| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 881 |
|
SANJAY KUMAR SHANKARLAL THAKKAR
(PAN:ACFPT3869D)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF K.C.BOKADIA FILMS LTD.
|
IMPOSED PENALTY RS.2,00,000
17-MAR-2010
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 30/06/2012, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 882 |
|
|
SANJAY KUMAR SHANKARLAL THAKKAR
(PAN:ACFPT3869D)
|
|
|
AIDED AND ABETTED PROMOTERS AND PAC IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF GUJARAT ARTH LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GUJARAT ARTH LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GUJARAT ARTH LTD.
DID NOT FURNISH INFORMATION IN RESPONSE TO SUMMONS ISSUED IN MATTER OF GUJARAT ARTH LTD.
|
IMPOSED PENALTY RS.45,00,000
26-APR-2019
|
SAT: SAT VIDE ITS ORDER DATED 14/07/2021 ALLOWED RESPONDENT TWO WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 25/08/2021 ALLOWED APPELLANT THREE WEEKS FURTHER TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 16/11/2022 PARTLY ALLOWED THE APPEAL BY REDUCING THE PENALTY AMOUNT RS.5 LAC FROM RS.1 CRORE U/S 15A(A) OF SEBI ACT.
SEBI VIDE ITS ORDER DATED 26/06/2023 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 01/09/2023 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 26/06/2023
SEBI VIDE ITS ORDER DATED 01/09/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4080 OF 2021 DATED 09/08/2021
|
| 883 |
|
|
SANJAY PATEL
|
|
|
|
SOMPLAST LEATHER INDUSTRIES LTD.
PAN:AADCS0254L
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
ISSUED EQUITY SHARES IN EXCESS ON PREFERENTIAL BASIS WITHOUT TAKING IN-PRINCIPLE APPROVAL OF STOCK EXCHANGE
|
IMPOSED PENALTY RS.2,00,000
30-SEP-2005
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 884 |
|
|
SANJAY SHESHMANI DWIVEDI (AKA.SANJAY KUMAR DWIVEDI)
(PAN:AJEPD3015F)
|
|
|
|
D.S.CAPITAL VENTURE PVT.LTD.
PAN:AADCH8426M
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS TO INVESTIGATING AUTHORITY OF SEBI
DID NOT INFORM SEBI ABOUT CHANGE OF ADDRESS
DID NOT OBTAIN APPROVAL FROM SEBI FOR UPDATION/CHANGE OF DIRECTORS
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
|
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 29-DEC-2022 TO 28-DEC-2027
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
RESTRAINED AND FURTHER PROHIBITED FROM HOLDING AND OCCUPYING ANY MANAGERIAL POST OR BEING ASSOCIATED DIRECTLY OR INDIRECTLY WITH ANY LISTED PUBLIC COMPANY AND/OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 29-DEC-2022 TO 28-DEC-2027
29-DEC-2022
|
|
| 885 |
|
|
SANJAY TALATI
(PAN:AADPT0037D)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF AGNITE EDUCATION LTD. (FORMERLY KNOWN AS TELEDATA INFORMATICS LTD.)
|
IMPOSED PENALTY RS.5,00,000
25-MAY-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 02/09/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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 05/04/2022 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.8,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS NOTICE DATED 29/05/2025 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 02/09/2021
|
| 886 |
|
|
SANJAYKUMAR RAMPRATAP TAYAL
(PAN:AAEPT9209L)
|
|
|
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.4,00,00,000
14-FEB-2013
|
SAT: SAT VIDE ITS ORDER DATED 11/02/2014 UPHELD PENALTY OF RS.4 CRORE IMPOSED UNDER SECTION 15HA AND SET ASIDE PENALTY OF RS.1 CRORE UNDER SECTION 15 A (A) OF SEBI ACT.
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 887 |
|
|
SANJEET KUMAR SINGH
(DIN:01633403)
|
|
|
DID NOT FURNISH INFORMATION IN RESPONSE TO SUMMONS ISSUED BY SEBI IN MATTER OF ORISSA SPONGE IRON & STEEL LTD.
|
IMPOSED PENALTY RS.1,00,000
30-JUN-2020
|
|
| 888 |
|
|
SANJEEV AGARWAL
(PAN:AHEPA0891L)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET ,CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF RICH UNIVERSE NETWORK LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF RICH UNIVERSE NETWORK LTD.
|
IMPOSED PENALTY RS.15,00,000
30-MAY-2013
|
SAT: APPEAL DISMISSED NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: APPEAL DISPOSED OFF. NO COSTS
|
| 889 |
|
|
SANJEEV BANSAL
|
|
|
SUBMITTED WRONG INFORMATION TO SEBI
|
IMPOSED PENALTY RS.1,00,000
29-APR-2016
|
SAT: APPEAL DISMISSED FOR WANT OF PROSECUTION. NO COSTS
|
| 890 |
|
|
SANJEEV KUMAR MITTAL
(PAN:AIVPM0122A)
|
|
|
|
BHARATIYA GLOBAL INFOMEDIA LTD.
CIN:L74999DL1994PLC062967
PAN:AABCB8175B
|
|
MIS-UTILIZED/DIVERTED IPO PROCEEDS OF RS.23.46 CRORE FOR THE PURPOSES AND/OR IN MANNER OTHER THAN THOSE DISCLOSED IN RHP/PROSPECTUS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
MIS-UTILIZED/DIVERTED IPO PROCEEDS OF RS.12.50 CRORE IN GRAB OF ICD INVESTMENTS IN THREE COMPANIES IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
MIS-UTILIZED/DIVERTED IPO PROCEEDS BY MAKING PAYMENTS TO PROMOTER/PROMOTER RELATED ENTITIES WITHOUT MAKING ANY DISCLOSURE IN RHP/PROSPECTUS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
MISUTILIZED/DIVERTED IPO PROCEEDS BY TRANSFERRING FUNDS TO TRADERS WHO INDULGED IN SYNCHRONIZED AND ARTIFICIAL TRADING ON THE DAY OF LISTING OF SHARES IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT PROVIDE INFORMATION RELATING TO ICD LOANS TAKEN PRIOR TO FILING OF RHP AND REPAID THE SAME WITHOUT MAKING ANY DISCLOSURE IN RHP/PROSPECTUS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT PROVIDE CORRECT INFORMATION OF TRANSACTIONS ENTERED INTO WITH VENDORS WHICH WERE PRE DECIDED IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT PROVIDE CORRECT DISCLOSURES RELATED TO PERCENTAGE OF PURCHASE ORDER PLACED IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT PROVIDE INFORMATION OF RELATED PARTY TRANSACTIONS WITH GADEO IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT CALL BACK RS.11.15 CRORE OUT OF PURPORTED ICD INVESTMENTS OF RS.12.50 CRORE AS DIRECTED VIDE SEBI ORDER DATED 28/12/2011 IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DISOBEYED SEBI’S ORDER BY NOT DEPOSITING UNUTILIZED IPO PROCEEDS AND ICD INVESTMENTS RECOVERED IN INTEREST BEARING ESCROW ACCOUNT AND MIS-UTILIZED AMOUNT SO RECOVERED IN GRAB OF WORKING CAPITAL REQUIREMENTS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
MISLED SEBI BY PROVIDING THREE DIFFERENT VERSIONS OF ICD, LOANS AND INVESTMENTS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
|
DIRECTED TO ENSURE COMPLIANCE OF DIRECTIONS OF CALL BACK OF RS.23.46 CRORES AND RS.11.15 CRORES
DIRECTED TO FURNISH COMPLIANCE REPORT TO SEBI DULY CERTIFIED BY INDEPENDENT SEBI REGISTERED MERCHANT BANKER WITHIN TWO WEEKS OF THE DATE OF COMPLIANCE
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-AUG-2014 TO 07-AUG-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-AUG-2014 TO 07-AUG-2019
08-AUG-2014
|
SAT: APPEAL ALLOWED TO BE WITHDRAWN WITH LIBERTY TO FILE FRESH APPEAL WITHIN A PERIOD OF TWO WEEKS FROM THE DATE OF THIS ORDER I.E. 18/09/2014
SAT: SAT VIDE ITS ORDER DATED 08/09/2016 PERMITTED APPELLANTS TO WITHDRAW THE APPEAL WITH LIBERTY TO FILE FRESH APPEAL ON OR BEFORE 18/11/2016 AS REQUESTED BY THE COUNSEL FOR APPELLANTS. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 20/11/2017 DISPOSED OFF THE APPEAL AS INFRUCTUOUS. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 19/10/2022 DISMISSED THE APPEAL
|
| 891 |
|
|
SANJEEV KUMAR SINHA
(PAN:ALEPS6005L)
(Along with : AMITA SINHA,
VANDANA SINHA)
|
|
|
|
AADYA COMMODITIES PVT.LTD.
PAN:AAHCA2094C
|
|
|
AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD.
PAN:AAECA3909P
|
|
DID NOT SUBMIT INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MISUSED PLEDGING OF CLIENT’S SECURITIES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
DID NOT REDRESS INVESTOR COMPLAINTS
FALSIFIED TRIAL BALANCE, BANK BOOKS AND CONCEALED THE INFORMATION RELATED TO PLEDGING OF SECURITIES, CASH WITHDRAWAL AND FUND MOVEMENT RELATED TO ENTITIES VIOLATING SECTIONS 12(A) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2) (P) OF SEBI (PFUTP) REGULATIONS, 2003
|
IMPOSED PENALTY RS.25,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-APR-2022
|
SAT: SAT VIDE ITS ORDER DATED 29/07/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 12/10/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 17/11/2022 ALLOWED THREE WEEKS TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 06/01/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 09/02/2023 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 23/03/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 01/05/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANTS FURTHER THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 16/08/2023 DIRECTED TO PAY RS.29,25,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 16/10/2023 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 13/12/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED THE EXEMPTION APPLICATION
SEBI VIDE ITS ORDER DATED 28/02/2024 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 04/04/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.31,25,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 892 |
|
|
SANJIV KUMAR JAIN
(DIN:00903577)
|
|
|
DID NOT FURNISH INFORMATION IN RESPONSE TO SUMMONS ISSUED BY SEBI IN MATTER OF ORISSA SPONGE IRON & STEEL LTD.
|
IMPOSED PENALTY RS.1,00,000
30-JUN-2020
|
|
| 893 |
|
|
SANJIV PRAVINCHANDRA SHAH
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.2,00,000
17-MAY-2005
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.50,000 FROM RS.2,00,000
SAT: APPEAL FILED FOR REVIEW OF SAT ORDER DATED 29/11/2005 DISMISSED
|
| 894 |
|
|
SANJIV PRAVINCHANDRA SHAH
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.15,000
30-JUN-2005
|
INCLUDED IN SEBI LIST DATED 31/03/2011, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 895 |
|
|
SANJOY CHOWHAN
(DIN:06568541)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION / DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF URO AGRO INDIA LTD.
|
IMPOSED PENALTY RS.1,00,000
25-FEB-2022
|
SEBI VIDE ITS NOTICE DATED 16/08/2022 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
|
| 896 |
|
|
SANTOSH A.NARVEKAR
(PAN:ACTPN3464G)
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION TO SEBI IN RESPONSE TO SUMMONS IN MATTER OF MEGA CORP.LTD.
|
IMPOSED PENALTY RS.25,00,000
20-APR-2009
|
SEBI VIDE ITS NOTICE DATED 10/07/2014 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
SEBI VIDE ITS ORDER DATED 24/04/2020 DIRECTED ALL THE BANKS TO REMIT RS.58,06,753.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.SANTOSH NARVEKAR TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 897 |
|
|
SANTOSH DATTA
(PAN:AAQPD2621N)
|
|
|
|
VISTAAR CAPITAL ADVISORS LTD.
PAN:AACCV6540K
|
|
DID NOT WINDUP SCHEME OF FUND ON EXPIRY OF TENURE/TERM
DID NOT MAINTAIN BOOKS OF ACCOUNT AND OTHER DOCUMENTS
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT SUBMIT REPORT TO SEBI
|
DIRECTED TO ENSURE THAT THE SCHEME OF FUND WOUND UP BY PROVIDING EXIT TO ITS INVESTORS/UNIT HOLDERS
DIRECTED TO OBTAIN TWO SEPARATE VALUATIONS OF ALL REMAINING ASSETS OF SCHEME OF FUND FROM TWO INDEPENDENT AND/OR REGISTERED VALUERS
DIRECTED TO DETERMINE NAV OF THE SCHEME OF THE FUND BASED ON VALUATION REPORTS BY ADOPTING HIGHER OF VALUATION ARRIVED AT IN TWO VALUATION REPORTS
DIRECTED TO PROVIDE EXIT TO INVESTORS/UNIT HOLDERS FIRST BY OFFERING OPTION TO EXISTING INVESTORS/UNIT HOLDERS TO TAKE EXIT BY WAY OF IN SPECIE DISTRIBUTION OF INTEREST/RIGHTS/STAKES/SHARES, ETC. IN INVESTEE COMPANIES/PROJECTS
DIRECTED INVESTORS/UNIT HOLDERS WHO DO NOT EXERCISE THEIR OPTION FOR IN SPECIE DISTRIBUTION, TO BE GIVEN EXIT ON BASIS OF NAV DETERMINED AS PER DIRECTIONS
DIRECTED TO COMPLETE ENTIRE PROCESS OF WINDING UP OF SCHEME OF FUND AND PROVIDING EXIT TO INVESTORS/UNIT HOLDERS
DIRECTED TO FILE REPORT CERTIFIED BY CHARTERED ACCOUNTANT DECLARING THAT ALL THE INVESTORS OF SCHEME HAVE BEEN PROVIDED EXIT AND SCHEME OF FUND STANDS WOUND UP AND REPORT TO BE FILED WITHIN THREE WEEKS AFTER COMPLETION OF THE EXIT AND REPAYMENT TO INVESTORS/UNIT HOLDERS OF SCHEME
RESTRAINED FROM ASSOCIATING DIRECTLY OR INDIRECTLY, WITH ANY REGISTERED INTERMEDIARIES INCLUDING SEBI REGISTERED FUNDS SUCH AS MUTUAL FUNDS, ALTERNATIVE INVESTMENT FUNDS, PORTFOLIO MANAGEMENT SERVICES ETC. WHICH DEAL WITH INVESTOR’S MONEY IN ANY MANNER FROM 24-MAY-2023 TO 23-MAY-2024
24-APR-2023
|
SAT: SAT VIDE ITS ORDER DATED 06/10/2025 ACCEPTED APPELLANTS AFFIDAVITS AND DISPOSED OF APPEAL . NO COSTS
|
| 898 |
|
|
SANTOSH KRISHNA PAWAR
(PAN:ALSPP7445F)
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION TO SEBI IN RESPONSE TO SUMMONS IN MATTER OF MEGA CORP.LTD.
|
IMPOSED PENALTY RS.3,00,000
12-AUG-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 10/10/2022 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 NOTICE DATED 20/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.7,78,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 899 |
|
|
SANTOSH KUMAR
(PAN:AEKPK6751Q)
|
|
|
|
BALAJI ENTERPRISES
PAN:AEKPK6751Q
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
ISSUED FICTITIOUS CONTRACT NOTES
FALSIFIED/FABRICATED DOCUMENT TO GIVE IMPRESSION OF AUTHENTICITY ABOUT ITS TRANSACTIONS
DELAY IN TRANSFER OF SHARES TO TRANSFEREES SUBSEQUENT TO RECEIPT OF PAYMENT FROM TRANSFEREES VIOLATING SECTION 2(I)(A) OF SCRA, 1956 AND SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION G.S.R 219(E) DATED 02/03/2000 AND SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF DELTA LEASING AND FINANCE LTD.
DID NOT FURNISH REQUIRED INFORMATION IN RESPONSE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF DELTA LEASING AND FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2023 TO 30-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2023 TO 30-APR-2023
IMPOSED PENALTY RS.10,50,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JAN-2023
|
|
| 900 |
|
|
SANTOSH ROHIDAS JAGTAP
(PAN:AFUPJ0681F)
|
|
|
|
RITEDEAL TRADING CO.PVT.LTD.
PAN:AACCR9537J
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF MEGA CORP.LTD.
NON-COOPERATIVE AND DEFIANT ATTITUDE HAMPERING SEBI IN DISCHARGING ITS STATUTORY FUNCTIONS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-OCT-2005 TILL FURTHER ORDERS
IMPOSED PENALTY RS.10,00,000
24-OCT-2005
|
CONFIRMED INTERIM ORDER DATED 24/10/2005
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 30/09/2012, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 10/10/2022 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 NOTICE DATED 20/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.29,61,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
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