| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 981 |
|
SUBRATO NAG
|
|
|
|
SOLID CARBIDE TOOLS LTD.
PAN:AABCS5855M
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SOLID CARBIDE TOOLS LTD.
DID NOT PROVIDE INFORMATION TO SEBI
SHARES ISSUED UNDER PROMOTER'S QUOTA IN PUBLIC ISSUE SOLD IN OPEN MARKET BEFORE COMPLETION OF LOCK-IN-PERIOD
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-JUN-2007 TO 14-JUN-2009
15-JUN-2007
|
AS PER FORM 32 FILED BY THE COMPANY WITH ROC, MR.MUKESH MANSUKHLAL KOTHARI HAD RESIGNED FROM DIRECTORSHIP OF THE COMPANY ON 30/11/1995. THIS IS PRIOR TO THE ORDER PASSED BY SEBI ON 15/06/2007
|
| 982 |
|
|
SUDHAKAR ANCHAN
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF SHAREPRO SERVICES (I) PVT.LTD.
|
IMPOSED PENALTY RS.3,00,000
17-NOV-2023
|
SEBI VIDE ITS NOTICE DATED 13/02/2025 DIRECTED TO PAY RS.3,49,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 15/04/2025 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 02/05/2025 DELAY OF 456 DAYS IN FILING OF APPEAL. ALLOWED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, FILE TWO WEEKS THEREAFTER. STAYED THE RECOVERY SUBJECT TO DEPOSIT OF 50% PENALTY AMOUNT
SEBI VIDE ITS NOTICE DATED 15/05/2025 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 15/04/2025
|
| 983 |
|
|
SUDHIR CHANDRA BERA
(DIN:06500319
PAN:AXAPB8554D)
|
|
|
|
ROOFERS CAPITAL MANAGEMENT LTD.
CIN:U74140WB2009PLC140331
PAN:AAECR6116M
|
|
DID NOT ADHERE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF ROOFERS CAPITAL MANAGEMENT LTD.
|
IMPOSED PENALTY RS.2,00,000
30-OCT-2018
|
|
| 984 |
|
|
SUDHIR K.AGARWAL
|
|
|
|
EUPHARMA LABORATORIES LTD.
|
|
SHARES ALLOTTED ON PREFERENTIAL BASIS WITHOUT ADEQUATE CONSIDERATION AND SHOWN AS ISSUED TO NON-PROMOTERS TO AVOID LOCK-IN PERIOD IN MATTER OF EUPHARMA LABORATORIES LTD.
DID NOT CO-OPERATE WITH SEBI IN MATTER OF EUPHARMA LABORATORIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JAN-2009 TO 12-JAN-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JAN-2009 TO 12-JAN-2010
13-JAN-2009
|
|
| 985 |
|
|
SUDHIR MEHTA
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.1,00,000
16-FEB-2006
|
|
| 986 |
|
|
SUDHIRKUMAR SANT KUMAR JHUNJHUNWALA
(PAN:AAFPJ7148H)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF AGNITE EDUCATION LTD. (FORMERLY KNOWN AS TELEDATA INFORMATICS LTD.)
|
IMPOSED PENALTY RS.5,00,000
25-MAY-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 02/09/2021 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 27/09/2022 DIRECTED ALL THE BANKS TO REMIT RS.8,26,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MS.MADHU SUDHIRKUMAR JHUNJHUNWALA BY WAY OF EFT/NEFT/RTGS
|
| 987 |
|
|
SUJAL CHANDRAKANT SHAH
(PAN:AAEPS4618Q)
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION TO INVESTING AUTHORITY OF SEBI OF DEALINGS IN SCRIP OF ROBINSON WORLDWIDE TRADE LTD.
|
IMPOSED PENALTY RS.50,000
11-OCT-2007
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 11/07/2014 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
SEBI VIDE ITS ORDER DATED 05/08/2019 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 11/07/2014
|
| 988 |
|
|
SUJATA DHAN KUMAR KHARGA
(PAN:AMZPK1508N)
|
|
|
|
SUN & SHINE WORLDWIDE LTD.
PAN:AABCR6814P
|
|
DID NOT SUBMIT INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF SUN & SHINE WORLDWIDE LTD.
|
IMPOSED PENALTY RS.5,00,000
14-SEP-2021
|
SEBI VIDE ITS NOTICE DATED 06/01/2023 DIRECTED TO PAY RS.5,86,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 13/02/2023 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
|
| 989 |
|
|
SUJEET KUMAR SONA
(PAN:CWTPS3069L)
|
|
|
|
AADYA COMMODITIES PVT.LTD.
PAN:AAHCA2094C
|
|
|
AADYA COMMODITIES PVT.LTD.
PAN:AAHCA2094C
(Member : MCX)
|
|
|
AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD.
PAN:AAECA3909P
|
|
|
AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD.
PAN:AAECA3909P
(Depository Participants : CDSL,Member : NSE/BSE/MCX/MSEI)
|
|
DID NOT SUBMIT INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MISUSED PLEDGING OF CLIENT’S SECURITIES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
DID NOT REDRESS INVESTOR COMPLAINTS
FALSIFIED TRIAL BALANCE, BANK BOOKS AND CONCEALED THE INFORMATION RELATED TO PLEDGING OF SECURITIES, CASH WITHDRAWAL AND FUND MOVEMENT RELATED TO ENTITIES VIOLATING SECTIONS 12(A) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2) (P) OF SEBI (PFUTP) REGULATIONS, 2003
|
IMPOSED PENALTY RS.7,00,000
28-APR-2022
|
SAT: SAT VIDE ITS ORDER DATED 06/01/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 09/02/2023 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 18/07/2023 DIRECTED TO PAY RS.8,13,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 10/12/2024 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 14/07/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.9,81,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 990 |
|
|
SUKUMAR BHATTACHARYA
(DIN:06538554
PAN:AHNPB5569M)
|
|
|
|
ROOFERS CAPITAL MANAGEMENT LTD.
CIN:U74140WB2009PLC140331
PAN:AAECR6116M
|
|
DID NOT ADHERE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF ROOFERS CAPITAL MANAGEMENT LTD.
|
IMPOSED PENALTY RS.2,00,000
30-OCT-2018
|
SEBI VIDE ITS NOTICE DATED 19/05/2021 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
|
| 991 |
|
|
SUMIT BHOOT
(PAN:BLPPB9770D)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION / DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF EROS INTERNATIONAL MEDIA LTD.
|
IMPOSED PENALTY RS.12,00,000
29-OCT-2024
|
SEBI VIDE ITS NOTICE DATED 14/01/2025 DIRECTED TO PAY RS.12,49,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 06/02/2025 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 21/04/2025 CONDONED THE DELAY OF 91 DAYS IN FILING OF APPEAL AND REJOINDER, IF ANY, BE FILE WITHIN TWO WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 20/11/2025 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 06/02/2025
SEBI VIDE ITS ORDER DATED 20/11/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.8541 OF 2025 DATED 14/01/2025
|
| 992 |
|
|
SUNIL GAGLANI
|
|
|
DID NOT APPEAR AND FURNISH NECESSARY INFORMATION TO SEBI IN RESPONSE TO SUMMONS IN MATTER OF SOFTRACK TECHNOLOGY EXPORTS LTD.
|
IMPOSED PENALTY RS.15,00,000
28-OCT-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 993 |
|
|
SUNIL GODHWANI
(PAN:AACPG6998F)
|
|
|
|
VISTAAR CAPITAL ADVISORS LTD.
PAN:AACCV6540K
|
|
DID NOT WINDUP SCHEME OF FUND ON EXPIRY OF TENURE/TERM
DID NOT MAINTAIN BOOKS OF ACCOUNT AND OTHER DOCUMENTS
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT SUBMIT REPORT TO SEBI
|
RESTRAINED FROM ASSOCIATING DIRECTLY OR INDIRECTLY, WITH ANY REGISTERED INTERMEDIARIES INCLUDING SEBI REGISTERED FUNDS SUCH AS MUTUAL FUNDS, ALTERNATIVE INVESTMENT FUNDS, PORTFOLIO MANAGEMENT SERVICES ETC. WHICH DEAL WITH INVESTOR’S MONEY IN ANY MANNER FROM 24-MAY-2023 TO 23-OCT-2023
24-APR-2023
|
|
| 994 |
|
|
SUNIL MANSINGHANI
|
|
|
|
SUNCHAN SECURITIES LTD.
PAN:AAFCS8953A
(Depository Participants : CDSL,Member : BSE/NSE/OTC)
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
FAILED TO DELIVER SHARES TO CLIENTS
DID NOT MAKE PAYMENT TO CLIENTS
DEFAULTED IN MAINTENANCE OF BOOKS/DOCUMENTS
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT PRODUCE BOOKS OF ACCOUNTS TO SEBI FOR INSPECTION
SUBMITTED WRONG INFORMATION TO SEBI
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-JAN-2009 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
DIRECTED BSE, NSE, OTCEI AND THEIR CLEARING HOUSES NOT TO RELEASE FUNDS OR SECURITIES
DIRECTED BSE, NSE, OTCEI AND THEIR CLEARING HOUSES TO SECURE ALL ASSETS INCLUDING REALIZATION OF BANK GUARANTEES
30-JAN-2009
|
AD-INTERIM EX-PARTE ORDER DATED 30/01/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 23/04/2014 1.RESTRAINED SUNCHAN SECURITIES LTD.(SUNCHAN) AND ITS DIRECTORS MR.SUNIL MANSINGHANI, MS.KANCHAN MANSINGHANI, MR.ASHOK DASWANI, MR.SURENDRA GAMA YADAV AND COMPLIANCE OFFICER MR.RIYAZ ISMAIL SHAIKH FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESSING SECURITIES MARKET DIRECTLY OR INDIRECTLY FOR A PERIOD OF SEVEN YEARS 2.RESTRAINED ALL ITS DIRECTORS AND COMPLIANCE OFFICER FROM HOLDING POSITION OF DIRECTOR OR COMPLIANCE OFFICER IN ANY LISTED COMPANY OR BEING ASSOCIATED WITH ANY INTERMEDIARY OR ENTITY REGISTERED WITH SEBI FOR A PERIOD OF SEVEN YEARS 3.DIRECTED SUNCHAN AND ITS DIRECTORS AND COMPLIANCE OFFICER TO REPLENISH INVESTOR PROTECTION FUND (IPF) OF BSE TO THE EXTENT OF RS.1,86,93,149.00 AND IPF OF NSE TO THE EXTENT OF RS.2,58,32,823.72, I.E. AMOUNT DISBURSED FROM IPF TOWARDS CLAIMS OF INVESTORS OF SUNCHAN AS A STOCK BROKER 5.DIRECTED SUNCHAN AND ITS DIRECTORS TO COMPENSATE INVESTORS TO THE EXTENT THEIR CLAIMS WERE NOT FULLY MET OUT OF IPF OF RS.5,30,96,338.27 (RS.1,68,47,272.87 + RS.3,62,49,065.40) I.E. THE CLAIM ADMITTED LESS AMOUNT DISBURSED OUT OF IPF. SUNCHAN AND ITS DIRECTORS ARE JOINTLY AND SEVERALLY LIABLE TO MAKE THE PAYMENTS
SAT: APPEAL DISMISSED. NO COSTS
|
| 995 |
|
|
SUNIL SINGH
(PAN:BDGPS0774K)
|
|
|
|
ALFA FINSEC
PAN:BDGPS0774K
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
ISSUED FICTITIOUS CONTRACT NOTES
FALSIFIED/FABRICATED DOCUMENT TO GIVE IMPRESSION OF AUTHENTICITY ABOUT ITS TRANSACTIONS
DELAY IN TRANSFER OF SHARES TO TRANSFEREES SUBSEQUENT TO RECEIPT OF PAYMENT FROM TRANSFEREES VIOLATING SECTION 2(I)(A) OF SCRA, 1956 AND SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION G.S.R 219(E) DATED 02/03/2000 AND SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF DELTA LEASING AND FINANCE LTD.
DID NOT FURNISH REQUIRED INFORMATION IN RESPONSE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF DELTA LEASING AND FINANCE LTD.
STATED FALSE REASONS IN DELIVERY INSTRUCTION SLIP (DIS) FOR TRANSACTIONS AS LOAN OF SHARES, RETURN OF LOAN, BAD DELIVERY, RECTIFICATION OF BAD DELIVERY AND GIFT VIOLATING REGULATION 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DELTA LEASING AND FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2023 TO 30-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2023 TO 30-APR-2023
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JAN-2023
|
|
| 996 |
|
|
SUNILBHAI PATEL
|
|
|
|
PATEL ASSOCIATES
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS AND REVERSAL OF TRADES IN SCRIP OF CLASSIC DIAMOND (INDIA) LTD.
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF CLASSIC DIAMOND (INDIA) LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-APR-2011
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.2,47,500.00
|
| 997 |
|
|
SUNITA GUPTA
(PAN:AAHPG4700E)
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF SUMEET INDUSTRIES LTD.
|
IMPOSED PENALTY RS.5,00,000
23-JAN-2013
|
SAT: SAT VIDE ITS ORDER DATED 12/12/2013 MODIFIED SEBI'S ORDER DATED 23/01/2013 BY REDUCING PENALTY AMOUNT TO RS.1 LAC UNDER SECTION 15A(A) FROM RS.2 LAC, HENCE TOTAL PENALTY AMOUNT WILL BE RS.4 LACS. NO COST
SAT: APPEAL DISMISSED. NO COSTS
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: SAT VIDE ITS ORDER DATED 29/04/2016 ALLOWED REVIEW APPLICATION AND THE ORDER PASSED BY SAT IN APPEAL NO.56 OF 2013 ON 12/12/2013 RECALLED. APPEAL NO.56 OF 2013 DISPOSED OFF BY SETTING ASIDE EX-PARTE ORDER PASSED BY AO OF SEBI ON 23/01/2013 AND MATTER RESTORED TO FILE OF AO FOR FRESH DECISION ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
|
| 998 |
|
|
SUNITA PATEL KAMLESH
(PAN:ASQPP4146G)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION / DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF EROS INTERNATIONAL MEDIA LTD.
|
IMPOSED PENALTY RS.12,00,000
29-OCT-2024
|
SEBI VIDE ITS NOTICE DATED 07/01/2025 DIRECTED TO PAY RS.12,49,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 27/01/2025 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 06/03/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.12,73,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SAT: SAT VIDE ITS ORDER DATED 21/04/2025 CONDONED THE DELAY OF 91 DAYS IN FILING OF APPEAL AND REJOINDER, IF ANY, BE FILE WITHIN TWO WEEKS THEREAFTER
|
| 999 |
|
|
SURAJIT DEY
(PAN:BLHPD6637D)
|
|
|
DID NOT SUBMIT REQUIRED DETAILS/INFORMATION/RECORDS/DOCUMENTS SOUGHT VIDE SUMMON DATED 12/03/2019 IN MATTER OF KAILASH AUTO FINANCE LTD.
|
IMPOSED PENALTY RS.2,00,000
29-OCT-2020
|
SEBI VIDE ITS NOTICE DATED 07/09/2021 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
|
| 1000 |
|
|
SURAJIT DUTTA
(PAN:ARHPD5353R)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS AND NOT CO-OPERATE WITH INVESTIGATION AUTHORITY IN MATTER OF VIDEOCON INDUSTRIES LTD.
|
IMPOSED PENALTY RS.5,00,000
27-OCT-2021
|
SEBI VIDE ITS NOTICE DATED 01/10/2024 DIRECTED TO PAY RS.6,86,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 23/10/2024 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
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 50 of 57
|
