| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 781 |
|
SAROJ RATHI
(PAN:AASPS6006Q)
|
|
|
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ELECTROSTEEL CASTINGS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.45,50,000, DISGORGEMENT AMOUNT RS.2,90,300, INTEREST RS.1,19,023 VIDE CONSENT ORDER)
12-JUL-2024
|
|
| 782 |
|
|
SARVESH AGARWAL
(PAN:ACJPA0852D)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF TITAN CO.LTD.
|
IMPOSED PENALTY RS.1,00,000
19-AUG-2022
|
|
| 783 |
|
|
SATISH KOROGAPPA SHETTY
(PAN:AREPS1097E)
|
|
|
DID NOT FRAME AND IMPLEMENT CODE OF CONDUCT VIOLATING REGULATION 12(1) READ WITH CLAUSE 1.2 OF SCHEDULE I PART A OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ALEXANDER STAMPS & COIN LTD. (FORMERLY KNOWN AS RUDRAKSH CAP TECH LTD.)
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(2) AND 13(4) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ALEXANDER STAMPS & COIN LTD. (FORMERLY KNOWN AS RUDRAKSH CAP TECH LTD.)
|
IMPOSED PENALTY RS.5,00,000
29-APR-2020
|
|
| 784 |
|
|
SATISH KUMAR AGRAWAL
(PAN:ABBPA9216E)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SANWARIYA CONSUMER LTD. (EARLIER KNOWN AS SANWARIA AGRO OILS LTD.)
DID NOT OBTAIN PRE-CLEARANCE FOR TRADES VIOLATING CLAUSE 6 OF CODE OF CONDUCT READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SANWARIYA CONSUMER LTD. (EARLIER KNOWN AS SANWARIA AGRO OILS LTD.)
|
IMPOSED PENALTY RS.4,00,000
24-DEC-2021
|
SAT: SAT VIDE ITS ORDER DATED 30/11/2022 DISMISSED REVIEW APPLICATION
SEBI VIDE ITS NOTICE DATED 19/12/2023 DIRECTED TO PAY RS.1,26,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 16/02/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7485 OF 2023 DATED 19/12/2023
|
| 785 |
|
|
SATISH MEHTA
(PAN:AAXPM5948G)
|
|
|
|
ZF STEERING GEAR (INDIA) LTD.
PAN:AAACZ0549G
|
|
DID NOT MAKE DISCLOSURE OF INCOME TAX DEMAND OF RS.18.55 CRORES VIOLATING CLAUSES 2.1, 3.2 & 7.0 (II) OF CODE FOR CORPORATE DISCLOSURE PRACTICES FOR PREVENTION OF INSIDER TRADING SPECIFIED IN SCHEDULE II 12(2) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ZF STEERING (INDIA) LTD.
|
IMPOSED PENALTY RS.2,00,000
22-SEP-2017
|
|
| 786 |
|
|
SATISH R.SHAH
(PAN:ACBPS8940G)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SAWACA BUSINESS MACHINES LTD.
DELAY IN MAKING 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 (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SAWACA BUSINESS MACHINES LTD.
|
IMPOSED PENALTY RS.1,00,000
28-APR-2022
|
|
| 787 |
|
|
SATYANARAYANA MURTHY KARUTURI
(PAN:ACRPK5406D)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 4(1) READ WITH 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF APEX FROZEN FOODS LTD.
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 AND REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF APEX FROZEN FOODS LTD.
DID NOT OBTAIN PRE-CLEARANCE OF TRADES FROM COMPANY VIOLATING CLAUSE 6 OF MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY INSIDERS AS SPECIFIED IN SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF APEX FROZEN FOODS LTD.
|
IMPOSED PENALTY RS.11,00,000
28-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 05/10/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 29/11/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 15/12/2025 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 28/03/2023. NO COSTS
|
| 788 |
|
|
SATYANARAYANA MURTHY KARUTURI
(PAN:ACRPK5406D)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 4(1) READ WITH 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF APEX FROZEN FOODS LTD.
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 AND REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF APEX FROZEN FOODS LTD.
DID NOT OBTAIN PRE-CLEARANCE OF TRADES FROM COMPANY VIOLATING CLAUSE 6 OF MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY INSIDERS AS SPECIFIED IN SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF APEX FROZEN FOODS 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 28-MAR-2023 TO 27-MAR-2025
DIRECTED TO DISGORGE RS.14,62,875
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
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 NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
28-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 05/10/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 29/11/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 15/12/2025 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 28/03/2023. NO COSTS
|
| 789 |
|
|
SAUMIL KISHORE SHAH
(PAN:AAGPS6395E)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(2) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MAGMA FINCORP LTD. (NOW KNOWN AS POONAWALLA FINCORP LTD.)
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-SEP-2021 UNTIL FURTHER ORDERS
DIRECTED TO IMPOUND BANK ACCOUNTS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 15-SEP-2021 UNTIL FURTHER ORDERS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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 TO IMPOUND UNLAWFUL GAIN RS.1,76,03,579 ALONG WITH OTHER ENTITIES/PERSONS
15-SEP-2021
|
SEBI VIDE ITS ORDER DATED 28/03/2022 A) DIRECTED TO RESTRAINED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES DIRECTLY OR INDIRECTLY IN ANY MANNER, WHATSOEVER UNTIL FURTHER ORDERS AND DIRECTIONS ISSUED VIDE ITS INTERIM ORDER STAND MODIFIED TO THE EXTENT OF ALLOWING CREDIT AND DEBIT OF SECURITIES IN THE ACCOUNTSB) CLARIFIED THAT RESTRAINT RELATED TO BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN RESPECT OF PFL (MAGMA) WOULD NOT PROHIBIT THE CREDIT OF SHARES TO RECEIVED ON ACCOUNT OF STOCK OPTION, BONUS ETC. ISSUED BY THE COMPANYC) CLARIFIED THAT THE FUNDS DEPOSITED BY ENTITIES IN INTEREST BEARING ESCROW ACCOUNT WILL REMAIN IN SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS
SEBI VIDE ITS ORDER DATED 22/06/2023 REVOKED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD-INTERIM ORDER DATED 15/09/2021 AND CONFIRMATORY ORDER DATED 28/03/2022
|
| 790 |
|
|
SAUMIL KISHORE SHAH
(PAN:AAGPS6395E)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF POONAWALLA FINCORP LTD. (PREVIOUSLY KNOWN AS MAGMA FINCORP LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.39,00,000 VIDE CONSENT ORDER)
26-APR-2023
|
|
| 791 |
|
|
SAURABH MUKHERJE
(PAN:AOEPM2024E)
|
|
|
ALLEGED INDULGENCE IN COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 3(II) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF MANNAPURAM FINANCE LTD.
ALLEGED FAILURE IN MAINTAINING CONFIDENTIALITY OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 12(1)(E) OF SEBI (PIT) REGULATIONS, 1992 READ WITH CLAUSES 2.1 AND 2.2-1 OF CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR OTHER ENTITIES AS SPECIFIED IN PART B OF SCHEDULE I OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF MANNAPURAM FINANCE LTD.
ALLEGED INDULGENCE IN COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 READ WITH REGULATION 3(D) OF SEBI (PFUTP)) REGULATIONS, 2003 IN MATTER OF MANNAPURAM FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,37,70,000 VIDE CONSENT ORDER)
29-OCT-2020
|
|
| 792 |
|
|
SAURAV BANERJEE
(PAN:AFBPB0095C)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATIONS, 1992 AND REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF NEW DELHI TELEVISION LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-NOV-2020 TO 26-NOV-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-NOV-2020 TO 26-NOV-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
27-NOV-2020
|
SAT: SAT VIDE ITS ORDER DATED 22/09/2023 RESERVED THE ORDER. WRITTEN SUBMISSION, IF ANY, TO BE FILED WITHIN A WEEK FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 05/10/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 27/11/2020
|
| 793 |
|
|
SAVITA SATISH GOWDA
(PAN:AAOPM0195Q)
|
|
|
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION TO SUSPECTED ENTITIES VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 3(II) READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHARON BIO-MEDICAL LTD.
|
IMPOSED PENALTY RS.15,00,000
12-JUL-2023
|
SEBI VIDE ITS NOTICE DATED 17/11/2023 DIRECTED TO PAY RS.15,76,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 08/12/2023 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 03/01/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.16,06,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS NOTICE DATED 07/02/2024 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 08/12/2023
SEBI VIDE ITS ORDER DATED 07/02/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7381 OF 2023 DATED 17/11/2023
SAT: SAT VIDE ITS ORDER DATED 09/02/2024 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 22/02/2024 ALLOWED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND REJOINDER, IF ANY, TO BE FILED ON OR BEFORE NEXT DATE OF HEARING
SAT: SAT VIDE ITS ORDER DATED 18/03/2024 CONDONED THE DELAY IN 144 DAYS IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 14/05/2024 GRANTED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 05/08/2024 GRANTED APPELLANT FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 11/12/2024 GRANTED APPELLANT FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 10/02/2025 ALLOWED APPELLANTS EIGHT WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 29/04/2025 GRANTED TWO WEEKS TO FILE REJOINDER
|
| 794 |
|
|
SEEMA KHANDELWAL
(PAN:ANSPK6624M)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) AND 13(5B) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 DELTA LEASING & FINANCE LTD.
|
IMPOSED PENALTY RS.1,00,000
30-JUL-2021
|
SEBI VIDE ITS NOTICE DATED 16/11/2021 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 30/11/2021 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNT OF MS.SEEMA KHANDELWAL TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 795 |
|
|
SEMWAL GOVINDRAM DHANESH
(PAN:BCMPS3826B)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(2) AND 13(4) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ALEXANDER STAMPS & COIN LTD. (FORMERLY KNOWN AS RUDRAKSH CAP TECH LTD.)
DID NOT FRAME AND IMPLEMENT CODE OF CONDUCT VIOLATING REGULATION 12(1) READ WITH CLAUSE 1.2 OF SCHEDULE I PART A OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ALEXANDER STAMPS & COIN LTD. (FORMERLY KNOWN AS RUDRAKSH CAP TECH LTD.)
|
IMPOSED PENALTY RS.3,00,000
26-MAY-2020
|
|
| 796 |
|
|
SHAHID KHWAJA
(PAN:ATXPK3630J)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 2(E) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PALRED TECHNOLOGIES LTD.
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(I) & 3(II) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PALRED TECHNOLOGIES LTD.
|
DIRECTED TO DISGORGE RS.14,07,715
DIRECTED TO FREEZE ALL DEMAT ACCOUNTS WHEREIN EQUITY SHARES ALLOTTED UNDER PREFERENTIAL OFFER WERE LYING
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
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 13-AUG-2019 TO 12-AUG-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-AUG-2019 TO 12-AUG-2022
DIRECTED NOT TO ASSOCIATE WITH ANY LISTED COMPANY IN CAPACITY OF DIRECTOR OR OTHERWISE FROM 13-AUG-2019 TO 12-AUG-2022
04-FEB-2016
|
SEBI VIDE ITS ORDER DATED 13/08/2019 ALLOWED TO WITHDRAW THE DIFFERENCE BETWEEN AMOUNT DEPOSITED IN ESCROW ACCOUNTS OPENED PURSUANT TO DIRECTIONS PASSED IN INTERIM ORDER DATED 04/02/2016 AND RECOMPUTED AMOUNT OF DISGORGEMENT
SAT: SAT VIDE ITS ORDER DATED 15/06/2022 DISMISSED THE APPEAL. NO COSTS
|
| 797 |
|
|
SHAHID KHWAJA
(PAN:ATXPK3603J)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(I) & 3(II) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PALRED TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.2,00,000
02-SEP-2021
|
SAT: SAT VIDE ITS ORDER DATED 23/11/2021 DIRECTED APPELLANTS TO DEPOSIT RS.30 LAC ON OR BEFORE NEXT DATE BEFORE THE RESPONDENT. IF THE AMOUNT DEPOSITED, THE BALANCE AMOUNT SHALL NOT BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 15/06/2022 DISMISSED THE APPEAL. NO COSTS
|
| 798 |
|
|
SHAIK AMEER BASHA
(PAN:AEZPB3408A)
|
|
|
DID NOT FRAME CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING VIOLATING REGULATION 12(1) READ WITH CLAUSE 1.2 OF SCHEDULE I OF PART A OF MODEL CODE OF CONDUCT UNDER SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF EXELON INFRASTRUCTURE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(2) AND 13(4) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF EXELON INFRASTRUCTURE LTD.
|
IMPOSED PENALTY RS.6,00,000
28-JAN-2019
|
SEBI VIDE ITS NOTICE DATED 09/07/2019 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
|
| 799 |
|
|
SHAILESH HINGARH
(PAN:AAAPH3472K)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED REGULATIONS 7(1)(B) AND 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF HUBTOWN LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF HUBTOWN LTD.
|
IMPOSED PENALTY RS.2,00,000
30-JUN-2022
|
|
| 800 |
|
|
SHAILESHBHAI PARSHOTTAMBHAI BAVISHIYA
(PAN:AAUPP1539R)
|
|
|
DID NOT OBTAIN PRE-CLEARANCE OF OPPOSITE TRANSACTION EXECUTED WITHIN SIX MONTHS VIOLATING CLAUSE 3(A) OF CODE OF CONDUCT AS REQUIRED UNDER REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SIDDARTH BUSINESS LTD. (CURRENTLY KNOWN AS SHIVAMSHREE BUSINESS LTD.)
|
IMPOSED PENALTY RS.1,00,000
28-JAN-2020
|
|
| 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 40 of 50
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