| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 841 |
|
TINNA FINEX LTD.
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,00,000
19-FEB-2018
|
SEBI VIDE ITS NOTICE DATED 23/06/2022 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 04/07/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF TINNA FINEX LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS NOTICE DATED 12/07/2022 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 23/06/2022
SAT: SAT VIDE ITS ORDER DATED 31/10/2022 ALLOWED THE APPEAL AND QUASHED THE IMPUGNED ORDER DATED 19/02/2018. REMITTED THE MATTER TO AO FOR FRESH DECISION IN ACCORDANCE WITH LAW
SEBI VIDE ITS ORDER DATED 04/11/2022 CANCELLED RECOVERY CERTIFICATE NO.2777 OF 2020 DATED 22/01/2020 IN THE MATTER OF NON-REDRESSAL OF INVESTOR GRIEVANCES
SEBI VIDE ITS ORDER DATED 30/12/2022 MODIFIED ITS ORDER DATED 19/02/2018 BY REDUCING PENALTY TO RS.1 LAC FROM RS.2 LAC U/S 15HB OF SEBI ACT, 1992
|
| 842 |
|
|
TITAN ALLOYS LTD.
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
DID NOT REDRESS INVESTOR COMPLAINTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-JUN-2014 TILL ALL THE INVESTORS' GRIEVANCES ARE RESOLVED & OBTAINS SCORES AUTHENTICATION
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-JUN-2014 TILL ALL THE INVESTORS' GRIEVANCES ARE RESOLVED & OBTAINS SCORES AUTHENTICATION
03-JUN-2014
|
|
| 843 |
|
|
TOHEAL PHARMACHEM LTD.
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
IMPOSED PENALTY RS.3,00,000
26-SEP-2019
|
COMPANY BY ONLINE TRANSACTION PAID PENALTY OF RS.3,04,339.72 INCLUDING INTEREST TO SEBI VIA TRANSACTION NO.RUBI8361391018
|
| 844 |
|
|
TOP LINE SHOES LTD.
|
|
|
|
C.V.S.NARAYANAN
|
|
|
H.M.B.MURTHY
|
|
|
H.M.G.MURTHY
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
13-DEC-2010
|
|
| 845 |
|
|
TOP TELEMEDIA LTD.
|
|
|
|
DEEP KUMAR BHANUPRASAD TRIVEDI
PAN:ABVPT2409C
|
|
|
INDERJEET SINGH VAGHELA LAKHAJI
PAN:ABUPV6306R
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE ITS ORDER DATED 10/08/2012
|
IMPOSED PENALTY RS.50,00,000
06-JUN-2016
|
SAT: SAT VIDE ITS ORDER DATED 06/04/2018 REDUCED PENALTY AMOUNT TO RS.50 LACS FROM RS.1.10 CRORE IMPOSED VIDE IMPUGNED ORDER DATED 06/06/2016. NO COSTS
|
| 846 |
|
|
TOP TELEMEDIA LTD.
|
|
|
|
DEEP KUMAR BHANUPRASAD TRIVEDI
PAN:ABVPT2409C
|
|
|
INDERJEET SINGH VAGHELA LAKHAJI
PAN:ABUPV6306R
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-AUG-2012 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-AUG-2012 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
10-AUG-2012
|
SAT: SAT VIDE ITS ORDER DATED 06/04/2018 REDUCED PENALTY AMOUNT TO RS.50 LACS FROM RS.1.10 CRORE IMPOSED VIDE IMPUGNED ORDER DATED 06/06/2016. NO COSTS
|
| 847 |
|
|
TRADE INDIA RESEARCH
(PAN:BEHPG5479R)
|
|
|
|
NEHA GUPTA
PAN:BEHPG5479R
|
|
SOLD MULTIPLE PRODUCTS AND CHARGED UNREASONABLE FEES AND/OR SERVICE CHARGE
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
MISLED PROSPECTIVE CLIENTS THROUGH ITS WEBSITE
PROVIDED INVESTMENT ADVICE WITHOUT CONSENT OF THE CLIENTS
SOLD ADVISORY SERVICES PRIOR TO COMMUNICATION OF RISK PROFILE
DID NOT MAINTAIN RECORDS OF COMMUNICATION WITH CLIENTS DURING RISK PROFILING AND SUITABILITY ASSESSMENT OF ADVICE/SELECTION OF ADVISORY PRODUCT/SERVICES
REPRESENTATIVES/EMPLOYEES DID NOT HAVE REQUISITE QUALIFICATION AND CERTIFICATION
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT PROVIDE INFORMATION TO SEBI
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-AUG-2023
|
SEBI VIDE ITS NOTICE DATED 12/12/2023 DIRECTED TO PAY RS.26,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 848 |
|
|
TRADE INDIA RESEARCH
(PAN:BEHPG5479R)
|
|
|
|
NEHA GUPTA
PAN:BEHPG5479R
|
|
CHARGED UNREASONABLE, ARBITRARILY AND INCONSISTENT FEE
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE
PROVIDED INVESTMENT ADVICE WITHOUT CONSENT OF THE CLIENTS
DID NOT OBTAIN AND/OR MAINTAIN ANY DOCUMENTS FOR KNOW YOUR CLIENTS (KYC), RISK PROFILING, SUITABILITY, ACKNOWLEDGEMENT FROM CLIENTS, COMMUNICATION WITH CLIENTS/INVESTORS, CALL RECORDING OF CARRYING OUT RISK PROFILING AND RATIONALE FOR ADVISORY SERVICES ETC.
DID NOT INTIMATE SEBI ABOUT MATERIAL CHANGE IN INFORMATION
MANIPULATED AND FORCED CLIENT TO PAY MORE AND MORE FEES WITH THREAT OF FORFEITURE
PROVIDED EXECUTION SERVICES TO CLIENT
MOBILIZED MONEY FROM CLIENT IN DECEITFULLY AND CREATED FAKE PORTFOLIO
CONCEALED INFORMATION IN APPLICATION FORM FOR GRANT OF REGISTRATION CERTIFICATE
REPRESENTATIVES/EMPLOYEES DID NOT HAVE REQUISITE QUALIFICATION AND CERTIFICATION
DID NOT REDRESS INVESTOR COMPLAINTS
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 30-NOV-2023
30-NOV-2023
|
|
| 849 |
|
|
TRADEBIZZ RESEARCH
(PAN:BEKPP6860A)
|
|
|
|
SANTOSH SINGH PARIHAR
PAN:BEKPP6860A
|
|
PROMISED ASSURED PROFIT/UNREALISTIC RETURN TO ITS CLIENTS VIOLATING REGULATIONS 4(1) AND 4(2) (K) READ WITH REGULATIONS 2(1)(C)(1)(2) AND (8) OF PFUTP REGULATIONS, 2003
DID NOT MAKE DISCLOSURE OF MATERIAL INFORMATION TO ITS CLIENTS VIOLATING REGULATIONS 15(1) AND CLAUSES 1 & 2 OF CODE OF CONDUCT FOR INVESTMENT ADVISER READ WITH REGULATION 15(9) OF (INVESTMENT ADVISORS) REGULATIONS, 2013
DID NOT TRANSPARENT TO CLIENTS REGARDING ADVISORY FEES AND CHARGED UNREASONABLE FEES
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
FORCED CLIENTS TO SIGN DOCUMENTS TO WITHDRAW COMPLAINTS
DID NOT ADHERE TO INSTRUCTION OF SEBI ISSUED PURSUANT TO THE INSPECTION TEAM
DID NOT CO-OPERATE IN PROVIDING INFORMATION TO SEBI FOR THE PURPOSE OF EXAMINATION OF ITS AFFAIRS
|
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 22-AUG-2019 TO 21-AUG-2022
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 22-AUG-2019 TO 21-AUG-2022
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
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NOT TRANSFERRED SECURITIES HELD JOINTLY OR SEVERALLY
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
DIRECTED TO FURNISH REPORT TO SEBI DULY CERTIFIED BY CHARTERED ACCOUNTANT RESOLVED ALL COMPLAINTS
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
22-AUG-2019
|
SEBI VIDE ITS ORDER DATED 27/01/2021 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH THE SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR A PERIOD OF 03 YEARS FROM THE DATE OF THIS ORDER. PERIOD OF DEBARMENT OF RESTRAINT ALREADY UNDERGONE ON ACCOUNT OF INTERIM ORDER B) RESOLVE THE COMPLAINTS PENDING AGAINST HIM IN THE SCORES AND OTHERWISE, WITHIN THE PERIOD OF 30 DAYS FROM THE DATE OF THIS ORDER C) FURNISH A REPORT TO SEBI DULY CERTIFIED BY CHARTERED ACCOUNTANT CERTIFYING THAT ALL THE COMPLAINTS HAVE BEEN RESOLVED D) DURING THE PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING MUTUAL FUNDS UNITS SHALL REMAIN FROZEN
|
| 850 |
|
|
TRANS AGROTECH LTD.
|
|
|
DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,00,000
12-JAN-2018
|
SEBI VIDE ITS ORDER DATED 09/03/2021 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 05/12/2024 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 09/03/2021
SEBI VIDE ITS NOTICE DATED 05/12/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.3339 OF 2021 DATED 09/03/2021
|
| 851 |
|
|
TRANS INDIA INTERNATIONAL LTD.
(PAN:AAACT9355Q)
|
|
|
DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,50,000
12-AUG-2014
|
SEBI VIDE ITS NOTICE DATED 23/06/2015 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
SEBI VIDE ITS ORDER DATED 08/07/2015 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 23/06/2015
|
| 852 |
|
|
TRANSCORP COMMERCE LTD.
(PAN:AACCT0311J)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.2,00,000
14-DEC-2015
|
SEBI VIDE ITS NOTICE DATED 26/08/2016 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
SEBI VIDE ITS NOTICE DATED 21/04/2022 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 26/08/2016
|
| 853 |
|
|
TRANSGENE BIOTEK LTD.
(PAN:AABCT3840P)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.3,00,000
30-JUL-2004
|
INCLUDED IN SEBI LIST DATED 30/06/2012, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 854 |
|
|
TRIA FINE-CHEM LTD.
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
DID NOT REDRESS INVESTOR COMPLAINTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-MAY-2014 TILL ALL THE INVESTOR'S GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-MAY-2014 TILL ALL THE INVESTOR'S GRIEVANCES ARE RESOLVED
15-MAY-2014
|
|
| 855 |
|
|
TRICOM FRUIT PRODUCTS LTD.
(PAN:AADCR0399B)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.3,00,000
23-NOV-2015
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 856 |
|
|
TRIDENT INDIA LTD.
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,50,000
29-OCT-2014
|
SEBI VIDE ITS NOTICE DATED 28/08/2015 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
|
| 857 |
|
|
TRIGON ZINCO LTD.
(CIN:U24110GJ1992PLC017595)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.5,00,000
22-AUG-2019
|
|
| 858 |
|
|
TRILLENIUM TECHNOLOGIES LTD.
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.4,00,000
05-FEB-2018
|
SEBI VIDE ITS NOTICE DATED 6/07/2022 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 18/08/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF TRILLENIUM TECHNOLOGIES LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS NOTICE DATED 14/06/2023 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 06/07/2022
SEBI VIDE ITS ORDER DATED 14/06/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.2776 OF 2020 DATED 22/01/2020
|
| 859 |
|
|
TRIPACE MARKETING SERVICES PVT.LTD.
(CIN:U22300DL2011PTC226596
PAN:AACET0039R)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
FRAUDULENTLY TRANSFERRED CLIENTS’ SECURITIES TO GROUP ENTITIES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DIVERTED FUNDS FOR UTILIZATION BY ITSELF AND ITS GROUP COMPANIES/ASSOCIATE COMPANIES
EXTENDED MARGIN TRADING FACILITY TO ITS CLIENTS WITHOUT OBTAINING REQUISITE APPROVAL FROM STOCK EXCHANGES
DID NOT CARRY OUT ACTUAL PERIODIC SETTLEMENT OF FUNDS AND SECURITIES OF ITS CLIENTS
DID NOT ENSURE DELIVERY OF SECURITIES AND MAKING PAYMENT OF AMOUNTS DUE TO ITS CLIENTS
DID NOT PROVIDE STATEMENTS OF ACCOUNTS IN RESPECT OF FUNDS OF ITS CLIENTS
DID NOT PROVIDE PERIODIC STATEMENT OF TRANSACTIONS IN SECURITIES AND RESULTANT SHAREHOLDING TO THE BENEFICIAL OWNERS OF SUCH SECURITIES
DID NOT HAVE PERIODIC INTERNAL AUDIT CONDUCTED OF ITS STOCK BROKING AND DEPOSITORY PARTICIPANT OPERATIONS
DID NOT OBTAIN PRIOR APPROVAL FROM SEBI FOR THE CHANGE IN MANAGEMENT AND CONTROL
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-MAR-2016 TO 24-MAR-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-MAR-2016 TO 24-MAR-2026
15-MAR-2016
|
|
| 860 |
|
|
TRUPTI TWISTERS LTD.
(PAN:AAACT8908K)
|
|
|
DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.2,00,000
08-JAN-2018
|
SAT: SAT VIDE ITS ORDER DATED 17/04/2018 DISMISSED THE APPEAL WITH COST OF RS.10,000.00 TO BE PAID BY APPELLANT TO SEBI WITHIN A PERIOD OF FOUR WEEKS FROM THE DATE OF THIS ORDER
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 43 of 48
|
