| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 961 |
|
SANTOSH KUMAR
(PAN:BMKPK5626B)
|
|
|
|
PINE ANIMATION LTD.
CIN:L92100TN1989PLC017816
PAN:AAECM0267A
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PINE ANIMATION LTD.
|
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 18-NOV-2019 TO 07-MAY-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
08-MAY-2015
|
SEBI VIDE ITS ORDER DATED 22/08/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 08/05/2015 EXCEPT THAT NOTICEES CAN: A) ENTER INTO DELIVERY BASED TRANSACTIONS IN CASH SEGMENT IN SECURITIES COVERED IN NSE NIFTY 500 INDEX SCRIPS AND / OR S&P BSE 500 SCRIPS B) SUBSCRIBE TO UNITS OF MUTUAL FUNDS INCLUDING THROUGH SIP AND REDEEM THE UNITS OF MUTUAL FUNDS SO SUBSCRIBED C) DEAL IN DEBT/GOVERNMENT SECURITIES D) INVEST IN ETF E) AVAIL THE BENEFITS OF CORPORATE ACTIONS LIKE RIGHTS ISSUE, BONUS ISSUE, STOCK SPLIT, DIVIDEND, ETC. F) TENDER THE SHARES LYING IN THEIR DEMAT ACCOUNT IN ANY OPEN OFFER/DELISTING OFFER UNDER THE RELEVANT REGULATIONS OF SEBI. SEBI ALLOWED THEM FURTHER RELAXATIONS/RELIEFS A) THEY ARE PERMITTED TO SELL THE SECURITIES LYING IN THEIR DEMAT ACCOUNTS AS ON THE DATE OF THE INTERIM ORDER, OTHER THAN THE SHARES OF THE COMPANIES WHICH ARE SUSPENDED FROM TRADING BY THE CONCERNED STOCK EXCHANGE, IN ORDERLY MANNER UNDER THE SUPERVISION OF THE STOCK EXCHANGES SO AS NOT TO DISTURB THE MARKET EQUILIBRIUM AND DEPOSIT THE SALE PROCEEDS IN AN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK B) THEY MAY DEAL WITH OR UTILIZE THE SALE PROCEEDS LYING IN THE ESCROW ACCOUNT UNDER THE SUPERVISION OF THE CONCERNED STOCK EXCHANGE
SEBI VIDE ITS ORDER DATED 18/11/2019 DIRECTED TO A) DEBARRED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR 86YEARS AND B) FREEZED EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
|
| 962 |
|
|
SANTOSH KUMAR AGARWAL
(PAN:ABHPA5568M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF SULABH ENGINEERS & SERVICES LTD.
|
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 03-SEP-2020 TO 02-SEP-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 29/04/2022 DISMISSED THE APPEAL. NO COSTS
|
| 963 |
|
|
SANTOSH KUMAR AGARWAL
(PAN:ABKPA7972Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF SULABH ENGINEERS & SERVICES LTD.
|
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 03-SEP-2020 TO 02-SEP-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 13/07/2021 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS AND REJOINDER MAY BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 29/04/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 03/09/2020
|
| 964 |
|
|
SANTOSH SINGH PARIHAR
(PAN:BEKPP6860A)
|
|
|
|
TRADEBIZZ RESEARCH
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
|
| 965 |
|
|
SANTOSH VYANKATESH GARAD
(PAN:AMLPG0929R
DIN:02333626)
|
|
|
|
BABANRAOJI SHINDE SUGAR & ALLIED INDUSTRIES LTD.
CIN:U15420PN2011PLC138268
PAN:AACCI5569F
|
|
MOBILIZED RS.9.28 CRORES FROM PUBLIC THROUGH ISSUANCE OF NON-CUMULATIVE REDEEMABLE PREFERENCE SHARES (NCRPS) BY WAY OF PRIVATE PLACEMENT TO 2640 INVESTORS VIOLATING SECTIONS 67(3) AND 73(1) TO 73(3) OF COMPANIES ACT, 1956
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JAN-2019 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2019 UNTIL FURTHER ORDERS
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED NOT TO DISPOSE OF, ALIENATE OR ENCUMBER ANY ASSETS / PROPERTIES
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC EITHER THROUGH OFFER AND ALLOTMENTS OF PREFERENCE SHARES AND/OR ALLOTMENT OF DEBENTURES
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
11-JAN-2019
|
SEBI VIDE ITS ORDER DATED 19/04/2021 DISPOSED OFF THE PROCEEDINGS WITH THE DIRECTIONS THAT THE INFORMATION SUBMITTED BY THE NOTICEES WILL BE EXAMINED IN DETAIL BY SEBI AND THE NOTICEES ARE AT LIBERTY TO SUPPLEMENT THE INFORMATION ALREADY PROVIDED WITHIN 30 DAYS AND SHALL CO-OPERATE AND PROVIDE NECESSARY INFORMATION WITHIN REASONABLE TIME AS AND WHEN ASKED TO FURNISH BY SEBI
|
| 966 |
|
|
SANTOSHKUMAR SATYANARAYAN PODAR
(PAN:AGOPP8524G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF MAA JAGDAMBE TRADELINKS LTD.
|
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-JUL-2020 TO 28-JUL-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
29-JUL-2020
|
SAT: SAT VIDE ITS ORDER DATED 19/11/2020 ALLOWED THE APPEAL AND CONDONED THE DELAY IN FILING OF APPEAL. ALLOWED TWO WEEKS TIME TO RESPONDENT TO FILE REPLY AND APPELLANT TO FILE REJOINDER TEN DAYS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 15/07/2021 RESERVES THE ORDER. WRITTEN SUBMISSIONS, IF ANY, MAY BE FILED WITHIN THREE DAYS
SAT: SAT VIDE ITS ORDER DATED 24/08/2021 DISMISSED THE APPEAL
|
| 967 |
|
|
SAPNA AGARWALA
(PAN:AEOPA6422Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUNSTAR REALTY DEVELOPMENT LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-MAR-2021 TO 18-SEP-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-MAR-2021 TO 18-SEP-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
19-MAR-2021
|
|
| 968 |
|
|
SAPNA DILIP BOMBAYWALA
(PAN:AMKPB6719K)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF JOLLY PLASTIC INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-FEB-2019 TO 11-FEB-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-FEB-2019 TO 11-FEB-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
12-FEB-2019
|
SAT: SAT VIDE ITS ORDER DATED 10/07/2019 DIRECTED APPELLANT TO ACCESS SECURITIES MARKET ONLY TO LIMITED EXTENT OF LIQUIDATING SHARES AS PER ANNEXURE ‘A’ WHICH ARE LYING IN DEMAT ACCOUNT OF APPELLANT WITHIN THREE MONTHS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 28/01/2020 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 12/02/2019
SAT: SAT VIDE ITS ORDER DATED 24/06/2020 QUASHED IMPUGNED ORDER AND ALLOWED THE APPEAL AT ADMISSION STAGE ITSELF WITHOUT CALLING FOR REPLY
|
| 969 |
|
|
SAPNA KAPOOR
(PAN:ACQPK3632A)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF SULABH ENGINEERS & SERVICES LTD.
|
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 27-JAN-2023 TO 26-JAN-2026
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 23/04/2021 RESPONDENT MAY FILE REPLY TO THE MEMO OF APPEAL AS WELL AS TO APPLICATION FOR CONDONATION OF DELAY ON OR BEFORE THE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 13/07/2021 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS AND REJOINDER MAY BE FILED WITHIN TWO WEEKS THEREAFTER
SEBI VIDE ITS ORDER DATED 27/01/2023 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH THE SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR THREE YEARS FROM DATE OF THIS ORDER B) DURING PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING MUTUAL FUNDS UNITS TO REMAIN FROZEN
|
| 970 |
|
|
SARIFUL ISLAM
(PAN:ACSPI6819F
DIN:07795146)
|
|
|
|
PRAYAS PROJECTS INDIA LTD.
CIN:U70109WB2009PLC133033
PAN:AAFCP0276P
|
|
MOBILIZED RS.86.32 LACS THROUGH ISSUANCE OF NON-CONVERTIBLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT TO 154 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73, 117B AND 117C OF THE COMPANIES ACT, 1956 AND THE DEBT SECURITIES REGULATIONS
|
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 24-APR-2019 TO 23-APR-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-APR-2019 TO 23-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-APR-2019 TO 23-APR-2023
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 24-APR-2019 TO 23-APR-2023
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 24-APR-2019 TO 23-APR-2023
PERMITTED TO SELL ASSETS OF COMPANY FOR SOLE PURPOSE OF MAKING REFUNDS AND DEPOSIT PROCEEDS IN AN ESCROW ACCOUNT OPENED WITH NATIONALISED BANK
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-JAN-2015
|
SEBI VIDE ITS ORDER DATED 24/04/2019 PERMITTED TO SELL ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUND AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH NATIONALISED BANK B) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND C) DIRECTED FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION D) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER ANY MANNER FOR FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS. DURING THE PERIOD OF RESTRAINT THE EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS SHALL REMAIN FROZEN E) RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
|
| 971 |
|
|
SARIKA AMIT NAHETA
(PAN:AALPJ6021B)
|
|
|
TRANSFERRED FUNDS TO THIRD PARTIES IN GUISE OF ISSUE RELATED EXPENSES ON INSTRUCTION OF LEAD MANAGER, MUCH HIGHER THAN ISSUE RELATED EXPENSES DISCLOSED IN PROSPECTUS VIOLATING REGULATION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF VARYAA CREATIONS LTD.
|
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
14-MAY-2025
|
SEBI VIDE ITS ORDER DATED 29/12/2025 VACATED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 14/05/2025
|
| 972 |
|
|
SARITA PRADIP BISSA
(PAN:BGLPB8816M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF GREENCREST FINANCIAL SERVICES LTD.
|
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 05-JUN-2020 TO 04-JUN-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
05-JUN-2020
|
SAT: SAT VIDE ITS ORDER DATED 10/11/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
|
| 973 |
|
|
SARITHA SUKUMARAN
(PAN:AYFPS1523F)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(2) OF READ WITH REGULATION 13 OF SAST REGULATIONS, 2011 IN MATTER OF VKS PROJECTS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-NOV-2019 TO 27-NOV-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-NOV-2019 TO 27-NOV-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-NOV-2019
|
|
| 974 |
|
|
SAROJ DEVI KOTHARI
(PAN:ARCPK1018M)
|
|
|
TRANSFERRED SHARES OF PSIT INFRASTRUCTURE & SERVICES LTD.THROUGH OFF-MARKET TRANSACTIONS IN DISTRIBUTED MANNER FOR PRICE MANIPULATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-JUN-2020 TO 04-DEC-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-JUN-2020 TO 04-DEC-2020
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
05-JUN-2020
|
|
| 975 |
|
|
SAROJ DEVI KOTHARI
(PAN:ARCPK1018M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH INTRA GROUP TRADING IN SCRIP OF RADFORD GLOBAL LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-JUL-2021 TO 15-JAN-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-JUL-2021 TO 15-JAN-2022
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 16-JUL-2021 TO 15-JAN-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
16-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 24/08/2021 DIRECTED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS AND REJOINDER MAY BE FILED ON OR BEFORE NEXT DATE. STAYED EFFECT AND OPERATION OF IMPUGNED ORDER DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 28/09/2021 ALLOWED APPELLANTS THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 23/12/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 30/09/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILE WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/11/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 976 |
|
|
SAROJ DEVI LAKHANI
(PAN:ABXPL5522C)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SURABHI CHEMICALS & INVESTMENTS LTD. (NOW KNOWN AS SUPERSPACE INFRASTRUCTURE LTD.)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-JAN-2021 TO 26-JUL-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-JAN-2021 TO 26-JUL-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
27-JAN-2021
|
|
| 977 |
|
|
SARTHAK SURESHKUMAR KOTHARI
(PAN:AYUPK7834Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-AUG-2020 TO 28-FEB-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-AUG-2020 TO 28-FEB-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
31-AUG-2020
|
|
| 978 |
|
|
SARVESH KUMAR
(PAN:BRHPK7160G)
|
|
|
|
BUSINESS MART WORLD
PAN:BRHPK7160G
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 28-FEB-2023 TO 31-AUG-2023
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2023 TO 31-AUG-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2023 TO 31-AUG-2023
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 28-FEB-2023 TO 31-AUG-2023
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI FROM 28-FEB-2023 TO 31-AUG-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-FEB-2023
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SEBI VIDE ITS NOTICE DATED 18/06/2025 DIRECTED TO PAY RS.2,03,63,544.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 13/11/2025 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS, MUTUAL FUNDS FOLIOS AND/OR POST OFFICE ACCOUNT 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 19/12/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.2,13,44,638.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
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| 979 |
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SARWANI DEVI MODI
(PAN:ADUPM9995M)
|
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUNSTAR REALTY DEVELOPMENT LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-MAR-2021 TO 18-SEP-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-MAR-2021 TO 18-SEP-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
19-MAR-2021
|
|
| 980 |
|
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SASHI PANDEY
(PAN:BROPP5797B)
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SHIVOM INVESTMENT & CONSULTANCY LTD.
PAN:AAACG9355K
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DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF SHIVOM INVESTMENT & CONSULTANCY LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF SHIVOM INVESTMENT & CONSULTANCY LTD. VIOLATING REGULATIONS 4(2)(F)(II)(1), (6), (7), 4(2)(F)(III)(2), (3) (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SHIVOM INVESTMENT & CONSULTANCY LTD.
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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 24-FEB-2023 TO 23-MAY-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.2,00,000
24-FEB-2023
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SEBI VIDE ITS NOTICE DATED 27/06/2024 DIRECTED TO PAY RS.2,35,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 07/10/2024 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
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| 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 49 of 60
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