| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 8601 |
|
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
|
|
| 8602 |
|
|
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
|
|
| 8603 |
|
|
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
|
|
| 8604 |
|
|
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
|
|
| 8605 |
|
|
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
|
|
| 8606 |
|
|
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
|
|
| 8607 |
|
|
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
|
|
| 8608 |
|
|
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
|
|
| 8609 |
|
|
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
|
|
| 8610 |
|
|
VIVEK MEHROTRA
(PAN:AAHPM4127B)
|
|
|
ALLEGED INDULGENCE IN FRONT RUNNING OF HDFC AMC TRADES-II AND MADE PROFIT OF RS.210.18 LACS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1) OF SEBI PFUTP REGULATIONS, 2003 IN MATTER OF HDFC AMC TRADES II
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,76,64,824 VIDE CONSENT ORDER)
17-SEP-2019
|
|
| 8611 |
|
|
VIVEK NAGPAL
|
|
|
|
PADMINI TECHNOLOGIES LTD.
CIN:L25202DL1990PLC039395
|
|
INDULGED IN PRICE MANIPULATION AND CREATION OF ARTIFICIAL MARKET IN SCRIP OF SHONKH TECHNOLOGIES INTERNATIONAL LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-OCT-2007 TO 15-OCT-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-OCT-2007 TO 15-OCT-2012
16-OCT-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000, LEGAL EXPENSES RS.55,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-OCT-2007 TO 15-OCT-2012
11-AUG-2009
|
SAT: IMPUGNED ORDER DATED 16/10/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY A SUM OF RS.10,00,000 TOWARDS SETTLEMENT CHARGES AND RS.55,000 TOWARDS LEGAL EXPENSES ALONGWITH VOLUNTARILY UNDERTOOK TO REMAIN OUT OF CAPITAL MARKET FOR A PERIOD OF FIVE YEARS INCLUDING PERIOD FOR WHICH THEY HAVE REMAINED OUT OF CAPITAL MARKET IN TERMS OF IMPUGNED ORDER DATED 16/10/2007
|
| 8612 |
|
|
VIVEK PACHERIWAL
(PAN:BUAPP9195G)
|
|
|
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
|
|
| 8613 |
|
|
VIVEK RAJENDRA SAH
(PAN:ACNPS4085N)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(5), 10(6) AND 10(7) OF SAST REGULATIONS, 2011 IN MATTER OF G.P.PETROLEUMS LTD. (FORMERLY KNOWN AS SAH PETROLEUMS LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,16,750 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
29-JAN-2018
|
|
| 8614 |
|
|
VIVEK SINGHANIA
(PAN:ASSPS6753N)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 8615 |
|
|
VIVEK TALWAR
(PAN:AAAPT3994Q)
|
|
|
|
NITCO LTD.
PAN:AAACN1674N
|
|
ALLEGED CERTIFICATION OF INCORRECT COMPLIANCE CERTIFICATES VIOLATING REGULATION 17(8) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF NITCO LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.68,25,000 VIDE CONSENT ORDER)
28-FEB-2025
|
|
| 8616 |
|
|
VRINDA ADUKIA
(PAN:AJAPA6177F)
|
|
|
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
|
|
| 8617 |
|
|
VRINDA DEVI AGARWAL
(PAN:ADUPA8472D)
|
|
|
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, LEGAL EXPENSES RS.13,570 VIDE CONSENT ORDER)
19-AUG-2024
|
|
| 8618 |
|
|
VRINDA KEDIA
(PAN:AVRPK8450E)
|
|
|
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
|
|
| 8619 |
|
|
VRISHALI JAIN
(PAN:AJJPJ2460K)
|
|
|
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
|
|
| 8620 |
|
|
VRUNDA TIKLE
(PAN:AFBTP3331B)
|
|
|
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. |
| |
|
|
| Page 431 of 435
|
