| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
AARM FINSER INDIA LTD.
(PAN:AABCP0367K)
|
|
|
INDULGED IN DIVERSION OF IPO MONEY AND DID NOT DEPLOY IPO PROCEEDS FOR STATED OBJECTS OF ISSUE AS DISCLOSED IN PROSPECTUS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT. 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ACROPETAL TECHNOLOGY LTD.
|
IMPOSED PENALTY RS.2,00,000
31-MAR-2022
|
|
| 62 |
|
|
AARTI DRUGS LTD.
|
|
|
DID NOT ENSURE THAT PROMOTER OF COMPANY NOT TO TRADE IN ITS SHARES DURING THE PERIOD FROM DATE OF PASING BOARD RESOLUTION TO CLOSING OF OFFER VIOLATING REGULATION 19(1)(E) OF BUY-BACK REGULATIONS, 1998 READ WITH REGULATION 29 OF BUY-BACK REGULATIONS, 2018 IN MATTER OF AARTI DRUGS LTD.
|
IMPOSED PENALTY RS.1,00,000
24-JUN-2019
|
|
| 63 |
|
|
AARUSHI CONSULTANCY
|
|
|
|
MAHESHKUMAR HARIBHAI PATEL
|
|
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.50,000
31-MAY-2005
|
SAT: APPEAL DISMISSED
|
| 64 |
|
|
AASHI TRADERS
(PAN:ANCPV2725J)
|
|
|
|
VIJAY PRAKASH GUPTA
PAN:ANCPV2725J
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF CONTINENTAL SEEDS & CHEMICALS LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-NOV-2024
|
SAT: SAT VIDE ITS ORDER DATED 06/01/2025 GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER. STAYED IMPUGNED ORDER SUBJECT TO DEPOSIT OF 50% OF PENALTY AMOUNT WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND ALSO STAYED THE DIRECTION IN PARAGRAPH 129.4 SUBJECT TO DEPOSIT OF RS.50 LAC DISGORGEMENT AMOUNT WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 15/01/2025 GRANTED APPELLANTS TWO MORE WEEKS TO DEPOSIT AMOUNT AS DIRECTED ON 06/01/2025
SAT: SAT VIDE ITS ORDER DATED 05/03/2025 GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND APPELLANTS TO FILE REJOINDER TWO WEEKS THEREAFTER. STAYED THE DIRECTIONS CONTAINED IN PARAGRAPH 129.2, 129.3. 129.5 TO 129.11 OF IMPUGNED ORDER DATED 29/11/2024 SUBJECT TO DEPOSIT OF RS.25 LAC WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 19/03/2025 GRANTED APPELLANT FURTHER TWO WEEKS TO DEPOSIT
SAT: SAT VIDE ITS ORDER DATED 07/07/2025 GRANTED APPELLANT TWO WEEKS TO FILE REJOINDER
|
| 65 |
|
|
AASHISH DEVELOPER
(PAN:AAQFA3264Q)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF SAWACA BUSINESS MACHINES LTD.
|
IMPOSED PENALTY RS.1,00,000
27-APR-2022
|
SEBI VIDE ITS NOTICE DATED 27/07/2023 DIRECTED TO PAY RS.1,17,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 06/01/2026 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
|
| 66 |
|
|
AASHISH DEVELOPER
(PAN:AAQFA3264Q)
|
|
|
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 SAST REGULATIONS, 2011 IN MATTER OF SMS TECHSOFT (INDIA) LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SMS TECHSOFT (INDIA) LTD.
|
IMPOSED PENALTY RS.2,00,000
28-SEP-2018
|
SEBI VIDE ITS ORDER DATED 06/01/2026 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
|
| 67 |
|
|
AASTHA VINIMAY PVT.LTD.
|
|
|
DID NOT PROVIDE INFORMATION TO SEBI
MANIPULATED PRICE IN SCRIP OF SHARADRAJ TRADE FIN LTD.
|
IMPOSED PENALTY RS.25,000
31-MAY-2007
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 68 |
|
|
AAVIA BUILDTECH PVT.LTD.
(CIN:U45200DL2012PTC233798
PAN:AAKCA4090M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF JOLLY PLASTIC INDUSTRIES LTD.
|
IMPOSED PENALTY RS.5,00,000
30-APR-2020
|
|
| 69 |
|
|
AAVIA SOFTECH PVT.LTD.
(CIN:U72200DL2012PTC233674
PAN:AAKCA4089N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF JOLLY PLASTIC INDUSTRIES LTD.
|
IMPOSED PENALTY RS.5,00,000
30-APR-2020
|
|
| 70 |
|
|
AAYJAY CONSULTANTS & INVESTMENT PVT.LTD.
(PAN:AACCA0949F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
30-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 06/10/2021 ALLOWED A WEEK TIME TO FILE EXCEL SHEET
SAT: SAT VIDE ITS ORDER DATED 21/11/2022 DISPOSED OF THE APPEAL DIRECTING APPELLANT TO FILE APPROPRIATE APPLICATION FOR SETTLEMENT BEFORE THE AUTHORITY WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 71 |
|
|
AB INVESTMENTS
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
DID NOT UNPLEDGE AND RETURN SECURITIES TO CLIENTS UPON FULFILMENT OF PAY-IN-OBLIGATION
MADE UNAUTHORISED TRANSFER OF SHARES FROM CLIENT’S DEMAT ACCOUNTS
PROVIDED MISLEADING INFORMATION TO STOCK EXCHANGES
|
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 07-OCT-2019 TO 06-OCT-2024
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 07-OCT-2019 TO 06-OCT-2024
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR TO CREATE OR INVOKE OR RELEASE ANY INTEREST OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF NSE AND BSE
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 DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
IMPOSED PENALTY RS.10,00,000
07-OCT-2019
|
SEBI VIDE ITS ORDER DATED 11/01/2023 DIRECTED TO RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES EITHER DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR FIVE YEARS
SAT: SAT VIDE ITS ORDER DATED 29/03/2023 DIRECTED APPELLANTS TO FILE CERTIFIED COPY OF THE IMPUGNED ORDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER. RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER. FURTHER, DIRECTED APPELLANTS TO DEPOSIT 50% OF PENALTY WITHIN THREE WEEKS FROM DATE OF THIS ORDER. IF AMOUNT DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 12/05/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 04/07/2023 ALLOWED APPELLANTS FURTHER TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 03/08/2023 ALLOWED APPELLANT FURTHER A WEEK’S TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 04/10/2024 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 25/10/2024 DIRECTED TO PAY RS.12,21,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 18/11/2024 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
SAT: SAT VIDE ITS ORDER DATED 20/03/2025 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
SEBI VIDE ITS NOTICE DATED 17/06/2025 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 18/11/2024
SEBI VIDE ITS ORDER DATED 17/06/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.8245 OF 2024 DATED 25/10/2024
|
| 72 |
|
|
ABADHTA INFRASTRUCTURE PVT.LTD.
(CIN:U45400DL2010PTC207060
PAN:AAJCA0087F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF ERA INFRA ENGINEERING LTD.
|
IMPOSED PENALTY RS.10,000
28-JAN-2022
|
|
| 73 |
|
|
ABC ENTERPRISES
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.30,000
31-MAR-2005
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 18/06/2024 DIRECTED TO PAY RS.1,00,600.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 74 |
|
|
ABEE SHARES & STOCK INDIA PVT.LTD.
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING AS REQUIRED UNDER REGULATION 3(4) OF SEBI TAKEOVER CODE, 1997
|
IMPOSED PENALTY RS.40,000 ALONG WITH OTHER ENTITIES/PERSONS
27-OCT-2005
|
|
| 75 |
|
|
ABEE TELEVISIONS PVT.LTD.
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING AS REQUIRED UNDER REGULATION 3(4) OF SEBI TAKEOVER CODE, 1997
|
IMPOSED PENALTY RS.40,000 ALONG WITH OTHER ENTITIES/PERSONS
27-OCT-2005
|
|
| 76 |
|
|
ABG SHIPYARD LTD.
(PAN:AACCA2731P)
|
|
|
|
ARUN PATHAK
PAN:AAHPP6384P
|
|
|
DHANANJAY DATAR
PAN:AAGPD0957K
|
|
|
SYED ABDI
PAN:AIKPA0714H
|
|
MISLEAD STAKEHOLDER BY PUBLISHING FALSE AND MIS-STATED FINANCIAL RESULTS DURING FY.2008-14 VIOLATING CLAUSE 49(II) (C) TO (E) READ WITH CALUSES 41 AND 50 EQUITY LISTING AGREEMENT IN MATTER OF ABG SHIPYARD LTD.
WRONGLY CERTIFIED FINANCIAL STATEMENTS VIOLATING CLAUSE 49(II) (C) TO (E) READ WITH CALUSES 41 AND 50 EQUITY LISTING AGREEMENT IN MATTER OF ABG SHIPYARD LTD.
|
IMPOSED PENALTY RS.3,00,000
27-DEC-2019
|
|
| 77 |
|
|
ABHASA INFRASTRUCTURE PVT.LTD.
(CIN:U45200DL2010PTC207058
PAN:AAJCA0790P)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF ERA INFRA ENGINEERING LTD.
|
IMPOSED PENALTY RS.10,000
28-JAN-2022
|
|
| 78 |
|
|
ABHAY JAIN (HUF)
(PAN:AAGHA6530F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SULABH ENGINEERS & SERVICES LTD.
|
IMPOSED PENALTY RS.1,00,000
30-AUG-2022
|
SAT: SAT VIDE ITS ORDER DATED 05/01/2023 LIST THE ORDER ON 18/01/2023 AND IN THE MEANWHILE, RESPONDENT MAY FILE REPLY AND STAY APPLICATION WILL BE CONSIDERED ON NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 18/01/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 22/02/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 79 |
|
|
ABHAY KUMAR MEHTA (HUF)
(PAN:AAKHA3564K)
|
|
|
|
ABHAY KUMAR MEHTA
PAN:AFWPM5978E
|
|
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 ABHAY KUMAR MEHTA (HUF) TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS ORDER DATED 03/08/2022 DIRECTED TO RELEASE RBL BANK ACCOUNT NO.309017111195 OF ABHAY KUMAR MEHTA (HUF)
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.4645 OF 2022 DATED 11/04/2022
|
| 80 |
|
|
ABHAY VERMA (HUF)
(PAN:AANHA6503R)
|
|
|
|
ABHAY VERMA
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
|
SAT: SAT VIDE ITS ORDER DATED 17/11/2022 CONDONED THE DELAY IN FILING OF APPEAL AND DISPOSED OF THE APPEAL DIRECTING APPELLANT TO FILE APPROPRIATE APPLICATION FOR SETTLEMENT BEFORE THE AUTHORITY WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 4 of 387
|
