| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 781 |
|
RAJIV KUMAR SINGH
(PAN:BZZPS6587H)
|
|
|
|
ELITE INVESTMENT ADVISORY SERVICES
PAN:BZZPS6587H
|
|
REPRESENTATIVES/EMPLOYEES DID NOT HAVE REQUISITE QUALIFICATION AND CERTIFICATION
DID NOT TAKE REGISTRATION AS NON-INDIVIDUAL INVESTMENT ADVISER DESPITE EXCEEDING THE LIMIT OF 150 CLIENTS
DID NOT PROVIDE BANK DETAILS AND STATEMENTS OF FAMILY MEMBERS, KNOW YOUR CLIENT FORMS OF CLIENTS AND DID NOT MAKE AGREEMENTS WITH VARIOUS OTHER CLIENTS
CHARGED EXTRA MONEY FROM CLIENTS/INVESTORS
DID NOT PROVIDE DOCUMENTED PROCESS FLOW AND DETAIL QUESTIONNAIRE FOR RISK PROFILING CLIENT
DID NOT MAKE DISCLOSURE OF MATERIAL INFORMATION TO CLIENTS
DID NOT MAINTAIN RECORDS OF COMMUNICATION WITH CLIENTS DURING RISK PROFILING AND SUITABILITY ASSESSMENT OF ADVICE/SELECTION OF ADVISORY PRODUCT/SERVICES
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
|
IMPOSED PENALTY RS.35,00,000 ALONG WITH OTHER ENTITIES/PERSONS
18-JUL-2025
|
SEBI VIDE ITS NOTICE DATED 10/02/2026 DIRECTED TO PAY RS.37,81,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 782 |
|
|
RAJIV RAMESHCHANDRA SHAH
|
|
|
|
CLASSIC CONSULTANCY
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.2,00,000
17-MAY-2005
|
SEBI VIDE ITS NOTICE DATED 02/01/2015 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 18/07/2023 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 02/01/2015
SEBI VIDE ITS ORDER DATED 18/07/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.533 OF 2015 DATED 02/01/2015
|
| 783 |
|
|
RAJKUMAR C.BASANTANI
(PAN:AESPB2834F)
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.5,00,000
28-APR-2006
|
SEBI VIDE ITS NOTICE DATED 24/02/2015 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 16/12/2025 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 24/02/2015
|
| 784 |
|
|
RAJKUMAR C.BASANTANI
(PAN:AESPB2834F)
|
|
|
|
SOUNDCRAFT INDUSTRIES LTD.
PAN:AABCS3556M
|
|
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
INDULGED IN PRICE MANIPULATION BY CIRCULAR AND STRUCTURED TRANSACTIONS IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-DEC-2008 TO 11-DEC-2013
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-DEC-2008 TO 11-DEC-2013
12-DEC-2008
|
|
| 785 |
|
|
RAJKUMAR C.BASANTANI
(PAN:AESPB2834F)
|
|
|
|
SOUNDCRAFT INDUSTRIES LTD.
PAN:AABCS3556M
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD.
|
IMPOSED PENALTY RS.5,00,000
30-MAR-2007
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 786 |
|
|
RAJKUMAR DINESH MASALIA
(PAN:AKNPM0248H)
|
|
|
|
CRESSANDA RAILWAY SOLUTIONS LTD.
PAN:AAACC1553F
|
|
INDULGED IN ALLOTMENT OF EQUITY SHARES UPON CONVERSION OF WARRANTS WITHOUT ACTUAL RECEIPT OF MONEY VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(C) AND 4(2)(F) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CRESSANDA RAILWAY SOLUTIONS LTD. (PREVIOUSLY KNOWN AS CRESSANDA SOLUTIONS LTD.)
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF CRESSANDA RAILWAY SOLUTIONS LTD. (PREVIOUSLY KNOWN AS CRESSANDA SOLUTIONS LTD.)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-OCT-2024 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-OCT-2024 UNTIL FURTHER ORDERS
RESTRAINED FROM ACTING AS DIRECTOR/KEY MANAGERIAL PERSONNEL OF ANY LISTED COMPANY OR SUBSIDIARY OR ANY COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY SEBI REGISTERED INTERMEDIARY FROM 11-OCT-2024 UNTIL FURTHER ORDERS
11-OCT-2024
|
SEBI VIDE ITS ORDER DATED 26/03/2025 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 11/10/2024
|
| 787 |
|
|
RAJKUMAR DINESH MASALIA
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION TO INVESTING AUTHORITY OF SEBI OF DEALINGS IN SCRIP OF ROBINSON WORLDWIDE TRADE LTD.
|
IMPOSED PENALTY RS.50,000
10-OCT-2007
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 11/07/2014 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 28/07/2014 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS/LOCKERS AND DEMAT ACCOUNTS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 11/07/2014
|
| 788 |
|
|
RAJNI M.PATEL
|
|
|
|
PARAGON INVESTMENTS PVT.LTD.
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.15,000
30-JUN-2005
|
|
| 789 |
|
|
RAJNI M.PATEL
|
|
|
|
PARAGON INVESTMENTS PVT.LTD.
|
|
INDULGED IN FICTITIOUS TRADING TO CREATE ARTIFICIAL MARKET/PRICE RISE WITHOUT INTENDING TO TRANSFER THE BENEFICIAL OWNERSHIP OF THE SHARES IN SCRIP OF AVINASH INFORMATION TECHNOLOGIES LTD. (FORMERLY MANGALYA EXPORTS LTD.)
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2006 TO 30-JAN-2007
31-JAN-2006
|
|
| 790 |
|
|
RAJNI M.PATEL
|
|
|
|
PARAGON INVESTMENTS PVT.LTD.
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.15,000
30-JUN-2005
|
|
| 791 |
|
|
RAJPUT VIKRAMSING JAGGUSINGH
|
|
|
DID NOT FURNISH NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF ALKA INDIA LTD.
AIDED AND ABETTED PROMOTERS/PROMOTER RELATED ENTITIES/PACS IN MISLEADING GENERAL INVESTORS THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA INDIA LTD.
|
IMPOSED PENALTY RS.3,00,000
25-FEB-2011
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 792 |
|
|
RAJU B.SHAH (AKA. ANIL HIRALAL SHAH)
|
|
|
DID NOT FURNISH INFORMATION AND REFUSED TO ACCEPT SUMMONS ISSUED FOR FURNISHING OF INFORMATION IN MATTER OF AVINASH INFORMATION TECHNOLOGY LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
03-MAR-2010
|
|
| 793 |
|
|
RAJU GHANSHYAMDAS SHAH
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND OFF-MARKET TRANSACTIONS IN SCRIP OF PARSOLI CORP.LTD.
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF PARSOLI CORP.LTD.
|
IMPOSED PENALTY RS.3,50,000
11-APR-2011
|
|
| 794 |
|
|
RAJU TANDON
(DIN:01637206)
|
|
|
DID NOT FURNISH INFORMATION IN RESPONSE TO SUMMONS ISSUED BY SEBI IN MATTER OF ORISSA SPONGE IRON & STEEL LTD.
|
IMPOSED PENALTY RS.1,00,000
30-JUN-2020
|
SEBI VIDE ITS NOTICE DATED 21/06/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS 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 ORDER DATED 19/07/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF MR.RAJU TANDON TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS NOTICE DATED 12/09/2022 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 12/06/2022
SEBI VIDE ITS ORDER DATED 12/09/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4254 OF 2021 DATED 09/11/2021
|
| 795 |
|
|
RAKESH BHATIA
(PAN:AHYPB7406Q)
|
|
|
|
BHARATIYA GLOBAL INFOMEDIA LTD.
CIN:L74999DL1994PLC062967
PAN:AABCB8175B
|
|
MIS-UTILIZED/DIVERTED IPO PROCEEDS OF RS.23.46 CRORE FOR THE PURPOSES AND/OR IN MANNER OTHER THAN THOSE DISCLOSED IN RHP/PROSPECTUS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
MIS-UTILIZED/DIVERTED IPO PROCEEDS OF RS.12.50 CRORE IN GRAB OF ICD INVESTMENTS IN THREE COMPANIES IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
MIS-UTILIZED/DIVERTED IPO PROCEEDS BY MAKING PAYMENTS TO PROMOTER/PROMOTER RELATED ENTITIES WITHOUT MAKING ANY DISCLOSURE IN RHP/PROSPECTUS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
MISUTILIZED/DIVERTED IPO PROCEEDS BY TRANSFERRING FUNDS TO TRADERS WHO INDULGED IN SYNCHRONIZED AND ARTIFICIAL TRADING ON THE DAY OF LISTING OF SHARES IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT PROVIDE INFORMATION RELATING TO ICD LOANS TAKEN PRIOR TO FILING OF RHP AND REPAID THE SAME WITHOUT MAKING ANY DISCLOSURE IN RHP/PROSPECTUS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT PROVIDE CORRECT INFORMATION OF TRANSACTIONS ENTERED INTO WITH VENDORS WHICH WERE PRE DECIDED IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT PROVIDE CORRECT DISCLOSURES RELATED TO PERCENTAGE OF PURCHASE ORDER PLACED IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT PROVIDE INFORMATION OF RELATED PARTY TRANSACTIONS WITH GADEO IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT CALL BACK RS.11.15 CRORE OUT OF PURPORTED ICD INVESTMENTS OF RS.12.50 CRORE AS DIRECTED VIDE SEBI ORDER DATED 28/12/2011 IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DISOBEYED SEBI’S ORDER BY NOT DEPOSITING UNUTILIZED IPO PROCEEDS AND ICD INVESTMENTS RECOVERED IN INTEREST BEARING ESCROW ACCOUNT AND MIS-UTILIZED AMOUNT SO RECOVERED IN GRAB OF WORKING CAPITAL REQUIREMENTS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
MISLED SEBI BY PROVIDING THREE DIFFERENT VERSIONS OF ICD, LOANS AND INVESTMENTS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
|
DIRECTED TO ENSURE COMPLIANCE OF DIRECTIONS OF CALL BACK OF RS.23.46 CRORES AND RS.11.15 CRORES
DIRECTED TO FURNISH COMPLIANCE REPORT TO SEBI DULY CERTIFIED BY INDEPENDENT SEBI REGISTERED MERCHANT BANKER WITHIN TWO WEEKS OF THE DATE OF COMPLIANCE
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-AUG-2014 TO 07-AUG-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-AUG-2014 TO 07-AUG-2019
08-AUG-2014
|
SAT: APPEAL ALLOWED TO BE WITHDRAWN WITH LIBERTY TO FILE FRESH APPEAL WITHIN A PERIOD OF TWO WEEKS FROM THE DATE OF THIS ORDER I.E. 18/09/2014
SAT: SAT VIDE ITS ORDER DATED 08/09/2016 PERMITTED APPELLANTS TO WITHDRAW THE APPEAL WITH LIBERTY TO FILE FRESH APPEAL ON OR BEFORE 18/11/2016 AS REQUESTED BY THE COUNSEL FOR APPELLANTS. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 20/11/2017 DISPOSED OFF THE APPEAL AS INFRUCTUOUS. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 19/10/2022 DISMISSED THE APPEAL
|
| 796 |
|
|
RAKESH DHINGRA
(PAN:AAHPD6226A)
|
|
|
|
UNITECH ADVISORS (INDIA) PVT.LTD.
PAN:AACCC5880D
|
|
DID NOT WIND UP SCHEMES AND DID NOT RETURN MONIES TO INVESTORS EVEN AFTER EXPIRY OF TENURE AS PER PRIVATE PLACEMENT MEMORANDUM
INVESTED CORPUS OF SCHEME IV IN ASSOCIATE COMPANIES
DID NOT REPORT ON QUARTERLY BASIS AS PRESCRIBED ON VENTURE CAPITAL ACTIVITY ON SEBI PORTAL WITHIN SEVEN DAYS FROM THE END OF CALENDAR QUARTER FOR QUARTERS ENDING
DID NOT PROVIDE INFORMATION TO SEBI
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT COMMUNICATE NAMES, DESIGNATION AND ADDRESSES (INCLUDING EMAIL ADDRESSES) OF ‘PRINCIPAL OFFICER’ AND ‘DESIGNATED DIRECTOR’, INCLUDING ANY CHANGES THEREIN TO THE OFFICE OF THE DIRECTOR-FIU
DID NOT CAPTURE KYC DETAILS OF CERTAIN CLIENTS IN ACCOUNT OPENING FORM AS SPECIFIED, VERIFIED/DOWNLOADED AND MAINTAINED CLIENTS DETAILS FROM THE SYSTEM OF KRA AND DID NOT OBTAIN REGISTRATION WITH KRA
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-DEC-2023 TILL THE COMPLETION OF WINDING UP THE SCHEMES
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-DEC-2023 TILL THE COMPLETION OF WINDING UP THE SCHEMES
29-DEC-2023
|
SAT: SAT VIDE ITS ORDER DATED 19/03/2024 DIRECTED RESPONDENT TO FILE REPLY INCLUDING ON STAY APPLICATION WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 02/04/2025 CONDONED THE DELAY IN FILING OF REPLY AND ALLOWED EXEMPTION APPLICATION
|
| 797 |
|
|
RAKESH DHINGRA
(PAN:AAHPD6226A)
|
|
|
|
UNITECH ADVISORS (INDIA) PVT.LTD.
PAN:AACCC5880D
|
|
DID NOT WIND UP SCHEMES AND DID NOT RETURN MONIES TO INVESTORS EVEN AFTER EXPIRY OF TENURE AS PER PRIVATE PLACEMENT MEMORANDUM
INVESTED CORPUS OF SCHEME IV IN ASSOCIATE COMPANIES
DID NOT REPORT ON QUARTERLY BASIS AS PRESCRIBED ON VENTURE CAPITAL ACTIVITY ON SEBI PORTAL WITHIN SEVEN DAYS FROM THE END OF CALENDAR QUARTER FOR QUARTERS ENDING
DID NOT PROVIDE INFORMATION TO SEBI
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT COMMUNICATE NAMES, DESIGNATION AND ADDRESSES (INCLUDING EMAIL ADDRESSES) OF ‘PRINCIPAL OFFICER’ AND ‘DESIGNATED DIRECTOR’, INCLUDING ANY CHANGES THEREIN TO THE OFFICE OF THE DIRECTOR-FIU
DID NOT CAPTURE KYC DETAILS OF CERTAIN CLIENTS IN ACCOUNT OPENING FORM AS SPECIFIED, VERIFIED/DOWNLOADED AND MAINTAINED CLIENTS DETAILS FROM THE SYSTEM OF KRA AND DID NOT OBTAIN REGISTRATION WITH KRA
|
DIRECTED NOT TO TAKE NEW ASSIGNMENTS AS TRUSTEE OF ALTERNATIVE INVESTMENT FUND OF ANY CATEGORY FROM 29-DEC-2023 TO 28-DEC-2024
RESTRAINED FROM ASSOCIATING DIRECTLY OR INDIRECTLY, WITH ANY REGISTERED INTERMEDIARIES INCLUDING SEBI REGISTERED FUNDS SUCH AS MUTUAL FUNDS, ALTERNATIVE INVESTMENT FUNDS, PORTFOLIO MANAGEMENT SERVICES ETC. WHICH DEAL WITH INVESTOR’S MONEY IN ANY MANNER FROM 29-DEC-2023 TO 28-DEC-2024
IMPOSED PENALTY RS.2,00,000
29-DEC-2023
|
SAT: SAT VIDE ITS ORDER DATED 19/03/2024 DIRECTED RESPONDENT TO FILE REPLY INCLUDING ON STAY APPLICATION WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 02/04/2025 CONDONED THE DELAY IN FILING OF REPLY AND ALLOWED THE EXEMPTION APPLICATION
SAT: SAT VIDE ITS ORDER DATED 07/10/2025 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.2 LAC EACH FROM RS.10 LAC EACH. NO COSTS
SEBI VIDE ITS NOTICE DATED 12/12/2025 DIRECTED TO PAY RS.2,51,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 02/01/2026 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
SEBI VIDE ITS NOTICE DATED 13/01/2026 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 02/01/2026
SEBI VIDE ITS ORDER DATED 13/01/2026 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.8968 OF 2025 DATED 12/12/2025
|
| 798 |
|
|
RAKESH MADAN NANDA
(PAN:AACPN2533P)
|
|
|
|
VISTAAR CAPITAL ADVISORS LTD.
PAN:AACCV6540K
|
|
DID NOT WINDUP SCHEME OF FUND ON EXPIRY OF TENURE/TERM
DID NOT MAINTAIN BOOKS OF ACCOUNT AND OTHER DOCUMENTS
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT SUBMIT REPORT TO SEBI
|
RESTRAINED FROM ASSOCIATING DIRECTLY OR INDIRECTLY, WITH ANY REGISTERED INTERMEDIARIES INCLUDING SEBI REGISTERED FUNDS SUCH AS MUTUAL FUNDS, ALTERNATIVE INVESTMENT FUNDS, PORTFOLIO MANAGEMENT SERVICES ETC. WHICH DEAL WITH INVESTOR’S MONEY IN ANY MANNER FROM 24-MAY-2023 TO 23-OCT-2023
24-APR-2023
|
|
| 799 |
|
|
RAKESH PARASMAL SINGHVI
(PAN:BCQPS0499L)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF INDO PACIFIC SOFTWARE & ENTERTAINMENT LTD.
|
IMPOSED PENALTY RS.3,50,000
19-OCT-2011
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 800 |
|
|
RAKESHBHAI K.PANDYA
(PAN:CUMPP3101K)
(Along with : HARSHA ISHVARBHAI SOLANKI,
SONALBEN AMITBHAI KHALAS,
BADAMILAL BANSHILAL GARG,
LATABEN NAROTAMBHAI RANGI,
FULABHAI BHITHOR,
JIGAR BHAILALBHAI KHALASH,
BHARGAVIBEN S.RAVAL,
BHAVESH POPATLAL RANGI,
MARVADI PARSOTAMBHAI,
MAHESH BHAI JAYANTILAL CHAUHAN,
VAIRAGI K.GANESHPURI)
|
|
|
|
BHAVESH ORTHO AIDS
PAN:BDMPR5701F
|
|
|
GANESH TRADING
PAN:DKSPG9993R
|
|
|
S R TRADERS
PAN:AHKPC1715D
|
|
|
S S TRADERS
PAN:AYHPM4047J
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION / DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF ANI INTEGRATED SERVICES LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
12-FEB-2026
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 40 of 57
|
