| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 741 |
|
STEPHENS FINANCIAL SERVICES PVT.LTD.
(PAN:AAGCS2740G
CIN:U65999WB1995PTC073523)
|
|
|
|
SATYA NARAYAN SINGH
PAN:ALFPS6452A
DIN:03017896
|
|
|
SONALI KUMAR ROY
DIN:07269348
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF FALCON TYRES LTD. AND DUNLOP INDIA LTD.
|
IMPOSED PENALTY RS.10,00,000
06-SEP-2018
|
SEBI VIDE ITS NOTICE DATED 20/01/2020 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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 08/12/2022 DIRECTED ALL THE BANKS TO REMIT RS.14,92,289.00 TO THE EXTENT LYING IN THE ACCOUNT OF STEPHENS FINANCIAL SERVICES PVT.LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 742 |
|
|
STERLING KALK SAND BRICKS LTD.
(CIN:U26931MP1990PLC005709)
|
|
|
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
|
|
| 743 |
|
|
STOCKHOLM MERCANTILE CO.PVT.LTD.
(PAN:AAJCS0042G)
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION TO SEBI IN RESPONSE TO SUMMONS IN MATTER OF MEGA CORP.LTD.
|
IMPOSED PENALTY RS.1,00,000
12-AUG-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 744 |
|
|
SUBRA MAURITIUS 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
|
| 745 |
|
|
SUCCESS MERCHANTS PVT.LTD.
(Along with : WARNER MULTIMEDIA LTD.)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF WARNER MULTIMEDIA LTD.
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-FEB-2006 TO 31-JAN-2009
01-FEB-2006
|
|
| 746 |
|
|
SUCCESS VYAPAR PVT.LTD.
(PAN:AAKCS0190G)
|
|
|
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
27-FEB-2009
|
|
| 747 |
|
|
SUDHANIL VANIJYA LTD.
(CIN:U51109WB1994PLC064270)
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.20,000
30-JUN-2005
|
|
| 748 |
|
|
SUKH-SUVIDHA REAL ESTATE LTD.
(PAN:AAKCS1430P)
|
|
|
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
|
| 749 |
|
|
SULOCHANA MERCANTILE CO.PVT.LTD.
(CIN:U74999MH2007PTC176733
PAN:AALCS4107J)
|
|
|
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.8,00,000
14-FEB-2013
|
SAT: SAT VIDE ITS ORDER DATED 11/02/2014 UPHELD PENALTY IMPOSED UNDER SECTIONS 15HA, 15A (A) AND 15H(II) OF SEBI ACT.
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 23/03/2017 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 NOTICE DATED 16/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.18,17,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 750 |
|
|
SUMANDAR PROPERTY DEVELOPERS PVT.LTD.
(PAN:AAACS9998N)
|
|
|
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.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF BANK OF RAJASTHAN LTD.
|
IMPOSED PENALTY RS.15,00,000
14-FEB-2013
|
SAT: SAT VIDE ITS ORDER DATED 11/02/2014 UPHELD PENALTY IMPOSED UNDER SECTIONS 15HA AND 15A(B) 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
|
| 751 |
|
|
SUMTINATH SHARES & SERVICES PVT.LTD.
(CIN:U67120GJ2009PTC057617
PAN:AANCS2340B)
|
|
|
INDULGED IN SIPHONING OFF IPO PROCEEDS IN MATTER OF MIDVALLEY ENTERTAINMENT LTD.
DID NOT PROVIDE INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF MIDVALLEY ENTERTAINMENT LTD.
|
IMPOSED PENALTY RS.7,00,000
31-MAY-2022
|
|
| 752 |
|
|
SUN & SHINE WORLDWIDE LTD.
(PAN:AABCR6814P)
|
|
|
|
SUJATA DHAN KUMAR KHARGA
PAN:AMZPK1508N
|
|
DID NOT SUBMIT INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF SUN & SHINE WORLDWIDE LTD.
|
IMPOSED PENALTY RS.5,00,000
14-SEP-2021
|
|
| 753 |
|
|
SUN EARTH CERAMICS LTD.
(PAN:AAACA7953K)
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.75,00,000
09-AUG-2004
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.60,000 FROM RS.75,00,000 WITH NO ORDER AS TO COSTS
|
| 754 |
|
|
SUNAYANA COMMERCIAL PVT.LTD.
(PAN:AAJCS4896A)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF MURLI INDUSTRIES LTD.
|
IMPOSED PENALTY RS.3,00,000
31-DEC-2012
|
INCLUDED IN SEBI LIST DATED 31/12/2013, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 755 |
|
|
SUNGOLD CAPITAL LTD.
(PAN:AAJCS0998M)
|
|
|
|
RAVI RAJIV KOTIA
PAN:AUEPK3142K
|
|
|
SEEMA RAJIV KOTIA
PAN:ABHPK6019M
|
|
|
SHILPA AMIT KOTIA
PAN:AHEPK2567R
|
|
|
SHWETHA DHAVAL KOTIA
PAN:AHEPK2566Q
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS/NOTICES/LETTERS
|
IMPOSED PENALTY RS.2,00,000
19-JUL-2017
|
SAT: SAT VIDE ITS ORDER DATED 02/07/2019 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.2 LACS FROM RS.5 LACS AND DIRECTED TO PAY WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 756 |
|
|
SUNLIGHT FINANCIAL ADVISORY PVT.LTD.
(PAN:AALCS4533N)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF PG ELECTROPLAST LTD.
|
IMPOSED PENALTY RS.1,00,000
02-AUG-2017
|
|
| 757 |
|
|
SUPERHOUSE TRADING CO.PVT.LTD.
|
|
|
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.8,00,000
14-FEB-2013
|
SAT: SAT VIDE ITS ORDER DATED 11/02/2014 UPHELD PENALTY IMPOSED UNDER SECTIONS 15HA, 15A (A) AND 15H(II) OF SEBI ACT.
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 23/03/2017 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 NOTICE DATED 16/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.18,17,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 758 |
|
|
SUPREME COMMUNICATION LTD.
(PAN:AAICS0078D)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF PG ELECTROPLAST LTD.
|
IMPOSED PENALTY RS.1,00,000
02-AUG-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS ORDER DATED 11/01/2024 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
|
| 759 |
|
|
SURANA CORP.LTD.
(CIN:L65991TN1991PLC020783)
|
|
|
|
VIJAYRAJ SURANA
DIN:00007313
PAN:AACPS3236N
|
|
DID NOT SUBMIT AUDITORS REPORT ALONG WITH ANNUAL AUDITED FINANCIAL RESULTS FOR PERIOD ENDED MARCH 31, 2015 TO STOCK EXCHANGES VIOLATING CLAUSES 36,41,49 AND 50 OF EQUITY LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
PROVIDED FALSE/MISLEADING INFORMATION TO SEBI DURING INVESTIGATIONS IN MATTER OF SURAN CORP.LTD.
|
IMPOSED PENALTY RS.25,00,000
26-JUN-2020
|
|
| 760 |
|
|
SUSANE TRADERS PVT.LTD.
(PAN:AARCS7045M)
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF DELTA LEASING & FINANCE LTD.
|
IMPOSED PENALTY RS.1,00,000
18-OCT-2022
|
SEBI VIDE ITS NOTICE DATED 23/03/2022 DIRECTED TO PAY RS.1,07,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 17/04/2023 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 NOTICE DATED 17/05/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,09,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 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 38 of 44
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