| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
AKSHAT ASHOK GUPTA
(PAN:AMYPG2411K)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SVC RESOURCES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF SVC RESOURCES LTD.
DID NOT MAKE 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 SVC RESOURCES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 3(1) READ WITH 3(3) OF SAST REGULATIONS, 2011 IN MATTER OF SVC RESOURCES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) AND 13(4A) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF SVC RESOURCES LTD.
|
IMPOSED PENALTY RS.3,80,000
31-JUL-2020
|
SEBI VIDE ITS NOTICE DATED 30/04/2021 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 19/05/2021 DIRECTED ALL THE BANKS TO REMIT RS.5,27,080.00 TO THE EXTENT LYING IN THE ACCOUNT OF AKSHAT ASHOK GUPTA BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS NOTICE DATED 14/01/2022 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 30/04/2021
SAT: SAT VIDE ITS ORDER DATED 09/06/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 31/07/2020. DIRECTED APPELLANTS TO APPEAR BEFORE THE AO ON 30/06/2022 AND DIRECTED AO TO DECIDE THE MATTER AFRESH WITHIN FOUR MONTHS AFTER THE REPLY RECEIVED
SEBI VIDE ITS ORDER DATED 30/11/2022 REDUCED PENALTY TO RS.3.80 LAC FROM RS.4.80 LAC U/S 15A(B) AND U/S 15H(II) OF SEBI ACT,1992 AND DIRECTED TO PAY WITHIN FORTY-FIVE DAYS FROM DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 12/04/2023 DIRECTED TO PAY RS.4,00,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 62 |
|
|
ALAKABEN KIRTIBHAI SHAH
(PAN:CPAPS2335R)
|
|
|
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 SMS TECHSOFT (INDIA) LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-NOV-2018
|
SEBI VIDE ITS NOTICE DATED 28/03/2022 DIRECTED TO PAY RS.7,01,055.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 22/06/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS, 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 ORDER DATED 11/11/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4580 OF 2022 DATED 28/03/2022
SEBI VIDE ITS NOTICE DATED 28/11/2025 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 22/06/2022
|
| 63 |
|
|
ALIDOSS TEJMAL
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF GEE GEE GRANITES LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-AUG-2014
|
SEBI VIDE ITS ORDER DATED 30/06/2017 IMPOSED A PENALTY OF RS.2,00,000.00 U/S 15A(B) PAYABLE JOINTLY AND SEVERALLY
|
| 64 |
|
|
ALKA SINGH
(PAN:APRPS5726D)
(Along with : KARAN SINGH,
GEETA SINGH)
|
|
|
|
CAMSON FARM PRODUCE PVT.LTD.
PAN:AAACR9470N
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF ACQUISITION OF SHARES OF CAMSON BIO TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-APR-2022
|
|
| 65 |
|
|
ALOK VIRAT SHAH
(PAN:APAPS8116G)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHREE SURGOVIND TRADELINK LTD.
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 SHREE SURGOVIND TRADELINK LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-DEC-2013
|
SAT: APPEAL DISMISSED. NO COSTS
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 66 |
|
|
ALOP CHATRUVEDI
(PAN:AYAPC9717A)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 3(1) AND 4 OF SAST REGULATIONS, 2011 IN MATTER OF SHREENATH INDUSTRIAL INVESTMENT CO.LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-MAY-2018
|
SEBI VIDE ITS ORDER DATED 20/01/2025 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 20/01/2025 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
SEBI VIDE ITS NOTICE DATED 20/01/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.2111 OF 2019 DATED 02/05/2019
|
| 67 |
|
|
AMAN ANAND ARYA
(PAN:AIPPA0705R)
(Along with : ANAND KUMAR ARYA,
INDU ANAND ARYA)
|
|
|
|
ANAND KUMAR ARYA (HUF)
PAN:AAMHA0324H
|
|
|
CRESSIDA TRADERS PVT.LTD.
PAN:AAACC2388J
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(1) AND 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF PREMIER SYNTHETICS LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-AUG-2018
|
|
| 68 |
|
|
AMAN BAID
(PAN:APVPB4547D)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SASTALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF KARMA INDUSTRIES LTD. REGULATIONS, 2011 IN MATTER OF BAID LEASING & FINANCE LTD.
|
IMPOSED PENALTY RS.1,00,000
06-JUL-2017
|
|
| 69 |
|
|
AMAR GALA
(PAN:AEIPG9529A)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SAST REGULATIONS, 2011 IN MATTER OF ENBEE TRADE & FINANCE LTD.
DID NOT DEPOSIT HUNDRED PERCENT OF CONSIDERATION PAYABLE UNDER OPEN OFFER IN ESCROW ACCOUNT AS REQUIRED UNDER REGULATION 24(1) OF SAST REGULATIONS, 2011 IN MATTER OF ENBEE TRADE & FINANCE LTD.
COMPLETED ACQUISITION OF SHARES OF TARGET COMPANY WITHOUT DEPOSITING HUNDRED PERCENT OF CONSIDERATION PAYABLE UNDER OPEN OFFER IN ESCROW ACCOUNT AS REQUIRED UNDER REGULATION 22(1) READ WITH 22(2) OF SAST REGULATIONS, 2011 IN MATTER OF ENBEE TRADE & FINANCE LTD.
|
IMPOSED PENALTY RS.25,00,000
26-JUL-2017
|
SAT: APPEAL DISMISSED. NO COSTS
|
| 70 |
|
|
AMARDEEP SINGH DAHIYA
(PAN:AANPD3910B)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) AND 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF POLO HOTELS LTD.
DID NOT MAKE 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 POLO HOTELS LTD.
|
IMPOSED PENALTY RS.2,00,000
28-FEB-2019
|
SEBI VIDE ITS NOTICE DATED 17/07/2019 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 02/08/2019 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 17/07/2019
|
| 71 |
|
|
AMARDEEP SINGH DAHIYA
(PAN:AANPD3910B)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED ON ACQUISITION OF PREFERENTIAL ALLOTMENT VIOLATING REGULATION 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF POLO HOTELS LTD.
DID NOT FILE REPORT PERTAINING TO ALLOTMENT OF EQUITY SHARES TO STOCK EXCHANGE AS REQUIRED UNDER REGULATION 10(6) OF SAST REGULATIONS, 2011 IN MATTER OF POLO HOTELS LTD.
|
IMPOSED PENALTY RS.35,00,000
29-NOV-2019
|
SEBI VIDE ITS NOTICE DATED 16/03/2021 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 NOTICE DATED 04/10/2024 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 16/03/2021
SEBI VIDE ITS ORDER DATED 04/10/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.3286 OF 2021 DATED 17/02/2021
|
| 72 |
|
|
AMBALAL CHIMANLAL PATEL
(PAN:AEHPP4248Q)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF KINTECH RENEWABLE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,96,414 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
02-JAN-2023
|
|
| 73 |
|
|
AMIR HAMZA HAKIM KHAN
(PAN:ASXPK2912L)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF FINALYSIS CREDIT & GUARANTEE CO.LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-FEB-2019
|
SEBI VIDE ITS NOTICE DATED 31/12/2019 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 30/03/2022 DIRECTED ALL THE BANKS TO REMIT RS.2,64,075.24 TO THE EXTENT LYING IN THE ACCOUNT OF MR.ABDUL ZAMEER HAKIM KHAN, MR.AMIR HAMZA HAKIM KHAN & MS.REHANA KHAN TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 74 |
|
|
AMIR HAMZA HAKIM KHAN
(PAN:ASXPK2912L)
(Along with : MOHAMMAD RAFI,
MOHD.SALIM KHAN,
ABDUL ZAMEER HAKIM KHAN,
TALAT WAHADATALI MOHAMAD,
REHANA KHAN)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT VIOLATING SECTION 12A(F) OF SEBI ACT, 1992 AND REQUIRED UNDER REGULATION 3(1) READ WITH 13 OF SAST REGULATIONS, 2011 IN MATTER OF FINALYSIS CREDIT & GURANTEE CO.LTD.
|
IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUN-2020
|
SAT: SAT VIDE ITS ORDER DATED 29/06/2021 CONDONED THE DELAY IN FILING OF APPEAL.IN THE MEANWHILE, RESPONDENT MAY FILE THE REPLY
SAT: SAT VIDE ITS ORDER DATED 01/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 28/09/2022 CONDONED THE DELAY OF 689 DAYS IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY TO THE DELAY APPLICATION AS WELL AS MEMORANDUM OF APPEAL WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 21/10/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 24/01/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 11/08/2023 DIRECTED TO PAY RS.27,61,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 07/09/2023 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 09/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.28,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
SAT: SAT VIDE ITS ORDER DATED 09/08/2024 DISMISSED THE APPEALS. NO COSTS
|
| 75 |
|
|
AMIR HAMZA HAKIM KHAN
(PAN:ASXPK2912L)
(Along with : MOHAMMAD RAFI,
SHAMSHAD BEGUM KHAN,
MOHD.SALIM KHAN,
ABDUL ZAMEER HAKIM KHAN,
TALAT WAHADATALI MOHAMAD,
REHANA KHAN)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1), 29(2) AND 29(3)(A) OF SAST REGULATIONS, 2011 IN MATTER OF FINALYSIS CREDIT & GUARANTEE CO.LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUN-2020
|
SAT: SAT VIDE ITS ORDER DATED 29/06/2021 CONDONED THE DELAY IN FILING OF APPEAL.IN THE MEANWHILE, RESPONDENT MAY FILE THE REPLY
SAT: SAT VIDE ITS ORDER DATED 01/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 28/09/2022 CONDONED THE DELAY OF 689 DAYS IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY TO THE DELAY APPLICATION AS WELL AS MEMORANDUM OF APPEAL WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 21/10/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 24/01/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 09/08/2023 DIRECTED TO PAY RS.13,81,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 07/09/2023 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 09/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.14,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SAT: SAT VIDE ITS ORDER DATED 09/08/2024 DISMISSED THE APPEALS. NO COSTS
|
| 76 |
|
|
AMISHA ATUL MAGANLAL HEMANI
(PAN:AAJPH1738F)
|
|
|
DID NOT MAKE DISCLOSURES OF RELEASE OF PLEDGE AND INVOCATION OF PLEDGE OF SHARES TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF OMNITECH INFOSOLUTIONS LTD.
DELAY IN MAKING DISCLOSURES OF CREATION OF PLEDGE AND INVOCATION OF PLEDGE OF SHARES TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF OMNITECH INFOSOLUTIONS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED REGULATIONS 13(4) AND 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF OMNITECH INFOSOLUTIONS LTD.
|
IMPOSED PENALTY RS.4,00,000
17-OCT-2022
|
SAT: SAT VIDE ITS ORDER DATED 19/12/2022 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS NOTICE DATED 12/04/2023 DIRECTED TO PAY RS.4,29,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 23/05/2023 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
|
| 77 |
|
|
AMIT BABBAR
(PAN:AGNPB2362F)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF VIKAS PROPPANT & GRANITE LTD.
AIDED AND ABETTED PROMOTERS AND DIRECTORS IN DEPLOYING FRAUDULENT SCHEME/DEVICE TO ALLOW TO DISPOSE-OFF THEIR LARGE QUANTITY OF SHARES OF VIKAS PROPPANT & GRANITE LTD. THROUGH THEIR RELATED/ASSOCIATED ENTITIES
|
IMPOSED PENALTY RS.6,00,000
20-MAR-2024
|
|
| 78 |
|
|
AMIT KOTIA
(PAN:EEKPK3112P)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SHREEKRISHNA INFRASTRUCTURE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
08-JAN-2026
|
|
| 79 |
|
|
AMIT SETHI
(PAN:ASQPK2789N)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PANKAJ PIYUSH TRADE & INVESTMENTS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF PANKAJ PIYUSH TRADE & INVESTMENTS LTD.
|
IMPOSED PENALTY RS.6,00,000
26-APR-2019
|
|
| 80 |
|
|
AMIT VALLABHBHAI GADHIYA
(PAN:AJTPG2291B)
|
|
|
DID NOT MAKE 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 AKSHAR SPINTEX LTD.
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IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-AUG-2024
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| 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 4 of 82
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