| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
RAVINDRA KUMAR KASERA
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3,4(1),4(2)(A),(B),(G) & (N) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SBEC SUGAR LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,65,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-DEC-2008 TO 15-MAR-2009
16-DEC-2008
|
|
| 82 |
|
|
RIDDHI K.SHAH
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH CIRCULAR TRANSACTIONS IN SCRIP OF DATABASE FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 01-APR-2009 TO 30-SEP-2009
19-MAR-2009
|
|
| 83 |
|
|
RUPESH KUMAR MATOLIYA
(PAN:AFRPM8024J)
|
|
|
ALLEGED AIDING AND ABETTING MR.NIRMAL KUMAR SONI TO EXECUTE TRADES IN HIS ACCOUNT AND IN THE ACCOUNTS OF SAAR COMMODITIES PVT.LTD., MANAN SHARECOM PVT.LTD. AND KANHYA TRADING CO.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.57,20,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 16-JAN-2025 TO 15-JUL-2025
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-JAN-2025 TO 15-JUL-2025
16-JAN-2025
|
|
| 84 |
|
|
SACHIN JAIN
|
|
|
|
ATLANTA LTD.
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2008 TO 29-SEP-2009
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 30-SEP-2008 TO 29-SEP-2009
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 30-SEP-2008 TO 29-SEP-2009
30-SEP-2008
|
AD-INTERIM EX-PARTE ORDER DATED 22/02/2007 REVOKED AS AGREED TO PAY RS.50,000 TOWARDS SETTLEMENT CHARGES AND A BAR FROM BUYING, SELLING OR DEALING IN SECURITIES FOR ONE YEAR I.E. FROM 30/09/2008 TO 29/09/2009, AS PER CONSENT ORDER DATED 30/09/2008
|
| 85 |
|
|
SAMIR N.SHAH
|
|
|
ALLEGED INDULGENCE IN CIRCULAR TRANSACTIONS IN SCRIP OF DATABASE FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 19-MAR-2009 TO 18-SEP-2009
19-MAR-2009
|
|
| 86 |
|
|
SANDHYA R.GANDHI
|
|
|
ALLEGED IRREGULAR TRADING ON BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN SCRIP OF WOCKHARDT LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 21-APR-2009 TO 20-OCT-2010
20-APR-2009
|
|
| 87 |
|
|
SANDHYA SHIRISH SHAH
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF HIGHLAND INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 07-SEP-2009 TO 06-MAR-2011
04-SEP-2009
|
|
| 88 |
|
|
SANJAY KUMAR JAIN
|
|
|
|
SHREE TULSI ONLINE.COM LTD.
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ADINATH BIO-LABS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 07-SEP-2009 TO 06-NOV-2009
01-SEP-2009
|
|
| 89 |
|
|
SANJAY SANGHVI
(PAN:AAIPS3640Q)
|
|
|
ALLEGED INDULGENCE IN FRONT RUNNING ACTIVITIES IN TRADING OF A NUMBER OF SCRIPS IN WHICH HDFC ASSET MANAGEMENT CO.LTD.TRADED
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 03-SEP-2012 TO 02-SEP-2015
03-SEP-2012
|
|
| 90 |
|
|
SANJIV KHURANA
|
|
|
|
KINETIC CAPITAL SERVICES LTD.
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS THROUGH CIRCULAR TRADING IN SCRIP OF KINETIC CAPITAL SERVICES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 28-OCT-2010 TO 27-APR-2011
22-OCT-2010
|
|
| 91 |
|
|
SANTOSH KUMAR JAIN
(PAN:ACQPJ7823E)
|
|
|
|
ATN INTERNATIONAL LTD.
CIN:L65993WB1983PLC080793
PAN:AACCA5744Q
|
|
|
SILICON VALLEY INFOTECH LTD.
CIN:L15311WB1993PLC061312
PAN:AABCP5702G
|
|
ALLEGED INDULGENCE IN OFF-LOADING OF SHARES WHILE IN POSSESSION OF PRICE SENSITIVE INFORMATION IN MATTER OF ATN INTERNATIONAL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.20,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 20-JUN-2011 TO 19-JUN-2013
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 20-JUN-2011 TO 19-JUN-2013
20-JUN-2011
|
|
| 92 |
|
|
SANTOSH P.GAYAKWAD
|
|
|
ALLEGED IRREGULARITIES IN SCRIP OF GENUS COMMU-TRADE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 22-DEC-2008 TO 21-DEC-2011
22-DEC-2008
|
|
| 93 |
|
|
SARYUBEN H.VORA
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF STOCKNET INTERNATIONAL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 07-SEP-2009 TO 06-DEC-2009
01-SEP-2009
|
|
| 94 |
|
|
SATISH R.SHAH
(PAN:ACBPS8940G)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS THROUGH IRREGULAR ALLOTMENT OF SHARES AS REQUIRED UNDER REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995 IN MATTER OF SAWACA COMMUNICATION LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 18-JUN-2009 TO 17-JUN-2011
15-JUN-2009
|
|
| 95 |
|
|
SHABIR MENON
|
|
|
|
ASHOKA REFINERIES LTD.
|
|
ALLEGED DELAY IN TRANSFER OF SHARES OF ASHOKA REFINERIES LTD.
ALLEGED INDULGENCE IN PRICE RIGGING IN SCRIP OF ASHOKA REFINERIES LTD.
|
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 22-JUL-2009 TO 21-JUL-2011
22-JUL-2009
|
|
| 96 |
|
|
SHAILESH SUBODHCHANDRA JHAVERI
(PAN:ADTPJ0210B)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF AARTI INDUSTRIES LTD., AARTI DRUGS LTD., HAVELLS INDIA LTD. AND TASC PHARMACEUTICALS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 13-NOV-2009 TO 12-DEC-2009
20-MAR-2009
|
|
| 97 |
|
|
SHARAD CHHOTABHAI PATEL
|
|
|
|
SHREE RAMA MULTI-TECH LTD.
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SHRI RAMA MULTI-TECH LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 28-NOV-2008 TO 27-MAY-2010
28-NOV-2008
|
|
| 98 |
|
|
SIMI BHAUMIK
(PAN:AHPPB7419L)
|
|
|
ALLEGED PROVIDING NON-PUBLIC INFORMATION TO CERTAIN ENTITIES (PROFIT MAKERS) PRIOR TO BROADCASTING OF THEIR RECOMMENDATIONS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.46,80,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 16-JAN-2025 TO 15-JUL-2025
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-JAN-2025 TO 15-JUL-2025
16-JAN-2025
|
|
| 99 |
|
|
SUDHIR DIXIT
|
|
|
|
ASHOKA REFINERIES LTD.
|
|
ALLEGED DELAY IN TRANSFER OF SHARES OF ASHOKA REFINERIES LTD.
ALLEGED INDULGENCE IN PRICE RIGGING IN SCRIP OF ASHOKA REFINERIES LTD.
|
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 22-JUL-2009 TO 21-JUL-2011
22-JUL-2009
|
|
| 100 |
|
|
SUNITI N.SHAH
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH CIRCULAR TRANSACTIONS IN SCRIP OF DATABASE FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 01-APR-2009 TO 30-SEP-2009
19-MAR-2009
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 5 of 6
|
