| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 961 |
|
SIRISH SHAH
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF FAST TRACK ENTERTAINMENT LTD.
DID NOT ADHERE TO SUMMONS ISSUED TO PROVIDE INFORMATION AND TO APPEAR IN PERSON IN MATTER OF FAST TRACK ENTERTAINMANT LTD.
|
IMPOSED PENALTY RS.3,00,000
01-SEP-2009
|
|
| 962 |
|
|
SITA RAM AGARWAL
(PAN:ACQPA1303A)
|
|
|
|
RAJLAXMI INDUSTRIES LTD.
PAN:AAACR0419F
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF RAJLAXMI INDUSTRIES LTD.
DID NOT PROVIDE INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF RAJLAXMI INDUSTRIES LTD.
|
IMPOSED PENALTY RS.40,00,000 ALONG WITH OTHER ENTITIES/PERSONS
11-APR-2022
|
|
| 963 |
|
|
SIVA BALAN JAIPAL
(PAN:AKVPJ3453D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KALPA COMMERCIAL LTD.
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT/PARTIAL CONSIDERATION VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.G.S.R. 219(E) DATED 03/10/2013 AND SECTIONS 13 AND 18 OF SCRA, 1956 READ WITH SECTION 2(I) OF SEBI SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF KALPA COMMERCIAL LTD.
DID NOT PROVIDE INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF KALPA COMMERCIAL LTD.
|
IMPOSED PENALTY RS.11,00,000
24-NOV-2021
|
SEBI VIDE ITS NOTICE DATED 26/05/2022 DIRECTED TO PAY A RS.11,78,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 16/06/2022 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
SAT: SAT VIDE ITS ORDER DATED 30/09/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. IF APPELLANT DEPOSIT 50% OF AMOUNT PURSUANT TO IMPUGNED ORDER WITHIN FOUR WEEKS FROM DATE OF THIS ORDER, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 04/01/2023 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 07/02/2023 CONDONED THE DELAY IN FILING OF REPLY. ALLOWED AMENDMENT APPLICATION AND NECESSARY CORRECTION AND INCORPORATION BE CARRIED OUT WITHIN TWO WEEKS FROM DATE OF THIS ORDER. RESPONDENT TO FILE A REPLY OF AMENDED PARAGRAPHS WITHIN SAME PERIOD AND REJOINDER IF ANY, ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 02/03/2023 ALLOWED RESPONDENT FURTHER TWO WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 11/04/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 12/05/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 09/09/2025 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 16/06/2022
SEBI VIDE ITS ORDER DATED 09/09/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4795 OF 2022 DATED 26/05/2022
|
| 964 |
|
|
SIVAPRASADA RAO BUDDI
(PAN:ABIPB0047K)
|
|
|
|
SEYA INDUSTRIES LTD.
PAN:AABCS4522R
|
|
MISREPRESENTED FINANCIAL STATEMENTS/RESULTS AND DID NOT GIVE A TRUE AND FAIR VIEW OF FINANCIAL PERFORMANCE AND POSITION VIOLATING SETIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SEYA INDUSTRIES LTD.
SIPHONED OFF FUNDS/ASSETS TO PROMOTER GROUP COMPANY/COMPANIES RELATED TO PROMOTERS (VIZ. WHIZ ENTERPRISES PVT.LTD., ANEEKA UNIVERSAL PVT.LTD. AND SHRI BALAJI ENTERTAINMENTS PVT.LTD.) ON PRETEXT OF PURCHASES/SALES FROM/TO THEM AND/OR THROUGH UNDISCLOSED FUND TRANSFERS VIOLATING SETIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SEYA INDUSTRIES LTD.
MISPRESENTED FINANCIAL STATEMENTS/RESULTS AND DID NOT GIVE A TRUE AND FAIR VIEW OF FINANCIAL PERFORMANCE AND POSITION VIOLATING REGULATIONS 4(1)(A) TO 4(1)(E), (G), (J), 4(2)(E)(I), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS WITH PROMOTER GROUP COMPANY/COMPANIES RELATED TO PROMOTERS (VIZ. WHIZ ENTERPRISES PVT.LTD., ANEEKA UNIVERSAL PVT.LTD. AND SHRI BALAJI ENTERTAINMENTS PVT.LTD.) AND DID NOT TAKE AUDIT COMMITTEE AND/OR SHAREHOLDER’S APPROVAL FOR UNDISCLOSED RELATED PARTY TRANSACTIONS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(B), 4(2)(E)(I), 23(2), 23(4), 23(9), 33(1)(C), 34(3) READ WITH PART A OF SCHEDULE V AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF MATERIAL EVENTS/INFORMATION TO STOCK EXCHANGES VIOLATING REGULATIONS 4(1)(D) TO 4(1)(J) AND 30(2) AND 30(3) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
SHOWN WRONG DETAILS OF ATTENDEES OF BOARD MEETINGS, AUDIT AND RISK MANAGEMENT COMMITTEE MEETINGS IN ANNUAL REPORT VIOLATING REGULATIONS 4(1)(C) AND 34(3) READ WITH CLAUSE 2(B) AND 3(C) OF PART C OF SCHEDULE V OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
APPOINTED AUDITORS WHO DID NOT HAVE VALID PEER REVIEW CERTIFICATE ISSUED BY ICAI AS STATUTORY AUDITOR VIOLATING REGULATION 33(1)(D) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
DID NOT DISCLOSE MATERIAL EVENTS/INFORMATION TO STOCK EXCHANGES VIOLATING REGULATION 8(1) READ WITH CLAUSE 1 OF SCHEDULE A OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
DID NOT PROVIDE INFORMATION AND/OR SUBMITTED WRONG AND MISLEADING INFORMATION TO SEBI IN MATTER OF SEYA INDUSTRIES LTD.
|
DIRECTED TO FILE PUBLIC DISCLOSURE TO THE STOCK EXCHANGES AS WELL AS PUBLISH ON COMPANY’S WEBSITE THE CONTENTS OF THIS ORDER-CUM-SHOW CAUSE NOTICE WITHIN THREE DAYS FROM DATE OF RECEIPT THIS ORDER
DIRECTED TO DISCLOSE UPDATED STATUS OF ALL UNDISCLOSED MATERIAL EVENTS/INFORMATION TO STOCK EXCHANGES WITHIN FIFTEEN DAYS FROM DATE OF RECEIPT OF THIS ORDER
DIRECTED NOT TO SELL/DISPOSE OF/DILUTE SHAREHOLDING IN COMPANY, HELD DIRECTLY OR INDIRECTLY THROUGH FAMILY MEMBERS OR THROUGH COMPANIES IN WHICH THEY OR THEIR FAMILY MEMBERS DIRECTORS
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 02-MAY-2025 TO 01-MAY-2030
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 02-MAY-2025 TO 01-MAY-2030
IMPOSED PENALTY RS.50,00,000
20-MAR-2023
|
SEBI VIDE ITS ORDER DATED 02/05/2025 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER, FOR 5 YEARS, FROM DATE OF THIS ORDER B) RESTRAINED FROM BEING ASSOCIATED WITH SECURITIES MARKET INCLUDING AS A DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR ANY INTERMEDIARY REGISTERED WITH SEBI, FOR 5 YEARS, FROM DATE OF THIS ORDER C) PAY PENALTY TO RS.10 LAC U/S 15A(A), RS.10 LAC U/S 15A(B), RS.20 LAC U/S 15HA AND RS.10 LAC U/S 15HB OF SEBI ACT
SEBI VIDE ITS NOTICE DATED 13/08/2025 DIRECTED TO PAY RS.2,08,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 965 |
|
|
SMITA MAHENDRA PANDYA
(PAN:AAGPP4787P)
|
|
|
|
KALEIDOSCOPE FILMS LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 26-MAY-2011 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-MAY-2011 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
26-MAY-2011
|
SEBI VIDE ITS ORDER DATED 29/11/2012 REVOKED DIRECTIONS ISSUED VIDE ITS ORDER DATED 26/05/2011 WITH IMMEDIATE EFFECT
|
| 966 |
|
|
SMITA NAGDA
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF AMIT INTERNATIONAL LTD.
|
IMPOSED PENALTY RS.10,00,000
19-NOV-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 28/07/2021 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 ORDER DATED 28/03/2022 DIRECTED ALL THE BANKS TO REMIT RS.24,91,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MS.SMITA NAGDA TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 967 |
|
|
SNEHAL BHARATBHAI PATEL
(PAN:BJBPP1597A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF OASIS TRADELINK LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF GALA GLOBAL PRODUCTS LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF OASIS TRADELINK LTD.
|
IMPOSED PENALTY RS.3,00,000
03-NOV-2020
|
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
SAT: SAT VIDE ITS ORDER DATED 05/10/2021 CONDONED THE DELAY OF 252 DAYS IN FILING OF APPEAL AND ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 01/02/2022 DISMISSED REVIEW APPLICATIONS. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 08/04/2022 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
SEBI VIDE ITS NOTICE DATED 25/11/2024 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 25/11/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.3337 OF 2021 DATED 09/03/2021
|
| 968 |
|
|
SOMABHAI SUNDERBHAI MEENA
(DIN:05138990
PAN:BFYPM1247K)
(Along with : JILS RAICHAND MADAN)
|
|
|
|
AADHAAR VENTURES INDIA LTD.
PAN:AABCP4155F
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS TO INVESTIGATING AUTHORITY IN MATTER OF AADHAAR VENTURES INDIA LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-AUG-2022
|
SEBI VIDE ITS NOTICE DATED 31/01/2024 DIRECTED TO PAY RS.11,81,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 31/01/2024 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 18/09/2024 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 31/01/2024
SEBI VIDE ITS ORDER DATED 18/09/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7551 OF 2024 DATED 31/01/2024
|
| 969 |
|
|
SONALBEN AMITBHAI KHALAS
(PAN:HVUPK8521G)
(Along with : HARSHA ISHVARBHAI SOLANKI,
RAKESHBHAI K.PANDYA,
BADAMILAL BANSHILAL GARG,
LATABEN NAROTAMBHAI RANGI,
FULABHAI BHITHOR,
JIGAR BHAILALBHAI KHALASH,
BHARGAVIBEN S.RAVAL,
BHAVESH POPATLAL RANGI,
MARVADI PARSOTAMBHAI,
MAHESH BHAI JAYANTILAL CHAUHAN,
VAIRAGI K.GANESHPURI)
|
|
|
|
BHAVESH ORTHO AIDS
PAN:BDMPR5701F
|
|
|
GANESH TRADING
PAN:DKSPG9993R
|
|
|
S R TRADERS
PAN:AHKPC1715D
|
|
|
S S TRADERS
PAN:AYHPM4047J
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION / DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF ANI INTEGRATED SERVICES LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
12-FEB-2026
|
|
| 970 |
|
|
SONALI GUPTA
(PAN:AAEPC1340F)
|
|
|
|
GKN SECURITIES
PAN:AAHFG6629C
|
|
PROVIDED FALSE INFORMATION TO SEBI STATING THAT THE CONNECTIVITY OF SAMPARK WAS TERMINATED
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-JUN-2022
|
SAT: SAT VIDE ITS ORDER DATED 14/12/2023 PARTLY ALLOWED THE APPEAL BY QUASHING PENALTY AMOUNT OF RS.1 CRORE VIOLATION UNDER REGULATIONS 3 AND 4 OF PFUTP REGULATIONS READ WITH 12A OF THE SEBI ACT. AND PENALTY AMOUNT RS.10 LAC TO BE PAID BY APPELLANTS JOINTLY AND SEVERALLY
|
| 971 |
|
|
SONALI KUMAR ROY
(DIN:07269348)
|
|
|
|
STEPHENS FINANCIAL SERVICES PVT.LTD.
PAN:AAGCS2740G
CIN:U65999WB1995PTC073523
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF FALCON TYRES LTD. AND DUNLOP INDIA LTD.
|
IMPOSED PENALTY RS.10,00,000
06-SEP-2018
|
|
| 972 |
|
|
SONU AGARWAL
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF AURANGABAD CRYOGENICS LTD.
|
IMPOSED PENALTY RS.1,00,000
25-FEB-2011
|
|
| 973 |
|
|
SOUMITRA GHOSE
(DIN:00245028)
|
|
|
|
MANALI PROPERTIES & FINANCE PVT.LTD.
CIN:U70109WB1994PTC063020
PAN:AACCM9560A
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF FALCON TYRES LTD. AND DUNLOP INDIA LTD.
|
IMPOSED PENALTY RS.5,00,000
24-AUG-2018
|
|
| 974 |
|
|
SOURABH H.BORA
(PAN:ADIPB7693R)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF MAHAN INDUSTRIES LTD.
|
IMPOSED PENALTY RS.4,00,000
30-NOV-2015
|
SEBI VIDE ITS NOTICE DATED 29/02/2016 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 04/03/2016 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS/LOCKERS/DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 29/02/2016
|
| 975 |
|
|
SRI RAMA CHANDRA MURTHY
|
|
|
|
SEQUELSOFT INDIA LTD.
|
|
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
DID NOT SUBMIT REPLY/SUBMISSION OF SHOW CAUSE NOTICE TO ISSUED IN MATTER OF VANISHING COMPANIES
DID NOT FILE STATUTORY RETURNS WITH REGISTRAR OF COMPANIES (ROC) FOR TWO YEARS
DID NOT FILE RETURNS WITH STOCK EXCHANGES FOR TWO YEARS
COMPANY WAS NOT TRACEABLE AT ITS REGISTERED OFFICE
DIRECTORS OF THE COMPANY WERE NOT TRACEABLE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-OCT-2016 TO 20-OCT-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-OCT-2016 TO 20-OCT-2021
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 21-OCT-2016 TO 20-OCT-2021
21-OCT-2016
|
|
| 976 |
|
|
SRINIVASA RAO MARUPUDI
(PAN:ACQPM0876L)
|
|
|
MADE MISLEADING ANNOUNCEMENTS/ADVERTISEMENTS IN MATTER OF EXELON INFRASTRUCTURE LTD.
DID NOT ADHERE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF EXELON INFRASTRUCTURE LTD.
|
IMPOSED PENALTY RS.20,00,000
23-AUG-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 977 |
|
|
SUBHASH ATMARAM SHARMA
(PAN:AXCPS8189D)
|
|
|
|
RESURGERE MINES & MINERALS INDIA LTD.
CIN:L74140MH1987PLC172412
PAN:AAACE0111B
|
|
INDULGED IN SIPHONING OFF IPO PROCEEDS VIOLATING SECTIONS 12(A) TO 12A(C) READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RESURGERE MINES & MINERALS INDIA LTD.
DID NOT UTILIZE IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS AND DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES WITH RESPECT TO IPO PROCEEDS VIOLATING REGULATION 57(1) AND 57(2) READ WITH SCHEDULE VIII PART A (2)(VII)(A)(1), REGULATIONS 59, 60(4) AND 60(7) (A) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF RESURGERE MINES & MINERALS INDIA LTD.
DID NOT COMPLY WITH THE SUMMONS ISSUED FOR FURNISHING INFORMATION IN MATTER OF RESURGERE MINES & MINERALS INDIA LTD.
|
IMPOSED PENALTY RS.15,00,000
21-JUN-2022
|
|
| 978 |
|
|
SUBHASH GHORAI
(DIN:06777536
PAN:BEQPG4679L)
|
|
|
|
ROOFERS CAPITAL MANAGEMENT LTD.
CIN:U74140WB2009PLC140331
PAN:AAECR6116M
|
|
DID NOT ADHERE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF ROOFERS CAPITAL MANAGEMENT LTD.
|
IMPOSED PENALTY RS.2,00,000
30-OCT-2018
|
SEBI VIDE ITS NOTICE DATED 19/05/2021 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
|
| 979 |
|
|
SUBRATA ROY SAHARA
(DIN:00431905
PAN:ARKPS3189F)
(Along with : ASHOK ROY CHOUDHARY,
RAVI SHANKER DUBEY,
VANDANA BHARRGAVA)
|
|
|
|
SAHARA HOUSING INVESTMENT CORP.LTD.
PAN:AAJCS4101J
|
|
RAISED MONEY THROUGH PUBLIC ISSUE OF SECURITIES BY ISSUING OPTIONALLY FULLY CONVERTIBLE DEBENTURES (OFCDS) WITHOUT FOLLOWING VARIOUS PROCEDURES VIOLATING REGULATIONS 4(2), 5(1), 5(7), 6, 7, 16(1), 20(1), 25, 26, 36, 37, 46 AND 57 OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF SAHARA INDIA REAL ESTATE CORP.LTD. AND SAHARA HOUSING INVESTMENT CORP.LTD.
MADE UNTRUE STATEMENTS AND MIS-STATEMENTS IN RED HERRING PROSPECTUS (RHP) BY MISLEAD/INDUCE TO INVESTORS INTO SUBSCRIBING TO OPTIONALLY FULLY CONVERTIBLE DEBENTURES (OFCDS) VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SAHARA INDIA REAL ESTATE CORP.LTD. AND SAHARA HOUSING INVESTMENT CORP.LTD.
DID NOT PROVIDE INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF SAHARA INDIA REAL ESTATE CORP.LTD. AND SAHARA HOUSING INVESTMENT CORP.LTD.
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
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IMPOSED PENALTY RS.6,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-JUN-2022
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SEBI VIDE ITS NOTICE DATED 12/01/2023 DIRECTED TO PAY RS.6,48,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 01/02/2023 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 ORDER DATED 06/04/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6210 OF 2023 DATED 12/01/2023
SEBI VIDE ITS NOTICE DATED 06/04/2023 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 01/02/2023
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| 980 |
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SUBRATA ROY SAHARA
(DIN:00431905
PAN:ARKPS3189F)
(Along with : ASHOK ROY CHOUDHARY,
RAVI SHANKER DUBEY,
VANDANA BHARRGAVA)
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SAHARA INDIA REAL ESTATE CORP.LTD.
PAN:AAJCS7265F
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RAISED MONEY BY ISSUING OPTIONALLY FULLY CONVERTIBLE DEBENTURES (OFCDS) WITHOUT FOLLOWING VARIOUS PROCEDURES VIOLATING CLAUSES 2.1.1, 2.1.4, 2.1.5, 2.2, 2.5, 2.8, 4.11, 4.14, 5.3.1, 5.6.2, 6 TO 6.15, 8.8.1, 8.17, 10 TO 10.6 AND 10.9 OF DIP GUIDELINES READ WITH REGULATIONS 4(2), 5(1), 5(7), 6, 7, 16(1), 20(1), 25, 26, 36, 37, 46 AND 57 OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF SAHARA INDIA REAL ESTATE CORP.LTD. AND SAHARA HOUSING INVESTMENT CORP.LTD.
MADE UNTRUE STATEMENTS AND MIS-STATEMENTS IN RED HERRING PROSPECTUS (RHP) BY MISLEAD/INDUCE TO INVESTORS INTO SUBSCRIBING TO OPTIONALLY FULLY CONVERTIBLE DEBENTURES (OFCDS) VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SAHARA INDIA REAL ESTATE CORP.LTD. AND SAHARA HOUSING INVESTMENT CORP.LTD.
DID NOT PROVIDE INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF SAHARA INDIA REAL ESTATE CORP.LTD. AND SAHARA HOUSING INVESTMENT CORP.LTD.
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
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IMPOSED PENALTY RS.6,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-JUN-2022
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SEBI VIDE ITS NOTICE DATED 07/12/2022 DIRECTED TO PAY RS.6,42,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 26/12/2022 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 28/03/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6098 OF 2022 DATED 07/12/2022
SEBI VIDE ITS NOTICE DATED 06/04/2023 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 26/12/2022
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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 57
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