| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
ARUN GOYAL
|
|
|
|
VAISHNO TRADELINK PVT.LTD.
|
|
|
WARNER MULTIMEDIA LTD.
CIN:L92100WB1983PLC036338
PAN:AABCC0225H
|
|
|
WARNER MULTIMEDIA LTD.
CIN:L92100WB1983PLC036338
PAN:AABCC0225H
|
|
ACTED IN CONCERT WITH PROMOTERS/PERSONS ACTING IN CONCERT/ASSOCIATED ENTITIES TO CREATE ARTIFICIAL MARKET/PRICE RISE IN SCRIP OF COMPANY
DELAYED INVESTIGATIONS BY SUBMITTING WRONG INFORMATION REGARDING DISTRIBUTION OF SHAREHOLDING AND BY NOT SUBMITTING INFORMATION RELATED TO TRANSFER OF SHARES AND LIST OF SHAREHOLDERS TO BSE
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
CONSIDERABLE DELAY IN DEMATERIALIZATION OF SHARES HELD BY PUBLIC SHAREHOLDERS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-FEB-2006 TO 31-JAN-2009
01-FEB-2006
|
|
| 82 |
|
|
ARUN KOCHAR
(PAN:ARFPK1390P)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SMALL TRADES IN SCRIP OF WISEC GLOBAL LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF WISEC GLOBAL LTD.
EXECUTED OFF-MARKET TRANSACTION OF SHARES WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) OF SCRA, 1956 READ WITH SECTIONS 13, 16 AND 18 OF SCRA, 1956 AND READ WITH SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF WISEC GLOBAL LTD.
DID NOT PROVIDE INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF WISEC GLOBAL LTD.
|
IMPOSED PENALTY RS.13,00,000
30-JUN-2022
|
SAT: SAT VIDE ITS ORDER DATED 15/12/2022 ALLOWED THE APPLICATION AND RECALLED ORDER DATED 01/11/2022
SAT: SAT VIDE ITS ORDER DATED 20/01/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 10/02/2023 DIRECTED TO PAY RS.14,18,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 06/03/2023 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 10/04/2023 DIRECTED ALL THE BANKS TO REMIT RS.13,42,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.ARUN KOCHAR TO SEBI BY WAY OF EFT/NEFT/RTGS
SAT: SAT VIDE ITS ORDER DATED 19/05/2023 DISMISSED THE APPEAL. NO COST
SEBI VIDE ITS NOTICE DATED 08/08/2025 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 06/03/2025
SEBI VIDE ITS ORDER DATED 08/08/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6243 OF 2023 DATED 10/02/2023
|
| 83 |
|
|
ARUN KUMAR GUPTA
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF SANGOTRI CONSTRUCTIONS LTD.
|
IMPOSED PENALTY RS.2,00,000
24-FEB-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 84 |
|
|
ARUN RAMSWAROOP PANCHARIYA
(PAN:AEVPP6125N)
|
|
|
INDULGED IN EMPLOYING FRAUDULENT PLAN/ARRANGEMENT, DEVICE, ARTIFICE AND CONTRIVANCE WITH REGARD TO SUBSCRIPTION OF GDRS AND CREATION OF UNDERLYING SHARES USING FAÇADE OF GDR ISSUE, MONETIZING THOSE GDRS THROUGH SALE OF UNDERLYING SHARES OF GDRS AND INDUCING AND ALLURING INDIAN INVESTORS TO DEAL IN SHARES OF RASOYA PROTEIN LTD.
INDULGED IN ISSUANCE OF FALSE & MISLEADING DISCLOSURES, MISREPRESENTATIONS AND ACTIVE CONCEALMENT OF MATERIAL INFORMATION WITH REGARD TO PLEDGE OF ENTIRE GDR SUBSCRIPTION AMOUNT OF RASOYA PROTEIN LTD.
DID NOT CO-OPERATE WITH SEBI DURING INVESTIGATIONS AND PROVIDED FALSE INFORMATION TO SEBI AND BSE IN MATTER OF RASOYA PROTEIN 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
DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT EXCHANGEABLE OR CONVERTIBLE INTO SECURITIES, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 22-OCT-2021 TO 21-OCT-2024
24-SEP-2014
|
SEBI VIDE ITS ORDER DATED 23/03/2015 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 24/09/2014
SEBI VIDE ITS ORDER DATED 21/10/2021 RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY AND ASSOCIATING WITH THE SECURITIES MARKET IN ANY MANNER FOR THREE YEARS
|
| 85 |
|
|
ARUN RAMSWAROOP PANCHARIYA
(PAN:AEVPP6125N)
|
|
|
ALLEGED FAILURE IN COMPLYING WITH SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
SUMMON ISSUED
17-JAN-2008
|
|
| 86 |
|
|
ARUNBHAI AJITBHAI SHAH
(PAN:AIHPS2797P)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF SHREE ASHTAVINAYAK CINE VISION LTD.
|
IMPOSED PENALTY RS.1,00,000
27-MAR-2018
|
SEBI VIDE ITS NOTICE DATED 06/11/2018 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 17/01/2020 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL AND MUTUAL FUNDS 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 06/11/2018
|
| 87 |
|
|
ARVIND BHIMJI MAKWANA
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION TO SEBI IN RESPONSE TO SUMMONS IN MATTER OF KARUNA CABLES LTD.
INDULGED IN IRREGULARITIES IN DEALINGS IN SCRIP OF KARUNA CABLES LTD.
|
IMPOSED PENALTY RS.10,00,000
16-MAR-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: SAT VIDE ITS ORDER DATED 16/05/2018 APPEALS AND MISC. APPLICATIONS ALLOWED TO BE WITHDRAWN WITH LIBERTY TO FILE FRESH APPEALS ALONGWITH MISC.APPLICATIONS WITHIN A PERIOD OF FOUR WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
SAT: APPEAL DISMISSED. NO COSTS
|
| 88 |
|
|
ARVIND K.PATEL
|
|
|
|
SHREE YAAX PHARMA & COSMETICS 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
|
|
| 89 |
|
|
ASHA SANJAY SHAH
(PAN:ANEPS1156J)
|
|
|
DID NOT FURNISH NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF PFL INFOTECH LTD.
|
IMPOSED PENALTY RS.1,00,000
27-APR-2022
|
SEBI VIDE ITS NOTICE DATED 12/07/2022 DIRECTED TO PAY RS.1,05,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 01/08/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S. HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS ORDER DATED 14/11/2022 DIRECTED ALL THE BANKS TO REMIT RS.1,09,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MS.ASHA SANJAY SHAH TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS NOTICE DATED 29/05/2023 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 01/08/2022
SEBI VIDE ITS ORDER DATED 29/05/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.5045 OF 2022 DATED 12/07/2022
|
| 90 |
|
|
ASHESH AGARWAL
(PAN:AFBPA6437M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET ,CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF RICH UNIVERSE NETWORK LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF RICH UNIVERSE NETWORK LTD.
|
IMPOSED PENALTY RS.15,00,000
30-MAY-2013
|
SAT: APPEAL DISMISSED NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: APPEAL DISPOSED OFF. NO COSTS
|
| 91 |
|
|
ASHIF SHAIKH
(DIN:07733482
PAN:BGDPS3081F)
|
|
|
|
BULL RESEARCH INVESTMENT ADVISORS PVT.LTD.
PAN:AAHCB1200H
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
RECEIVED PAYMENT FROM FAMILY MEMBERS OF PRIMARY CLIENTS TO HIDE EXORBITANT FEES TAKEN FROM PRIMARY CLIENT
RAISED INVOICES IN THE NAME OF CLIENTS WHO DID NOT HAVE DEMAT/TRADING ACCOUNT
SOLD MULTIPLE PACKAGES TO CLIENTS WITH THREAT OF FORFEITURE AND CHARGED
UNREASONABLE AND UNDISCLOSED FEE
RECEIVED PAYMENT BEFORE DOING KNOW YOUR CLIENTS (KYC) AND RISK PROFILING OF CLIENTS
CARRIED OUT IMPROPER RISK PROFILING OF CLIENTS
DID NOT MEET CAPITAL ADEQUACY NORMS AND TOOK REGISTRATION BY SUBMITTING FORGED CA CERTIFICATE TO SEBI
DID NOT FURNISH INFORMATION, RETURN ETC. TO SEBI
DID NOT HAVE VALID NCFM/NISM CERTIFICATE
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-MAY-2023
|
SEBI VIDE ITS NOTICE DATED 07/08/2023 DIRECTED TO PAY RS.10,41,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 92 |
|
|
ASHISH JAIN
(PAN:ANIPJ1043K)
|
|
|
|
MI RESEARCH
PAN:ANIPJ1043K
|
|
DID NOT MAINTAIN RECORDS AS PER KNOW YOUR CLIENTS (KYC) PROCEDURES
DID NOT OBTAIN “KNOW YOUR CLIENTS” (KYC) DETAILS OF CLIENTS
DID NOT CONDUCT YEARLY AUDITS IN RESPECT OF COMPLIANCE WITH INVESTMENT ADVISORY REGULATIONS
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
DID NOT CARRY OUT RISK PROFILING OF CLIENTS
OFFERED PRODUCTS/SERVICES WITHOUT ASSESSING APPROPRIATE RISK BEARING CAPACITY OF THE CLIENTS
DID NOT FURNISH REQUISITE INFORMATION TO SEBI
|
IMPOSED PENALTY RS.35,00,000 ALONG WITH OTHER ENTITIES/PERSONS
18-SEP-2023
|
SEBI VIDE ITS NOTICE DATED 15/12/2023 DIRECTED TO PAY RS.39,41,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 93 |
|
|
ASHISH KALANORIA
(PAN:AYCPK7151N)
|
|
|
|
BLUEWAVES MEDIA
PAN:AYCPK7151N
|
|
DID NOT FURNISH NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF GREENCREST FINANCIAL SERVICES LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2023
|
|
| 94 |
|
|
ASHISH PANDEY
(PAN:BIPPK2228G)
|
|
|
DID NOT FURNISH NECESSARY INFORMATION/DOCUMENTS SOUGHT BY FORENSIC AUDITOR IN MATTER OF RICOH INDIA LTD.
|
IMPOSED PENALTY RS.5,00,000
24-FEB-2021
|
SAT: SAT VIDE ITS ORDER DATED 17/12/2021 DIRECTED RESPONDENT TO FILE THE REPLY WITHIN TWO WEEKS
SAT: SAT VIDE ITS ORDER DATED 06/01/2022 CONDONED THE DELAY IN FILING OF APPEAL. ALLOWED THE APPEAL BY SETTING ASIDE IMPUGNED ORDER DATED 24/02/2021. APPEAL ALLOWED AND MATTER REMITTED TO AO TO PASS FRESH ORDER
|
| 95 |
|
|
ASHISH PANDEY
(PAN:BIPPK2228G)
|
|
|
DID NOT FURNISH NECESSARY INFORMATION/DOCUMENTS SOUGHT BY FORENSIC AUDITOR IN MATTER OF RICOH INDIA LTD.
|
IMPOSED PENALTY RS.5,00,000
22-APR-2022
|
SEBI VIDE ITS NOTICE DATED 13/07/2022 DIRECTED TO PAY RS.5,21,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 96 |
|
|
ASHISH PANNALAL SHAH
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF OASIS MEDIA MATRIX LTD.
|
IMPOSED PENALTY RS.25,00,000
18-MAR-2009
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 17/07/2014 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 08/09/2017 MISC.APPLICATION REJECTED AND DISPOSED OFF THE APPEAL. APPELLANT DIRECTED TO PAY THE PENALTY WITHIN 30 DAYS FROM THE DATE OF THIS ORDER. NO COSTS
SEBI VIDE ITS ORDER DATED 14/10/2022 DIRECTED ALL THE BANKS TO REMIT RS.48,41,074.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.ASHISH PANNALAL SHAH BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS NOTICE DATED 02/02/2023 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 17/07/2014
|
| 97 |
|
|
ASHISH PANNALAL SHAH
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.20,000
30-JUN-2005
|
INCLUDED IN SEBI LIST DATED 31/03/2011, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 01/01/2015 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
|
| 98 |
|
|
ASHLESH G.SHAH
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF SOMANI CEMENT CO.LTD.
|
IMPOSED PENALTY RS.1,00,000
22-DEC-2009
|
|
| 99 |
|
|
ASHLESH SHAH
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.20,000
30-JUN-2005
|
INCLUDED IN SEBI LIST DATED 31/03/2011, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 100 |
|
|
ASHOK DUNGERSHI DEDHIA
(PAN:AACPD8028M)
|
|
|
PROVIDED FALSE STATEMENTS INFORMATION TO SEBI DURING INVESTIGATIONS IN MATTER OF INSPIRISYS SOLUTIONS LTD. (FORMERLY KNOWN AS ACCEL FRONTLINE LTD.)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-SEP-2023 TO 19-MAR-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-SEP-2023 TO 19-MAR-2024
IMPOSED PENALTY RS.2,00,000
20-SEP-2023
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 5 of 57
|
