.
|
IMPOSED PENALTY RS.2,61,46,000
19-DEC-2014
|
SAT: SAT VIDE ITS ORDER DATED 16/03/2016 QUASHED AND SET ASIDED IMPUGNED ORDER AND RESTORED THE MATTER TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
SEBI VIDE ITS ORDER DATED 28/01/2019 IMPOSED PENALTY OF RS.2,53,72,500.00 AND RS.7,73,500.00 ON NOTICEE MR.SHIV KUMAR AGARWAL U/S 15H AND 15A(B)
SAT: SAT VIDE ITS ORDER DATED 14/07/2021 ALLOWED RESPONDENT TWO WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 25/08/2021 ALLOWED APPELLANT THREE WEEKS FURTHER TIME TO FILE REJOINDER
SAT VIDE ITS ORDER DATED 16/11/2022 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS ORDER DATED 16/01/2026 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 DEFAULTER EITHER IN HIS/HER NAME, SINGLY OR JOINTLY OR HELD IN THE NAME OF ANY OTHER PERSONS AND CHARGES, IF ANY WITHIN ONE WEEK FROM DATE OF THIS ORDER AT SEBI, WESTERN REGIONAL OFFICE, AHMEDABAD. ORIGINAL TITLE DEEDS/ CERTIFIED COPIES OF ALL TITLE DEEDS AND VALUATION REPORTS OF ALL THE PROPERTIES HELD BY THE DEFAULTER EITHER IN HIR/HER NAME, SINGLY OR JOINTLY OR HELD IN THE NAME OF OTHER PERSON D) DIRECTED INSPECTORS GENERAL OF REGISTRATION OF GUJARAT AND CONCERNED SUB-REGISTRARS OF THE RESPECTIVE AREAS WHERE THE PROPERTY ARE LOCATED
|
| 708 |
|
|
SHIV KUMAR GUPTA
|
|
|
|
GENOMICS BIOTECH LTD.
PAN:AAACA2994G
|
|
INDUCED INVESTORS BY GIVING MISLEADING INFORMATION ABOUT CHANGE OF ACTIVITIES OF GENOMICS BIOTECH LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-AUG-2010 TO 12-AUG-2012
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-AUG-2010 TO 12-AUG-2012
13-AUG-2010
|
|
| 709 |
|
|
SHIVANGI JAGMOHAN SINGH
(PAN:AOSPS5911E)
|
|
|
MADE MISLEADING ANNOUNCEMENTS/ADVERTISEMENTS IN MATTER OF EXELON INFRASTRUCTURE LTD.
|
DIRECTED TO DISGORGE RS.6,10,850
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
07-JUN-2016
|
SAT: SAT VIDE ITS ORDER DATED 15/07/2016 DISPOSED OFF THE APPEAL WITH THE DIRECTION TO SEBI TO PASS AN ORDER AFTER GIVING AN OPPORTUNITY OF HEARING TO THE APPENLLANTS. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 22/08/2016 GRANTED FOUR WEEKS TIME TO WTM OF SEBI TO PASS ORDER. IF SEBI FAILED TO PASS ORDER AS DIRECTED BY THIS TRIBUNAL VIDE ITS ORDER DATED 15/07/2016 AND AS AMENDED BY THE PRESENT ORDER, BY 21/09/2016, THE ORIGINAL INTERIM ORDER CONTAINED IN THE IMPUGNED ORDER DATED 07/06/2016 AGAINST THE APPELLANTS WOULD STAND VACATED. NO COSTS
SEBI VIDE ITS ORDER DATED 21/09/2016 DIRECTED TO DEPOSIT (AS MENTIONED IN PARA 6.3.1 OF THE IMPUGNED ORDER DATED 07/06/2016) AND THE IMPOUNDING ORDER DATED 07/06/2016 WILL BE VACATED AFTER DEPOSITING THE AMOUNT
SAT: SAT VIDE ITS ORDER DATED 13/01/2017 DIRECTED SEBI TO CONSIDER THE REPRESENTATION AND PASS APPROPRIATE ORDERS THEREON AS EXPEDITIOUSLY AS POSSIBLE. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 25/04/2017 GRANTED EXTENSION OF TIME TO COMPLY WITH THE ORDER DATED 13/01/2017. NO COSTS
|
| 710 |
|
|
SHIVCHARAN SHREEDHAR KASHYAP
(PAN:ATOPK6636K)
|
|
|
MADE MISLEADING ANNOUNCEMENTS/ADVERTISEMENTS IN MATTER OF EXELON INFRASTRUCTURE LTD.
|
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-JUN-2016 TO 06-JUN-2019
07-JUN-2016
|
SEBI VIDE ITS ORDER DATED 21/09/2016 DIRECTED TO DEPOSIT (AS MENTIONED IN PARA 6.3.1 OF THE IMPUGNED ORDER DATED 07/06/2016) AND THE IMPOUNDING ORDER DATED 07/06/2016 WILL BE VACATED AFTER DEPOSITING THE AMOUNT
SAT: SAT VIDE ITS ORDER DATED 13/01/2017 DIRECTED SEBI TO CONSIDER THE REPRESENTATION AND PASS APPROPRIATE ORDERS THEREON AS EXPEDITIOUSLY AS POSSIBLE. NO COSTS
SEBI VIDE ITS ORDER DATED 24/04/2017 RESTRAINED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER, FOR A PERIOD OF 3 YEARS. FURTHER, DIRECTION OF IMPOUNDING OF ASSETS INCLUDING BANK ACCOUNTS / DEMAT ACCOUNTS / PROPERTIES CONTAINED IN ORDER DATED 07/06/2016 AND MODIFIED SUBSEQUENTLY VIDE ORDER DATED 21/09/2016 SHALL STAND REVOKED
|
| 711 |
|
|
SHRAWAN KUMAR GOYAL
(PAN:AEOPG6268A)
|
|
|
|
SHREE SHYAM INVESTMENT
|
|
ACTED IN CONCERT WITH BROKERS/CLIENTS TO CREATE ARTIFICIAL MARKET/PRICE RISE THROUGH STRUCTURED DEALS/MATCHING BUY AND SELL ORDERS/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF RADAAN MEDIAWORKS INDIA LTD.
ATTEMPTED TO INDUCE PUBLIC TO DEAL BY CREATING MISLEADING APPEARANCE OF TRADING IN THE SCRIP OF RADAAN MEDIAWORKS INDIA LTD.
|
IMPOSED PENALTY RS.5,00,000
02-JUN-2006
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 712 |
|
|
SHRIKANT J.PARIKH
|
|
|
|
MINAL ENGINEERING LTD.
|
|
MADE FALSE REPRESENTATION THROUGH CORPORATE ANNOUNCEMENTS TO MISLEAD/INDUCE INVESTORS
ACTED IN CONCERT TO CREATE FALSE MARKET TO SELL THEIR OWN HOLDINGS AT AN ARTIFICIALLY INFLATED PRICE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-SEP-2005 TILL FURTHER ORDERS
DIRECTED NOT TO REISSUE FORFEITED SHARES OR BONUS SHARES
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
28-SEP-2005
|
CONFIRMED INTERIM ORDER DATED 28/09/2005
SET ASIDE INTERIM ORDER DATED 28/09/2005 AND 25/01/2006
|
| 713 |
|
|
SHUBHA JHINDAL
(PAN:AAGPJ0051N)
|
|
|
|
VITAL COMMUNICATIONS LTD.
CIN:L74899DL1995PLC065076
PAN:AAACV2016L
|
|
MADE FALSE REPRESENTATION IN NEWSPAPERS OF BUYBACK, PREFERENTIAL ALLOTMENT AND BONUS ISSUE OF SHARES OF VITAL COMMUNICATIONS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-FEB-2008 TO 19-AUG-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-FEB-2008 TO 19-AUG-2008
20-FEB-2008
|
SAT: CASE REMANDED TO SEBI TO ISSUE FRESH SHOW CAUSE NOTICE AND PASS A FRESH ORDER
|
| 714 |
|
|
SHUBHA JHINDAL
(PAN:AAGPJ0051N)
|
|
|
|
VITAL COMMUNICATIONS LTD.
CIN:L74899DL1995PLC065076
PAN:AAACV2016L
|
|
USED OWN FUNDS INDIRECTLY FOR SUBSCRIPTION OF ITS OWN EQUITY SHARES IN PREFERENTIAL ALLOTMENT
MISLED PUBLIC AND STOCK EXCHANGES BY PROVIDING WRONG INFORMATION OF NUMBER AND IDENTITIES OF PREFERENTIAL ALLOTTEES
MISLED INVESTORS BY MAKING FALSE ANNOUNCEMENT OF BUY BACK OF SHARES
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF VITAL COMMUNICATIONS LTD.
DID NOT MAKE OPEN OFFER TO ACQUIRE SHARES FROM PUBLIC VIOLATING REGULATIONS 10 AND 11 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF VITAL COMMUNICATIONS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-NOV-2018 TO 12-NOV-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-NOV-2018 TO 12-NOV-2023
DIRECTED TO FREEZE ALL DEMAT ACCOUNTS WHEREIN EQUITY SHARES ALLOTTED UNDER PREFERENTIAL OFFER WERE LYING
DIRECTED NOT TO GIVE EFFECT TO TRANSFER OF ANY SHARES ACQUIRED AND HELD BY PREFERENTIAL ALLOTTEES IN PREFERENTIAL ALLOTMENT
RESTRAINED PREFERENTIAL ALLOTTEES FROM EXERCISING ANY VOTING RIGHTS (THROUGH NOMINEE OR PROXY) OR OTHER RIGHTS ATTACHED TO SHARES ACQUIRED AND HELD IN PREFERENTIAL ALLOTMENT FROM 13-NOV-2018 TO 12-NOV-2023
31-JUL-2014
DIRECTED TO DISGORGE RS.4,55,91,232 ALONG WITH OTHER ENTITIES/PERSONS
28-SEP-2018
|
SAT: APPEAL ALLOWED TO BE WITHDRAWN. NO COSTS
SEBI VIDE ITS ORDER DATED 28/09/2018 DIRECTED TO 1) DISGORGE WRONGFUL GAIN OF RS.4,55,91,232.00 ALONG WITH INTEREST @ 10% P.A. FROM 01/08/2002 TILL DATE OF PAYMENT WITHIN 45 DAYS FROM DATE OF RECEIPT OF THIS ORDER 2) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESSING THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR A PERIOD OF FIVE YEARS FROM END OF THE TIME OF 45 DAYS
SEBI VIDE ITS NOTICE DATED 22/05/2019 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 17/05/2021 ALLOWED APPELLANTS TO THREE WEEKS FURTHER TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 20/12/2021 QUASHED IMPUGNED ORDER DATED 28/09/2018 AND ALLOWED THE APPEAL WITH COST OF RS.2.0 LAC EACH TO BE PAID BY SEBI TO APPELLANTS WITHIN EIGHT WEEK FROM DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 27/01/2022 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 22/05/2019
|
| 715 |
|
|
SHWETA KOTECHA
|
|
|
|
NISHWET MANAGEMENT SERVICES PVT.LTD.
|
|
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.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR, SYNCHRONIZED, REVERSAL OF TRADE TRANSACTIONS AND SELF-TRADES IN SCRIP 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
|
|
| 716 |
|
|
SHYAM SUNDER JHUNJHUNWALA
|
|
|
|
SHREE SATYANAND INVESTMENTS
|
|
INDULGED IN DISSEMINATION OF MISLEADING INFORMATION LEADING TO PRICE MANIPULATION IN THE SCRIP OF KOLAR BIOTECH LTD., SOUNDCRAFT INDUSTRIES LTD. & ADAM COMSOF LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2004 TILL INVESTIGATIONS COMPLETED
30-SEP-2004
|
|
| 717 |
|
|
SIDDHARTH JAY MARATHE
(PAN:BOLPM1668G)
|
|
|
|
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
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| 718 |
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SIDDHARTHA SRIVASTAVA
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GALAXY TELEVISION LTD.
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MBS INVESTMENT & TRADING PVT.LTD.
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S.G.P.INVESTMENTS PVT.LTD.
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UNIVERSAL MEDIA NETWORK LTD.
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ISSUED MISLEADING ADVERTISEMENT OF ISSUE OF BONUS SHARES OF UNIVERSAL MEDIA NETWORK LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-OCT-2009 TO 30-SEP-2011
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-OCT-2009 TO 30-SEP-2011
01-OCT-2009
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SAT: APPEAL DISMISSED AND ORDERED TO PAY COSTS OF RS.100000 TO SEBI, VIDE ORDER DATED 14/07/2010
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| 719 |
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SIRAJ M.SOMJI
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PRIME PROPERTY DEVELOPMENT CORP.LTD.
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MADE FALSE REPRESENTATION THROUGH CORPORATE ANNOUNCEMENTS TO MISLEAD/INDUCE INVESTORS
DID NOT MAKE DISCLOSURE OF SHAREHOLDING, CONTROL AND SALE OF SHARES OF PROMOTERS/PERSONS ACTING IN CONCERT
ACTED IN CONCERT TO CREATE FALSE MARKET TO SELL THEIR OWN HOLDINGS AT AN ARTIFICIALLY INFLATED PRICE
DID NOT INFORM APPOINTMENT OF REGISTRAR AND TRANSFER AGENT TO STOCK EXCHANGE
DID NOT SUBMIT CORPORATE GOVERNANCE REPORT TO STOCK EXCHANGE
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DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-SEP-2005 TILL FURTHER ORDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-SEP-2005 TILL FURTHER ORDERS
29-SEP-2005
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REVOKED AD-INTERIM EX-PARTE ORDER DATED 29/09/2005
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| 720 |
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SIVA BALAN JAIPAL
(PAN:AKVPJ3453D)
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INDULGED IN SENDING BULK SMS WITH TRADING RECOMMENDATIONS IN MATTER OF KALPA COMMERCIAL LTD.
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DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-APR-2018 UNTIL FURTHER ORDERS
DIRECTED TO CEASE & DESIST FROM DISSEMINATING NEWS OR MESSAGES IN ANY FORM RELATED TO SECURITIES MARKET, BY ANY MEANS WHATSOEVER FROM 27-APR-2018 UNTIL FURTHER ORDERS
27-APR-2018
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SEBI VIDE ITS ORDER DATED 05/02/2021 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER READ WITH CONFIRMATORY ORDER DATED 26/09/2019
SAT: SAT VIDE ITS ORDER DATED 20/07/2023 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
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| 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 36 of 43
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