| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
SHAILJA INVESTMENTS LTD.
(PAN:AAACS3302E)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF POLAR PHARMA INDIA LTD.
|
DIRECTED TO FREEZE ALL DEMAT ACCOUNTS WHEREIN EQUITY SHARES ALLOTTED UNDER PREFERENTIAL OFFER WERE LYING
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
DIRECTED TO DISGORGE RS.71,77,535
02-FEB-2016
|
SEBI VIDE ITS ORDER DATED 15/01/2020 REVOKED DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 02/02/2016 WITHOUT ANY DIRECTIONS
|
| 62 |
|
|
SHIVAM INVESTMENTS
(PAN:ABMPK8540Q)
|
|
|
|
PEEYUSH KUMAR AGGARWAL
PAN:AACPA6470C
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF POLAR PHARMA INDIA LTD.
|
DIRECTED TO FREEZE ALL DEMAT ACCOUNTS WHEREIN EQUITY SHARES ALLOTTED UNDER PREFERENTIAL OFFER WERE LYING
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
DIRECTED TO DISGORGE RS.39,27,932
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 02-FEB-2016
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
02-FEB-2016
|
SEBI VIDE ITS ORDER DATED 15/01/2020 DIRECTED A) TO DISGORGE OF RS.17,38,023.00 ALONG WITH SIMPLE INTEREST @ 4% P.A. FROM 13/09/2005 TILL DATE OF PAYMENT WITHIN 45 DAYS FROM DATE OF THIS ORDER THROUGH DEMAND DRAFT B) BANKS NOT TO PERMIT DEBIT WITHOUT PERMISSION OF SEBI C) DEPOSITORIES NOT TO PERMIT DEBIT WITHOUT PERMISSION OF SEBI D) REGISTRAR AND TRANSFER AGENTS NOT TO DEBIT AND REDEMPTION OF MUTUAL FUNDS UNITS EXCEPT FOR PURPOSE OF COMPLIANCE OF THIS ORDER E) DEFREEZE THEIR BANK ACCOUNTS AND DEMAT ACCOUNTS, IN RESPECT OF MUTUAL FUND UNITS F) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
SAT: SAT VIDE ITS ORDER DATED 09/06/2022 ALLOWED THE APPEALS AND QUASHED AND SET ASIDE IMPUGNED ORDERS PASSED BY WTM DATED 15/01/2020 AND PASSED BY AO DATED 30/01/2020. NO COSTS
|
| 63 |
|
|
SHREE JAISAL ELECTRONICS & INDUSTRIES LTD.
(PAN:AACCS5723P)
|
|
|
INDULGED IN FRONT RUNNING OF ORDERS/TRADES IN MATTER OF STERLING GROUP OF COMPANIES
|
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-DEC-2020 TO 17-DEC-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-DEC-2020 TO 17-DEC-2025
31-JUL-2015
|
SEBI VIDE ITS ORDER DATED 18/12/2020 DIRECTED A) NOT TO ACCESS SECURITIES MARKET OR BUY, SELL OR OTHERWISE DEAL IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY FOR FIVE YEARS FROM THE DATE OF THIS ORDER B) NOT TO LIQUIDATED EXISTING HOLDING OF SECURITIES INCLUDING UNITS OF MUTUAL FUNDS
SAT: SAT VIDE ITS ORDER DATED 05/07/2021 CONDONED THE DELAY OF 510 DAYS IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 27/08/2021 ALLOWED APPELLANTS THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 22/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 27/01/2022 CONDONED THE DELAY IN FILING OF APPEAL AND IN THE MEANWHILE RESPONDENT MAY FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 03/02/2022 CONDONED THE DELAY IN FILING OF APPEAL. IN THE MEANWHILE, RESPONDENT MAY FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 11/04/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER ONE WEEK THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 05/05/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 23/08/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 16/09/2022 DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS
SAT: SAT VIDE ITS ORDER DATED 30/10/2023 DISMISSED THE APPEAL. NO COSTS
|
| 64 |
|
|
SHREYANS CREDIT & CAPITAL PVT.LTD.
(PAN:AAMCS7878M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF RUCHI SOYA INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-FEB-2013 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-FEB-2013 TILL FURTHER ORDERS
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
15-FEB-2013
DIRECTED TO DISGORGE RS.8,30,99,802 ALONG WITH OTHER ENTITIES/PERSONS
07-JUN-2016
|
SEBI VIDE ITS ORDER DATED 06/12/2013 REVOKED DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 15/02/2013
SEBI VIDE ITS ORDER DATED 07/06/2016 DIRECTED TO 1. IMPOUND UNLAWFUL GAINS OF RS.8,30,99,802 (GAIN OF RS.5,75,68,000 + INTEREST OF RS.2,55,31,802 FROM 28/09/2012 TO 07/06/2016), JOINTLY AND SEVERALLY FROM ALL THE DEFAULTERS 2. BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED. HOWEVER, CREDITS, IF ANY INTO THE ACCOUNTS MAY BE ALLOWED 3. NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME AMOUNTS ARE CREDITED TO AN ESCROW ACCOUNT CREATED SPECIFICALLY FOR PURPOSE IN A NATIONALIZED BANK. THE ESCROW ACCOUNT/S SHALL CREATE A LIEN IN FAVOUR OF SEBI AND THE MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI 4. PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR 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 14/09/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 07/06/2016 AND DIRECTED SEBI TO DEFREEZE ALL BANK ACCOUNTS AND DEMAT ACCOUNTS OF THE APPELLANTS FORTHWITH. TILL SEBI PASSES FRESH ORDER, THE BANK ACCOUNTS AND DEMAT ACCOUNTS OF THE APPELLANTS SHALL BE USED ONLY FOR THE PURPOSE OF CARRYING ON THE BUSINESS IN THE ORDINARY COURSE. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 09/03/2017 DIRECTED SEBI TO ISSUE COMPREHENSIVE SHOW-CAUSE NOTICES TO RESPECTIVE APPELLANTS WITHIN A PERIOD OF EIGHT WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
|
| 65 |
|
|
STUPENDORS TRADERS PVT.LTD.
(PAN:AADCS7524F)
|
|
|
|
PRATIVA KOTHARI
PAN:AWCPK5030E
|
|
|
VICKY KOTHARI
PAN:AKQPK4594D
|
|
TRADED INDIRECTLY IN SECURITIES MARKET BY TRANSFERRING FUNDS, DIRECTLY/INDIRECTLY TO CONNECTED ENTITIES DURING THE INVESTIGATION PERIOD AND MADE UNLAWFUL GAINS
|
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
DIRECTED TO DISGORGE RS.3,30,52,904 ALONG WITH OTHER ENTITIES/PERSONS
16-JUN-2016
|
SEBI VIDE ITS ORDER DATED 09/04/2021 REVOKED ITS DIRECTIONS ISSUED VIDE ITS ORDERS DATED 16/06/2016 AND 27/03/2017
SEBI VIDE ITS NOTICE DATED 21/10/2022 DIRECTED TO PAY RS.3,30,26,842.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 09/11/2022 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 NOTICE DATED 06/01/2023 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 09/11/2022
SAT: SAT VIDE ITS ORDER DATED 21/11/2022 DIRECTED RECOVERY OFFICER TO NOT TO RECOVER ANY AMOUNT TILL NEXT DATE OF LISTING
SAT: SAT VIDE ITS ORDER DATED 16/01/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 66 |
|
|
SUNMATE TRADE PVT.LTD.
(PAN:AAOCS9796A)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF RUCHI SOYA INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-FEB-2013 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-FEB-2013 TILL FURTHER ORDERS
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
15-FEB-2013
DIRECTED TO DISGORGE RS.8,30,99,802 ALONG WITH OTHER ENTITIES/PERSONS
07-JUN-2016
|
SEBI VIDE ITS ORDER DATED 06/12/2013 REVOKED DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 15/02/2013
SEBI VIDE ITS ORDER DATED 07/06/2016 DIRECTED TO 1. IMPOUND UNLAWFUL GAINS OF RS.8,30,99,802 (GAIN OF RS.5,75,68,000 + INTEREST OF RS.2,55,31,802 FROM 28/09/2012 TO 07/06/2016), JOINTLY AND SEVERALLY FROM ALL THE DEFAULTERS 2. BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED. HOWEVER, CREDITS, IF ANY INTO THE ACCOUNTS MAY BE ALLOWED 3. NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME AMOUNTS ARE CREDITED TO AN ESCROW ACCOUNT CREATED SPECIFICALLY FOR PURPOSE IN A NATIONALIZED BANK. THE ESCROW ACCOUNT/S SHALL CREATE A LIEN IN FAVOUR OF SEBI AND THE MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI 4. PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR 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 14/09/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 07/06/2016 AND DIRECTED SEBI TO DEFREEZE ALL BANK ACCOUNTS AND DEMAT ACCOUNTS OF THE APPELLANTS FORTHWITH. TILL SEBI PASSES FRESH ORDER, THE BANK ACCOUNTS AND DEMAT ACCOUNTS OF THE APPELLANTS SHALL BE USED ONLY FOR THE PURPOSE OF CARRYING ON THE BUSINESS IN THE ORDINARY COURSE. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 09/03/2017 DIRECTED SEBI TO ISSUE COMPREHENSIVE SHOW-CAUSE NOTICES TO RESPECTIVE APPELLANTS WITHIN A PERIOD OF EIGHT WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
|
| 67 |
|
|
SUPREME LEASE FINVEST PVT.LTD.
(PAN:AABCS8098J)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF POLAR PHARMA INDIA LTD.
|
DIRECTED TO FREEZE ALL DEMAT ACCOUNTS WHEREIN EQUITY SHARES ALLOTTED UNDER PREFERENTIAL OFFER WERE LYING
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
DIRECTED TO DISGORGE RS.3,45,050
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 02-FEB-2016
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
02-FEB-2016
|
SEBI VIDE ITS ORDER DATED 15/01/2020 DIRECTED A) TO DISGORGE OF RS.1,52,677.00 ALONG WITH SIMPLE INTEREST @ 4% P.A. FROM 13/09/2005 TILL DATE OF PAYMENT WITHIN 45 DAYS FROM DATE OF THIS ORDER THROUGH DEMAND DRAFT B) BANKS NOT TO PERMIT DEBIT WITHOUT PERMISSION OF SEBI C) DEPOSITORIES NOT TO PERMIT DEBIT WITHOUT PERMISSION OF SEBI D) REGISTRAR AND TRANSFER AGENTS NOT TO DEBIT AND REDEMPTION OF MUTUAL FUNDS UNITS EXCEPT FOR PURPOSE OF COMPLIANCE OF THIS ORDER E) DEFREEZE THEIR BANK ACCOUNTS AND DEMAT ACCOUNTS, IN RESPECT OF MUTUAL FUND UNITS F) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
SAT: SAT VIDE ITS ORDER DATED 09/06/2022 ALLOWED THE APPEALS AND QUASHED AND SET ASIDE IMPUGNED ORDERS PASSED BY WTM DATED 15/01/2020 AND PASSED BY AO DATED 30/01/2020. NO COSTS
|
| 68 |
|
|
UNI24 TECHNO SOLUTIONS PVT.LTD.
(PAN:AABCU2171N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF RUCHI SOYA INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-FEB-2013 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-FEB-2013 TILL FURTHER ORDERS
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
15-FEB-2013
DIRECTED TO DISGORGE RS.8,30,99,802 ALONG WITH OTHER ENTITIES/PERSONS
07-JUN-2016
|
SEBI VIDE ITS ORDER DATED 06/12/2013 REVOKED DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 15/02/2013
SEBI VIDE ITS ORDER DATED 07/06/2016 DIRECTED TO 1. IMPOUND UNLAWFUL GAINS OF RS.8,30,99,802 (GAIN OF RS.5,75,68,000 + INTEREST OF RS.2,55,31,802 FROM 28/09/2012 TO 07/06/2016), JOINTLY AND SEVERALLY FROM ALL THE DEFAULTERS 2. BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED. HOWEVER, CREDITS, IF ANY INTO THE ACCOUNTS MAY BE ALLOWED 3. NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME AMOUNTS ARE CREDITED TO AN ESCROW ACCOUNT CREATED SPECIFICALLY FOR PURPOSE IN A NATIONALIZED BANK. THE ESCROW ACCOUNT/S SHALL CREATE A LIEN IN FAVOUR OF SEBI AND THE MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI 4. PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR 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 14/09/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 07/06/2016 AND DIRECTED SEBI TO DEFREEZE ALL BANK ACCOUNTS AND DEMAT ACCOUNTS OF THE APPELLANTS FORTHWITH. TILL SEBI PASSES FRESH ORDER, THE BANK ACCOUNTS AND DEMAT ACCOUNTS OF THE APPELLANTS SHALL BE USED ONLY FOR THE PURPOSE OF CARRYING ON THE BUSINESS IN THE ORDINARY COURSE. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 09/03/2017 DIRECTED SEBI TO ISSUE COMPREHENSIVE SHOW-CAUSE NOTICES TO RESPECTIVE APPELLANTS WITHIN A PERIOD OF EIGHT WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
|
| 69 |
|
|
UNITED ENTERPRISES
(PAN:AKVPD3098G)
|
|
|
|
JIGAR RAMESHBHAI DAWADA
PAN:AKVPD3098G
|
|
AIDED AND ABETTED WITH ASMITA PATEL GLOBAL SCHOOL OF TRADING PVT.LTD. VIOLATING CLAUSES (A) TO (C) OF SECTION 12A OF SEBI ACT, 1992 READ WITH SUB-REGULATIONS (A) TO (D) OF REGULATION 3, SUB-REGULATION (1) OF REGULATION 4, CLAUSES (K), (O) AND (S) OF SUB-REGULATION 2 OF REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ASMITA PATEL GLOBAL SCHOOL OF TRADING PVT.LTD.
|
DIRECTED TO DISGORGE RS.53,67,46,384 ALONG WITH OTHER ENTITIES/PERSONS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-FEB-2025 TILL FURTHER ORDERS
DIRECTED TO OPEN FIXED DEPOSIT ACCOUNTS EITHER IN ANY NOTICEE’S NAME OR JOINTLY/SEVERALLY WITH LIEN MARK IN FAVOUR OF SEBI AND MONIES KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
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 BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
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, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED NOT TO COLLECT ANY MONEY AND/OR FEE FROM THE INVESTORS FROM 06-FEB-2025 TILL FURTHER ORDERS
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 06-FEB-2025 TILL FURTHER ORDERS
06-FEB-2025
|
|
| 70 |
|
|
VIRAJ MERCANTILE PVT.LTD.
(PAN:AADCV3852H)
|
|
|
|
ABHINANDAN RANKA
PAN:ATXPR8358Q
|
|
INDULGED IN FRONT RUNNING OF ORDERS/TRADES IN MATTER OF STERLING GROUP OF COMPANIES
|
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-DEC-2020 TO 17-DEC-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-DEC-2020 TO 17-DEC-2025
31-JUL-2015
|
SEBI VIDE ITS ORDER DATED 18/12/2020 DIRECTED A) NOT TO ACCESS SECURITIES MARKET OR BUY, SELL OR OTHERWISE DEAL IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY FOR FIVE YEARS FROM THE DATE OF THIS ORDER B) NOT TO LIQUIDATED EXISTING HOLDING OF SECURITIES INCLUDING UNITS OF MUTUAL FUNDS
SAT: SAT VIDE ITS ORDER DATED 05/07/2021 CONDONED THE DELAY OF 510 DAYS IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 27/08/2021 ALLOWED APPELLANTS THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 22/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 27/01/2022 CONDONED THE DELAY IN FILING OF APPEAL AND IN THE MEANWHILE RESPONDENT MAY FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 03/02/2022 CONDONED THE DELAY IN FILING OF APPEAL. IN THE MEANWHILE, RESPONDENT MAY FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 11/04/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER ONE WEEK THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 05/05/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 23/08/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 16/09/2022 DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS
SAT: SAT VIDE ITS ORDER DATED 30/10/2023 DISMISSED THE APPEAL. NO COSTS
|
| 71 |
|
|
VISA CAPITAL PARTNERS
(PAN:AAGFV6839A)
|
|
|
|
ANKIT JAJOO
PAN:AIZPJ2803R
|
|
|
PRIJESH ARUNKUMAR KURANI
PAN:AIQPK8093D
|
|
|
SHEEPRA SUMEET KABRA
PAN:ADOPJ3255B
|
|
|
SUMIT DESAI
PAN:ADQPD3744F
|
|
|
SURESH KANMAL JAJOO
PAN:AAFPJ0070J
|
|
|
VAIBHAV S.PANDYA
PAN:APPPP9112C
|
|
|
VIMLA S.JAJOO
PAN:ADAPJ8747J
|
|
|
VIRESH GANGARAM JOSHI
PAN:AAEPJ2694R
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INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF AXIS MUTUAL FUND
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PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS) DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 28-FEB-2023 UNTIL FURTHER ORDERS
DIRECTED AMOUNTS DEPOSITED IN ESCROW ACCOUNT AND SHARES RETAINED IN DEMAT ACCOUNT BE NOT WITHDRAWN WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
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, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO DISGORGE RS.14,07,03,341 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2023
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V-TECHWEB INDIA PVT.LTD.
(PAN:AABCV8267A)
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TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 12A (D) AND (E) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF DEEP INDUSTRIES LTD.
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DEEP INDUSTRIES LTD.
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DIRECTED TO DISGORGE RS.47,86,258
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
16-APR-2018
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WORTHY DISTRIBUTORS PVT.LTD.
(PAN:AABCW1572H)
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INDULGED IN FRONT RUNNING THE TRADES OF PNB METLIFE INDIA INSURANCE CO. AND INSTITUTIONAL CLIENTS OF INVESTEC AND MADE UNLAWFUL PROFITS VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DHANMATA REALTY PVT.LTD. AND OTHERS
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DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-DEC-2024 UNTIL FURTHER ORDERS
DIRECTED TO DISGORGE RS.21,15,78,005 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT AMOUNT OF UNLAWFUL GAINS IN INTEREST BEARING ESCROW ACCOUNT WITH NATIONALIZED BANK WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND THE AMOUNT KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
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, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO CEASE & DESIST FROM DIRECTLY OR INDIRECTLY, ENGAGED IN FRAUDULENT, MANIPULATIVE OR UNFAIR TRADE PRACTICE INCLUDING FRONT RUNNING ACTIVITIES FROM 20-DEC-2024 UNTIL FURTHER ORDERS
20-DEC-2024
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SAT: SAT VIDE ITS ORDER DATED 13/03/2025 DIRECTED TO A) APPELLANT TO DEPOSIT 50% OF RS.8.42 CRORE WITH SEBI WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND MAINTAIN BALANCE OF NOT LESS THAN RS.4.41 CRORE IN DEMAT ACCOUNT DURING PENDENCY OF ADJUDICATION PROCEEDING B) PERMITTED APPELLANT TO SELL SECURITIES TO THE EXTENT OF RS.4.41 CRORE C) FILE REPLY TO SHOW CAUSE NOTICE WITHIN FOUR WEEKS FROM DATE OF THIS ORDER E) STAYED IMPUGNED ORDER SUBJECT TO DEPOSIT 50% AMOUNT
SAT: SAT VIDE ITS ORDER DATED 17/04/2025 GRANTED TWO WEEKS FROM DATE OF THIS ORDER TO COMPLY WITH ORDER DATED 13/03/2025
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