| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 781 |
|
TIRUPATI ENTERPRISES
(PAN:AASPI4395Q)
|
|
|
|
MOHD.IDREES
PAN:AASPI4395Q
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF CONTINENTAL SEEDS & CHEMICALS LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF CONTINENTAL SEEDS & CHEMICALS LTD.
|
IMPOSED PENALTY RS.12,00,000 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
SEBI VIDE ITS NOTICE DATED 20/08/2025 DIRECTED TO PAY RS.13,21,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 07/05/2026 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 11/06/2026 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.14,41,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 782 |
|
|
TIRUPATI ENTERPRISES
(PAN:AASPI4395Q)
|
|
|
|
MOHD.IDREES
PAN:AASPI4395Q
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF CONTINENTAL SEEDS & CHEMICALS LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF CONTINENTAL SEEDS & CHEMICALS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-NOV-2024 TO 28-NOV-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-NOV-2024 TO 28-NOV-2025
DIRECTED TO DISGORGE RS.2,24,17,400 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
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
SEBI VIDE ITS NOTICE DATED 13/08/2025 DIRECTED TO PAY RS.3,72,76,530.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 06/05/2026 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 12/06/2026 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.3,95,02,068.40 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 783 |
|
|
TOP MEDIA ENTERTAINMENT LTD.
|
|
|
|
DEEP KUMAR BHANUPRASAD TRIVEDI
PAN:ABVPT2409C
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.10,00,000
19-SEP-2006
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE LEAVING PARTIES TO BEAR THEIR OWN COSTS
|
| 784 |
|
|
TOP TELEMEDIA LTD.
|
|
|
|
DEEP KUMAR BHANUPRASAD TRIVEDI
PAN:ABVPT2409C
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.10,00,000
19-SEP-2006
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE LEAVING PARTIES TO BEAR THEIR OWN COSTS
|
| 785 |
|
|
TOP TELEMEDIA LTD.
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.1,00,00,000
30-AUG-2006
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE WITH APPELLANT TO BEAR COST OF RS.1,00,000
|
| 786 |
|
|
TOP TELEMEDIA LTD.
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF TOP TELEMEDIA LTD.
|
IMPOSED PENALTY RS.1,00,000
27-AUG-2010
|
|
| 787 |
|
|
TOPCARE CONSTRUCTIONS PVT.LTD.
|
|
|
INDULGED IN OFF-MARKET TRANSACTIONS IN SCRIP OF BANK OF RAJASTHAN LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF BANK OF RAJASTHAN LTD.
|
IMPOSED PENALTY RS.8,00,000
14-FEB-2013
|
SAT: SAT VIDE ITS ORDER DATED 11/02/2014 UPHELD PENALTY IMPOSED UNDER SECTIONS 15HA, 15A (A) AND 15H(II) OF SEBI ACT.
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 23/03/2017 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 NOTICE DATED 07/11/2017 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
|
| 788 |
|
|
TOPCARE TRADING CO.PVT.LTD.
(CIN:145725)
|
|
|
INDULGED IN OFF-MARKET TRANSACTIONS IN SCRIP OF BANK OF RAJASTHAN LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF BANK OF RAJASTHAN LTD.
|
IMPOSED PENALTY RS.8,00,000
14-FEB-2013
|
SAT: SAT VIDE ITS ORDER DATED 11/02/2014 UPHELD PENALTY IMPOSED UNDER SECTIONS 15HA, 15A (A) AND 15H(II) OF SEBI ACT.
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 23/03/2017 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 NOTICE DATED 16/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.18,17,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 789 |
|
|
TOPLINE FABRICS PVT.LTD.
(PAN:AAACO7265J)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KALPA COMMERCIAL LTD.
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT/PARTIAL CONSIDERATION VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.G.S.R. 219(E) DATED 03/10/2013 AND SECTIONS 13 AND 18 OF SCRA, 1956 READ WITH SECTION 2(I) OF SEBI SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF KALPA COMMERCIAL LTD.
DID NOT PROVIDE INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF KALPA COMMERCIAL LTD.
|
IMPOSED PENALTY RS.9,00,000
24-NOV-2021
|
SEBI VIDE ITS ORDER DATED 09/09/2022 ENHANCED PENALTY FROM RS.4 LAC TO RS.5 LAC AND DIRECTED TO PAY ENHANCED PENALTY WITHIN FORTY FIVE DAYS FROM THE DATE OF COMING INTO FORCE OF THIS DIRECTIONS
SAT: SAT VIDE ITS ORDER DATED 30/09/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. IF APPELLANT DEPOSIT 50% OF AMOUNT PURSUANT TO IMPUGNED ORDER WITHIN FOUR WEEKS FROM DATE OF THIS ORDER, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 04/01/2023 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 07/02/2023 CONDONED THE DELAY IN FILING OF REPLY. ALLOWED AMENDMENT APPLICATION AND NECESSARY CORRECTION AND INCORPORATION BE CARRIED OUT WITHIN TWO WEEKS FROM DATE OF THIS ORDER. RESPONDENT TO FILE A REPLY OF AMENDED PARAGRAPHS WITHIN SAME PERIOD AND REJOINDER IF ANY, ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 02/03/2023 ALLOWED RESPONDENT FURTHER TWO WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 11/04/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 07/05/2024 DISMISSED THE APPEAL AS WITHDRAWN
SAT: SAT VIDE ITS ORDER DATED 12/05/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 07/10/2024 DIRECTED TO PAY RS.10,89,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 11/12/2024 DIRECTED TO PAY RS.1,29,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 15/01/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.8143 OF 2024 DATED 07/10/2024
SEBI VIDE ITS NOTICE DATED 15/01/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.8449 OF 2024 DATED 07/10/2024
|
| 790 |
|
|
TRADE INDIA RESEARCH
(PAN:BEHPG5479R)
|
|
|
|
NEHA GUPTA
PAN:BEHPG5479R
|
|
SOLD MULTIPLE PRODUCTS AND CHARGED UNREASONABLE FEES AND/OR SERVICE CHARGE
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
MISLED PROSPECTIVE CLIENTS THROUGH ITS WEBSITE
PROVIDED INVESTMENT ADVICE WITHOUT CONSENT OF THE CLIENTS
SOLD ADVISORY SERVICES PRIOR TO COMMUNICATION OF RISK PROFILE
DID NOT MAINTAIN RECORDS OF COMMUNICATION WITH CLIENTS DURING RISK PROFILING AND SUITABILITY ASSESSMENT OF ADVICE/SELECTION OF ADVISORY PRODUCT/SERVICES
REPRESENTATIVES/EMPLOYEES DID NOT HAVE REQUISITE QUALIFICATION AND CERTIFICATION
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT PROVIDE INFORMATION TO SEBI
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-AUG-2023
|
SEBI VIDE ITS NOTICE DATED 12/12/2023 DIRECTED TO PAY RS.26,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 791 |
|
|
TRADE MONEY RESEARCH
(PAN:AFWPY1505P)
|
|
|
|
PRIYANKA YADAV
PAN:AFWPY1505P
|
|
OBTAIN REGISTRATION FROM SEBI IN HER NAME BUT CARRIED OUT ITS RESEARCH ADVISORY SERVICES THROUGH MR.SANDEEP YADAV A PERSON DEBARRED BY SEBI FROM DEALING IN SECURITIES MARKET
CONCEALED THE FACT TO THE CLIENTS THAT THE OPERATIONS OF WERE BEING RUN BY A PERSON DEBARRED BY SEBI FROM SECURITIES MARKET’
DID NOT CONDUCT ANNUAL AUDIT FROM MEMBER OF ICAI/ICSI
DID NOT PROVIDE INFORMATION TO SEBI
|
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, WHATSOEVER INCLUDING BY UNDERTAKING EITHER DIRECTLY OR INDIRECTLY ANY ACTIVITY IN NATURE OF RESEARCH ANALYST SERVICES FROM 29-JUL-2025 TO 28-JUL-2027
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO SEND ELECTRONIC MAIL TO CLIENTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-JUL-2025
|
|
| 792 |
|
|
TRANSPOWER VYAPAR
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.30,000
19-MAY-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.1,00,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 793 |
|
|
TRICON BUSINESS PVT.LTD.
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF NAGESHWAR INVESTMENT LTD.
|
IMPOSED PENALTY RS.15,00,000
22-APR-2009
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
SAT: ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.3,00,000 FROM RS.15,00,000
|
| 794 |
|
|
TRULY CONSULTANCY SERVICES PVT.LTD.
|
|
|
|
GOPI CHAND BANSHAL
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF G.R.INDUSTRIES & FINANCE LTD.
|
IMPOSED PENALTY RS.2,00,000
28-MAR-2011
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 795 |
|
|
TRULY CONSULTANCY SERVICES PVT.LTD.
|
|
|
|
RAJENDRA BUBNA
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF G.R.INDUSTRIES & FINANCE LTD.
|
IMPOSED PENALTY RS.2,00,000
28-MAR-2011
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 796 |
|
|
TRUSTLINE SECURITIES LTD.
(PAN:AAACK1251G)
|
|
|
DID NOT MAINTAIN RECORDS IN RESPECT OF RECOMMENDATIONS/CALLS MADE THROUGH WHATSAPP/E-MAIL/TERMINAL
DID NOT MAINTAIN RECORDS IN RESPECT OF RECOMMENDATIONS MADE TO PUBLIC THROUGH MEDIA
EMPLOYED RESEARCH ANALYST WHO DID NOT HAVE QUALIFICATIONS/CERTIFICATION REQUIREMENTS
DID NOT SEGREGATE RESEARCH ANALYSTSACTIVITIES/OPERATIONS FROM OTHER BUSINESS/ACTIVITIES
DID NOT FRAME/ADOPT INTERNAL POLICIES AND CONTROL PROCEDURES GOVERNING DEALING AND TRADING BY RESEARCH ANALYSTS AND ENSURING MONITORING & APPROVAL OF TRADES OF ITS RESEARCH ANALYSTS
TRADED DURING PROHIBITED PERIOD AND CONTRARY TO RECOMMENDATIONS OF ITS OWN RESEARCH ANALYSTS
DID NOT MAKE NECESSARY DISCLOSURES IN RESEARCH REPORTS
DID NOT MAKE NECESSARY DISCLOSURES IN PUBLIC APPEARANCES
DID NOT OBTAIN SCORES AUTHENTICATION AND PUT IN PLACE A COMPLAINT REDRESSAL SYSTEM
DID NOT CONDUCT APPROPRIATE INTERNAL AUDIT
DID NOT CO-OPERATE AND FURNISHED FALSE INFORMATION
|
IMPOSED PENALTY RS.3,00,000
23-JUN-2022
|
|
| 797 |
|
|
TUSHAR (INDIA) PVT.LTD.
(CIN:U74899DL1985PTC022572
PAN:AABCT5830B)
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF DELTA LEASING & FINANCE LTD.
DELAY IN SETTLING TRANSACTIONS IN RESPECT OF SALE OF SHARES VIOLATING SECTIONS 13, 16 AND 18 OF SC(R)A READ WITH SEBI NOTIFICATION G.S.R.219(E) DATED 02/03/2000 & SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF DELTA LEASING & FINANCE LTD.
|
IMPOSED PENALTY RS.1,50,000
18-OCT-2022
|
SEBI VIDE ITS NOTICE DATED 20/04/2023 DIRECTED TO PAY RS.1,61,500.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 08/06/2023 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 12/07/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,66,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 798 |
|
|
TUSHAR COMMODITIES PVT.LTD.
(CIN:U51101DL2005PTC132136
PAN:AACCT2372F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KALPA COMMERCIAL LTD.
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT/PARTIAL CONSIDERATION VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.G.S.R. 219(E) DATED 03/10/2013 AND SECTIONS 13 AND 18 OF SCRA, 1956 READ WITH SECTION 2(I) OF SEBI SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF KALPA COMMERCIAL LTD.
DID NOT PROVIDE INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF KALPA COMMERCIAL LTD.
|
IMPOSED PENALTY RS.9,00,000
24-NOV-2021
|
SEBI VIDE ITS ORDER DATED 09/09/2022 ENHANCED PENALTY FROM RS.4 LAC TO RS.5 LAC AND DIRECTED TO PAY ENHANCED PENALTY WITHIN FORTY FIVE DAYS FROM THE DATE OF COMING INTO FORCE OF THIS DIRECTIONS
SAT: SAT VIDE ITS ORDER DATED 12/05/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 10/05/2023 DIRECTED TO PAY RS.1,10,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 10/05/2023 DIRECTED TO PAY RS.9,53,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 29/08/2023 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 05/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,15,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS NOTICE DATED 05/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.9,93,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 799 |
|
|
TUTIS TECHNOLOGIES LTD.
(PAN:AAACA7948L)
|
|
|
|
DILIPKUMAR CHANDULAL PAREKH
PAN:AACPP4242P
|
|
|
G.S.CHANDRASHEKAR
PAN:ACCPG6727C
|
|
DID NOT FURNISH INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF CORAL HUB LTD.
|
IMPOSED PENALTY RS.3,00,000
31-MAY-2022
|
|
| 800 |
|
|
TVC SHARES STOCK & INVESTMENT PVT.LTD.
(PAN:AAACT8706B)
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.25,00,000
22-JAN-2004
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.75,000 FROM RS.25,00,000
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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