| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
SANTOSH BRIJRAJ SINGH
(PAN:BFTPS9871L)
|
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES IN THE MATTER OF IIFL GROUP
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-JUN-2022 TO 02-JUN-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-JUN-2022 TO 02-JUN-2027
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 03-JUN-2022 TO 02-JUN-2027
IMPOSED PENALTY RS.10,00,000
03-JUN-2022
|
|
| 82 |
|
|
SANTOSH SHAMRA
(PAN:AALPS6811L)
|
|
|
|
DEWAN HOUSING FINANCE CORP.LTD.
|
|
INDULGED IN DIVERSION TO RS.14,040.50 CRORE FROM DEWAN HOUSING FINANCE CORP.LTD. TO CERTAIN PROMOTER-LINKED ENTITIES (BANDRA BOOK ENTITIES (BBES)) VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
|
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 12-AUG-2025 TO 11-AUG-2028
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 12-AUG-2025 TO 11-AUG-2028
IMPOSED PENALTY RS.12,75,00,000
12-AUG-2025
|
|
| 83 |
|
|
SHUBHAM KUMAR JAIN
(PAN:BJWPJ0567K)
|
|
|
|
ANALOG RESEARCH
PAN:BJWPJ0567K
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
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 29-OCT-2021 TO 28-OCT-2023
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-OCT-2021 TO 28-OCT-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-OCT-2021 TO 28-OCT-2023
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 29-OCT-2021 TO 28-OCT-2023
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 TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 29-OCT-2021 TO 28-OCT-2023
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 BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 29-OCT-2021 TO 28-OCT-2023
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NOT TRANSFERRED SECURITIES HELD JOINTLY OR SEVERALLY
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 29-OCT-2021 TO 28-OCT-2023
DIRECTED TO FURNISH REPORT TO SEBI DULY CERTIFIED BY CHARTERED ACCOUNTANT RESOLVED ALL COMPLAINTS
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-OCT-2021 TO 28-OCT-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 29-OCT-2021 TO 28-OCT-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
07-FEB-2020
|
SEBI VIDE ITS ORDER DATED 29/10/2021 DIRECTED TO A) REFUND MONEY RECEIVED FROM CLIENTS/INVESTORS/COMPLAINTS, AS FEES OR CONSIDERATION OR IN ANY OTHER FORM, IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES WITHIN THREE MONTHS FROM DATE OF THIS ORDER 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 INCLUDING DETAILS OF CONTACT PERSON NAMES, ADDRESSES AND CONTACT DETAILS WITHIN 15 DAYS OF COMING FORCE OF THIS ORDER C) REPAYMENTS TO CLIENTS/INVESTORS TO BE EFFECTED ONLY IN CASH THROUGH BANK DEMAND DRAFT OR PAY ORDER OR ELECTRONICS FUND TRANSFER D) PREVENTED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED E) BANKS TO ALLOW DEBIT ONLY FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS WHO WERE AVAILING INVESTMENT ADVISORY SERVICES FROM THE NOTICEES F) RESOLVE ALL COMPLAINTS PENDING AND FILE REPORT OF SUCH RESOLUTION WITH SEBI WITHIN THIRTY DAYS FROM DATE OF THIS ORDER G) FILE REPORT OF SUCH COMPLETION OF WITH SEBI DULY CERTIFIED FROM INDEPENDENT CHARTERED ACCOUNTANTS H) DEBARRED FROM ACCESSING SECURITIES MARKET DIRECTLY OR INDIRECTLY AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR TWO YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS I) RESTRAINED FROM ASSOCIATING WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI IN ANY CAPACITY FOR TWO YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS J) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN THE SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI K) NOT TO DIVERT ANY FUNDS COLLECTED FROM INVESTORS, KEPT IN BANK ACCOUNTS AND/OR IN THEIR CUSTODY, EXCEPT FOR THE PURPOSE OF REFUND L) NOT TO DISPOSE OFF OR ALIENATE ANY ASSETS, WHETHER MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OF CREATE ON ANY OF SUCH ASSETS HELD THEIR NAME, INCLUDING MONEY LYING IN BANK ACCOUNTS EXCEPT FOR PURPOSE OF REFUND N) DURING PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS TO REMAIN FROZEN
|
| 84 |
|
|
SONIKA NAMDHARANI
(PAN:AXWPN9795L)
|
|
|
|
FINCAP RESEARCH INVESTMENT ADVISOR
PAN:AXWPN9795L
|
|
ALLOWED UNREGISTERED PERSON TO ACT AS INVESTMENT ADVISOR
OBTAINED INVESTMENT ADVISOR REGISTRATION BY SUBMITTING FAKE EXPERIENCE CERTIFICATES
ENGAGED REPRESENTATIVES TO RENDERING INVESTMENT ADVICE WITHOUT ADEQUATE QUALIFICATIONS AND/OR REGISTRATION AND INFORMATION TO SEBI
DID NOT RENEW NISM REGISTRATION
MISREPRESENTED CLIENTS THAT PRODUCTS IN FUTURES AND OPTIONS SEGMENTS GAVE REGULAR INCOME
DID NOT OBTAIN ANY SUPPORTING DOCUMENTS/EVIDENCE FROM CLIENTS WHILE DOING RISK PROFILING OF CLIENTS
SOLD HIGH FEES PRODUCT WITHOUT CONSIDERING ANNUAL INCOME AND PROPOSED INVESTMENT VALUE
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE
DID NOT HAVE ANY PRODUCTS/SERVICES DESIGNED BY ITS OWN
SOLD MULTIPLE PRODUCTS AND CHARGED UNREASONABLE FEES AND/OR SERVICE CHARGE
CHARGED ADVISORY FEES BEFORE EXPIRY OF TENURE OF EXISTING SERVICE/COLLETING MULTIPLE PAYMENTS IN SHORT PERIOD
DID NOT MAINTAIN RECORDS OF COMMUNICATION WITH CLIENTS DURING RISK PROFILING AND SUITABILITY ASSESSMENT OF ADVICE/SELECTION OF ADVISORY PRODUCT/SERVICES
DID NOT PROVIDE DOCUMENTS WITH REGARD TO DATE AND SUBJECT OF TRAINING, NUMBER OF PARTICIPANTS, MATERIALS DISTRIBUTED, ATTENDANCE SHEET OF EMPLOYEES ETC.
|
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 17-JUL-2023 TO 16-JUL-2025
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 17-JUL-2023 TO 16-JUL-2025
DIRECTED TO PLACE A COPY OF THE ORDER ON WEBSITE AND ALSO SEND COPY OF THE ORDER TO ALL THE CLIENTS THROUGH EMAIL
IMPOSED PENALTY RS.14,00,000 ALONG WITH OTHER ENTITIES/PERSONS
17-JUL-2023
|
|
| 85 |
|
|
SUBHAJIT SAHA
(DIN:02658455
PAN:BKUPS5569R)
|
|
|
|
PINCON SECURITIES LTD.
CIN:U67120WB2011PLC170424
|
|
ASSISTED/ASSOCIATED LRN FINANCE LTD. IN SUBSCRIPTION/ISSUE OF NCDS AS MERCHANT BANKER WITHOUT OBTAINING REGISTRATION UNDER MERCHANT BANKER REGULATIONS VIOLATING SECTIONS 12 OF SEBI ACT, 1992 IN MATTER OF PINCON SECURITIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 26-OCT-2021 TO 25-OCT-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-OCT-2021 TO 25-OCT-2026
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 26-OCT-2021 TO 25-OCT-2026
26-OCT-2021
|
|
| 86 |
|
|
SUBHASH ATMARAM SHARMA
(PAN:AXCPS8189D)
|
|
|
|
RESURGERE MINES & MINERALS INDIA LTD.
CIN:L74140MH1987PLC172412
PAN:AAACE0111B
|
|
INDULGED IN SIPHONING OFF IPO PROCEEDS AND MADE WRONG AND MISLEADING DISCLOSURE IN IPO PROSPECTUS VIOLATING OF SECTIONS 12(A) TO (C) READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 42(2)(A), (B), (F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RESURGER MINES & MINERALS INDIA LTD.
INDULGED IN SIPHONING OFF IPO PROCEEDS AND MADE WRONG AND MISLEADING DISCLOSURE IN IPO PROSPECTUS VIOLATING SEBI DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH SEBI (ICDR) REGULATIONS, 2009 READ WITH REGULATION 301(2) OF SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF RESURGER MINES & MINERALS INDIA LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-SEP-2020 TO 24-SEP-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-SEP-2020 TO 24-SEP-2023
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 25-SEP-2020 TO 24-SEP-2023
DIRECTED TO INFORM AND UPDATE SEBI WITHIN SEVEN DAYS OF CESSATION/LIFTING/REVOCATION OF MORATORIUM BY NCLT
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
25-SEP-2020
|
|
| 87 |
|
|
SUNEEL KUMAR PATEL
(PAN:DFQPP5370N)
|
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
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 28-OCT-2021 TO 27-OCT-2025
DIRECTED TO CEASE & DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR RESEARCH ANALYST AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 28-OCT-2021 TO 27-OCT-2025
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 28-OCT-2021 TO 27-OCT-2025
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 TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 28-OCT-2021 TO 27-OCT-2025
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-OCT-2021 TO 27-OCT-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-OCT-2021 TO 27-OCT-2025
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 TO SUBMIT NUMBER AND DETAILS OF CLIENTS WHO HAVE AVAILED THEIR INVESTMENT ADVISORY SERVICES
DIRECTED TO SUBMIT LIST OF CLIENTS AND FEE COLLECTED FROM THEM
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 28-OCT-2021 TO 27-OCT-2025
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 28-OCT-2021 TO 27-OCT-2025
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
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 28-OCT-2021 TO 27-OCT-2025
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-OCT-2021 TO 27-OCT-2025
16-DEC-2020
|
SEBI VIDE ITS ORDER DATED 28/10/2021 DIRECTED TO A) CEASE AND DESIST FROM HOLDING HIMSELF OUT AS INVESTMENT ADVISER, INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS INVESTMENT ADVISER, DIRECTLY OR INDIRECTLY, AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITY OR ANY OTHER ACTIVITIES IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MATTER WHATSOEVER B) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY AND ASSOCIATING WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR FOUR YEARS C) RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR ANY INTERMEDIARY REGISTERED WITH SEBI AND ALSO BE RESTRAINED FROM ASSOCIATING HIMSELF WITH ANY LISTED PUBLIC COMPANY OR A PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR FOUR YEARS D) REFUND THE MONEY RECEIVED FROM THE CLIENTS/INVESTORS AS FEES OR CONSIDERATION OR IN ANY OTHER FORM IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES CARRIED OUT IN NAME OF GOODWILL RESEARCH WITHIN THREE MONTHS FROM DATE OF THIS ORDER E) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING MODALITIES FOR REFUND INCLUDING THE DETAILS OF CONTACT PERSON SUCH AS NAMES, ADDRESSES AND CONTACT DETAILS WITHIN 15 DAYS OF COMING INTO FORCE OF THIS ORDER F) REPAYMENTS TO CLIENTS/INVESTORS SHALL BE EFFECTED ONLY THROUGH BANK DEMAND DRAFT OR PAY ORDER OR ELECTRONICS FUND TRANSFER G) PREVENTED FROM SELLING THE ASSETS, PROPERTIES AND MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND/OR PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED H) BANKS NOT TO ALLOW DEBITS FROM THE BANK ACCOUNTS (JOINT OR OTHERWISE) EXCEPT FOR PURPOSES OF COMPLIANCE WITH DIRECTION AND I) DEPOSITORIES NOT TO ALLLOW DEBITS FROM ACCOUNTS (JOINT OR OTHERWISE) EXCEPT FOR THE PURPOSES OF COMPLIANCE WITH THE DIRECTION
|
| 88 |
|
|
SUREKHABEN K.SHAH
(PAN:BORPS0804Q)
|
|
|
|
KELVIN FINCAP LTD.
PAN:AAACD1881H
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH MATCHED TRANSACTIONS IN SCRIP OF KELVIN FINCAP LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-AUG-2014 TO 13-AUG-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-AUG-2014 TO 13-AUG-2017
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 14-AUG-2014 TO 13-AUG-2017
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
14-AUG-2014
|
SEBI VIDE ITS ORDER DATED 31/03/2015 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 14/08/2014
SEBI VIDE ITS ORDER DATED 31/08/2020 DIRECTED TO RESTRAINED FROM HOLDING POST OF DIRECTOR, ANY MANAGERIAL POSITION OR ASSOCIATING THEMSELVES IN ANY CAPACITY WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR 3 YEARS
|
| 89 |
|
|
SURESH VENKATACHARI
(PAN:ATNPS3289H)
|
|
|
|
SECUREKLOUD TECHNOLOGIES LTD.
PAN:AABCP6266D
|
|
INDULGED IN MANIPULATION OF BOOKS OF ACCOUNTS OR FINANCIAL STATEMENTS AND SIPHONING OF FUNDS RS.3.83 CRORE VIOLATING SECTIONS 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(D), 4(1), 4(2)(F, 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATION, 2003 IN MATTER OF SECUREKLOUD TECHNOLOGIES LTD. (FORMERLY KNOWN AS 8K MILES SOFTWARE SERVICES LTD.)
DID NOT FURNISH NECESSARY INFORMATION/DOCUMENTS SOUGHT BY FORENSIC AUDITOR IN MATTER OF SECUREKLOUD TECHNOLOGIES LTD. (FORMERLY KNOWN AS 8K MILES SOFTWARE SERVICES LTD.)
INDULGED IN PREPARING AND SUBMITTING AND PUBLISHING FALSE & MANIPULATED CONSOLIDATED AND STANDALONE FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), (G), (H), (J), 4(2)(F)(I)(2), 4(2)(F)(II)(2), (6),(7), 4(2)(F)(III) (1)(3), (6) AND (12) READ WITH REGULATION 33(1)(A), (C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF SECUREKLOUD TECHNOLOGIES LTD. (FORMERLY KNOWN AS 8K MILES SOFTWARE SERVICES LTD.)
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES REGARDING FACT OF INITIATION OF FORENSIC AUDIT BY SEBI VIOLATING REGULATION 30(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SECUREKLOUD TECHNOLOGIES LTD. (FORMERLY KNOWN AS 8K MILES SOFTWARE SERVICES LTD.)
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SECUREKLOUD TECHNOLOGIES LTD. (FORMERLY KNOWN AS 8K MILES SOFTWARE SERVICES LTD.)
|
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 16-DEC-2022 TO 15-DEC-2023
16-DEC-2022
|
SAT: SAT VIDE ITS ORDER DATED 19/01/2023 RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER MAY BE FILE WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 23/03/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 03/05/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 28/06/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 04/08/2023 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 29/04/2025 STAYED RECOVERY PROCEEDINGS SUBJECT TO DEPOSIT 50% PENALTY AMOUNT WITHIN SIX WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 09/06/2025 EXTENDED TIME TO COMPLY WITH ORDER DATED 29/04/2025
|
| 90 |
|
|
SURINDER KUMAR BHOAN
(PAN:AAKPB0324N)
|
|
|
|
NAKODA LTD.
PAN:AAACN7282L
|
|
INDULGED IN ISSUANCE OF GDRS FRAUDULENTLY AND EXECUTED PLEDGE AGREEMENT ON BEHALF OF NAKODA LTD. VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF GDR ISSUE OF NAKODA LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-OCT-2021 TO 13-OCT-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-OCT-2021 TO 13-OCT-2024
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 14-OCT-2021 TO 13-OCT-2024
14-OCT-2021
|
SAT: SAT VIDE ITS ORDER DATED 05/08/2022 GRANTED APPELLANTS TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 01/09/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 14/10/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 01/12/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 09/01/2023 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND REJOINDER TO BE FILED TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 15/02/2023 ALLOWED APPELLANT TWO WEEKS TO SUBMIT REJOINDER
|
| 91 |
|
|
TARUN CHAUHAN
(PAN:AGXPC3049G)
|
|
|
|
HPC BIOSCIENCES LTD.
PAN:AABCH6762Q
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF ECO FRIENDLY FOOD PROCESSING PARK LTD., ESTEEM BIO ORGANIC FOOD PROCESSING LTD., CHANNEL NINE ENTERTAINMENT LTD. AND HPC BIOSCIENCES LTD.
MISUTILIZED MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSECTUS VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF HPC BIOSCIENCES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-JUN-2015 TO 28-JUN-2018
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JUN-2015 TO 28-JUN-2018
DIRECTED TO MAKE PUBLIC OFFER THROUGH MERCHANT BANKER TO ACQUIRE SHARES FROM PUBLIC SHAREHOLDERS BY PAYING VALUE AS PER REGULATION 23 OF SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 WITHIN THREE MONTHS FROM DATE OF ORDER
DIRECTED BSE TO FACILITATE VALUATION OF SHARES TO BE PURCHASED AND COMPULSORILY DELIST COMPANY, IF PUBLIC SHAREHOLDING REDUCES BELOW MINIMUM LEVEL
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-JUN-2015 TO 28-JUN-2018
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
29-JUN-2015
|
SEBI VIDE ITS ORDER DATED 17/02/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 29/06/2015
SEBI VIDE ITS ORDER DATED 22/12/2020 DIRECTED TO A) MAKE PUBLIC OFFER THROUGH MERCHANT BANKER TO ACQUIRE SHARES FROM THE COMPANY FROM PUBLIC SHAREHOLDERS BY PAYING VALUE AS PER REGULATION 23 OF SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 WITHIN THREE MONTHS FROM DATE OF THIS ORDER B) BSE TO FACILITATE VALUATION OF SHARES TO BE PURCHASED AND COMPULSORILY DELIST COMPANY, IF PUBLIC SHAREHOLDING REDUCES BELOW MINIMUM LEVEL C) RESTRAINED FROM HOLDING AND POST OF DIRECTOR ANY MANAGERIAL POSITION OR ASSOCIATING THEMSELVES IN ANY CAPACITY WITH ANY LISTED PUBLIC COMPANY AND/OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR PERIOD OF THREE YEARS D) RESTRAINT THE EXISTING HOLDING OF SECURITIES INCLUDING THE UNITS OF MUTUAL FUNDS REMAIN UNDER FREEZE
SAT: SAT VIDE ITS ORDER DATED 15/06/2023 REJOINDER TO BE FILE WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 92 |
|
|
TIKKAVARAPU VENKATRAM REDDY
(PAN:AAWPT6829M)
|
|
|
|
DECCAN CHRONICLE HOLDINGS LTD.
CIN:L22122TG2002PLC040110
PAN:AABCD6737D
|
|
DID NOT MAKE DISCLOSURE RELATED PARTY TRANSACTIONS OF RS.99.45 CRORES ADVANCED TO FLYINGTON FREIGHTORS LTD. VIOLATING CLAUSE 32 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DELAY IN FILING OF SHAREHOLDING PATTERN TO STOCK EXCHANGES FOR QUARTERS ENDED SEPTEMBER-2012 AND DECEMBER-2012 VIOLATING CLAUSE 35 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT PROVIDE UPDATED INFORMATION ON SHAREHOLDING PATTERN FROM QUARTER ENDED MARCH-2013 ONWARDS ON ITS WEBSITE VIOLATING CLAUSE 54 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT APPOINT NEW COMPANY SECRETARY SUBSEQUENT TO RESIGNATION OF EXISTING COMPANY SECRETARY VIOLATING CLAUSE 47(A) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT MAKE DISCLOSURE OF MATERIAL PRICE SENSITIVE INFORMATION ON DATE OF ENTERING INTO AGREEMENT WITH DECCAN CHRONICLE MARKETERS VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
ISSUED MISLEADING FINANCIAL INFORMATION (I.E.UNDERSTATEMENT OF INTEREST AND FINANCE CHARGES ON OUTSTANDING LOANS AND THEREBY OVERSTATEMENT OF PROFITS) IN ITS ANNUAL REPORT FOR FY.2008-09 TO 2010-11 VIOLATING CLAUSE 41 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS 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 31-DEC-2019 TO 30-DEC-2021
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 31-DEC-2019 TO 30-DEC-2021
31-DEC-2019
|
SAT: SAT VIDE ITS ORDER DATED 23/08/2022 REJECTED THE APPLICATION FOR CONDONATION OF DELAY AND DISMISSED THE APPEAL. NO COSTS
|
| 93 |
|
|
TIKKAVARAPU VINAYAK RAVI REDDY
(PAN:ABAPT1371Q)
|
|
|
|
DECCAN CHRONICLE HOLDINGS LTD.
CIN:L22122TG2002PLC040110
PAN:AABCD6737D
|
|
DID NOT MAKE DISCLOSURE RELATED PARTY TRANSACTIONS OF RS.99.45 CRORES ADVANCED TO FLYINGTON FREIGHTORS LTD. VIOLATING CLAUSE 32 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DELAY IN FILING OF SHAREHOLDING PATTERN TO STOCK EXCHANGES FOR QUARTERS ENDED SEPTEMBER-2012 AND DECEMBER-2012 VIOLATING CLAUSE 35 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT PROVIDE UPDATED INFORMATION ON SHAREHOLDING PATTERN FROM QUARTER ENDED MARCH-2013 ONWARDS ON ITS WEBSITE VIOLATING CLAUSE 54 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT APPOINT NEW COMPANY SECRETARY SUBSEQUENT TO RESIGNATION OF EXISTING COMPANY SECRETARY VIOLATING CLAUSE 47(A) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT MAKE DISCLOSURE OF MATERIAL PRICE SENSITIVE INFORMATION ON DATE OF ENTERING INTO AGREEMENT WITH DECCAN CHRONICLE MARKETERS VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
ISSUED MISLEADING FINANCIAL INFORMATION (I.E.UNDERSTATEMENT OF INTEREST AND FINANCE CHARGES ON OUTSTANDING LOANS AND THEREBY OVERSTATEMENT OF PROFITS) IN ITS ANNUAL REPORT FOR FY.2008-09 TO 2010-11 VIOLATING CLAUSE 41 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS 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 31-DEC-2019 TO 30-DEC-2021
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 31-DEC-2019 TO 30-DEC-2021
31-DEC-2019
|
SAT: SAT VIDE ITS ORDER DATED 23/08/2022 REJECTED THE APPLICATION FOR CONDONATION OF DELAY AND DISMISSED THE APPEAL. NO COSTS
|
| 94 |
|
|
VEERENDRA KUMAR GUPTA
(PAN:BEDPG9199C)
|
|
|
|
NIVESHICON INVESTMENT ADVISORY
PAN:BEDPG9199C
|
|
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
DID NOT DISPLAY COMPLAINTS STATUS ON WEBSITE
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
DID NOT FAIR AND TRANSPARENT IN DEALING WITH CLIENTS REGARDING FEE CHARGED
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS HAVING DIFFERENT NAMES BUT SAME FEATURE
RECEIVED PAYMENT BEFORE DOING KNOW YOUR CLIENTS (KYC) AND RISK PROFILING OF CLIENTS
NOT A FIT & PROPER PERSON TO ACT AS AN INVESTMENT ADVISOR
|
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY AS INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN SECURITIES MARKET FROM DATE OF ORDER FROM 31-JAN-2023 TO 30-JUL-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2023 TO 30-JUL-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2023 TO 30-JUL-2023
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 31-JAN-2023 TO 30-JUL-2023
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JAN-2023
|
|
| 95 |
|
|
VIKASH PATNI
(DIN:00560390
PAN:AKXPP4105E)
|
|
|
|
VIKASH METAL & POWER LTD.
CIN:L27109WB1996PLC080353
PAN:AAACV8850A
|
|
INDULGED IN ISSUANCE OF GDRS FRAUDULENTLY AND EXECUTED PLEDGE AGREEMENT ON BEHALF OF VIKASH VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF VIKASH METAL & POWER 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-SEP-2021 TO 28-SEP-2025
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-SEP-2021 TO 28-SEP-2025
29-SEP-2021
|
SAT: SAT VIDE ITS ORDER DATED 01/02/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 29/09/2021 SO FAR IT RELATED TO APPELLANTS.MATTER REMITTED TO WTM TO PASS A FRESH ORDER IN ACCORDANCE WITH LAW AND APPELLANTS TO APPEAR BEFORE WTM ON 18/02/2022
SAT: SAT VIDE ITS ORDER DATED 06/02/2023 DISMISSED THE APPEALS
|
| 96 |
|
|
VIMAL KUMAR PATNI
(DIN:00101744
PAN:AEVPP4117L)
|
|
|
|
VIKASH METAL & POWER LTD.
CIN:L27109WB1996PLC080353
PAN:AAACV8850A
|
|
INDULGED IN ISSUANCE OF GDRS FRAUDULENTLY AND EXECUTED PLEDGE AGREEMENT ON BEHALF OF VIKASH VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF VIKASH METAL & POWER 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-SEP-2021 TO 28-SEP-2025
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-SEP-2021 TO 28-SEP-2025
29-SEP-2021
|
SAT: SAT VIDE ITS ORDER DATED 01/02/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 29/09/2021 SO FAR IT RELATED TO APPELLANTS.MATTER REMITTED TO WTM TO PASS A FRESH ORDER IN ACCORDANCE WITH LAW AND APPELLANTS TO APPEAR BEFORE WTM ON 18/02/2022
SAT: SAT VIDE ITS ORDER DATED 06/02/2023 DISMISSED THE APPEALS
|
| 97 |
|
|
VIRENDRA PRATAP SINGH
(PAN:ELQPS9579P)
|
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES IN THE MATTER OF IIFL GROUP
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-JUN-2022 TO 02-JUN-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-JUN-2022 TO 02-JUN-2024
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 03-JUN-2022 TO 02-JUN-2024
DIRECTED TO DISGORGE RS.11,71,714
03-JUN-2022
|
|
| 98 |
|
|
VISHAL KUMAR SHAH
(PAN:AYBPS0534J)
|
|
|
|
KELVIN FINCAP LTD.
PAN:AAACD1881H
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH MATCHED TRANSACTIONS IN SCRIP OF KELVIN FINCAP LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-AUG-2014 TO 13-AUG-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-AUG-2014 TO 13-AUG-2017
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 14-AUG-2014 TO 13-AUG-2017
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
14-AUG-2014
|
SEBI VIDE ITS ORDER DATED 31/03/2015 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 14/08/2014
SEBI VIDE ITS ORDER DATED 31/08/2020 DIRECTED TO RESTRAINED FROM HOLDING POST OF DIRECTOR, ANY MANAGERIAL POSITION OR ASSOCIATING THEMSELVES IN ANY CAPACITY WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR 3 YEARS
|
| 99 |
|
|
VIVEK AGARWAL
(DIN:00104952
PAN:ADAPA2289E)
|
|
|
|
SOUTHERN ISPAT & ENERGY LTD.
CIN:L45309KL1995PLC009171
PAN:AAECS6476P
|
|
INDULGED IN ISSUANCE OF GDRS FRAUDULENTLY AND EXECUTED PLEDGE AGREEMENT ON BEHALF OF SOUTHERN ISPAT & ENERGY LTD. VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF GDR ISSUE OF SOUTHERN ISPAT & ENERGY LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-OCT-2021 TO 21-OCT-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-OCT-2021 TO 21-OCT-2024
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 22-OCT-2021 TO 21-OCT-2024
22-OCT-2021
|
|
| 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 5 of 5
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