| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 841 |
|
WARNER MULTIMEDIA LTD.
(CIN:L92100WB1983PLC036338
PAN:AABCC0225H)
(Along with : MUMBADEVI FINANCE & INVESTMENT CO.PVT.LTD.)
|
|
|
|
ARUN GOYAL
|
|
|
GAJE SINGH CHAHL
|
|
|
GOVARDHAN JAIN
|
|
|
JAGADISH PRASAD PUROHIT
|
|
|
KAILASH PRASAD PUROHIT
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF WARNER MULTIMEDIA LTD.
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-FEB-2006 TO 31-JAN-2009
01-FEB-2006
|
SAT: IMPUGNED ORDER SET ASIDE LEAVING PARTIES TO BEAR OWN COSTS
|
| 842 |
|
|
WARNER MULTIMEDIA LTD.
(CIN:L92100WB1983PLC036338
PAN:AABCC0225H)
(Along with : MUMBADEVI FINANCE & INVESTMENT CO.PVT.LTD.)
|
|
|
|
ARUN GOYAL
|
|
|
GAJE SINGH CHAHL
|
|
|
GOVARDHAN JAIN
|
|
|
JAGADISH PRASAD PUROHIT
|
|
|
KAILASH PRASAD PUROHIT
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF WARNER MULTIMEDIA LTD.
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-FEB-2006 TO 31-JAN-2009
01-FEB-2006
|
SAT: IMPUGNED ORDER SET ASIDE LEAVING PARTIES TO BEAR OWN COSTS
|
| 843 |
|
|
WARNER MULTIMEDIA LTD.
(CIN:L92100WB1983PLC036338
PAN:AABCC0225H)
(Along with : MUMBADEVI FINANCE & INVESTMENT CO.PVT.LTD.)
|
|
|
|
ARUN GOYAL
|
|
|
GAJE SINGH CHAHL
|
|
|
GOVARDHAN JAIN
|
|
|
JAGADISH PRASAD PUROHIT
|
|
|
KAILASH PRASAD PUROHIT
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF WARNER MULTIMEDIA LTD.
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-FEB-2006 TO 31-JAN-2009
01-FEB-2006
|
|
| 844 |
|
|
WASHINGTON SOFTWARES LTD.
|
|
|
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.1,00,000
31-MAR-2008
|
|
| 845 |
|
|
WATERGATE MERCANTILE CO.PVT.LTD.
(CIN:U51909MH2005PTC156077)
|
|
|
INDULGED IN OFF-MARKET TRANSACTIONS IN SCRIP OF BANK OF RAJASTHAN LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF BANK OF RAJASTHAN LTD.
|
IMPOSED PENALTY RS.8,00,000
14-FEB-2013
|
SAT: SAT VIDE ITS ORDER DATED 11/02/2014 UPHELD PENALTY IMPOSED UNDER SECTIONS 15HA, 15A (A) AND 15H(II) OF SEBI ACT.
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 23/03/2017 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 NOTICE DATED 16/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.18,17,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 846 |
|
|
WATTKINS COMMERCE PVT.LTD.
(PAN:AAACW2298K)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF PG ELECTROPLAST LTD.
|
IMPOSED PENALTY RS.1,00,000
02-AUG-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 847 |
|
|
WEALTHIT GLOBAL
(PAN:CXGPM4395H)
|
|
|
|
MOHIT MANGHNANI
PAN:CXGPM4395H
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT RENEW NISM REGISTRATION
NOT A FIT & PROPER PERSON TO ACT AS AN INVESTMENT ADVISOR
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
SOLD PRODUCTS TO CLIENTS WHICH WERE NOT SUITABLE TO RISK PROFILE OF THE CLIENTS
SOLD MULTIPLE PRODUCTS AND CHARGED UNREASONABLE FEES AND/OR SERVICE CHARGE
DID NOT MAINTAIN RECORDS OF COMMUNICATION WITH CLIENTS DURING RISK PROFILING AND SUITABILITY ASSESSMENT OF ADVICE/SELECTION OF ADVISORY PRODUCT/SERVICES
SOLD ADVISORY SERVICES PRIOR TO COMMUNICATION OF RISK PROFILE
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE
DID NOT REDRESS INVESTOR COMPLAINTS
|
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-OCT-2023 TO 19-OCT-2028
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-OCT-2023 TO 19-OCT-2028
RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR ANY INTERMEDIARY REGISTERED WITH SEBI AND FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY OR PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 20-OCT-2023 TO 19-OCT-2028
IMPOSED PENALTY RS.30,00,000 ALONG WITH OTHER ENTITIES/PERSONS
20-OCT-2023
|
SEBI VIDE ITS NOTICE DATED 05/02/2025 DIRECTED TO PAY RS.35,11,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 05/02/2025 DIRECTED TO PAY RS.8,54,24,836.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 04/03/2025 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
SEBI VIDE ITS NOTICE DATED 02/05/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.36,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS NOTICE DATED 02/05/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.87,615,191.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS NOTICE DATED 26/05/2025 CANCELLED RECOVERY CERTIFICATE NO.8605 DATED 05/02/2025
|
| 848 |
|
|
WEALTHIT GLOBAL
(PAN:CXGPM4395H)
|
|
|
|
MOHIT MANGHNANI
PAN:CXGPM4395H
|
|
DID NOT PROVIDE INFORMATION TO SEBI
DID NOT SUBMIT MATERIAL INFORMATION TO SEBI
DID NOT RENEW NISM REGISTRATION
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
SOLD MULTIPLE PRODUCTS AND CHARGED UNREASONABLE FEES AND/OR SERVICE CHARGE
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE
SOLD ADVISORY SERVICES PRIOR TO COMMUNICATION OF RISK PROFILE
SOLD PRODUCTS TO CLIENTS WHICH WERE NOT SUITABLE TO RISK PROFILE OF THE CLIENTS
DID NOT REDRESS INVESTOR COMPLAINTS
|
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 23-JAN-2023 TO 22-JAN-2028
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 23-JAN-2023 TO 22-JAN-2028
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-JAN-2023 TO 22-JAN-2028
IMPOSED PENALTY RS.30,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-JAN-2023
|
|
| 849 |
|
|
WEALTHMAX SOLUTION INVESTMENT ADVISER
(PAN:ATCPJ2297H)
|
|
|
|
PIYUSH JAIN
PAN:ATCPJ2297H
|
|
DID NOT INFORM REGARDING CHANGE OF REGISTERED OFFICE
RECEIVED FEES WITHOUT EXECUTING ANY AGREEMENT WITH CLIENTS
DID NOT MAINTAIN BASIC DETAILS, RECORDS AND DISCREPANCIES I.E.COPY OF AGREEMENT, KYC DOCUMENTS, INVOICES, RISK PROFILING, EMAIL COMMUNICATION AND CALL RECORDING ETC.
DID NOT CO-OPERATE AND NOT SUBMITTED DOCUMENTS DURING INSPECTION
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
23-OCT-2024
|
|
| 850 |
|
|
WEALTHMAX SOLUTION INVESTMENT ADVISER
(PAN:ATCPJ2297H)
|
|
|
|
PIYUSH JAIN
PAN:ATCPJ2297H
|
|
DID NOT INFORM REGARDING CHANGE OF REGISTERED OFFICE
REPRESENTATIVES/EMPLOYEES DID NOT HAVE REQUISITE QUALIFICATION AND CERTIFICATION
DID NOT POSSESS NISM CERTIFICATE
DID NOT EXECUTE AGREEMENT WITH CLIENTS
DID NOT MAINTAIN BASIC DETAILS, RECORDS AND DISCREPANCIES I.E.COPY OF AGREEMENT, KYC DOCUMENTS, INVOICES, RISK PROFILING, EMAIL COMMUNICATION AND CALL RECORDING ETC.
DID NOT CO-OPERATE AND SUBMITTED INSUFFICIENT/INCOMPLETE RESPONSE TO POST INSPECTION QUESTIONNAIRE
DID NOT FURNISH NET WORTH CERTIFICATE TO INSPECTION TEAM
|
IMPOSED PENALTY RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS
13-MAR-2024
|
SEBI VIDE ITS NOTICE DATED 06/05/2024 DIRECTED TO PAY RS.7,22,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 24/07/2024 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 15/09/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.7,95,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 851 |
|
|
WEB ARRIVALI TECHNOLOGY
(PAN:BZYPP9817N)
|
|
|
|
PRATIK SANJAYKUMAR PATEL
PAN:BZYPP9817N
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF SHRI KRISHNA PRASADAM LTD.
|
IMPOSED PENALTY RS.5,00,000
30-OCT-2023
|
|
| 852 |
|
|
WHITELINE COMMERCIAL PVT.LTD.
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.30,000
19-MAY-2005
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 853 |
|
|
WIDESTAR TRADEWING PVT.LTD.
|
|
|
DID NOT PROVIDE INFORMATION TO SEBI
MANIPULATED PRICE IN SCRIP OF SHARADRAJ TRADE FIN LTD.
|
IMPOSED PENALTY RS.25,000
31-MAY-2007
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 854 |
|
|
WINALL VINIMAY PVT.LTD.
(PAN:AAACW8004B)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF MURLI INDUSTRIES LTD.
|
IMPOSED PENALTY RS.2,00,000
24-OCT-2013
|
|
| 855 |
|
|
WITHAL COMMERCIAL PVT.LTD.
(PAN:AAACW2222R)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF MURLI INDUSTRIES LTD.
|
IMPOSED PENALTY RS.2,00,000
28-JUN-2013
|
|
| 856 |
|
|
WONDER VINCOM PVT.LTD.
(PAN:AAACW8578N)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF PG ELECTROPLAST LTD.
|
IMPOSED PENALTY RS.1,00,000
02-AUG-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 857 |
|
|
YADUKA FINANCIAL SERVICES LTD.
(PAN:AAECP3304K)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF MURLI INDUSTRIES LTD.
|
IMPOSED PENALTY RS.6,00,000
30-JUL-2013
|
|
| 858 |
|
|
YARE ENGINEERING PVT.LTD.
(PAN:AAACY1590J)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF WEBSITY INFOSYS LTD.
|
IMPOSED PENALTY RS.3,00,000
18-NOV-2011
|
|
| 859 |
|
|
YASOMATI DISTRIBUTORS PVT.LTD.
(PAN:AAACY5689G)
|
|
|
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
|
|
| 860 |
|
|
YOGI SUNGWON (INDIA) LTD.
|
|
|
|
RAJESH MULANI
|
|
DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME
|
IMPOSED PENALTY RS.2,00,000
19-OCT-2000
|
SAT: APPEAL ALLOWED BY REMAND FOR DE NOVO CONSIDERATION BY AO
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 43 of 44
|
