| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1021 |
|
TEXMO PIPES & PRODUCTS LTD.
(PAN:AACCT9780D)
|
|
|
|
MUKESH BABULAL CHAURADIYA
PAN:AAVPC0966A
|
|
|
SANJAY KUMAR AGRAWAL
PAN:ADAPA0132C
|
|
|
VIJAY PRASAD PAPPU
PAN:ASRPP0392H
|
|
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGE ABOUT ALLOWING GDR PROCEEDS TO USED AS SECURITY FOR A LOAN AVAILED BY VINTAGE FZE, UAE TOWARDS SUBSCRIPTION OF GDRS ISSUED BY
TEXMO PIPES & PRODUCTS LTD. VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) 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 28-FEB-2023 TO 27-FEB-2026
DIRECTED TO CONTINUE TO PURSUE THE MEASURES OF BRING BACK OUTSTANDING USD 3.49 MN. INTO ITS BANK ACCOUNT IN INDIA
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
28-FEB-2023
|
SAT: SAT VIDE ITS ORDER DATED 06/12/2023 CONDONED THE DELAY OF 165 DAYS IN FILING OF APPEAL AND RESPONDENT TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE THE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 03/04/2024 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 24/10/2024 SET ASIDE IMPUGNED ORDER DATED 28/02/2023 AND MATTER REMITTED TO SEBI TO PASS FRESH ORDER IN ACCORDANCE WITH LAW. APPELLANT TO PRODUCE DOCUMENTS WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. NO COSTS
SEBI VIDE ITS ORDER DATED 20/02/2025 DIRECTED TO CALL BACK THE BOOK ENTRY LOAN FROM ACCOUNTS OF TAPTI I.E. OUTSTANDING AMOUNT OF GDR PROCEEDS AND CREDIT THE SAME IN ITS BANK ACCOUNT IN INDIA WITHIN THREE MONTHS UNDER SUPERVISION OF ITS AUDIT COMMITTEE
|
| 1022 |
|
|
TEXMO PIPES & PRODUCTS LTD.
(PAN:AACCT9780D)
|
|
|
|
RISHABH KUMAR JAIN
PAN:AHYPJ1203B
|
|
|
SHANTI LAL BADERA
PAN:ABLPB5820D
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION OF GDR ISSUE VIOLATING SECTION 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 TEXMO PIPES & PRODUCTS 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 28-FEB-2023 TO 27-FEB-2024
28-FEB-2023
|
|
| 1023 |
|
|
TIMBOR HOME LTD.
(PAN:AABCI2531A)
|
|
|
|
ANANT SURESHCHANDRA MALOO
PAN:ACSPM2958D
|
|
|
MANAN VIDHYAPATI PATEL
PAN:AFJPP0452P
|
|
DID NOT USE IPO PROCEEDS AS PER PROSPECTUS DATED 08/06/2011 VIOLATING SECTION 12A(A) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF TIMBOR HOME LTD.
DID NOT MAKE DISCLOSURE OF PRE-EXISTING LIABILITIES OF RS.7 CRORE (APPROX.) RELATED TO WORKING CAPITAL EXPENSES, LOAN OF RS.7 CRORE FROM ALIN AND INFLATED THE SALES FIGURES FOR THE YEARS 2010-11 AND 2011-12 VIOLATING REGULATIONS 57(1) AND 57(2)(A) READ WITH CLAUSE (2)(VII)(G) PART A OF SCHEDULE VIII OF SEBI (ICDR) REGULATIONS, 2009 IN IPO OF TIMBOR HOME 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 15-DEC-2020 TO 14-DEC-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
RESTRAINED FROM ACTING AS DIRECTOR IN ANY LISTED COMPANY FROM 15-DEC-2020 TO 14-DEC-2022
15-DEC-2020
|
|
| 1024 |
|
|
TOOR FINANCE CO.LTD.
(PAN:AAACT5163G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF YAMINI INVESTMENTS CO.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 04-SEP-2023 TO 03-SEP-2025
04-SEP-2023
|
SAT: SAT VIDE ITS ORDER DATED 09/11/2023 CONDONED THE DELAY IN FILING OF APPEAL. IN THE MEANWHILE, RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE. STAYED EFFECT AND OPERATION OF THE IMPUGNED ORDER
|
| 1025 |
|
|
TOP CLASS CAPITAL MARKETS PVT.LTD.
(PAN:AACCT5800G)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION REGARDING LICENSING AND SUPPLY AGREEMENTS OF APL WITH PFIZER INC.VIOLATING REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF AUROBINDO PHARMA LTD.
|
DIRECTED TO DISGORGE RS.3,77,89,062
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 05-AUG-2020 TO 04-AUG-2021
05-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 03/03/2021 DIRECTED RESPONDENT FOUR WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER. MATTER TO BE LISTED FOR ADMISSION AND FINAL DISPOSAL ON 20/04/2021. IN THE MEANTIME, THE EFFECT AND OPERATION OF IMPUGNED ORDER DIRECTED TO BE STAYED UPON DEPOSIT OF RS.10 CRORE WITHIN FIVE WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 20/04/2021 DISPOSED OFF THE EXTENSION PERMITTING APPLICANTS TO COMPLY WITH THE ORDER OF 03/03/2021 BY 25/05/2021 AND DIRECTED APPELLANT TO FILE REJOINDER AFFIDAVITS ON OR BEFORE THE NEXT DATE FIXED
SEBI VIDE ITS NOTICE DATED 17/06/2021 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
SAT: SAT VIDE ITS ORDER DATED 10/06/2021 ALLOWED APPELLANT TO THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 06/07/2021 DISPOSED OFF MISC. APPLICATION NOS.665 & 666 OF 2021. DIRECTED RECOVERY OFFICER TO NOT TO PROCEED WITH THE RECOVERY OF ANY AMOUNT PURSUANT TO IMPUGNED ORDERS OF THE AO AND WTM AND ALSO DIRECTED RESPONDENT TO FILE AFFIDAVIT OF THE RECOVERY OFFICER INDICATING THE EXTENT OF THE SHARES SOLD FROM THE DEMAT ACCOUNT OF THE APPELLANTS. FURTHER, DIRECTED RECOVERY OFFICER TO FILE AFFIDAVIT WITH REGARD TO THE PROCEDURE FOLLOWED BY HIM FOR THE SALE OF SHARES AS PER SECTION 28A OF SEBI ACT. READ WITH INCOME TAX RULES
SAT: SAT VIDE ITS ORDER DATED 20/07/2021 ALLOWED APPELLANT TO DEPOSIT BALANCE AMOUNT RS.3.50 CRORE ON OR BEFORE 31/07/2021 AND DIRECTED RO TO KEEP THE AMOUNT IN ESCROW ACCOUNT
SAT: SAT VIDE ITS ORDER DATED 02/08/2021 ALLOWED AMENDMENT APPLICATION AND NECESSARY CORRECTION IN MEMO OF APPEAL AND/OR AMENDED COPY OF MEMO OF APPEAL MAY BE FILED WITHIN TEN DAYS. ALLOWED RESPONDENT TWO WEEKS TO FILE REPLY TO THE AMENDED MEMO OF APPEAL
SEBI VIDE ITS ORDER DATED 30/08/2021 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 17/06/2021
SAT: SAT VIDE ITS ORDER DATED 24/08/2021 STAYED RECOVERY PROCEEDINGS DURING PENDENCY OF THE APPEAL AND LIFTED FREEZING OF DEMAT ACCOUNT AND ATTACHMENT ORDER BY THE RESPONDENT. RESPONDENT TO FILE REPLY TO AMENDED MEMO OF APPEAL WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER MAY BE FILED WITHIN A WEEK THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 08/03/2022 DISMISSED THE APPEAL. NO COSTS
|
| 1026 |
|
|
TOPWELL PROPERTIES PVT.LTD.
(PAN:AADCT8403C)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF MYSTIC ELECTRONICS LTD. (EARLIER KNOWN AS PEARL ELECTRONICS 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 26-JUN-2020 TO 25-JUN-2021
26-JUN-2020
|
|
| 1027 |
|
|
TOSHEE TRADE
(PAN:AARFT2714M)
|
|
|
INDULGED IN MISAPPROPRIATION OF NON-PUBLIC INFORMATION FROM EMPLOYER AND TRADED VIOLATING REGULATIONS 3 AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CNBC AWAAZ
|
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 11-JUN-2024 TO 10-MAY-2029
DIRECTED TO DISGORGE RS.2,33,86,615 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
11-JUN-2024
|
SAT: SAT VIDE ITS ORDER DATED 29/01/2026 PARTLY ALLOWED THE APPEAL. MATTER REMITTED TO SEBI TO RE-COMPUTE CALCULATE LIABILITY OF RS.3,16,98,245.50
SAT: SAT VIDE ITS ORDER DATED 08/05/2026 PARTLY ALLOWED REVIEW APPLICATION AND MODIFIED IMPUGNED ORDER DATED 29/01/2026 AND WAIVED THE COSTS IMPOSED. NO COSTS
|
| 1028 |
|
|
TRADEBIZZ RESEARCH
(PAN:BEKPP6860A)
|
|
|
|
SANTOSH SINGH PARIHAR
PAN:BEKPP6860A
|
|
PROMISED ASSURED PROFIT/UNREALISTIC RETURN TO ITS CLIENTS VIOLATING REGULATIONS 4(1) AND 4(2) (K) READ WITH REGULATIONS 2(1)(C)(1)(2) AND (8) OF PFUTP REGULATIONS, 2003
DID NOT MAKE DISCLOSURE OF MATERIAL INFORMATION TO ITS CLIENTS VIOLATING REGULATIONS 15(1) AND CLAUSES 1 & 2 OF CODE OF CONDUCT FOR INVESTMENT ADVISER READ WITH REGULATION 15(9) OF (INVESTMENT ADVISORS) REGULATIONS, 2013
DID NOT TRANSPARENT TO CLIENTS REGARDING ADVISORY FEES AND CHARGED UNREASONABLE FEES
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
FORCED CLIENTS TO SIGN DOCUMENTS TO WITHDRAW COMPLAINTS
DID NOT ADHERE TO INSTRUCTION OF SEBI ISSUED PURSUANT TO THE INSPECTION TEAM
DID NOT CO-OPERATE IN PROVIDING INFORMATION TO SEBI FOR THE PURPOSE OF EXAMINATION OF ITS AFFAIRS
|
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 22-AUG-2019 TO 21-AUG-2022
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 22-AUG-2019 TO 21-AUG-2022
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 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 DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NOT TRANSFERRED SECURITIES HELD JOINTLY OR SEVERALLY
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
DIRECTED TO FURNISH REPORT TO SEBI DULY CERTIFIED BY CHARTERED ACCOUNTANT RESOLVED ALL COMPLAINTS
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
22-AUG-2019
|
SEBI VIDE ITS ORDER DATED 27/01/2021 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH THE SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR A PERIOD OF 03 YEARS FROM THE DATE OF THIS ORDER. PERIOD OF DEBARMENT OF RESTRAINT ALREADY UNDERGONE ON ACCOUNT OF INTERIM ORDER B) RESOLVE THE COMPLAINTS PENDING AGAINST HIM IN THE SCORES AND OTHERWISE, WITHIN THE PERIOD OF 30 DAYS FROM THE DATE OF THIS ORDER C) FURNISH A REPORT TO SEBI DULY CERTIFIED BY CHARTERED ACCOUNTANT CERTIFYING THAT ALL THE COMPLAINTS HAVE BEEN RESOLVED D) DURING THE PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING MUTUAL FUNDS UNITS SHALL REMAIN FROZEN
|
| 1029 |
|
|
TRAFIKSOL ITS TECHNOLOGIES PVT.LTD.
(PAN:AAGCT6473R)
|
|
|
MADE FALSE AND MISLEADING DISCLOSURES IN RHP WITH RESPECT TO SALES TO ITS TOP CUSTOMERS AND PURCHASES FROM ITS TOP TEN SUPPLIERS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D),4(1), 4(2)(F), 4(2)(K), 4(2)(R) AND 4(2)(S) OF SEBI (PFUTP) REGULATIONS, 2003
MADE FALSE AND MISLEADING DISCLOSURES IN RHP WITH RESPECT TO SALES TO ITS TOP CUSTOMERS AND PURCHASES FROM ITS TOP TEN SUPPLIERS VIOLATING REGULATIONS 245(1) AND 245(2) OF SEBI (ICDR) REGULATIONS, 2018
|
IMPOSED PENALTY RS.30,00,000
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 28-AUG-2026 TO 27-AUG-2027
28-AUG-2026
|
|
| 1030 |
|
|
TRIFID RESEARCH
(PAN:AAGFT6463L)
|
|
|
|
LYDIA THOMAS
PAN:AKMPT0294M
|
|
|
VIVEK TYAGI
PAN:AJYPT1874C
|
|
SOLD HIGH-RISK PRODUCT/SERVICE TO CLIENT WITH MODERATE/LOW RISK APPETITE
SOLD ADVISORY SERVICES PRIOR TO COMMUNICATION OF RISK PROFILE
SOLD PRODUCTS TO CLIENTS WHICH WERE NOT SUITABLE TO RISK PROFILE OF THE CLIENTS
CHARGED SERVICE FEES DISPROPORTIONATE TO ANNUAL INCOME/PROPOSED INVESTMENT
LOCKED CLIENTS BY ADVANCE FEE FOR SALE OF PRODUCTS WITHOUT REFUND
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS HAVING DIFFERENT NAMES BUT SAME FEATURE
|
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 30-MAR-2021 TO 29-MAR-2026
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 30-MAR-2021 TO 29-MAR-2026
CEASED TO SOLICIT OR UNDERTAKE INVESTMENT ADVISORY ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 30-MAR-2021 TO 29-MAR-2026
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 30-MAR-2021 TO 29-MAR-2026
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 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 30-MAR-2021 TO 29-MAR-2026
DIRECTED TO IMMEDIATELY REMOVE ALL CONTENTS FROM ITS WEBSITE AND DISPLAY ONLY CONTENT IN ITS WEBSITE THAT SEBI HAS PASSED VIDE ITS ORDER
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
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-MAR-2021
|
SEBI VIDE ITS ORDER DATED 29/12/2022 A) PROHIBITED FROM ACCESSING SECURITIES MARKET AND FURTHER RESTRAINED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN ANY MANNER WHATSOEVER, EITHER DIRECTLY OR ON BEHALF OF ANY CLIENTS THROUGH THEIR ACCOUNTS FOR FIVE YEARS FROM DATE OF THIS ORDER B) DIRECTED TO RESOLVE THE COMPLAINTS PENDING IN THE SCORES AND OTHERWISE, WITHIN 30 DAYS FROM DATE OF THIS ORDER B) DIRECTED TO RESOLVE THE COMPLAINTS PENDING IN THE SCORES AND OTHERWISE WITHIN 30 DAYS FROM DATE OF THIS ORDER C) DURING PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS SHALL REMAIN FROZEN D) NOT TO DIVERT ANY FUNDS COLLECTED FROM INVESTORS, KEPT IN BANK ACCOUNT(S) AND/OR IN THEIR CUSTODY AND DIRECTED NOT TO ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE OR ANY INTEREST OR INVESTMENT OR CHARGE ON SUCH ASSETS HELD IN NAME OF TRIFID, INCLUDING MONEY LYING IN BANK ACCOUNTS, TO CONTINUE EXCEPT FOR MAKING REFUNDS TO CLIENTS WITH PRIOR PERMISSION OF SEBI FOR PURPOSE OF RESOLUTION OF PENDING COMPLAINTS
SAT: SAT VIDE ITS ORDER DATED 01/05/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND GRANTED APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 05/07/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 07/12/2023 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 07/07/2026 PARTLY ALLOWED THE APPEAL AND SET ASIDE THE DIRECTIONS UNDER PFUTP REGULATIONS. NO COST
|
| 1031 |
|
|
TRINITY TRADELINK LTD.
(CIN:L11103MH1985PLC035826
PAN:AAFCS8117C)
|
|
|
|
VIKRANT KAYAN
DIN:00761044
PAN:AFJPK8437M
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS VIOLATING REGULATIONS 4(2)(F)(II)(1), (6), (7), 4(2)(F)(III)(1)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF TRINITY TRADELINK LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF TRINITY TRADELINK LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF TRINITY TRADELINK LTD. VIOLATING SECTION 21 OF SCRA, 1956
|
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-JUN-2022 TO 28-JUN-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.20,00,000
29-JUN-2022
|
SAT: SAT VIDE ITS ORDER DATED 07/11/2022 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE
|
| 1032 |
|
|
TRINITY TRADELINK LTD.
(CIN:L11103MH1985PLC035826
PAN:AAFCS8117C)
|
|
|
|
AKHTAR KHAN
PAN:ASPPK4388L
|
|
|
BHASKAR PAUL
PAN:AXTPP1047Q
|
|
|
GIRIJA BANERJEE
PAN:AJWPB1941Q
|
|
|
KASHI NATH ISHAR
PAN:AASPI2273F
|
|
|
VIKASH DUBEY
PAN:APCPD7488N
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS VIOLATING REGULATIONS 4(2)(F)(II)(1), (6), (7), 4(2)(F)(III)(1)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF TRINITY TRADELINK LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF TRINITY TRADELINK 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 TRINITY TRADELINK 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-JUN-2022 TO 28-DEC-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.6,00,000
29-JUN-2022
|
|
| 1033 |
|
|
TRUCKLINK VINMAY TRADING PVT.LTD.
(PAN:AAECT4670L)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ALPS MOTOR FINANCE 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 27-OCT-2020 TO 26-APR-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
27-OCT-2020
|
|
| 1034 |
|
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TULIP EXPOTRADE PVT.LTD.
(CIN:U51909PB2007PTC031001
PAN:AACCT6697B)
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIPS OF VERTEX SPINNING LTD. AND DMC INTERNATIONAL LTD.
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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-OCT-2019 TO 28-OCT-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
29-OCT-2019
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| 1035 |
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TWENTIETH CENTURY PLANTATION PVT.LTD.
(PAN:AAACT1328F)
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PREMA GOPALDAS JAJOO
PAN:AHZPJ8751B
DIN:02064870
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RITA SHARADCHANDRA JAJU
PAN:AADPJ4918K
DIN:02064853
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UMA MAHENDRA BAGARIA
PAN:AAJPB7782K
DIN:00686226
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OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
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PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 19-MAR-2021 TO 18-MAR-2023
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 19-MAR-2021 TO 18-MAR-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
19-MAR-2021
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| 1036 |
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TWINSTAR FINVEST PVT.LTD.
(PAN:AABCT1168Q)
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MITHLESH SURESH SHARMA
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SURESH JAIRAM SHARMA
PAN:ANFPS2503J
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF VERTEX SPINNING LTD.
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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-JAN-2021 TO 28-JAN-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
29-JAN-2021
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| 1037 |
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UMESH BALKRISHAN TIBREWALA (HUF)
(PAN:AABHU2719P)
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PLANTED FALSE AND MISLEADING INFORMATION THROUGH YOUTUBE VIDEOS AND ALSO RECOMMENDED TO BUY SHARES OF PRESSURE SENSITIVE SYSTEMS (INDIA) LTD. VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT. 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1), 4(2)(A), 4(2)(D), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
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DIRECTED TO DISGORGE RS.7,04,520
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
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-JAN-2025 TO 30-JAN-2026
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 31-JAN-2025 TO 30-JAN-2026
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
31-JAN-2025
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SEBI VIDE ITS NOTICE DATED 28/07/2025 DIRECTED TO PAY RS.7,47,791.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 04/08/2025 DIRECTED SEBI TO ALLOW DEBIT OF 3,65,944 CONVERTIBLE WARRANTS AND CREDIT OF EQUITY SHARES INTO APPELLANTS DEMAT ACCOUNT IN RESPECT OF OMEGA INTERACTIVE TECHNOLOGIES LTD.
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| 1038 |
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UNIVERSAL PRIME ALUMINIUM LTD.
(PAN:AAACU3632M)
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INDULGED IN CREATION OF FALSE OR MISLEADING APPEARANCE OF TRADING VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D), 4(1) AND 4(2)(D) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ECE INDUSTRIES LTD.
INDULGED IN CREATION OF FALSE OR MISLEADING APPEARANCE OF TRADING TO MAKE DELISTING OFFER SUCCESSFUL VIOLATING REGULATIONS 4(5)(A) TO 4(5)(C) OF SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 IN MATTER OF ECE INDUSTRIES LTD.
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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 28-MAY-2021 TO 27-MAY-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-MAY-2021
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| 1039 |
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V & R YARNS PVT.LTD.
(PAN:AADCV1473C)
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF AADHAAR VENTURES INDIA LTD.
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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 30-JUL-2020 TO 29-JAN-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-JUL-2020
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| 1040 |
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V.B.INDUSTRIES LTD.
(CIN:L51909WB1982PLC035222
PAN:AAACV9152B)
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JAGANNATH PANDIT
PAN:BEBPP5358E
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VIKASH KOTHARI
PAN:AQWPK3687R
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INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF VBIL AND SUBSIDIARIES VIOLATING SECTIONS 12A (A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1) AND 4(2)(F) & (R) OF SEBI (PFUTP) REGULATIONS, 2003
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF VBIL AND SUBSIDIARIES VIOLATING REGULATIONS 30(4)(II), 33(1)(D), 33(2)(A), 33(3)(A), 34(2)(C) AND 46(2)(I) OF SEBI (LODR) REGULATIONS, 2015 AND SECTION 21 OF SCRA, 1956
DID NOT FURNISH INFORMATION SOUGHT BY FORENSIC AUDITOR
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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 08-JUL-2021 TO 07-JUL-2022
08-JUL-2021
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SAT: SAT VIDE ITS ORDER DATED 13/01/2022 CONDONED OF DELAY IN FILING OF APPEAL AND DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 21/03/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 27/04/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 29/07/2022 CONDONED THE DELAY IN FILING OF APPEAL AND PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY TO 25% IMPOSED BY WTM
SAT: SAT VIDE ITS ORDER DATED 04/11/2022 CONDONED THE DELAY IN FILING OF REVIEW APPLICATION. DISMISSED REVIEW APPLICATION
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| Page 52 of 57
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