| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 7841 |
|
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
|
|
| 7842 |
|
|
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
|
|
| 7843 |
|
|
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
|
|
| 7844 |
|
|
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
|
|
| 7845 |
|
|
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
|
| 7846 |
|
|
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
|
| 7847 |
|
|
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
|
| 7848 |
|
|
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
|
| 7849 |
|
|
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
|
| 7850 |
|
|
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
|
| 7851 |
|
|
YOGESHKUMAR PANNALAL SHAH (HUF)
(PAN:AAVHS3887A)
|
|
|
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION SAME DAY OR NEXT DAY VIOLATING SECTION 2(I) READ WITH SECTIONS 13, 16 AND 18 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF L&T FINANCE HOLDINGS LTD.
|
IMPOSED PENALTY RS.25,000
31-JAN-2020
|
|
| 7852 |
|
|
YOGI INVESTMENT PVT.LTD.
(Along with : BHARAT FERTILIZER INDUSTRIES LTD.)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHARES OF BHARAT FERTILISER INDUSTRIES LTD.
|
IMPOSED PENALTY RS.40,000 ALONG WITH OTHER ENTITIES/PERSONS
23-OCT-2007
|
|
| 7853 |
|
|
YOGI LEASING & FINANCE LTD.
|
|
|
|
AVINASH MAGAN
|
|
INDULGED IN IRREGULAR TRANSACTIONS IN SCRIP OF ARPAN LEASING CO.LTD.
|
IMPOSED PENALTY RS.5,00,000
18-SEP-2000
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 7854 |
|
|
YOGI PHARMACY LTD.
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.5,50,000
20-NOV-2014
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 7855 |
|
|
YOGI SUNGWON (INDIA) LTD.
|
|
|
|
RAJESH MULANI
|
|
DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME
|
IMPOSED PENALTY RS.2,00,000
19-OCT-2000
|
SAT: APPEAL ALLOWED BY REMAND FOR DE NOVO CONSIDERATION BY AO
|
| 7856 |
|
|
YOGITA TRADING LLP
(PAN:AABFY4583D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SHANTANU SHEOREY AQUAKULT LTD.
|
IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
06-MAY-2022
|
|
| 7857 |
|
|
YORK FINANCIAL SERVICES PVT.LTD.
(PAN:AAACY1185F)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SHREE OM TRADES LTD. (NOW KNOWN AS EMERGENT GLOBAL EDU & SERVICES LTD.)
DELAY IN MAKING 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 SHREE OM TRADES LTD. (NOW KNOWN AS EMERGENT GLOBAL EDU & SERVICES LTD.)
|
IMPOSED PENALTY RS.1,50,000
28-DEC-2015
|
|
| 7858 |
|
|
YORK FINANCIAL SERVICES PVT.LTD.
(PAN:AAACY1185F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
30-JUN-2021
|
SEBI VIDE ITS NOTICE DATED 12/06/2023 DIRECTED TO PAY RS.6,26,000.00 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.6660 OF 2023 DATED 12/06/2023
|
| 7859 |
|
|
YOTTA AGRO VENTURES PVT.LTD.
(CIN:U01100RJ2020PTC068679
PAN:AABCY2263K)
|
|
|
|
GAYATRI RINWA
PAN:AQPPR9353N
|
|
|
KRISHNA SHARMA (AKA.KRISHNNA JOSHI)
PAN:DFXPS7404R
|
|
|
KRISHNNA JOSHI (AKA.KRISHNA SHARMA)
PAN:DFXPS7404R
|
|
|
RITURAJ SHARMA
PAN:DEMPS5345H
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-SEP-2026 TO 27-SEP-2031
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-SEP-2026 TO 27-SEP-2031
IMPOSED PENALTY RS.2,00,00,000
RESTRAINED FROM COLLECTING ANY MONEY FROM THE INVESTORS OR LAUNCH OR CARRY OUT ANY COLLECTIVE INVESTMENT SCHEMES, INCLUDING SCHEMES WHICH HAVE BEEN IDENTIFIED AS COLLECTIVE INVESTMENT SCHEME IN THE ORDER FROM 28-SEP-2026 TO 27-SEP-2031
DIRECTED TO APPOINT A NODAL REFUND OFFICER TO FACILITATE REFUNDS TO INVESTORS AS OUTLINED IN THIS ORDER
DIRECTED TO PROVIDE LIST OF ALL EXISTING INVESTORS WITH DETAILS OF OUTSTANDING AMOUNT WITHIN 21 DAYS FROM DATE OF THIS ORDER TO NRO ALONG WITH DATABASE OF MODE THROUGH WHICH AMOUNT COLLECTED/RECEIVED BY GROWPITAL
DIRECTED TO PROVIDE LIST OF ALL ASSETS (INCLUDING LAND, LEASE RIGHTS ETC., IN ANY NAME) AND TRADE OR AMOUNT RECEIVABLES FROM ALL COUNTERPARTIES WITHIN 30 DAYS FROM DATE OF THIS ORDER
DIRECTED TO TAKE ALL NECESSARY STEPS UNDER SUPERVISION OF NRO TO ENSURE THAT ALL OUTSTANDING TRADE AND AMOUNT RECEIVABLES RECOVERED AND DEPOSITED IN INTEREST BEARING ACCOUNT OF SEBI
DIRECTED TO REFUND THE AMOUNT TO INVESTORS VIA DIRECT BANK TRANSFER TO SAME ACCOUNT OF INVESTOR FROM WHICH MONEY RECEIVED BY GROWPITAL SHALL BE REFUNDED TO SUCH BANK ACCOUNT AFTER DUE VERIFICATION
DIRECTED TO TRANSFER ANY UNCLAIMED AMOUNTS TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF)
DIRECTED TO FOLLOW ALL INSTRUCTIONS AND DIRECTIONS GIVEN BY NRO
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
DIRECTED TO PROVIDE FULL INVENTORY OF ALL ASSETS/PROPERTIES AND DETAILS OF BANK & DEMAT ACCOUNTS AND HOLDING OF SHARES/SECURITIES HELD IN PHYSICAL FORM
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED STOCK EXCHANGES, BANKS AND DEPOSITORIES TO ENSURE COMPLIANCE OF THE DIRECTIONS
28-SEP-2026
|
|
| 7860 |
|
|
YT CAPITAL PVT.LTD.
(PAN:AAACH1154R)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.6,20,000
26-FEB-2020
|
|
| 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 393 of 396
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