| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
ABHA JAIN
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ALKA SECURITIES LTD.
|
SUMMON ISSUED
09-DEC-2009
|
|
| 62 |
|
|
ABHA KATARUKA
(PAN:ABXPK3252E)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 63 |
|
|
ABHA MOHUNTA
(PAN:AAHPM9366N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
31-AUG-2021
|
|
| 64 |
|
|
ABHA RAJAK
(PAN:ADFPR2425N)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 65 |
|
|
ABHAY DATTATRAY JAVLEKAR
(PAN:ACVPJ4679B)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF GLOBAL SECURITIES LTD.
|
IMPOSED PENALTY RS.2,00,000
31-MAY-2022
|
|
| 66 |
|
|
ABHAY DATTATRAY JAVLEKAR
(PAN:ACVPJ4679B)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, SELF AND REVERSAL OF TRADES TRANSACTIONS IN SCRIP OF INCAP FINANCIAL SERVICES LTD.
|
DIRECTED TO DISGORGE RS.5,00,57,805
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
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 23-OCT-2019 TO 22-OCT-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-OCT-2019 TO 22-OCT-2022
20-OCT-2015
|
SEBI VIDE ITS ORDER DATED 23/10/2019 DIRECTED NOT TO ACCESS SECURITIES MARKET OR BUY, SELL OR OTHERWISE DEAL IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY FOR THREE YEARS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 10/08/2021 ALLOWED APPELLANTS THREE WEEKS TIME TO FILE REJOINDER TO THE AMENDMENT APPLICATION
SAT: SAT VIDE ITS ORDER DATED 29/03/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY OF THE AMENDED APPEAL AND APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 16/03/2023 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 15/10/2025 DISMISSED THE REVIEW APPLICATIONS. NO COSTS
|
| 67 |
|
|
ABHAY DATTATRAY JAVLEKAR
(PAN:ACVPJ4679B)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF INCAP FINANCIAL SERVICES LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10 AND 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF INCAP FINANCIAL SERVICES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF INCAP FINANCIAL SERVICES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, SELF-TRADES, REVERSAL OF TRADES AND OFF-MARKET TRANSACTIONS IN SCRIP OF INCAP FINANCIAL SERVICES LTD.
DID NOT SUBMIT DOCUMENTARY PROOF OF PAYMENT MADE OR RECEIPT OF CONSIDERATION BY COUNTERPARTY 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 INCAP FINANCIAL SERVICES LTD.
|
IMPOSED PENALTY RS.18,50,000
20-APR-2020
|
SEBI VIDE ITS NOTICE DATED 08/06/2021 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 10/05/2022 DIRECTED ALL THE BANKS TO REMIT RS.23,32,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.ABHAY DATTATRAY JAVLEKAR TO SEBI BY WAY OF EFT/NEFT/RTGS
SAT: SAT VIDE ITS ORDER DATED 30/10/2023 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 30/04/2020 MATTER REMITTED TO AO TO DECIDE THE MATTER AFRESH
SEBI VIDE ITS NOTICE DATED 01/11/2023 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 08/06/2021
|
| 68 |
|
|
ABHAY DATTATRAY JAVLEKAR
(PAN:ACVPJ4679B)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF GLOBAL SECURITIES LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 08-SEP-2020 TO 07-MAR-2021
08-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 09/07/2021 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 10/08/2021 ALLOWED APPELLANTS THREE WEEKS TIME TO FILE REJOINDER TO THE AMENDMENT APPLICATION
SAT: SAT VIDE ITS ORDER DATED 16/03/2023 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 18/10/2024 GRANTED APPELLANT THREE WEEKS TO FILE REPLY
|
| 69 |
|
|
ABHAY JHAJHARIA
(PAN:ACIPJ7077N)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 70 |
|
|
ABHAY KUMAR JAIN
(PAN:AAVPJ1893M)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 71 |
|
|
ABHAY KUMAR JAIN
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ALKA SECURITIES LTD.
|
SUMMON ISSUED
09-DEC-2009
|
|
| 72 |
|
|
ABHAY KUMAR MEHTA
(PAN:AFWPM5978E)
|
|
|
|
ABHAY KUMAR MEHTA (HUF)
PAN:AAKHA3564K
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF RODIUM REALTY LTD.
|
IMPOSED PENALTY RS.10,00,000
27-JUN-2014
|
SEBI VIDE ITS NOTICE DATED 11/04/2022 DIRECTED TO PAY RS.19,51,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 13/05/2022 DISMISSED THE APPEAL AS NOT PRESSED
SEBI VIDE ITS NOTICE DATED 01/06/2022 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
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 MR.ABHAY KUMAR MEHTA TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS ORDER DATED 03/08/2022 DIRECTED TO RELEASE RBL BANK ACCOUNT NO.300021101948 OF MR.ABHAY KUMAR MEHTA
SEBI VIDE ITS NOTICE DATED 14/09/2022 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 01/06/2022
SEBI VIDE ITS ORDER DATED 14/09/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4644 OF 2022 DATED 11/04/2022
|
| 73 |
|
|
ABHAY SHAH
|
|
|
|
RUDRA SECURITIES & CAPITAL LTD.
PAN:AACCR2292G
|
|
ACTED IN CONCERT WITH SARANG CHEMICALS GROUP AND OFF-LOADED SHARES OF SARANG CHEMICALS LTD. IN MARKET/OFF-MARKET WHEN COMPANY WAS MAKING FALSE/MISLEADING ANNOUNCEMENT
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAR-2010
|
|
| 74 |
|
|
ABHAY VERMA
(PAN:AANHA6503R)
|
|
|
|
ABHAY VERMA (HUF)
PAN:AANHA6503R
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-NOV-2021
|
|
| 75 |
|
|
ABHAYKUMAR PARASMAL BORA
(PAN:ADHPB4825G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 76 |
|
|
ABHAYKUMAR PARASMAL BORA
(PAN:ADHPB4825G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
IMPOSED PENALTY RS.25,000
30-JUN-2022
|
|
| 77 |
|
|
ABHAYRAJ RAMPHER SHUKLA
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS BY MATCHING ORDER QUANTITY, PRICE AND TIMINGS OF BUY AND SELL ORDERS IN SCRIP OF MILLENNIUM CYBERTECH LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-JAN-2006 TILL FURTHER ORDERS
24-JAN-2006
|
|
| 78 |
|
|
ABHAYRAJ RAMPHER SHUKLA
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF MILLENNIUM CYBERTECH LTD.
|
IMPOSED PENALTY RS.1,00,000
28-OCT-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: SAT VIDE ITS ORDER DATED 10/02/2015 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 28/10/2010 AND RESTORED THE MATTER TO THE FILE OF SEBI. NO COSTS
SEBI VIDE ITS NOTICE DATED 17/07/2014 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 ORDER DATED 16/05/2017 RE-IMPOSED PENALTY OF RS.1,00,000.00 U/S 15HA
SAT: APPEAL DISMISSED. NO COSTS
SEBI VIDE ITS NOTICE DATED 07/05/2019 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
SEBI VIDE ITS ORDER DATED 18/08/2020 DIRECTED ALL THE BANKS TO REMIT RS.1,30,829.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.ABHAYRAJ RAMPHER SHUKLA TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 79 |
|
|
ABHAYRAJ SHUKLA
(PAN:AABPS3909F)
|
|
|
DEALT IN FRAUDULENT MANNER IN SCRIP OF SARITA SOFTWARE & INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-JAN-2009 TO 13-JUL-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-JAN-2009 TO 13-JUL-2009
14-JAN-2009
|
|
| 80 |
|
|
ABHAYRAJ SHUKLA
(PAN:AABPS3909F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR/SYNCHRONIZED TRANSACTIONS IN SCRIP OF G.G.AUTOMOTIVE GEARS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-JUL-2010 TO 18-JUL-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUL-2010 TO 18-JUL-2012
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
19-JUL-2010
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 4 of 827
|
