| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
AKIL ABBAS RASSAI
(PAN:AACPR1058F)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF VYAPAR INDUSTRIES LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF VYAPAR INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,10,985 VIDE CONSENT ORDER)
19-MAR-2018
|
|
| 82 |
|
|
AKITABANU MD.ISMAIL MEMON
(Along with : HABIBUNISHA DHANANI,
KAYUM DHANANI,
GULSHAN I.MEMON,
SHAMIM DHANANI,
SHAJI NAIR,
SUBHASH PANDIT,
ABBAS A.SHAIKH,
ABDUL RAZAK DHANANI,
SADIKA MD.I.MEMON,
MANSOOR I.MEMON,
ANISHA DHANANI,
RAJESH C.MODI,
AKSHAY S.UDAR,
UDAY DHANANI,
ROHINI S.UDAR,
SHIRIN H.MEMON,
MUNAWAR GARBADAWALA,
SHYAMLAL BHASKAR PANDIT,
NOORMOHMAD VOHRA,
REKHA R.PANDIT,
RABIA RAZAK DHANANI,
PRADEEP B.MENON,
NASIM R.DHANANI,
SUCHITRA DHANANI)
|
|
|
|
ARIES HOTELS PVT.LTD.
PAN:AABCA6743N
|
|
|
BHARAT EQUITY SERVICES LTD.
PAN:AAACB7732M
|
|
|
EXCELLENT ESTATE DEVELOPERS PVT.LTD.
PAN:AAACE4152G
|
|
|
LIBERTY CONSTRUCTION & LEASING PVT.LTD.
PAN:AAACL3233H
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1) AND 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAYAJI HOTELS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAYAJI HOTELS LTD.
|
IMPOSED PENALTY RS.3,10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-MAR-2018
|
SAT: SAT VIDE ITS ORDER DATED 20/10/2019 SEBI GRANTED APPROVAL IN TERMS OF REGULATION 24(2) OF SETTLEMENT REGULATIONS. NO COSTS
|
| 83 |
|
|
AKSHAT ASHOK GUPTA
(PAN:AMYPG2411K)
(Along with : ASHOK BANWARILAL GUPTA,
ANKUSH ASHOK GUPTA,
SUSHMA ASHOK GUPTA)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SANTOWIN CORP.LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUN-2017
|
SEBI VIDE ITS NOTICE DATED 12/04/2023 DIRECTED TO PAY RS.4,00,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 23/05/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6395 OF 2023 DATED 12/04/2023
|
| 84 |
|
|
AKSHAT ASHOK GUPTA
(PAN:AMYPG2411K)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SVC RESOURCES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF SVC RESOURCES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SVC RESOURCES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 3(1) READ WITH 3(3) OF SAST REGULATIONS, 2011 IN MATTER OF SVC RESOURCES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) AND 13(4A) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF SVC RESOURCES LTD.
|
IMPOSED PENALTY RS.3,80,000
31-JUL-2020
|
SEBI VIDE ITS NOTICE DATED 30/04/2021 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 19/05/2021 DIRECTED ALL THE BANKS TO REMIT RS.5,27,080.00 TO THE EXTENT LYING IN THE ACCOUNT OF AKSHAT ASHOK GUPTA BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS NOTICE DATED 14/01/2022 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 30/04/2021
SAT: SAT VIDE ITS ORDER DATED 09/06/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 31/07/2020. DIRECTED APPELLANTS TO APPEAR BEFORE THE AO ON 30/06/2022 AND DIRECTED AO TO DECIDE THE MATTER AFRESH WITHIN FOUR MONTHS AFTER THE REPLY RECEIVED
SEBI VIDE ITS ORDER DATED 30/11/2022 REDUCED PENALTY TO RS.3.80 LAC FROM RS.4.80 LAC U/S 15A(B) AND U/S 15H(II) OF SEBI ACT,1992 AND DIRECTED TO PAY WITHIN FORTY-FIVE DAYS FROM DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 12/04/2023 DIRECTED TO PAY RS.4,00,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 85 |
|
|
AKSHAT TANDON
(PAN:AAXPT4551A)
(Along with : NEERA TANDON,
GAURAV TANDON,
ELA TANDON,
BADRI VISHAL TANDON,
CHAVI TANDON,
SURABHI TANDON,
PARIDHI TANDON,
DAMINI TANDON,
SATISH TANDON,
SUDHIR TANDON,
PUNEET TANDON,
SWETA TANDON,
RUPA TANDON,
INDU MEHROTRA,
UMA KAPOOR,
ARTI TANDON)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATION 3(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHREE BHAWANI PAPER MILLS LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JUL-2014
|
SAT: APPEAL DISMISSED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 07/02/2022 DISPOSED OF THE APPEAL BY DIRECTING APPELLANTS A) MAKE A FRESH APPLICATION BEFORE SEBI FOR SEGREGATION OF PENALTY AMOUNT AND UPON RECEIPT OF THE APPLICATION SEBI WILL CONSIDER AND DECIDE THE MATTER WITHIN SIX WEEKS THEREAFTER B) IN THE MEANWHILE, APPELLANTS TO DEPOSIT RS.15 LAC WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND BALANCE AMOUNT ALONG WITH INTEREST TO BE PAID IN FIVE EMI OF RS.15 LAC EACH ON OR BEFORE 25TH DAY OF THE MONTH AND D) BANK ACCOUNTS, DEMAT ACCOUNTS INCLUDING TRADING ACCOUNTS, LOCKERS ETC. TO BE DEFREEZED AFTER THE PAYMENT OF THE SECOND INSTALLMENT
SEBI VIDE ITS NOTICE DATED 17/05/2022 DIRECTED TO PAY RS.9,76,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 23/06/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 22/09/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 30/11/2022 DISMISSED THE APPEAL AS WITHDRAWN. NO COSTS
SEBI VIDE ITS ORDER DATED 13/12/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4768 OF 2022 DATED 17/05/2022
|
| 86 |
|
|
AKSHAT TANDON
(PAN:AAXPT4551A)
(Along with : NEERA TANDON)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATION 3(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHREE BHAWANI PAPER MILLS LTD.
|
IMPOSED PENALTY RS.4,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JUL-2014
|
SAT: APPEAL DISMISSED. NO COSTS
SEBI VIDE ITS NOTICE DATED 06/01/2022 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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
SAT: SAT VIDE ITS ORDER DATED 07/02/2022 DISPOSED OF THE APPEAL BY DIRECTING APPELLANTS A) MAKE A FRESH APPLICATION BEFORE SEBI FOR SEGREGATION OF PENALTY AMOUNT AND UPON RECEIPT OF THE APPLICATION SEBI WILL CONSIDER AND DECIDE THE MATTER WITHIN SIX WEEKS THEREAFTER B) IN THE MEANWHILE, APPELLANTS TO DEPOSIT RS.15 LAC WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND BALANCE AMOUNT ALONG WITH INTEREST TO BE PAID IN FIVE EMI OF RS.15 LAC EACH ON OR BEFORE 25TH DAY OF THE MONTH AND D) BANK ACCOUNTS, DEMAT ACCOUNTS INCLUDING TRADING ACCOUNTS, LOCKERS ETC. TO BE DEFREEZED AFTER THE PAYMENT OF THE SECOND INSTALLMENT
SEBI VIDE ITS NOTICE DATED 24/02/2022 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 06/01/2022
SAT: SAT VIDE ITS ORDER DATED 23/06/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 22/09/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 30/11/2022 DISMISSED THE APPEAL AS WITHDRAWN. NO COSTS
SEBI VIDE ITS ORDER DATED 13/12/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4303 OF 2021 DATED 13/01/2020
|
| 87 |
|
|
AKSHAT TANDON
(PAN:AAXPT4551A)
(Along with : NEERA TANDON,
ALANKAR TANDON,
GAURAV TANDON)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATION 3(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHREE BHAWANI PAPER MILLS LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JUL-2014
|
SAT: APPEAL DISMISSED. NO COSTS
SEBI VIDE ITS NOTICE DATED 24/02/2022 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 07/01/2022
SAT: SAT VIDE ITS ORDER DATED 07/02/2022 DISPOSED OF THE APPEAL BY DIRECTING APPELLANTS A) MAKE A FRESH APPLICATION BEFORE SEBI FOR SEGREGATION OF PENALTY AMOUNT AND UPON RECEIPT OF THE APPLICATION SEBI WILL CONSIDER AND DECIDE THE MATTER WITHIN SIX WEEKS THEREAFTER B) IN THE MEANWHILE, APPELLANTS TO DEPOSIT RS.15 LAC WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND BALANCE AMOUNT ALONG WITH INTEREST TO BE PAID IN FIVE EMI OF RS.15 LAC EACH ON OR BEFORE 25TH DAY OF THE MONTH AND D) BANK ACCOUNTS, DEMAT ACCOUNTS INCLUDING TRADING ACCOUNTS, LOCKERS ETC. TO BE DEFREEZED AFTER THE PAYMENT OF THE SECOND INSTALLMENT
SAT: SAT VIDE ITS ORDER DATED 23/06/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 22/09/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 30/11/2022 DISMISSED THE APPEAL AS WITHDRAWN. NO COSTS
SEBI VIDE ITS ORDER DATED 13/12/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4327 OF 2021 DATED 01/12/2021
|
| 88 |
|
|
AKSHAT TANDON
(PAN:AAXPT4551A)
(Along with : NEERA TANDON,
ALANKAR TANDON,
GAURAV TANDON)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATION 3(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHREE BHAWANI PAPER MILLS LTD.
|
IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JUL-2014
|
SAT: APPEAL DISMISSED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 07/02/2022 DISPOSED OF THE APPEAL BY DIRECTING APPELLANTS A) MAKE A FRESH APPLICATION BEFORE SEBI FOR SEGREGATION OF PENALTY AMOUNT AND UPON RECEIPT OF THE APPLICATION SEBI WILL CONSIDER AND DECIDE THE MATTER WITHIN SIX WEEKS THEREAFTER B) IN THE MEANWHILE, APPELLANTS TO DEPOSIT RS.15 LAC WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND BALANCE AMOUNT ALONG WITH INTEREST TO BE PAID IN FIVE EMI OF RS.15 LAC EACH ON OR BEFORE 25TH DAY OF THE MONTH AND D) BANK ACCOUNTS, DEMAT ACCOUNTS INCLUDING TRADING ACCOUNTS, LOCKERS ETC. TO BE DEFREEZED AFTER THE PAYMENT OF THE SECOND INSTALLMENT
SAT: SAT VIDE ITS ORDER DATED 23/06/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 22/09/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 30/11/2022 DISMISSED THE APPEAL AS WITHDRAWN. NO COSTS
SEBI VIDE ITS ORDER DATED 13/12/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4334 OF 2021 DATED 03/12/2021
|
| 89 |
|
|
AKSHAT TANDON
(PAN:AAXPT4551A)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATION 3(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHREE BHAWANI PAPER MILLS LTD.
|
IMPOSED PENALTY RS.4,00,000
31-JUL-2014
|
SAT: APPEAL DISMISSED. NO COSTS
SEBI VIDE ITS NOTICE DATED 06/01/2022 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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
|
| 90 |
|
|
AKSHAT TANDON
(PAN:AAXPT4551A)
(Along with : MEENU TANDON,
CHAVI TANDON,
GAURAV TANDON,
ELA TANDON,
GIRISH TANDON,
NEERA TANDON,
ALANKAR TANDON)
|
|
|
|
ALANKAR UDYOG PVT.LTD.
PAN:AABCA9131F
|
|
|
SAHITYA BHAWAN PVT.LTD.
PAN:AAGCS3751F
|
|
|
TANDON INVESTMENTS PVT.LTD.
PAN:AAACT8408N
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATION 3(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHREE BHAWANI PAPER MILLS LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JUL-2014
|
SAT: APPEAL DISMISSED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 07/02/2022 DISPOSED OF THE APPEAL BY DIRECTING APPELLANTS A) MAKE A FRESH APPLICATION BEFORE SEBI FOR SEGREGATION OF PENALTY AMOUNT AND UPON RECEIPT OF THE APPLICATION SEBI WILL CONSIDER AND DECIDE THE MATTER WITHIN SIX WEEKS THEREAFTER B) IN THE MEANWHILE, APPELLANTS TO DEPOSIT RS.15 LAC WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND BALANCE AMOUNT ALONG WITH INTEREST TO BE PAID IN FIVE EMI OF RS.15 LAC EACH ON OR BEFORE 25TH DAY OF THE MONTH AND D) BANK ACCOUNTS, DEMAT ACCOUNTS INCLUDING TRADING ACCOUNTS, LOCKERS ETC. TO BE DEFREEZED AFTER THE PAYMENT OF THE SECOND INSTALLMENT
SEBI VIDE ITS NOTICE DATED 17/05/2022 DIRECTED TO PAY RS.11,71,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 23/06/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 22/09/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 30/11/2022 DISMISSED THE APPEAL AS WITHDRAWN. NO COSTS
SEBI VIDE ITS ORDER DATED 13/12/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4770 OF 2022 DATED 17/05/2022
|
| 91 |
|
|
AKSHAT TANDON
(PAN:AAXPT4551A)
(Along with : NEERA TANDON,
ALANKAR TANDON,
GAURAV TANDON)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATION 3(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHREE BHAWANI PAPER MILLS LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JUL-2014
|
SAT: APPEAL DISMISSED. NO COSTS
SEBI VIDE ITS NOTICE DATED 07/01/2022 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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
SAT: SAT VIDE ITS ORDER DATED 07/02/2022 DISPOSED OF THE APPEAL BY DIRECTING APPELLANTS A) MAKE A FRESH APPLICATION BEFORE SEBI FOR SEGREGATION OF PENALTY AMOUNT AND UPON RECEIPT OF THE APPLICATION SEBI WILL CONSIDER AND DECIDE THE MATTER WITHIN SIX WEEKS THEREAFTER B) IN THE MEANWHILE, APPELLANTS TO DEPOSIT RS.15 LAC WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND BALANCE AMOUNT ALONG WITH INTEREST TO BE PAID IN FIVE EMI OF RS.15 LAC EACH ON OR BEFORE 25TH DAY OF THE MONTH AND D) BANK ACCOUNTS, DEMAT ACCOUNTS INCLUDING TRADING ACCOUNTS, LOCKERS ETC. TO BE DEFREEZED AFTER THE PAYMENT OF THE SECOND INSTALLMENT
SAT: SAT VIDE ITS ORDER DATED 23/06/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 22/09/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 30/11/2022 DISMISSED THE APPEAL AS WITHDRAWN. NO COSTS
SEBI VIDE ITS ORDER DATED 13/12/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4328 OF 2021 DATED 01/12/2021
|
| 92 |
|
|
AKSHAY AGARWAL
|
|
|
|
DEHRADUN TEA CO.LTD.
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.40,000 ALONG WITH OTHER ENTITIES/PERSONS
15-MAR-2007
|
|
| 93 |
|
|
AKSHAY PODDAR
(PAN:AFUPP0096C)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 3(I) AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GOBIND SUGAR MILLS LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GOBIND SUGAR MILLS LTD.
ALLEGED DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GOBIND SUGAR MILLS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
08-APR-2013
|
|
| 94 |
|
|
AKSHAY S.UDAR
(Along with : HABIBUNISHA DHANANI,
KAYUM DHANANI,
GULSHAN I.MEMON,
SHAMIM DHANANI,
SHAJI NAIR,
SUBHASH PANDIT,
ABBAS A.SHAIKH,
ABDUL RAZAK DHANANI,
SADIKA MD.I.MEMON,
MANSOOR I.MEMON,
ANISHA DHANANI,
RAJESH C.MODI,
AKITABANU MD.ISMAIL MEMON,
UDAY DHANANI,
ROHINI S.UDAR,
SHIRIN H.MEMON,
MUNAWAR GARBADAWALA,
SHYAMLAL BHASKAR PANDIT,
NOORMOHMAD VOHRA,
REKHA R.PANDIT,
RABIA RAZAK DHANANI,
PRADEEP B.MENON,
NASIM R.DHANANI,
SUCHITRA DHANANI)
|
|
|
|
ARIES HOTELS PVT.LTD.
PAN:AABCA6743N
|
|
|
BHARAT EQUITY SERVICES LTD.
PAN:AAACB7732M
|
|
|
EXCELLENT ESTATE DEVELOPERS PVT.LTD.
PAN:AAACE4152G
|
|
|
LIBERTY CONSTRUCTION & LEASING PVT.LTD.
PAN:AAACL3233H
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1) AND 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAYAJI HOTELS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAYAJI HOTELS LTD.
|
IMPOSED PENALTY RS.3,10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-MAR-2018
|
SAT: SAT VIDE ITS ORDER DATED 20/10/2019 SEBI GRANTED APPROVAL IN TERMS OF REGULATION 24(2) OF SETTLEMENT REGULATIONS. NO COSTS
|
| 95 |
|
|
AKSHITA NIKHIL GANDHI
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HORIZON INFRASTRUCTURE LTD.
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DIRECTED TO DISINVEST 1,98,000 SHARES OF HORIZON INFRASTRUCTURE LTD.THROUGH SALE TO PARTIES NOT CONNECTED / RELATED TO THEM IN SMALL LOTS IN TRENCHES ON BSE AND NSE ENSURING THAT SUCH SALE DOES NOT DISTURB MARKET EQUILIBRIUM
DIRECTED TO TRANSFER ENTIRE PROCEEDS OF SALE OF SHARE TO INVESTOR PROTECTION AND EDUCATION FUND ESTABLISHED UNDER SEBI (INVESTOR PROTECTION AND EDUCATION FUND) REGULATIONS, 2009
04-MAR-2015
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|
| 96 |
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AKSHITA NIKHIL GANDHI
|
|
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ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HORIZON INFRASTRUCTURE LTD. (NOW KNOWN AS SKIL INFRASTRUCTURE LTD.)
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,32,74,000, INTEREST RS.5,10,595 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAY-2017
|
|
| 97 |
|
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AKUL YUGESH MEHTA
(PAN:ALEPM3353K)
|
|
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DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAFARI INDUSTRIES (INDIA) LTD.
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IMPOSED PENALTY RS.2,00,000
29-JAN-2014
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SAT: SAT VIDE ITS ORDER DATED 01/10/2014 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 29/01/2014 AND DIRECTED SEBI TO PASS FRESH ORDER ON MERITS WITHIN FOUR MONTHS FROM THE DATE OF THIS ORDER. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 29/01/2015 GRANTED EXTENSION OF TWO MONTHS TO SEBI FOR PASSING FINAL ORDER
SEBI VIDE ITS ORDER DATED 27/03/2015 IMPOSED PENALTY OF RS.200000.00 UNDER SECTION 15A(B)
SAT: SAT VIDE ITS ORDER DATED 20/11/2015 SET ASIDED THE ORDER PASSED BY SEBI AND RESTORE THE APPEALS TO THE FILE OF SEBI FOR PASSING FRESH ORDER ON MERITS. NO COS
SEBI VIDE ITS ORDER DATED 28/07/2017 RE-IMPOSED PENALTY OF RS.2,00,000.00 U/S 15A(B) OF SEBI ACT ON THE NOTICEES MR.AMUL SUMATICHANDRA MEHTA, MR.YUGESH SUMATICHANDRA MEHTA, MR.AKUL YUGESH MEHTA, MR.JAYENDRA YUGESH MEHTA, MS.MRUDULA AMUL MEHTA, MS.MAITRI AMUL MEHTA, MS.RACHNA AMUL MEHTA, MS.SUNALI YUGESH MEHTA, SENATOR INVESTMENT PVT.LTD., TOURISTOR INVESTMENTS PVT.LTD., YUG INVESTMENT PVT.LTD. AND MR.AMUL SUMATICHANDRA MEHTA (HUF)
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| 98 |
|
|
ALANKAR TANDON
(PAN:AAXPT4556H)
(Along with : NEERA TANDON,
AKSHAT TANDON,
GAURAV TANDON)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATION 3(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHREE BHAWANI PAPER MILLS LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JUL-2014
|
SAT: APPEAL DISMISSED. NO COSTS
SEBI VIDE ITS NOTICE DATED 24/02/2022 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 07/01/2022
SAT: SAT VIDE ITS ORDER DATED 07/02/2022 DISPOSED OF THE APPEAL BY DIRECTING APPELLANTS A) MAKE A FRESH APPLICATION BEFORE SEBI FOR SEGREGATION OF PENALTY AMOUNT AND UPON RECEIPT OF THE APPLICATION SEBI WILL CONSIDER AND DECIDE THE MATTER WITHIN SIX WEEKS THEREAFTER B) IN THE MEANWHILE, APPELLANTS TO DEPOSIT RS.15 LAC WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND BALANCE AMOUNT ALONG WITH INTEREST TO BE PAID IN FIVE EMI OF RS.15 LAC EACH ON OR BEFORE 25TH DAY OF THE MONTH AND D) BANK ACCOUNTS, DEMAT ACCOUNTS INCLUDING TRADING ACCOUNTS, LOCKERS ETC. TO BE DEFREEZED AFTER THE PAYMENT OF THE SECOND INSTALLMENT
SAT: SAT VIDE ITS ORDER DATED 23/06/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 22/09/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 30/11/2022 DISMISSED THE APPEAL AS WITHDRAWN. NO COSTS
SEBI VIDE ITS ORDER DATED 13/12/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4327 OF 2021 DATED 01/12/2021
|
| 99 |
|
|
ALANKAR TANDON
(PAN:AAXPT4556H)
(Along with : AKSHAT TANDON,
NEERA TANDON,
GAURAV TANDON)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATION 3(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHREE BHAWANI PAPER MILLS LTD.
|
IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JUL-2014
|
SAT: APPEAL DISMISSED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 07/02/2022 DISPOSED OF THE APPEAL BY DIRECTING APPELLANTS A) MAKE A FRESH APPLICATION BEFORE SEBI FOR SEGREGATION OF PENALTY AMOUNT AND UPON RECEIPT OF THE APPLICATION SEBI WILL CONSIDER AND DECIDE THE MATTER WITHIN SIX WEEKS THEREAFTER B) IN THE MEANWHILE, APPELLANTS TO DEPOSIT RS.15 LAC WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND BALANCE AMOUNT ALONG WITH INTEREST TO BE PAID IN FIVE EMI OF RS.15 LAC EACH ON OR BEFORE 25TH DAY OF THE MONTH AND D) BANK ACCOUNTS, DEMAT ACCOUNTS INCLUDING TRADING ACCOUNTS, LOCKERS ETC. TO BE DEFREEZED AFTER THE PAYMENT OF THE SECOND INSTALLMENT
SAT: SAT VIDE ITS ORDER DATED 23/06/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 22/09/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 30/11/2022 DISMISSED THE APPEAL AS WITHDRAWN. NO COSTS
SEBI VIDE ITS ORDER DATED 13/12/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4334 OF 2021 DATED 03/12/2021
|
| 100 |
|
|
ALANKAR TANDON
(PAN:AAXPT4556H)
(Along with : NEERA TANDON,
AKSHAT TANDON,
GAURAV TANDON)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATION 3(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHREE BHAWANI PAPER MILLS LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JUL-2014
|
SAT: APPEAL DISMISSED. NO COSTS
SEBI VIDE ITS NOTICE DATED 07/01/2022 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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
SAT: SAT VIDE ITS ORDER DATED 07/02/2022 DISPOSED OF THE APPEAL BY DIRECTING APPELLANTS A) MAKE A FRESH APPLICATION BEFORE SEBI FOR SEGREGATION OF PENALTY AMOUNT AND UPON RECEIPT OF THE APPLICATION SEBI WILL CONSIDER AND DECIDE THE MATTER WITHIN SIX WEEKS THEREAFTER B) IN THE MEANWHILE, APPELLANTS TO DEPOSIT RS.15 LAC WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND BALANCE AMOUNT ALONG WITH INTEREST TO BE PAID IN FIVE EMI OF RS.15 LAC EACH ON OR BEFORE 25TH DAY OF THE MONTH AND D) BANK ACCOUNTS, DEMAT ACCOUNTS INCLUDING TRADING ACCOUNTS, LOCKERS ETC. TO BE DEFREEZED AFTER THE PAYMENT OF THE SECOND INSTALLMENT
SAT: SAT VIDE ITS ORDER DATED 23/06/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 22/09/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 30/11/2022 DISMISSED THE APPEAL AS WITHDRAWN. NO COSTS
SEBI VIDE ITS ORDER DATED 13/12/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4328 OF 2021 DATED 01/12/2021
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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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