| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 821 |
|
RANA GURJEET SINGH
(PAN:ADYPS5459E)
|
|
|
|
RANA SUGARS LTD.
PAN:AABCR6744C
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF RANA SUGAR LTD.
INDULGED IN SIPHONING OFF/DIVERSION OF FUNDS TO ITS PROMOTERS AND THEIR FAMILY MEMBERS THROUGH CONDUIT ENTITIES VIOLATING SECTIONS 12A(B) AND 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C), 3(D), 4(1), 4(2)(F) AND 4(2)(K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RANA SUGAR 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 27-AUG-2024 TO 26-AUG-2026
RESTRAINED FROM HOLDING OR OCCUPYING POSITION AS DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY FROM 27-AUG-2024 TO 26-AUG-2026
IMPOSED PENALTY RS.4,00,00,000
27-AUG-2024
|
SAT: SAT VIDE ITS ORDER DATED 06/03/2025 DIRECTED SEBI TO FILE REPLY WITHIN FOUR WEEKS AND REJOINDER, IF ANY, TO BE FILED TWO WEEKS THEREAFTER. IN THE MEANWHILE, SEBI NOT TO INITIATE ANY COERCIVE ACTION AGAINST APPELLANTS
|
| 822 |
|
|
RANA INDER PRATAP SINGH
(PAN:AVNPS6106M)
|
|
|
|
RANA SUGARS LTD.
PAN:AABCR6744C
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF RANA SUGAR LTD.
INDULGED IN SIPHONING OFF/DIVERSION OF FUNDS TO ITS PROMOTERS AND THEIR FAMILY MEMBERS THROUGH CONDUIT ENTITIES VIOLATING SECTIONS 12A(B) AND 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C), 3(D), 4(1), 4(2)(F) AND 4(2)(K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RANA SUGAR LTD.
INDULGED IN SIPHONING OFF/DIVERSION OF FUNDS TO PROMOTERS AND THEIR FAMILY MEMBERS THROUGH CONDUIT ENTITIES VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E), 4(1)(G), 4(1)(H), 4(1)(J), 4(2)(E)(I), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTIONS 27(1) AND 27(2) OF SEBI ACT, 1992 IN MATTER OF RANA SUGAR 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 27-AUG-2024 TO 26-AUG-2026
RESTRAINED FROM HOLDING OR OCCUPYING POSITION AS DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY FROM 27-AUG-2024 TO 26-AUG-2026
DIRECTED TO EXTEND ALL NECESSARY ASSISTANCE AND AUTHORIZATION TO LAW FIRM
IMPOSED PENALTY RS.9,00,00,000
27-AUG-2024
|
SAT: SAT VIDE ITS ORDER DATED 06/03/2025 DIRECTED SEBI TO FILE REPLY WITHIN FOUR WEEKS AND REJOINDER, IF ANY, TO BE FILED TWO WEEKS THEREAFTER. IN THE MEANWHILE, SEBI NOT TO INITIATE ANY COERCIVE ACTION AGAINST APPELLANTS
|
| 823 |
|
|
RANA KARAN PARTAP SINGH
(PAN:BKYPS5096P)
|
|
|
|
RANA SUGARS LTD.
PAN:AABCR6744C
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF RANA SUGAR LTD.
INDULGED IN SIPHONING OFF/DIVERSION OF FUNDS TO ITS PROMOTERS AND THEIR FAMILY MEMBERS THROUGH CONDUIT ENTITIES VIOLATING SECTIONS 12A(B) AND 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C), 3(D), 4(1), 4(2)(F) AND 4(2)(K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RANA SUGAR 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 27-AUG-2024 TO 26-AUG-2026
RESTRAINED FROM HOLDING OR OCCUPYING POSITION AS DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY FROM 27-AUG-2024 TO 26-AUG-2026
IMPOSED PENALTY RS.4,00,00,000
27-AUG-2024
|
SAT: SAT VIDE ITS ORDER DATED 06/03/2025 DIRECTED SEBI TO FILE REPLY WITHIN FOUR WEEKS AND REJOINDER, IF ANY, TO BE FILED TWO WEEKS THEREAFTER. IN THE MEANWHILE, SEBI NOT TO INITIATE ANY COERCIVE ACTION AGAINST APPELLANTS
|
| 824 |
|
|
RANA RANJIT SINGH
(PAN:ADXPS5464N)
|
|
|
|
RANA SUGARS LTD.
PAN:AABCR6744C
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF RANA SUGAR LTD.
INDULGED IN SIPHONING OFF/DIVERSION OF FUNDS TO ITS PROMOTERS AND THEIR FAMILY MEMBERS THROUGH CONDUIT ENTITIES VIOLATING SECTIONS 12A(B) AND 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C), 3(D), 4(1), 4(2)(F) AND 4(2)(K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RANA SUGAR LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS IN ANNUAL REPORTS VIOLATING REGULATIONS 4(1)(C) AND 4(1)(E) AOF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27(2) OF SEBI ACT, 1992 IN MATTER OF RANA SUGAR 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 27-AUG-2024 TO 26-AUG-2026
RESTRAINED FROM HOLDING OR OCCUPYING POSITION AS DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY FROM 27-AUG-2024 TO 26-AUG-2026
DIRECTED TO EXTEND ALL NECESSARY ASSISTANCE AND AUTHORIZATION TO LAW FIRM
IMPOSED PENALTY RS.5,00,00,000
27-AUG-2024
|
SAT: SAT VIDE ITS ORDER DATED 06/03/2025 DIRECTED SEBI TO FILE REPLY WITHIN FOUR WEEKS AND REJOINDER, IF ANY, TO BE FILED TWO WEEKS THEREAFTER. IN THE MEANWHILE, SEBI NOT TO INITIATE ANY COERCIVE ACTION AGAINST APPELLANTS
|
| 825 |
|
|
RANA VEER PRATAP SINGH
(PAN:BAFPS9170M)
|
|
|
|
RANA SUGARS LTD.
PAN:AABCR6744C
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF RANA SUGAR LTD.
INDULGED IN SIPHONING OFF/DIVERSION OF FUNDS TO ITS PROMOTERS AND THEIR FAMILY MEMBERS THROUGH CONDUIT ENTITIES VIOLATING SECTIONS 12A(B) AND 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C), 3(D), 4(1), 4(2)(F) AND 4(2)(K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RANA SUGAR LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS IN ANNUAL REPORTS VIOLATING REGULATIONS 4(1)(C) AND 4(1)(E) AOF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27(2) OF SEBI ACT, 1992 IN MATTER OF RANA SUGAR 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 27-AUG-2024 TO 26-AUG-2026
RESTRAINED FROM HOLDING OR OCCUPYING POSITION AS DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY FROM 27-AUG-2024 TO 26-AUG-2026
DIRECTED TO EXTEND ALL NECESSARY ASSISTANCE AND AUTHORIZATION TO LAW FIRM
IMPOSED PENALTY RS.5,00,00,000
27-AUG-2024
|
SAT: SAT VIDE ITS ORDER DATED 06/03/2025 DIRECTED SEBI TO FILE REPLY WITHIN FOUR WEEKS AND REJOINDER, IF ANY, TO BE FILED TWO WEEKS THEREAFTER. IN THE MEANWHILE, SEBI NOT TO INITIATE ANY COERCIVE ACTION AGAINST APPELLANTS
|
| 826 |
|
|
RANVIJAY PRATAP SINGH BAGHEL
(PAN:ATTPB8254D)
|
|
|
DID NOT FURNISH REQUISITE INFORMATION DURING INVESTIGATION
|
IMPOSED PENALTY RS.2,00,000
29-OCT-2020
|
|
| 827 |
|
|
RASHEED QUAMAR
(DIN:03116801)
|
|
|
|
INDUS WEIR INDUSTRIES LTD.
PAN:AACCI4265N
CIN:U15410DL2010PLC207057
|
|
MOBILIZED FUNDS OF RS.33.40 CRORE THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 32,454 INVESTORS VIOLATING SECTIONS 67(3), 73(2), 73(3), 56(1), 56(3) AND 60 READ WITH SECTION 2(36) OF THE COMPANIES ACT, 1956
MOBILIZED FUNDS OF RS.33.40 CRORE THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 32,454 INVESTORS VIOLATING REGULATION 16(1) OF SEBI (ISSUE AND LISTING OF NCRPS) REGULATIONS, 2013
DID NOT MAKE APPLICATION FOR LISTING UNDER SECTION 73(1) OF COMPANIES ACT, 1956
DID NOT PROVIDE CORRECT STATUS OF REFUND DONE TO INVESTORS
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 08-MAY-2024 TO 07-MAY-2027
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-MAY-2024 TO 07-MAY-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-MAY-2024 TO 07-MAY-2027
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 PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 08-MAY-2024 TO 07-MAY-2027
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 08-MAY-2024 TO 07-MAY-2027
DIRECTED TO PROVIDE COMPLETE DETAILS OF ALL RPS OR ANY OTHER SECURITIES ISSUED BY COMPANY AFTER 31/07/2013
DIRECTED TO PROVIDE COMPLETE DETAILS OF ALL REFUNDS MADE TO INVESTORS IN RESPECT OF OFFER AND ALLOTMENT OF RPS
25-MAY-2023
|
SEBI VIDE ITS ORDER DATED 08/05/2024 DIRECTED TO A) RESTRAINED FROM DIRECTLY OR INDIRECTLY, ACCESSING CAPITAL MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR THREE YEARS FROM DATE OF THIS ORDER B) DURING PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING MUTUAL FUNDS UNITS TO REMAIN FROZEN
|
| 828 |
|
|
RATNESH KUMAR PANDEY
(DIN:03612113)
|
|
|
|
INDUS WEIR INDUSTRIES LTD.
PAN:AACCI4265N
CIN:U15410DL2010PLC207057
|
|
MOBILIZED FUNDS OF RS.33.40 CRORE THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 32,454 INVESTORS VIOLATING SECTIONS 67(3), 73(2), 73(3), 56(1), 56(3) AND 60 READ WITH SECTION 2(36) OF THE COMPANIES ACT, 1956
MOBILIZED FUNDS OF RS.33.40 CRORE THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 32,454 INVESTORS VIOLATING REGULATION 16(1) OF SEBI (ISSUE AND LISTING OF NCRPS) REGULATIONS, 2013
DID NOT MAKE APPLICATION FOR LISTING UNDER SECTION 73(1) OF COMPANIES ACT, 1956
DID NOT PROVIDE CORRECT STATUS OF REFUND DONE TO INVESTORS
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 25-MAY-2023 TILL FURTHER ORDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2023 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2023 TILL FURTHER ORDERS
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 PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 25-MAY-2023 TILL FURTHER ORDERS
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 25-MAY-2023 TILL FURTHER ORDERS
DIRECTED TO PROVIDE COMPLETE DETAILS OF ALL RPS OR ANY OTHER SECURITIES ISSUED BY COMPANY AFTER 31/07/2013
DIRECTED TO PROVIDE COMPLETE DETAILS OF ALL REFUNDS MADE TO INVESTORS IN RESPECT OF OFFER AND ALLOTMENT OF RPS
25-MAY-2023
|
SEBI VIDE ITS ORDER DATED 08/05/2024 REVOKED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 25/05/2023
|
| 829 |
|
|
RAVI PANCHAL
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED TO PROVIDE INFORMATION AND TO APPEAR IN PERSON IN MATTER OF FAST TRACK ENTERTAINMANT LTD.
|
IMPOSED PENALTY RS.1,00,000
26-OCT-2010
|
SEBI VIDE ITS NOTICE DATED 16/07/2014 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 22/08/2014 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 16/07/2014
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 830 |
|
|
RAVI RAJIV KOTIA
(PAN:AUEPK3142K)
|
|
|
|
SUNGOLD CAPITAL LTD.
PAN:AAJCS0998M
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF SUNGOLD CAPITAL LTD.
|
IMPOSED PENALTY RS.1,00,000
19-JUL-2017
|
SAT: SAT VIDE ITS ORDER DATED 02/07/2019 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.1 LAC EACH FROM RS.2 LACS EACH AND DIRECTED TO PAY WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 831 |
|
|
RAVI SHANKER DUBEY
(DIN:00097186
PAN:ACYPD4274D)
(Along with : SUBRATA ROY SAHARA,
ASHOK ROY CHOUDHARY,
VANDANA BHARRGAVA)
|
|
|
|
SAHARA INDIA REAL ESTATE CORP.LTD.
PAN:AAJCS7265F
|
|
RAISED MONEY BY ISSUING OPTIONALLY FULLY CONVERTIBLE DEBENTURES (OFCDS) WITHOUT FOLLOWING VARIOUS PROCEDURES VIOLATING CLAUSES 2.1.1, 2.1.4, 2.1.5, 2.2, 2.5, 2.8, 4.11, 4.14, 5.3.1, 5.6.2, 6 TO 6.15, 8.8.1, 8.17, 10 TO 10.6 AND 10.9 OF DIP GUIDELINES READ WITH REGULATIONS 4(2), 5(1), 5(7), 6, 7, 16(1), 20(1), 25, 26, 36, 37, 46 AND 57 OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF SAHARA INDIA REAL ESTATE CORP.LTD. AND SAHARA HOUSING INVESTMENT CORP.LTD.
MADE UNTRUE STATEMENTS AND MIS-STATEMENTS IN RED HERRING PROSPECTUS (RHP) BY MISLEAD/INDUCE TO INVESTORS INTO SUBSCRIBING TO OPTIONALLY FULLY CONVERTIBLE DEBENTURES (OFCDS) VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SAHARA INDIA REAL ESTATE CORP.LTD. AND SAHARA HOUSING INVESTMENT CORP.LTD.
DID NOT PROVIDE INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF SAHARA INDIA REAL ESTATE CORP.LTD. AND SAHARA HOUSING INVESTMENT CORP.LTD.
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.6,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-JUN-2022
|
SEBI VIDE ITS NOTICE DATED 07/12/2022 DIRECTED TO PAY RS.6,42,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 26/12/2022 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 28/03/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6098 OF 2022 DATED 07/12/2022
SEBI VIDE ITS NOTICE DATED 06/04/2023 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 26/12/2022
|
| 832 |
|
|
RAVI SHANKER DUBEY
(DIN:00097186
PAN:ACYPD4274D)
(Along with : SUBRATA ROY SAHARA,
ASHOK ROY CHOUDHARY,
VANDANA BHARRGAVA)
|
|
|
|
SAHARA HOUSING INVESTMENT CORP.LTD.
PAN:AAJCS4101J
|
|
RAISED MONEY THROUGH PUBLIC ISSUE OF SECURITIES BY ISSUING OPTIONALLY FULLY CONVERTIBLE DEBENTURES (OFCDS) WITHOUT FOLLOWING VARIOUS PROCEDURES VIOLATING REGULATIONS 4(2), 5(1), 5(7), 6, 7, 16(1), 20(1), 25, 26, 36, 37, 46 AND 57 OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF SAHARA INDIA REAL ESTATE CORP.LTD. AND SAHARA HOUSING INVESTMENT CORP.LTD.
MADE UNTRUE STATEMENTS AND MIS-STATEMENTS IN RED HERRING PROSPECTUS (RHP) BY MISLEAD/INDUCE TO INVESTORS INTO SUBSCRIBING TO OPTIONALLY FULLY CONVERTIBLE DEBENTURES (OFCDS) VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SAHARA INDIA REAL ESTATE CORP.LTD. AND SAHARA HOUSING INVESTMENT CORP.LTD.
DID NOT PROVIDE INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF SAHARA INDIA REAL ESTATE CORP.LTD. AND SAHARA HOUSING INVESTMENT CORP.LTD.
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.6,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-JUN-2022
|
SEBI VIDE ITS NOTICE DATED 12/01/2023 DIRECTED TO PAY RS.6,48,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 01/02/2023 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 ORDER DATED 06/04/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6210 OF 2023 DATED 12/01/2023
SEBI VIDE ITS NOTICE DATED 06/04/2023 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 01/02/2023
|
| 833 |
|
|
RAVINDER DESHPANDE
(PAN:AGOPD8942N)
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF EXELON INFRASTRUCTURE LTD.
|
IMPOSED PENALTY RS.2,00,000
23-AUG-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 12/07/2018 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
SAT: SAT VIDE ITS ORDER DATED 31/08/2021 CONDONED THE DELAY OF 1377 DAYS IN FILING THE APPEAL AND DISMISSED THE APPEAL
SEBI VIDE ITS ORDER DATED 18/10/2021 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 12/07/2018
|
| 834 |
|
|
RENU JINDAL
(PAN:ADDPJ7206K)
|
|
|
DID NOT FURNISH BANK STATEMENTS/CASH RECEIPT/SHARE BILL IN RESPECT OF TRANSACTIONS IN MATTER OF DELTA LEASING & FINANCE LTD.
|
IMPOSED PENALTY RS.1,00,000
29-SEP-2022
|
SEBI VIDE ITS NOTICE DATED 26/06/2023 DIRECTED TO PAY RS.1,11,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 04/08/2023 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 05/09/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,14,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 835 |
|
|
RIMA SRIVASTAVA
(PAN:AECPS3267F)
|
|
|
PROVIDED FALSE/MISLEADING INFORMATION TO SEBI DURING INVESTIGATION IN MATTER OF NSE CO-LOCATION AND CORPORATE GOVERNANCE
|
IMPOSED PENALTY RS.10,00,000
28-JUN-2022
|
SAT: SAT VIDE ITS ORDER DATED 30/09/2022 DIRECTED RESPONDENT TO REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 14/12/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 28/06/2022
|
| 836 |
|
|
RINA A.SHAH
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.20,000
30-JUN-2005
|
INCLUDED IN SEBI LIST DATED 31/03/2011, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 01/01/2015 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
|
| 837 |
|
|
RINA KUMARI SINGH
(PAN:BTNPD2312R)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION / DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF EROS INTERNATIONAL MEDIA LTD.
|
IMPOSED PENALTY RS.12,00,000
29-OCT-2024
|
SEBI VIDE ITS NOTICE DATED 14/01/2025 DIRECTED TO PAY RS.12,49,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 06/02/2025 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
SAT: SAT VIDE ITS ORDER DATED 21/04/2025 CONDONED THE DELAY OF 91 DAYS IN FILING OF APPEAL AND REJOINDER, IF ANY, BE FILE WITHIN TWO WEEKS THEREAFTER
|
| 838 |
|
|
RINKAL K.JAIN
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF E.STAR INFOTECH LTD.
|
IMPOSED PENALTY RS.50,000
07-JUN-2012
|
|
| 839 |
|
|
RITESH KUMAR THAKKAR
(PAN:BOKPT7518D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONISED AND CIRCULAR TRADES IN SCRIP OF BEST AGROLIFE LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF BEST AGROLIFE LTD.
|
IMPOSED PENALTY RS.6,00,000
03-APR-2024
|
SEBI VIDE ITS NOTICE DATED 24/10/2024 DIRECTED TO PAY RS.6,43,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 11/12/2024 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
SEBI VIDE ITS NOTICE DATED 13/02/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.6,67,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 840 |
|
|
RITU RAHUL MEHTA
(PAN:BMCPS7297E)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONISED AND CIRCULAR TRADES IN SCRIP OF BEST AGROLIFE LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF BEST AGROLIFE LTD.
|
IMPOSED PENALTY RS.9,00,000
03-APR-2024
|
SEBI VIDE ITS NOTICE DATED 18/10/2024 DIRECTED TO PAY RS.9,64,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 11/11/2024 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
SEBI VIDE ITS NOTICE DATED 24/12/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.9,82,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 42 of 57
|
