| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
ABHI CAPITAL SERVICES LTD.
(PAN:AAACA5419N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF & ON MARKET TRANSACTIONS IN SCRIP OF RICHA INDUSTRIES LTD.
|
IMPOSED PENALTY RS.6,00,000
19-MAY-2015
|
|
| 82 |
|
|
ABHI CAPITAL SERVICES LTD.
(PAN:AAACA5419N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF PRIYADARSHINI SPINNING MILLS LTD.
|
IMPOSED PENALTY RS.10,00,000
31-DEC-2013
|
|
| 83 |
|
|
ABHI PORTFOLIO PVT.LTD.
(PAN:AAACA8350Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
31-AUG-2021
|
|
| 84 |
|
|
ABHIDEEP GLOBAL FINANCE PVT.LTD.
(PAN:AABCC2633F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.3,00,000
30-NOV-2021
|
SAT: SAT VIDE ITS ORDER DATED 23/08/2022 DISPOSED OF THE APPEAL DIRECTING APPELLANT TO FILE APPROPRIATE APPLICATION FOR SETTLEMENT BEFORE THE AUTHORITY WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 85 |
|
|
ABHIGAM CONSULTANTS PVT.LTD.
(PAN:AADCA9467B)
|
|
|
DELAYED DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES/SEBI AS REQUIRED UNDER REGULATIONS 10(5),10(6) & 10(7) OF SAST REGULATIONS, 2011 IN MATTER OF TRANSPEK FINANCE LTD.
|
IMPOSED PENALTY RS.1,00,000
01-NOV-2012
|
|
| 86 |
|
|
ABHIJEET SURESH BORA (HUF)
(PAN:AAKHA5076L)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
30-DEC-2021
|
SEBI VIDE ITS NOTICE DATED 10/07/2023 DIRECTED TO PAY RS.6,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 01/08/2023 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 NOTICE DATED 11/09/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.6,11,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 87 |
|
|
ABHIJIT ROY BARMAN (HUF)
(PAN:AAJHA2238K)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
25-JAN-2022
|
SAT: SAT VIDE ITS ORDER DATED 21/11/2022 CONDONED THE DELAY IN FILING OF APPEAL AND DISPOSED OF THE APPEAL DIRECTING APPELLANT TO FILE APPROPRIATE APPLICATION FOR SETTLEMENT BEFORE THE AUTHORITY WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 88 |
|
|
ABHILASHA MONEY OPERATIONS PVT.LTD.
(PAN:AABCA8262G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH SYNCHRONIZED AND STRUCTURED TRANSACTIONS IN SCRIP OF BHAGERIA INDUSTRIES LTD.
|
IMPOSED PENALTY RS.7,00,000
31-MAR-2023
|
SEBI VIDE ITS NOTICE DATED 06/07/2023 DIRECTED TO PAY RS.7,29,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 25/07/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6777 OF 2023 DATED 06/07/2023
|
| 89 |
|
|
ABHILASHAA SECURITIES PVT.LTD.
(PAN:AADCA8279K)
|
|
|
|
KANAN DESAI
|
|
|
YEZDI MASTER
|
|
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
|
IMPOSED PENALTY RS.1,50,000
24-DEC-2004
|
SAT: ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.20,000 FROM RS.1,50,000
SEBI VIDE ITS NOTICE DATED 10/07/2018 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 16/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.4,88,500.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 90 |
|
|
ABHIMANU EXPORTS LTD.
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011
|
IMPOSED PENALTY RS.10,00,000
08-AUG-2017
|
SAT: APPEAL DISMISSED. NO COSTS
|
| 91 |
|
|
ABHIMUKT FINANCIAL PVT.LTD.
(PAN:AABCC4502B)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF CORE EMBALLAGE LTD.(PRESENTLY KNOWN AS “AUSOM ENTERPRISE LTD.”)
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAY-2011
|
|
| 92 |
|
|
ABHINANDAN FINTEX PVT.LTD.
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF BACCHHAT INVESTMENT & FINANCE LTD.
|
IMPOSED PENALTY RS.2,50,000
19-JUN-2009
|
|
| 93 |
|
|
ABHINANDAN STOCK BROKING PVT.LTD.
(PAN:AAICA8362N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
30-SEP-2021
|
|
| 94 |
|
|
ABHINANDAN VANIJYA PVT.LTD.
(PAN:AACCA5379H)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
22-MAY-2019
|
|
| 95 |
|
|
ABHINAV COMMERCIAL LTD.
(PAN:AACCA0450B)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,50,000
23-DEC-2015
|
SEBI VIDE ITS NOTICE DATED 20/09/2016 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 20/12/2016 CONDONED THE DELAY OF 70 DAYS IN FILING OF MISC. APPLICATIONS. FURTHER, APPEAL DISMISSED. NO COSTS
SEBI VIDE ITS ORDER DATED 17/01/2017 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 20/09/2016
|
| 96 |
|
|
ABHINAV GARG (HUF)
(PAN:AANHA9193D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
25-JAN-2022
|
SAT: SAT VIDE ITS ORDER DATED 17/11/2022 CONDONED THE DELAY IN FILING OF APPEAL. APPEAL DISMISSED
|
| 97 |
|
|
ABHINAV SHETH (HUF)
(PAN:AALHA0721M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
05-APR-2022
|
SEBI VIDE ITS NOTICE DATED 01/02/2023 DIRECTED TO PAY RS.5,56,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 16/02/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6229 OF 2023 DATED 01/02/2023
|
| 98 |
|
|
ABHIPREET SHETH (HUF)
(PAN:AAOHA2885D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
05-APR-2022
|
SEBI VIDE ITS NOTICE DATED 01/02/2023 DIRECTED TO PAY RS.5,56,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 16/02/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6230 OF 2023 DATED 01/02/2023
|
| 99 |
|
|
ABHIRATI TRADING PVT.LTD.
(PAN:AAICA2271N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF VAKRANGEE LTD.
|
IMPOSED PENALTY RS.75,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-APR-2021
|
|
| 100 |
|
|
ABHIRATI TRADING PVT.LTD.
(PAN:AAICA2271N)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF VAKRANGEE 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 VAKRANGEE LTD.
|
IMPOSED PENALTY RS.9,50,000
21-FEB-2018
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 5 of 387
|
