| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 821 |
|
SHIVANI GUPTA
(PAN:AHOPG5347H)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT AND REGULATION 4(1) READ WITH 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PC JEWELLER LTD.
|
DIRECTED TO DISGORGE RS.6,17,60,184 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT AMOUNTS TO ESCROW ACCOUNT IN NATIONALISED BANK
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 BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
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, 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
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 11-MAY-2021 TO 10-MAY-2022
17-DEC-2019
|
SEBI VIDE ITS ORDER DATED 11/05/2021 DIRECTED TO A) RESTRAIN FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR A PERIOD OF ONE YEAR FROM DATE OF THIS ORDER B) DISGORGE JOINTLY AND SEVERALLY A SUM OF RS. 6,17,60,184.13 IMPOUNDED BY IMPOUNDING ORDER PASSED IN THE PRESENT MATTER AND THE SAME SHALL BE CREDITED INTO THE INVESTOR PROTECTION AND EDUCATION FUND (IPEF)
|
| 822 |
|
|
SHIVANI GUPTA
(PAN:AHOPG5347H)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT AND REGULATION 4(1) READ WITH 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PC JEWELLER LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-MAY-2021 TO 10-MAY-2023
17-DEC-2019
|
SEBI VIDE ITS ORDER DATED 11/05/2021 DIRECTED TO RESTRAIN FROM BUYING, SELLING OR DEALING IN THE SECURITIES OF PC JEWELLER LTD., DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF TWO YEARS, FROM DATE OF THIS ORDER
|
| 823 |
|
|
SHIVANI GUPTA
(PAN:AHOPG5347H)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT AND REGULATION 4(1) READ WITH 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PC JEWELLER LTD.
|
IMPOSED PENALTY RS.20,00,000
11-MAY-2021
|
SAT: SAT VIDE ITS ORDER DATED 21/05/2021 DISPOSED OFF THE URGENCY APPLICATION AND ALLOWED RESPONDENT THREE WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. DIRECTED RESPONDENT TO SUPPLY A CERTIFIED COPY OF IMPUGNED ORDER WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND DIRECTED APPELLANT TO DEPOSIT 50% AMOUNT WITHIN THREE WEEK FROM DATE OF THIS ORDER
|
| 824 |
|
|
SHREEHAS P.TAMBE
(PAN:ACHPT2165L)
|
|
|
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 BIOCON LTD.
DID NOT OBTAIN PRE-CLEARANCE FOR HIS TRADES VIOLATING CLAUSE 6 OF CODE OF CONDUCT UNDER SCHEDULE B READ WITH REGULATIONS 9(1) AND 9(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BIOCON LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-JUN-2021 TO 29-SEP-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-JUN-2021 TO 29-SEP-2021
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 30-JUN-2021 TO 29-SEP-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-JUN-2021
|
SAT: SAT VIDE ITS ORDER DATED 26/07/2021 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. IN THE MEANWHILE, IMPUGNED ORDER SHALL REMAIN STAYED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 01/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 26/07/2022 PARTLY ALLOWED THE APPEAL BY REMOVING THE CHARGE OF INSIDER TRADING AND UPHELD THE PENALTY OF RS.1 LAC
|
| 825 |
|
|
SHREEHAS P.TAMBE
(PAN:ACHPT2165L)
|
|
|
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 BIOCON LTD.
DID NOT OBTAIN PRE-CLEARANCE FOR HIS TRADES VIOLATING CLAUSE 6 OF CODE OF CONDUCT UNDER SCHEDULE B READ WITH REGULATIONS 9(1) AND 9(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BIOCON LTD.
|
IMPOSED PENALTY RS.2,00,000
30-JUN-2021
|
SAT: SAT VIDE ITS ORDER DATED 26/07/2021 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. IN THE MEANWHILE, IMPUGNED ORDER SHALL REMAIN STAYED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 01/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 26/07/2022 PARTLY ALLOWED THE APPEAL BY REMOVING THE CHARGE OF INSIDER TRADING AND UPHELD THE PENALTY OF RS.1 LAC
|
| 826 |
|
|
SHREEJESH HARINDRANATH
(PAN:BGSPS5226D)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SPICEJET 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 SPICEJET LTD.
TRADED WITHOUT PRE-CLEARANCE FROM COMPANY VIOLATING REGULATION 9(1) READ WITH CLAUSES 6 AND 10 OF MINIMUM STANDARD OF CODE OF CONDUCT UNDER SCHEDULE B OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SPICEJET LTD.
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 SPICEJET LTD.
|
IMPOSED PENALTY RS.23,00,000
29-MAY-2020
|
|
| 827 |
|
|
SHRI KISHAN GUPTA
(PAN:AAVPG4818R)
(Along with : ANJANA GUPTA)
|
|
|
|
IFL PROMOTERS LTD.
PAN:AAACI5322C
|
|
DID NOT ENSURE CODE OF CONDUCT ADOPTED BY COMPANY WAS IN CONSONANCE WITH MODEL CODE OF CONDUCT VIOLATING CLAUSE 1.2 OF MODEL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR OTHER ENTITIES SPECIFIED IN PART B OF SCHEDULE I READ WITH REGULATIONS 12(1) & 13(4) OF SEBI (PIT) REGULATIONS, 1992 AND REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF IFL PROMOTERS LTD.
|
IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-APR-2021
|
SEBI VIDE ITS NOTICE DATED 04/07/2022 DIRECTED TO PAY RS.3,49,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 03/08/2022 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 06/09/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF MR.KISHAN GUPA TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS ORDER DATED 07/12/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.5003 OF 2022 DATED 04/07/2022
SEBI VIDE ITS NOTICE DATED 07/12/2022 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 03/08/2022
|
| 828 |
|
|
SHRUTI SHETTY
(PAN:AOBPS4348L)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) & (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SUPRAJIT ENGINEERING 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-APR-2021 TO 26-APR-2022
DIRECTED TO DISGORGE RS.3,014
27-APR-2021
|
SAT: SAT VIDE ITS ORDER DATED 11/08/2021 ALLOWED APPELLANTS THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 18/02/2022 DISPOSED OFF THE APPEAL AS THE CASE HAS BEEN SETTLED BETWEEN THE PARTIES
|
| 829 |
|
|
SHRUTI SHETTY
(PAN:AOBPS4348L)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) & (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SUPRAJIT ENGINEERING LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-APR-2021 TO 26-APR-2023
IMPOSED PENALTY RS.10,00,000
27-APR-2021
|
SAT: SAT VIDE ITS ORDER DATED 11/08/2021 ALLOWED APPELLANTS THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 18/02/2022 DISPOSED OFF THE APPEAL AS THE CASE HAS BEEN SETTLED BETWEEN THE PARTIES
|
| 830 |
|
|
SHRUTI VISHAL VORA
(PAN:AKZPM7724N)
|
|
|
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF AMBUJA CEMENTS LTD.
|
IMPOSED PENALTY RS.15,00,000
29-APR-2020
|
SAT: SAT VIDE ITS ORDER DATED 22/03/2021 ALLOWED THE APPEAL AND SET ASIDED THE IMPUGNED ORDERS
|
| 831 |
|
|
SHRUTI VISHAL VORA
(PAN:AKZPM7724N)
|
|
|
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION THROUGH WHATSAPP MESSAGES VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BATA INDIA LTD.
|
IMPOSED PENALTY RS.15,00,000
04-JUN-2020
|
SAT: SAT VIDE ITS ORDER DATED 22/03/2021 ALLOWED THE APPEAL AND SET ASIDED THE IMPUGNED ORDERS
|
| 832 |
|
|
SHRUTI VISHAL VORA
(PAN:AKZPM7724N)
|
|
|
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION THROUGH WHATSAPP MESSAGES VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF WIPRO LTD.
|
IMPOSED PENALTY RS.15,00,000
29-MAY-2020
|
SAT: SAT VIDE ITS ORDER DATED 22/03/2021 ALLOWED THE APPEAL AND SET ASIDED THE IMPUGNED ORDERS
|
| 833 |
|
|
SHRUTI VISHAL VORA
(PAN:AKZPM7724N)
|
|
|
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION THROUGH WHATSAPP MESSAGES VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MINDTREE LTD.
|
IMPOSED PENALTY RS.15,00,000
29-MAY-2020
|
SAT: SAT VIDE ITS ORDER DATED 22/03/2021 ALLOWED THE APPEAL AND SET ASIDED THE IMPUGNED ORDERS
|
| 834 |
|
|
SHRUTI VISHAL VORA
(PAN:AKZPM7724N)
|
|
|
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BAJAJ AUTO LTD.
|
IMPOSED PENALTY RS.15,00,000
29-APR-2020
|
SAT: SAT VIDE ITS ORDER DATED 22/03/2021 ALLOWED THE APPEAL AND SET ASIDED THE IMPUGNED ORDERS
|
| 835 |
|
|
SHRUTI VISHAL VORA
(PAN:AKZPM7724N)
|
|
|
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION THROUGH WHATSAPP MESSAGES VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ASIAN PAINTS LTD.
|
IMPOSED PENALTY RS.15,00,000
29-MAY-2020
|
SAT: SAT VIDE ITS ORDER DATED 22/03/2021 ALLOWED THE APPEAL AND SET ASIDED THE IMPUGNED ORDERS
|
| 836 |
|
|
SHRUTI VORA
(PAN:ABTPV0366J)
|
|
|
|
SHREE HANUMAN SUGAR & INDUSTRIES LTD.
PAN:AAECS0448M
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHREE HANUMAN SUGAR INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SHREE HANUMAN SUGAR INDUSTRIES LTD.
|
IMPOSED PENALTY RS.3,00,000
15-OCT-2018
|
SAT: SAT VIDE ITS ORDER DATED 12/02/2020 GRANTED ONE MORE OPPORTUNITY TO APPELLANT TO FILE REPLY TO SCN ON OR BEFORE 28/02/2020 FAILING WHICH DIRECTED AO TO PROCEED IN ACCORDANCE WITH LAW
|
| 837 |
|
|
SHUBHAM SOMANI
(PAN:CMMPS0818L)
(Along with : ANJU SOMANI)
|
|
|
TRADED WHILE IN POSSESSION OF UPSI AND COMMUNICATED UPSI TO OTHERS VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3 AND 4 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF LUX INDUSTRIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-JAN-2022 UNTIL FURTHER ORDERS
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 24-JAN-2022 UNTIL FURTHER ORDERS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED TO FREEZE BANK ACCOUNTS
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS WITHOUT PERMISSION OF SEBI
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 BANK ACCOUNTS
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.21,86,168 ALONG WITH OTHER ENTITIES/PERSONS
24-JAN-2022
|
SEBI VIDE ITS ORDER DATED 27/05/2022 DIRECTED TO A) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES OF LUX INDUSTRIES LTD., EITHER DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER UNTIL FURTHER ORDERS B) RESTRAINT RELATED TO BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN RESPECT OF LUX INDUSTRIES LTD. NOT TO PROHIBIT THE CREDIT OF SHARES TO BE RECEIVED ON ACCOUNT OF STOCK OPTION, BONUS ETC. ISSUED BY THE COMPANY C) FUNDS DEPOSITED BY ENTITIES IN INTEREST BEARING ESCROW ACCOUNT/FDR TO REMAIN IN SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS
SEBI VIDE ITS ORDER DATED 06/11/2023 A) REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 24/01/2022 WHICH WERE CONFIRMED WITH MODIFICATIONS VIDE ORDER DATED 27/05/2022 B) RELEASED AMOUNT IMPOUNDED PURSUANT TO INTERIM ORDER DATED 24/01/2022 READ WITH ORDER DATED 27/05/2022 ALONG WITH INTEREST IF ANY, ACCRUED ON THE SAID AMOUNT
|
| 838 |
|
|
SHUBHAM SOMANI
(PAN:CMMPS0818L)
|
|
|
|
SS CORPORATE SECURITIES LTD.
PAN:AABCS3726M
|
|
TRADED WHILE IN POSSESSION OF UPSI AND COMMUNICATED UPSI TO OTHERS VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3 AND 4 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF LUX INDUSTRIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-JAN-2022 UNTIL FURTHER ORDERS
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 24-JAN-2022 UNTIL FURTHER ORDERS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED TO FREEZE BANK ACCOUNTS
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS WITHOUT PERMISSION OF SEBI
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 BANK ACCOUNTS
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.20,50,796 ALONG WITH OTHER ENTITIES/PERSONS
24-JAN-2022
|
SEBI VIDE ITS ORDER DATED 27/05/2022 DIRECTED TO A) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES OF LUX INDUSTRIES LTD., EITHER DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER UNTIL FURTHER ORDERS B) RESTRAINT RELATED TO BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN RESPECT OF LUX INDUSTRIES LTD. NOT TO PROHIBIT THE CREDIT OF SHARES TO BE RECEIVED ON ACCOUNT OF STOCK OPTION, BONUS ETC. ISSUED BY THE COMPANY C) FUNDS DEPOSITED BY ENTITIES IN INTEREST BEARING ESCROW ACCOUNT/FDR TO REMAIN IN SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS
SEBI VIDE ITS ORDER DATED 06/11/2023 A) REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 24/01/2022 WHICH WERE CONFIRMED WITH MODIFICATIONS VIDE ORDER DATED 27/05/2022 B) RELEASED AMOUNT IMPOUNDED PURSUANT TO INTERIM ORDER DATED 24/01/2022 READ WITH ORDER DATED 27/05/2022 ALONG WITH INTEREST IF ANY, ACCRUED ON THE SAID AMOUNT
|
| 839 |
|
|
SHYAM SUNDER BERIWALA
(PAN:AAFHS3894B)
|
|
|
|
SHYAM SUNDER PUNIT KUMAR (HUF)
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF VIPUL LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF VIPUL LTD.
|
IMPOSED PENALTY RS.1,50,000 ALONG WITH OTHER ENTITIES/PERSONS
17-OCT-2017
|
|
| 840 |
|
|
SHYAM SUNDER PARTANI
(PAN:AQJPP9717G)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MATRA KAUSHAL ENTERPRISE LTD.
|
IMPOSED PENALTY RS.1,00,000
28-FEB-2023
|
SEBI VIDE ITS NOTICE DATED 05/07/2023 DIRECTED TO PAY RS.1,06,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 25/07/2023 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 31/07/2023 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 25/07/2023
SEBI VIDE ITS ORDER DATED 31/07/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6770 OF 2023 DATED 05/07/2023
|
| 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 42 of 50
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