| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 8561 |
|
VISHWANATH HARIHARAN IYER
(PAN:AAHPI4341M)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,20,000 VIDE CONSENT ORDER)
19-AUG-2024
|
|
| 8562 |
|
|
VISHWANATH KANODIA
(PAN:AABHV4058C)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 8563 |
|
|
VISHWANATHAN MATHUR
(PAN:ADGPM7842M)
|
|
|
|
RAVINDRA ENERGY LTD.
PAN:AAACR2065D
|
|
ALLEGED ISSUANCE AND ALLOTMENT OF EQUITY SHARES TO MORE THAN 49 PERSONS ON 5 OCCASIONS VIOLATING SECTIONS 73, 2(36) READ WITH 60 AND SECTIONS 56 READ WITH 67 OF THE COMPANIES ACT, 1956 IN MATTER OF RAVINDRA ENERGY LTD.
ALLEGED ISSUANCE AND ALLOTMENT OF EQUITY SHARES TO MORE THAN 49 PERSONS ON 5 OCCASIONS VIOLATING REGULATIONS 4(2) (D) & (E), 5(1),(2), (5) & (7), 6(1), 7, 26(1),(2) & (6), 32(1), 36, 37, 46, 47, 49, 57, 58 AND 63 OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF RAVINDRA ENERGY LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.99,60,938 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-APR-2020
|
|
| 8564 |
|
|
VISHWARUPE NARAIN
(PAN:AFLPN8804M)
|
|
|
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATIONS 12(1) AND 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF CRISIL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.39,64,703 VIDE CONSENT ORDER)
20-MAY-2019
|
|
| 8565 |
|
|
VISHWAS VASANT PATHAK
|
|
|
|
REGENIX DRUGS LTD.
|
|
ALLOTTED 24,69,651 SHARES TO 315 INVESTORS VIOLATING PROVISIONS OF SECTION 73 READ WITH SECTION 67(3) OF THE COMPANIES ACT, 1956 AND DID NOT ADHERE TO REQUIREMENTS RELATING TO PUBLIC ISSUE AND LISTING OF SECURITIES CONTAINED IN CLAUSES 2.1.1., 2.1.4., 2.1.5, 2.2, 2.8, 4.11, 4.14, 5.3.1, 5.6, 6.0 TO 6.15, 8.8.1 OF THE DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH REGULATIONS 4, 5, 6, 7, 25, 26, 36, 37, 46, 57, 61 AND 111 OF THE ICDR REGULATIONS
|
DIRECTED TO REFUND MONEY COLLECTED THROUGH ALLOTMENT OF SHARES ALONGWITH INTEREST @15% PER ANNUM FROM DATE OF RECEIPT OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-NOV-2014 TILL REFUND OF MONEY
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-NOV-2014 TILL REFUND OF MONEY
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 10-NOV-2014 TILL REFUND OF MONEY
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 10-NOV-2014 TILL REFUND OF MONEY
10-NOV-2014
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.35,20,000, LEGAL EXPENSES RS.9,17,640 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
10-APR-2017
|
SAT: SAT VIDE ITS ORDER DATED 10/04/2017 DISPOSED OFF THE APPEAL AS DURING THE PENDENCY OF THE APPEAL APPELANTS HAVE PREFERRED SETTLEMENT APPLICATION DATED 30/11/2016 AND AGREED TO PAY RS.35,20,000.00 TOWARDS SETTLEMENT CHARGES AND RS.9,17,640.00 TOWARDS LEGAL EXPENSES AS PER CONSENT ORDER AND ALSO OPENED AN ESCROW ACCOUNT BY REMITTING RS.93,70,653.00 IN AXIS BANK
|
| 8566 |
|
|
VISHWAVIR AHUJA
(PAN:AAAPA0792P)
|
|
|
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2, 4.11, 4.14, 5.3.1, 5.4.1, 5.6A, 5.6.2, 6 TO 6.15 AND 8.8.1 OF SEBI (DISCLOSURE & INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2, 4.11, 4.14, 5.3.1, 5.4.1, 5.6A, 5.6.2, 6 TO 6.15 AND 8.8.1 OF SEBI (DISCLOSURE & INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING SEBI (ISSUE OF CAPITAL & DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING SEBI (ISSUE OF CAPITAL & DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.47,60,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-MAY-2016
|
|
| 8567 |
|
|
VITTHAL DAS SARDA
(PAN:FAPPS9099H)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 8568 |
|
|
VIVEK ABROL
(DIN:01381395
PAN:AAKPA3146K)
|
|
|
|
QUADRANT FUTURE TEK LTD.
CIN:U74999PB2015PLC039758
PAN:AAACQ3957B
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF TRANSFER OF SHARES TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 54 OF SEBI (ICDR) REGULATIONS, 2018
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
01-APR-2025
|
|
| 8569 |
|
|
VIVEK ARORA
(PAN:AABPA5556C)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,20,000 VIDE CONSENT ORDER)
19-AUG-2024
|
|
| 8570 |
|
|
VIVEK GOEL
(PAN:ADRPG9422C)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 8571 |
|
|
VIVEK GOEL
(PAN:AJXPG7803P)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( CONSENT ORDER)
08-MAR-2023
|
|
| 8572 |
|
|
VIVEK GOYAL
(PAN:ADGPG1579F)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 8573 |
|
|
VIVEK GUPTA
(PAN:ADSPG1759P)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 8574 |
|
|
VIVEK HEMANT AKHANI
(PAN:AMRPA2655C)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,20,000 VIDE CONSENT ORDER)
19-AUG-2024
|
|
| 8575 |
|
|
VIVEK KHEMKA
(PAN:ASDPK1859N)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 8576 |
|
|
VIVEK KHEMKA
(PAN:AJWPK5687Q)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 8577 |
|
|
VIVEK KOTHARI
(PAN:AFSPK1135P)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 8578 |
|
|
VIVEK KUMAR AGRAWAL
(PAN:ADYPA4157F)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 8579 |
|
|
VIVEK LOHIA
(PAN:ABAPL9453D)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 8580 |
|
|
VIVEK MADHOGARIA
(PAN:BLEPM6272L)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-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 429 of 433
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