| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1101 |
|
TULIP ADVISORS PVT.LTD.
(PAN:AADCT0485A)
|
|
|
MISREPORTED FINANCIALS OF RELIANCE HOME FINANCE LTD. AND ITS BOOKS OF ACCOUNTS FOR FY. 2018-19 VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATION 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RELIANCE HOME FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-AUG-2024 TO 21-AUG-2029
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-AUG-2024 TO 21-AUG-2029
IMPOSED PENALTY RS.25,00,00,000
22-AUG-2024
|
|
| 1102 |
|
|
TWINKLE MERCANTILE & CREDITS PVT.LTD.
(PAN:AAACT3839P)
|
|
|
|
SURENDRA KUMAR JAIN
PAN:AAHPJ8940K
|
|
|
VIRENDRA JAIN
PAN:AAGPJ3319P
|
|
INDULGED IN MANIPULATION OF BOOKS OF ACCOUNTS AND FINANCIAL STATEMENTS
VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D),4(1), 4(2)(A) AND 4(2)(F) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DHENU BUILDCON INFRA LTD.
|
RESTRAINED FROM DISPOSING OFF SHARES OF DHENU BUILDCON INFRA LTD. DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 19-AUG-2026 UNTIL FURTHER ORDERS
19-AUG-2026
|
|
| 1103 |
|
|
UMESH BALKRISHAN TIBREWALA (HUF)
(PAN:AABHU2719P)
|
|
|
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
|
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
|
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.
|
| 1104 |
|
|
UMESH BALKRISHAN TIBREWALA (HUF)
(PAN:AABHU2719P)
|
|
|
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
|
IMPOSED PENALTY RS.5,00,000
31-JAN-2025
|
SAT: SAT VIDE ITS ORDER DATED 09/05/2025 GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 19/06/2025 STAYED RECOVERY PROCEEDINGS SUBJECT TO DEPOSIT OF 50% OF PENALTY AMOUNT WITHIN SIX WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 19/06/2025 STAYED RECOVERY PROCEEDINGS SUBJECT TO DEPOSIT OF 50% OF PENALTY AMOUNT WITHIN SIX WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 28/07/2025 DIRECTED TO PAY RS.5,31,000.00 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.
|
| 1105 |
|
|
UNICKON FINCAP PVT.LTD.
(CIN:U74899DL1994PTC061342
PAN:AAACU8424F)
|
|
|
DEALT IN SECURITIES IN FRAUDULENT & UNFAIR MANNER AND DEFRAUDED INVESTORS IN SECURITIES VIOLATING SECTIONS 12A(B) AND 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A), 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
|
IMPOSED PENALTY RS.15,00,000
30-AUG-2022
|
|
| 1106 |
|
|
UNISYS SOFTWARES & HOLDING INDUSTRIES LTD.
(CIN:L51909WB1992PLC056742
PAN:AABCC1191Q)
|
|
|
FACILITATED FUNDING THROUGH ITS RELATED/CONNECTED ENTITIES TO PREFERENTIAL ALLOTMENT BY PREFERENTIAL ALLOTTEES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF JMD TELEFILMS INDUSTRIES LTD. (NOW JMD VENTURES LTD.)
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/ CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF JMD TELEFILMS INDUSTRIES LTD. (NOW JMD VENTURES LTD.)
|
IMPOSED PENALTY RS.8,00,000
28-OCT-2022
|
SAT: SAT VIDE ITS ORDER DATED 31/01/2023 2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 29/03/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 1107 |
|
|
UNITED ENTERPRISES
(PAN:AKVPD3098G)
|
|
|
|
JIGAR RAMESHBHAI DAWADA
PAN:AKVPD3098G
|
|
AIDED AND ABETTED WITH ASMITA PATEL GLOBAL SCHOOL OF TRADING PVT.LTD. VIOLATING CLAUSES (A) TO (C) OF SECTION 12A OF SEBI ACT, 1992 READ WITH SUB-REGULATIONS (A) TO (D) OF REGULATION 3, SUB-REGULATION (1) OF REGULATION 4, CLAUSES (K), (O) AND (S) OF SUB-REGULATION 2 OF REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ASMITA PATEL GLOBAL SCHOOL OF TRADING PVT.LTD.
|
DIRECTED TO DISGORGE RS.53,67,46,384 ALONG WITH OTHER ENTITIES/PERSONS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-FEB-2025 TILL FURTHER ORDERS
DIRECTED TO OPEN FIXED DEPOSIT ACCOUNTS EITHER IN ANY NOTICEE’S NAME OR JOINTLY/SEVERALLY WITH LIEN MARK IN FAVOUR OF SEBI AND MONIES KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
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 NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
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 COLLECT ANY MONEY AND/OR FEE FROM THE INVESTORS FROM 06-FEB-2025 TILL FURTHER ORDERS
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 06-FEB-2025 TILL FURTHER ORDERS
06-FEB-2025
|
|
| 1108 |
|
|
UNITED PHOSPHOROUS LTD.
(PAN:AABCS1698G)
|
|
|
|
JAIDEV RAJNIKANT SHROFF
PAN:AALPS9283N
|
|
ALLEGED INDULGENCE IN ROUTING FUNDS TO INDIAN SECURITIES MARKET USING OVERSEAS BANK ACCOUNTS WITH UBS AG BANK AND MISREPRESENTED MATERIAL FACT WITH RESPECT TO SHAREHOLDING IN ANNUAL REPORTS VIOLATING REGULATION 4(2)(F) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED USING SEBI REGISTERED FII – MATTERHORN ADVISORY SINGAPORE PTE LTD. SUB-ACCOUNT MATTERHORN VENTURES TO INDIRECTLY TRADE IN ITS OWN SCRIPS LISTED IN INDIA
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.55,44,000 VIDE CONSENT ORDER)
30-OCT-2024
|
|
| 1109 |
|
|
UNIVERSAL CREDIT & SECURITIES LTD.
(PAN:AAACU2627G)
|
|
|
MISUSED NAMES OF CHARTERED ACCOUNTANTS AS STATUTORY AUDITORS IN FINANCIAL STATEMENTS AND FILED FRAUDULENT AUDIT REPORTS AND DID NOT SUBMIT TRUE AND FAIR AUDITED FINANCIAL STATEMENTS TO STOCK EXCHANGES VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(D), 4(2)(F) AND 4(2)(K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ACIL COTTON INDUSTRIES LTD., UNIVERSAL CREDIT & SECURITIES LTD., MINDVISION CAPITAL LTD. AND RFL INTERNATIONAL LTD.
MISUSED NAMES OF CHARTERED ACCOUNTANTS AS STATUTORY AUDITORS IN FINANCIAL STATEMENTS AND FILED FRAUDULENT AUDIT REPORTS AND DID NOT SUBMIT TRUE AND FAIR AUDITED FINANCIAL STATEMENTS TO STOCK EXCHANGES VIOLATING REGULATION 4(1)(B), (C), (G), (J), 33(1)(D), 33(3)(D), (E), 34(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ACIL COTTON INDUSTRIES LTD., UNIVERSAL CREDIT & SECURITIES LTD., MINDVISION CAPITAL LTD. AND RFL INTERNATIONAL LTD.
MISUSED NAMES OF CHARTERED ACCOUNTANTS AS STATUTORY AUDITORS IN FINANCIAL STATEMENTS AND FILED FRAUDULENT AUDIT REPORTS AND DID NOT SUBMIT TRUE AND FAIR AUDITED FINANCIAL STATEMENTS TO STOCK EXCHANGES VIOLATING CLAUSE 41(I)(D)(IV), AND (V) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF ACIL COTTON INDUSTRIES LTD., UNIVERSAL CREDIT & SECURITIES LTD., MINDVISION CAPITAL LTD. AND RFL INTERNATIONAL LTD.
|
IMPOSED PENALTY RS.11,00,000
21-OCT-2022
|
SEBI VIDE ITS NOTICE DATED 26/10/2023 DIRECTED TO PAY RS.12,44,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 11/12/2023 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
|
| 1110 |
|
|
UNIVERSAL PRIME ALUMINIUM LTD.
(PAN:AAACU3632M)
|
|
|
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.
|
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
|
|
| 1111 |
|
|
URJA GLOBAL LTD.
(PAN:AAACC0367M)
|
|
|
|
ADITYA VENKETESH
PAN:AGHPV8923A
|
|
|
DHEERAJ SISODIA
PAN:BCTPS9910B
|
|
|
HONEY GUPTA
PAN:ALLPG7605D
|
|
|
MITA SINHA
PAN:AGOPS8899K
|
|
|
MOHAN JAGDISH AGARWAL
PAN:AGMPA0728K
|
|
|
PAYAL SHARMA
PAN:ANUPS3895G
|
|
|
RAJIV GUPTA
PAN:AEQPG3549A
|
|
|
SUNIL KUMAR MITTAL
PAN:AXSPM4529P
|
|
|
YOGESH KUMAR GOYAL
PAN:ASXPG1218M
|
|
MADE INCOMPLETE DISCLOSURE WITH RESPECT TO ENTERING INTO MOU/JOINT VENTURE AGREEMENTS WITH OTHER ENTITIES AND LACKED NECESSARY DETAILS VIOLATING REGULATION 30(2) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULAR DATED 09/09/2015
DID NOT ADHERE TO OBJECT CLAUSE WHILE ENTERING IMPUGNED AGREEMENTS VIOLATING REGULATION 4(1)(G) OF SEBI (LODR) REGULATIONS, 2015
DID NOT ADHERE TO DIRECTIONS OF SEBI ORDER DATED 13/05/2022 VIOLATING REGULATION 5 OF SEBI (LODR) REGULATIONS, 2015
DID NOT GIVE MATERIAL UPDATES TO MEMORANDUM OF UNDERSTANDING (MOUS) AND STOCK EXCHANGES TILL THEIR CONCLUSION VIOLATING REGULATION 30(7) READ WITH SCHEDULE V PARA 2 OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE OF INFORMATION IN ANNUAL REPORT VIOLATION REGULATION 34 READ WITH SCHEDULE V PARA 2 OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE OF COMPLETE AND ACCURATE INFORMATION TO SHAREHOLDERS VIOLATION REGULATION 34(3) READ WITH SCHEDULE V OF SEBI (LODR) REGULATIONS, 2015
DISSEMINATED FALSE AND MISLEADING INFORMATION IN ANNOUNCEMENT VIOLATING REGULATIONS 4(1)(C), 4(1)(D), 4(1)(E), 4(1)(G), 4(1)(H), 4(1)(I) AND 4(1)(J) OF SEBI (LODR) REGULATIONS, 2015
DID NOT PLACE MINIMUM INFORMATION BEFORE BOARD OF DIRECTORS VIOLATING REGULATION 17(7) READ WITH SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF URJA GLOBAL LTD.
DISCLOSED FALSE INFORMATION VIOLATING REGULATIONS 3(D), 4(1), 4(2)(K) AND 4(2)(R) READ WITH REGULATIONS 2(1)(B) AND 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF URJA GLOBAL LTD.
|
IMPOSED PENALTY RS.40,00,000
29-JAN-2025
|
SAT: SAT VIDE ITS ORDER DATED 05/05/2025 GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN TWO WEEKS THEREAFTER. STAYED RECOVERY SUBJECT TO DEPOSIT OF 50% OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 1112 |
|
|
UTSAV SECURITIES PVT.LTD.
(PAN:AAACU1214B)
|
|
|
|
SURENDRA KUMAR JAIN
PAN:AAHPJ8940K
|
|
|
VIRENDRA JAIN
PAN:AAGPJ3319P
|
|
INDULGED IN MANIPULATION OF BOOKS OF ACCOUNTS AND FINANCIAL STATEMENTS
VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D),4(1), 4(2)(A) AND 4(2)(F) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DHENU BUILDCON INFRA LTD.
|
RESTRAINED FROM DISPOSING OFF SHARES OF DHENU BUILDCON INFRA LTD. DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 19-AUG-2026 UNTIL FURTHER ORDERS
19-AUG-2026
|
|
| 1113 |
|
|
V.B.INDUSTRIES LTD.
(CIN:L51909WB1982PLC035222
PAN:AAACV9152B)
|
|
|
|
JAGANNATH PANDIT
PAN:BEBPP5358E
|
|
|
VIKASH KOTHARI
PAN:AQWPK3687R
|
|
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
|
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
|
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
|
| 1114 |
|
|
V.B.INDUSTRIES LTD.
(CIN:L51909WB1982PLC035222
PAN:AAACV9152B)
|
|
|
|
JAGANNATH PANDIT
PAN:BEBPP5358E
|
|
|
RAJ KUMAR SHARMA
PAN:BMIPS9482B
|
|
|
SANDIP RAY
PAN:ANQPR2065K
|
|
|
VIKASH KOTHARI
PAN:AQWPK3687R
|
|
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
|
IMPOSED PENALTY RS.40,00,000
08-JUL-2021
|
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
SEBI VIDE ITS ORDER DATED 22/11/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4342 OF 2021 DATED 07/12/2021
|
| 1115 |
|
|
VAIBHAV ENTERPRISE
(PAN:AAAPV3819J)
(Along with : ANUKARAN COMMERCIAL ENTERPRISES LTD.,
PARESH VORA (HUF),
JITEN VORA (HUF),
RAJDEEP ENTERPRISE,
RAJ RADHIKA PROPERTY LTD.)
|
|
|
|
ARPITA VORA
PAN:AAEPV7626D
|
|
|
FAIYAZ RANGWALA
PAN:AADPR8710M
|
|
|
JITEN VORA
PAN:AAAPV3821G
|
|
|
KANKUBEN VORA
PAN:AAFPV0269D
|
|
|
KUSHAL P.SHAH
PAN:AXPPS9103G
|
|
|
MANOJ SHAH
PAN:AGUPS7516D
|
|
|
PARAS MEHTA
PAN:AAEPM1638C
|
|
|
PARESH VORA
PAN:AAAPV3819J
|
|
|
VARSHA VORA
PAN:AAEPB7941H
|
|
EXECUTED ELABORATELY ROUTED TRANSACTIONS FOR THE PURPOSE OF FUNDING ITS OWN PREFERENTIAL ALLOTMENT VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ANUKARAN COMMERCIAL ENTERPRISE LTD.
|
IMPOSED PENALTY RS.30,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-JUL-2022
|
SAT: SAT VIDE ITS ORDER DATED 12/10/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER AND DIRECTED APPELLANTS TO DEPOSIT A SUM OF RS.20 LAC WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 22/12/2022 CONDONED THE DELAY IN FILING OF APPEAL AND DIRECTED REJOINDER TO BE FILED WITHIN THREE WEEKS
SAT: SAT VIDE ITS ORDER DATED 13/02/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 15/10/2025 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS NOTICE DATED 07/01/2026 DIRECTED TO PAY RS.2,87,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 20/01/2026 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.9000 OF 2026 DATED 07/01/2026
|
| 1116 |
|
|
VARANIUM CLOUD LTD.
(PAN:AAZCS6264J)
|
|
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FAHIM IUNUS SHAIKH
PAN:BLRPS5717H
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MUKUNDAN RAGHAVAN
PAN:AAAPR9571K
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VINAYAK VASANT JADHAV
PAN:AMQPJ0393P
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MISREPRESENTED FINANCIAL STATEMENTS IN PROSPECTUS AND SHOWED FICTITIOUS SALES AND PURCHASES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF VARANIUM CLOUD LTD.
MISREPRESENTED FINANCIAL STATEMENTS IN PROSPECTUS AND SHOWED FICTITIOUS SALES AND PURCHASES VIOLATING REGULATION 24(1) OF SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF VARANIUM CLOUD LTD.
MISREPRESENTED FINANCIAL STATEMENTS IN PROSPECTUS AND SHOWED FICTITIOUS SALES AND PURCHASES VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E),4(1)(G) AND 4(1)(J) AND 33(1)(A), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH IND AS-1 IN MATTER OF VARANIUM CLOUD LTD.
FILED INCORRECT STATEMENT OF DEVIATION PERTAINING TO UTILIZATION OF IPO PROCEEDS VIOLATING REGULATIONS 32(1), (4) AND (5) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF VARANIUM CLOUD LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-AUG-2026 TO 24-AUG-2033
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-AUG-2026 TO 24-AUG-2033
25-AUG-2026
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| 1117 |
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VARANIUM CLOUD LTD.
(PAN:AAZCS6264J)
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HARSHAWARDHAN HANMANT SABALE
PAN:BMMPS9407G
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MISREPRESENTED FINANCIAL STATEMENTS IN PROSPECTUS AND SHOWED FICTITIOUS SALES AND PURCHASES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF VARANIUM CLOUD LTD.
MIS-UTILIZED IPO AND RIGHTS ISSUE PROCEEDS AND DIVERTED FUNDS TO PROMOTER GROUP ENTITIES VIOLATING REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF VARANIUM CLOUD LTD.
PROVIDED MISLEADING INFORMATION TO INVESTORS AND STOCK EXCHANGES REGARDING BUSINESS ACQUISITIONS VIOLATING REGULATIONS 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF VARANIUM CLOUD LTD.
MISREPRESENTED FINANCIAL STATEMENTS IN PROSPECTUS AND SHOWED FICTITIOUS SALES AND PURCHASES VIOLATING REGULATION 24(1) OF SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF VARANIUM CLOUD LTD.
DISCLOSED MISLEADING QUOTATION UNDER OBJECTS OF THE ISSUE AND DID NOT MAKE DISCLOSURE OF LITIGATION IN THE PROSPECTUS AND LETTER OF OFFER VIOLATING REGULATION 24(1) OF SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF VARANIUM CLOUD LTD.
MISREPRESENTED FINANCIAL STATEMENTS IN PROSPECTUS AND SHOWED FICTITIOUS SALES AND PURCHASES VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E),4(1)(G) AND 4(1)(J) AND 33(1)(A), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH IND AS-1 IN MATTER OF VARANIUM CLOUD LTD.
FILED INCORRECT STATEMENT OF DEVIATION PERTAINING TO UTILIZATION OF IPO PROCEEDS VIOLATING REGULATIONS 32(1), (4) AND (5) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF VARANIUM CLOUD LTD.
PROVIDED MISLEADING INFORMATION TO INVESTORS AND STOCK EXCHANGES REGARDING BUSINESS ACQUISITIONS VIOLATING REGULATIONS 4(1)(C) AND 4(1)(E) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF VARANIUM CLOUD LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-AUG-2026 TO 24-AUG-2033
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-AUG-2026 TO 24-AUG-2033
10-MAY-2024
IMPOSED PENALTY RS.1,30,00,000
DIRECTED TO BRING BACK RS.62.51 CRORE DIVERTED ALONG WITH INTEREST @12% TO BE COMPUTED FROM RESPECTIVE DATE OF EACH OF THE DEBIT TRANSACTIONS RECORDED IN VCL’S ACCOUNT
25-AUG-2026
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SEBI VIDE ITS ORDER DATED 21/10/2024 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 10/05/2024
SEBI VIDE ITS ORDER DATED 25/08/2026 DIRECTED TO A) BRING BACK RS.62.51 CRORE, DIVERTED ALONG WITH INTEREST @ 12% FROM RESPECTIVE DATE OF EACH OF DEBIT TRANSACTIONS RECORDED IN VARANIUM CLOUD LTD. ACCOUNTS B) DEBARRED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING AND OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR SEVEN YEARS FROM DATE OF THIS ORDER C) IMPOSED PENALTY OF RS.10 LAC U/S 15A(B), RS.1 CRORE U/S 15HA AND RS.20 LAC U/S 15HB OF SEBI ACT.
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| 1118 |
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VARYAA CREATIONS LTD.
(PAN:AACCK6166A)
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TRANSFERRED FUNDS TO THIRD PARTIES IN GUISE OF ISSUE RELATED EXPENSES ON INSTRUCTION OF LEAD MANAGER, MUCH HIGHER THAN ISSUE RELATED EXPENSES DISCLOSED IN PROSPECTUS VIOLATING REGULATION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF VARYAA CREATIONS LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-MAY-2025 UNTIL FURTHER ORDERS
14-MAY-2025
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SEBI VIDE ITS ORDER DATED 29/12/2025 VACATED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 14/05/2025
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| 1119 |
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VCG & CO.
(PAN:AAHFV3312P)
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VISHAL CHANDRA GUPTA
PAN:ADPPG6902K
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AIDED AND ABETTED TARINI INTERNATIONAL LTD. IN DISSEMINATING FALSE INFORMATION BY CERTIFYING UNQUALIFIED UTILIZATION CERTIFICATE VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1), 4 (2) (F), (K) & (R) OF SEBI (PFUTP) REGULATIONS, 2003
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IMPOSED PENALTY RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS
20-FEB-2020
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SAT: SAT VIDE ITS ORDER DATED 15/12/2020 CONDONED THE DELAY OF 226 DAYS IN FILING OF APPEAL. ALLOWED RESPONDENT FILE REPLY ON DELAY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER ONE WEEK THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 19/05/2021 ALLOWED APPELLANT TO THREE WEEKS FURTHER TIME TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 10/03/2022 DIRECTED TO PAY RS.18,69,877.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 30/03/2022 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 20/05/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF VCG & CO. & MR.VISHAL CHANDRA GUPTA TO SEBI BY WAY OF EFT/NEFT/RTGS
SAT: SAT VIDE ITS ORDER DATED 10/06/2022 PARTLY ALLOWED THE MISC.APPLICATION
SAT: SAT VIDE ITS ORDER DATED 12/10/2022 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 20/02/2020
SEBI VIDE ITS NOTICE DATED 19/10/2022 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 30/03/2022
SEBI VIDE ITS ORDER DATED 19/10/2022 CANCELLED RECOVERY CERTIFICATE AS PER SAT ORDER DATED 12/10/2022
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| 1120 |
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VED PRAKASH (HUF)
(PAN:AAMHV6845A)
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INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF LIFE INSURANCE CORP.OF INDIA
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DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-APR-2023 UNTIL FURTHER ORDERS
CEASED AND DESIST FROM DIRECTLY OR INDIRECTLY, ENGAGED IN FRAUDULENT, MANIPULATIVE OR UNFAIR TRADE PRACTICE INCLUDING FRONT RUNNING ACTIVITIES FROM 27-APR-2023 UNTIL FURTHER ORDERS
DIRECTED TO DEPOSIT WRONGFUL GAINS IN ESCROW ACCOUNT
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 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 BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 27-APR-2023 UNTIL FURTHER ORDERS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
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
27-APR-2023
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SEBI VIDE ITS ORDER DATED 19/03/2024 DIRECTED TO DEPOSIT THE PROCEEDS IN ESCROW ACCOUNT IMMEDIATELY. DIRECTIONS AT PARAGRAPH 39.6 OF INTERIM ORDER DATED 27/04/2023 ISSUED TO THE BANKS AND DEPOSITORIES TO CONTINUE AGAINST THE NOTICEES TILL RECEIPT OF ANY OTHER COMMUNICATION FROM SEBI
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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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| Page 56 of 61
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