| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 7801 |
|
YASOMATI DISTRIBUTORS PVT.LTD.
(PAN:AAACY5689G)
|
|
|
DID NOT FURNISH BANK STATEMENTS/CASH RECEIPT/SHARE BILL IN RESPECT OF TRANSACTIONS IN MATTER OF DELTA LEASING & FINANCE LTD.
|
IMPOSED PENALTY RS.1,00,000
29-SEP-2022
|
|
| 7802 |
|
|
YATIN PANDYA (HUF)
(PAN:AAAHY6896C)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH FICTITIOUS TRADE IN SCRIP OF STERLING INTERNATIONAL ENTERPRISES LTD.
|
IMPOSED PENALTY RS.2,00,000
08-SEP-2021
|
SAT: SAT VIDE ITS ORDER DATED 16/12/2021 STAYED EFFECT AND OPERATION OF THE IMPUGNED ORDER TILL FURTHER ORDER
SAT: SAT VIDE ITS ORDER DATED 23/12/2021 ADJOURNED THE PROCEEDINGS AND DIRECTED APPELLANT TO PRODUCE ORDER OF THE SUPREME COURT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 01/02/2022 ALLOWED RESPONDENT ONE WEEK TO FILE REPLY TO MEMO OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 08/02/2022 APPELLANT TO FILE REJOINDER WITHIN A WEEK
SAT: SAT VIDE ITS ORDER DATED 16/02/2022 ALLOWED APPELLANT FURTHER TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 24/03/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 08/09/2021. DIRECTED RESPONDENT TO PAY RS.25,000.00 TO APPELLANT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 7803 |
|
|
YBRANT DIGITAL LTD.
|
|
|
|
M.SURESH KUMAR REDDY
PAN:AOOPM8696J
|
|
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 YBRANT DIGITAL LTD.
|
IMPOSED PENALTY RS.9,00,000
29-NOV-2019
|
|
| 7804 |
|
|
YELLOW CONSULTANTS PVT.LTD.
(PAN:AAACY2813N)
|
|
|
INDULGED IN OFF MARKET TRANSACTIONS OF SHARES WITHOUT SALE CONSIDERATION VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.G.S.R.219 (E) DATED 02/03/2000 AND SECTIONS 13 AND 18 OF SCRA READ WITH SECTIONS 2(I) OF SCRA ACT, 1956 IN MATTER OF VERTEX SPINNING LTD.
|
IMPOSED PENALTY RS.5,00,000
26-SEP-2018
|
SAT: APPEAL FAILED AND DISMISSED. NO COSTS
|
| 7805 |
|
|
YES BANK LTD.
(PAN:AAACY2068D)
|
|
|
|
RANA KAPOOR
PAN:AHIPK0411A
|
|
SOLD AT-1 BONDS TO CUSTOMER OF YES BANK LTD. WITHOUT ADOPTING ADEQUATE SAFEGUARDS TO PROTECT THEIR INTEREST AND WITHOUT SUFFICIENT DUE DILIGENCE VIOLATING SECTIONS 12A (B) TO (C) OF SEBI ACT, 1992 AND REGULATIONS 3(A), 3(C) AND 3(D), 4(1) AND 4(2)(S) READ WITH EXPLANATION (1) TO REGULATION 4(2) OF SEBI (PFUTP) REGULATIONS, 2003
|
IMPOSED PENALTY RS.2,00,00,000
07-SEP-2022
|
|
| 7806 |
|
|
YES BANK LTD.
(PAN:AAACY2068D)
|
|
|
|
VIVEK KANWAR
PAN:AAIPK8816G
|
|
SOLD AT-1 BONDS TO CUSTOMER OF YES BANK LTD. WITHOUT ADOPTING ADEQUATE SAFEGUARDS TO PROTECT THEIR INTEREST AND WITHOUT SUFFICIENT DUE DILIGENCE VIOLATING SECTIONS 12A (B) TO (C) OF SEBI ACT, 1992 AND REGULATIONS 3(A), 3(C) AND 3(D), 4(1) AND 4(2)(S) READ WITH EXPLANATION (1) TO REGULATION 4(2) OF SEBI (PFUTP) REGULATIONS, 2003
|
IMPOSED PENALTY RS.25,00,00,000
12-APR-2021
|
SAT: SAT VIDE ITS ORDER DATED 21/05/2021 DIRECTED TO RESPONDENT TO FILE REPLY WITHIN FOUR WEEKS FROM THE DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 30/07/2021 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
|
| 7807 |
|
|
YES CAPITAL (INDIA) PVT.LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES FOR CREATION OF ENCUMBRANCE OF SHARES AS REQUIRED UNDER REGULATIONS 31(1) READ WITH 31(3) AND (28(3) OF SAST REGULATIONS, 2011 IN MATTER OF YES BANK LTD.
|
IMPOSED PENALTY RS.5,00,000
31-MAR-2020
|
SAT: SAT VIDE ITS ORDER DATED 13/06/2021 DISMISSED THE APPEAL
|
| 7808 |
|
|
YES INVESTMENTS
|
|
|
|
VISHAL KISHORE BHATIA
PAN:AINPB3663P
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN VARIOUS SCRIPS
|
IMPOSED PENALTY RS.2,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-AUG-2014
|
SAT: SAT VIDE ITS ORDER DATED 22/03/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 25/03/2015 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 14/12/2017 REDUCED THE PENALTY AMOUNT TO RS.20 LACS FROM RS.2.00 CRORES U/S 15HA 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 19/09/2019 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 19/12/2019 DISMISSED THE APPEAL AND DIRECTED APPELLANT TO PAY PENALTY AMOUNT TO RS.20 LACS WITHIN 30 DAYS FROM DATE OF THIS ORDER
|
| 7809 |
|
|
YES INVESTMENTS
|
|
|
|
DINESH CHUDASMA
|
|
INDULGED IN IRREGULAR TRANSACTIONS IN SCRIP OF SURYADEEP SALTS REFINERY & CHEMICAL WORKS LTD.
|
IMPOSED PENALTY RS.1,05,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-AUG-2004
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 7810 |
|
|
YM BHANSALI (HUF)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
|
IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-MAY-2009
|
INCLUDED IN SEBI LIST DATED 30/06/2010, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 7811 |
|
|
YOCHANA VYAPAAR PVT.LTD.
(PAN:AAACY5598E)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.25,00,000
11-AUG-2020
|
|
| 7812 |
|
|
YODEL INSTRUMENTS PVT.LTD.
(PAN:AAACY4336Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF ERA INFRA ENGINEERING LTD.
|
IMPOSED PENALTY RS.10,000
28-JAN-2022
|
|
| 7813 |
|
|
YOGESH BHAI SHAH (HUF)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATIONS 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF GLOBAL SECURITIES LTD.
|
IMPOSED PENALTY RS.2,00,000
08-JAN-2021
|
|
| 7814 |
|
|
YOGESH GOYAL (HUF)
(PAN:AAAHY6302D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
30-SEP-2024
|
|
| 7815 |
|
|
YOGESH JAISWAL (HUF)
(PAN:AAAHY9710K)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
06-NOV-2024
|
SEBI VIDE ITS NOTICE DATED 12/02/2026 DIRECTED TO PAY RS.5,81,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 10/03/2026 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS, MUTUAL FUNDS FOLIOS AND/OR POST OFFICE ACCOUNT 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 24/03/2026 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 10/03/2026
SEBI VIDE ITS ORDER DATED 24/03/2026 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.9033 OF 2026 DATED 12/02/2026
|
| 7816 |
|
|
YOGESH KUMAR GUPTA (HUF)
(PAN:AAAHY8613H)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
11-SEP-2023
|
SAT: SAT VIDE ITS ORDER DATED 01/12/2023 DISMISSED THE APPEAL. NO COSTS
|
| 7817 |
|
|
YOGESH M.BHANSALI (HUF)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
|
IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-MAY-2009
|
INCLUDED IN SEBI LIST DATED 30/06/2010, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 7818 |
|
|
YOGESH MAFATLAL BHANSALI (HUF)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
|
IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-MAY-2009
|
INCLUDED IN SEBI LIST DATED 30/06/2010, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 7819 |
|
|
YOGESH TRADING CO.
(PAN:AIRPY0807E)
|
|
|
|
SHASHI YADAV
PAN:AIRPY0807E
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME AND PRICE MANIPULATION THROUGH OFF-MARKET AND ON MARKET TRANSACTIONS IN SCRIP OF FOCUS INDUSTRIAL RESOURCES LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-SEP-2020
|
SEBI VIDE ITS NOTICE DATED 17/06/2022 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 24/06/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF YOGESH TRADING CO. AND MR.SHASHI YADAV TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 7820 |
|
|
YOGESHBHAI M.BHANSALI (HUF)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
|
IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-MAY-2009
|
INCLUDED IN SEBI LIST DATED 30/06/2010, 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 391 of 394
|
