| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 761 |
|
UNITED DRILLING TOOLS LTD.
(PAN:AAACU0098F)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,92,500 VIDE CONSENT ORDER)
16-FEB-2017
|
|
| 762 |
|
|
UNITED MACHINE CO.LTD.
(PAN:AAACU3228P)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(2) AND 8(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF WILLIAMSON FINANCIAL SERVICES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF WILLIAMSON FINANCIAL SERVICES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(2A) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF WILLIAMSON FINANCIAL SERVICES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF WILLIAMSON FINANCIAL SERVICES LTD.
|
IMPOSED PENALTY RS.1,00,000
30-JUN-2022
|
SEBI VIDE ITS NOTICE DATED 09/09/2022 DIRECTED TO PAY RS.1,05,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 763 |
|
|
UNITY COMMOTRADE PVT.LTD.
(PAN:AABCU1629D)
|
|
|
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 IN MATTER OF GOKUL SOLUTIONS LTD.
|
IMPOSED PENALTY RS.1,00,000
12-SEP-2022
|
SEBI VIDE ITS NOTICE DATED 22/05/2023 DIRECTED TO PAY RS.1,10,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 08/01/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6583 OF 2023 DATED 22/05/2023
|
| 764 |
|
|
USHDEV INTERNATIONAL LTD.
|
|
|
|
PRATEEK GUPTA
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF USHDEV INTERNATIONAL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
08-OCT-2009
|
|
| 765 |
|
|
UTILITY TRADE LINKS PVT.LTD.
|
|
|
|
ANIL RAI
|
|
|
VINAY RAI
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 766 |
|
|
UTTAR PRADESH TRADING CO.LTD.
(PAN:AAACU3602P)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GOBIND SUGAR MILLS LTD.
|
IMPOSED PENALTY RS.1,00,000
29-AUG-2011
|
SAT: APPEAL FAILED AND MISMISSED WITH NO ORDER AS TO COSTS
|
| 767 |
|
|
V.BRIJMOHAN (HUF)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3(I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 AND SECTION 12 A (D&E) OF SEBI ACT, 1992 IN SCRIP OF NOVA PETROCHEMICALS LTD.
|
IMPOSED PENALTY RS.15,000
30-JUN-2010
|
|
| 768 |
|
|
V.JAIPRAKASH (HUF)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3(I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 AND SECTION 12 A (D&E) OF SEBI ACT, 1992 IN SCRIP OF NOVA PETROCHEMICALS LTD.
|
IMPOSED PENALTY RS.15,000
01-JUL-2010
|
|
| 769 |
|
|
V.JYOTIPRASAD (HUF)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3(I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 AND SECTION 12 A (D&E) OF SEBI ACT, 1992 IN SCRIP OF NOVA PETROCHEMICALS LTD.
|
IMPOSED PENALTY RS.15,000
01-JUL-2010
|
|
| 770 |
|
|
V.KARUPPIAH (HUF)
(PAN:AAFHV4956H)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN SCRIP OF SABERO ORGANICS GUJARAT LTD.
|
DIRECTED TO DISGORGE RS.23,43,219
21-MAY-2015
|
SEBI VIDE ITS ORDER DATED 12/05/2016 DIRECTED 1) SEBI TO RE-INVESTIGATE THE MATTER OF ALLEGED INSIDER TRADING IN SCRIP OF SABERO ORGANIC GUJARAT LTD. AND COMPLETE THE SAME WITHIN SIX MONTHS FROM THE DATE OF THIS ORDER AND 2) INTERIM ORDER DATED 21/05/2015 ALONGWITH SCN DATED 08/06/2015 ISSUED AGAINST MR.VELLAYAN, MR. MURUGAPPN, MR.GOPALAKRISHNAN C. AND V.KARUPPIAH-HUF IS ACCORDINGLY DISPOSED OFF
SEBI VIDE ITS ORDER DATED 19/04/2021 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY DIRECTIONS
|
| 771 |
|
|
VALECHA ENGINEERING LTD.
(CIN:L74210MH1977PLC019535
PAN:AAACV2288G)
|
|
|
DID NOT CLOSE TRADING WINDOW AS REQUIRED UNDER CLAUSE 3.2.3 (C) OF PART A OF SCHEDULE I AS SPECIFIED UNDER REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
IMPOSED PENALTY RS.2,00,000
26-JUL-2013
|
SAT: SAT VIDE ITS ORDER DATED 11/03/2014 QUASHED AND SET ASIDE SEBI'S ORDER DATED 26/07/2013. NO COSTS
|
| 772 |
|
|
VALECHA INVESTMENTS PVT.LTD.
(PAN:AAACV2759G)
|
|
|
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 (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
IMPOSED PENALTY RS.1,00,000
12-FEB-2018
|
|
| 773 |
|
|
VARREN FINANCIAL SERVICES LTD.
|
|
|
|
NEERAJ GUPTA
|
|
|
P.K.RAO
|
|
|
R.P.SHARMA
|
|
|
S.K.GUPTA
|
|
|
V.K.AGARWAL
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 774 |
|
|
VARUN INDUSTRIES LTD.
(PAN:AAACV2069F)
|
|
|
|
KAILASH SHREERAM AGARWAL
PAN:AACPA6833F
|
|
|
KIRANKUMAR NAVRATANMAL MEHTA
PAN:ADUPM1326J
|
|
|
VARUN KIRANKUMAR MEHTA
PAN:AMUPM8063F
|
|
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGE ABOUT NON-MATERIALIZATION OF JOINT VENTURE AGREEMENT VIOLATING CLAUSES 22(D), 36(7), 41(III)(A) AND (B) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA ACT, 1956 IN MATTER OF VARUN INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF ABOUT NON-MATERIALIZATION OF JOINT VENTURE AGREEMENT TO STOCK EXCHANGES VIOLATING CLAUSES 2.1 AND 7.0 (II) OF CODE OF CORPORATE DISCLOSURE PRACTICES FOR PREVENTION OF INSIDER TRADING AS SPECIFIED UNDER REGULATION 12) OF SCHEDULE II OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF VARUN INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
08-NOV-2017
|
SEBI VIDE ITS NOTICE DATED 31/08/2018 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS ORDER DATED 14/03/2019 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 31/08/2018
|
| 775 |
|
|
VARUN INDUSTRIES LTD.
(PAN:AAACV2069F)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
IMPOSED PENALTY RS.1,00,000
08-NOV-2017
|
SEBI VIDE ITS NOTICE DATED 10/07/2018 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 776 |
|
|
VAS EDUCOMP PVT.LTD.
(PAN:AABCV2889C)
|
|
|
DELAY IN MAKING 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 VAS INFRASTRUCTURE LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF VAS INFRASTRUCTURE LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF VAS INFRASTRUCTURE LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-MAR-2014
|
|
| 777 |
|
|
VAS INFRASTRUCTURE LTD.
(PAN:AAACV3537A)
|
|
|
|
AJAY NAUTAMLAL JANI
PAN:ABXPJ0066H
|
|
|
BABULAL JAIN
PAN:ABUPJ5018N
|
|
|
JAYESH VINODRAI VALIA
PAN:AAFPV5698G
|
|
DELAY IN INTIMATING AND PUBLISHING UNAUDITED FINANCIAL RESULTS VIOLATING CLAUSES 1.1 READ WITH 2.1 OF CODE OF CORPORATE DISCLOSURE AND REGULATION 12(1) READ WITH PART A OF SCHEDULE I OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF VAS INFRASTRUCTURE LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
09-JAN-2018
|
|
| 778 |
|
|
VASPARR SHELTER LTD.
(PAN:AABCV2888D)
(Along with : YASHRAJ CONTAINEURS LTD.)
|
|
|
|
JAYESH VINODRAI VALIA
PAN:AAFPV5698G
|
|
|
SANGITA JAYESH VALIA
PAN:ACDPV4956F
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY IN PRESCRIBED FORMAT AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN THE MATTER OF YASHRAJ CONTAINERS LTD.
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A (D) & (E) OF SEBI ACT, 1992 AND REGULATION 3 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN THE MATTER OF YASHRAJ CONTAINERS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JAN-2016 TO 12-JAN-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JAN-2016 TO 12-JAN-2021
13-JAN-2016
|
SAT: SAT VIDE ITS ORDER DATED 15/11/2016 MODIFIED IMPUGNED ORDER DATED 13/01/2016 BY RESTRAINT ORDER PASSED AGAINST THE APPELLANTS FROM FIVE YEARS TO TWO YEARS
|
| 779 |
|
|
VASPARR SHELTER LTD.
(PAN:AABCV2888D)
|
|
|
DELAY IN MAKING 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 VAS INFRASTRUCTURE LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF VAS INFRASTRUCTURE LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF VAS INFRASTRUCTURE LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-MAR-2014
|
|
| 780 |
|
|
VASPARR SHELTER LTD.
(PAN:AABCV2888D)
|
|
|
|
JAYESH VINODRAI VALIA
PAN:AAFPV5698G
|
|
|
SANGITA JAYESH VALIA
PAN:ACDPV4956F
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF YASHRAJ CONTAINEURS LTD.
INDULGED IN TRANSACTIONS OF SHARES WHILE IN POSSESSION OF MATERIAL AND UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3(II) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN SCRIP OF YASHRAJ CONTAINEURS LTD.
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
13-NOV-2009
|
SAT: APPEAL DISMISSED AS WITHDRAWN
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 39 of 42
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