| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1121 |
|
RAJKUMAR C.BASANTANI
(PAN:AESPB2834F)
|
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SEBI TAKEOVER CODE, 1997
INDULGED IN INSIDER TRADING
|
PROSECUTION LAUNCHED
31-MAR-2011
|
|
| 1122 |
|
|
RAJNI GUPTA
(PAN:ACYPG5179Q)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PRAKASH WOOLLEN MILLS LTD.
|
IMPOSED PENALTY RS.1,00,000
30-JAN-2018
|
|
| 1123 |
|
|
RAJNI KOTHARI
(PAN:AEVPK0520N)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 1124 |
|
|
RAJNIKANT BANSILAL KANSARA
(PAN:AABPK8730E)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 1125 |
|
|
RAJUL PREMAL DOSHI
(PAN:AEBPD7131E)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ARUNJYOTI ENTERPRISES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ARUNJYOTI ENTERPRISES LTD.
|
IMPOSED PENALTY RS.4,00,000
25-JUL-2014
|
|
| 1126 |
|
|
RAJWANTI GUPTA
(PAN:ACGPG2270C)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 1127 |
|
|
RAKESH AGARWAL
|
|
|
DEALT IN SECURITIES VIOLATING REGULATION 11 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.4,90,000 BY THE ACCUSED TO SEBI
|
| 1128 |
|
|
RAKESH AGARWAL
|
|
|
|
ABS INDUSTRIES LTD.
|
|
INSIDER TRADING PRIOR TO ANNOUNCEMENT OF TAKEOVER OF ABS INDUSTRIES LTD. BY BAYER INDUSTRIES
|
DIRECTED TO DEPOSIT MONEY WITH INVESTOR PROTECTION FUND TO COMPENSATE INVESTORS
LAUNCHED CRIMINAL PROSECUTION
19-JUN-2001
REACHED SETTLEMENT (LEGAL EXPENSES RS.5,10,000 VIDE CONSENT ORDER)
23-JAN-2008
|
SAT: PART OF ORDER SET ASIDE AND APPEAL ALLOWED
APPLICANT AGREED TO PAY A SUM OF RS.48,00,000.00 AS PER CONSENT ORDER DATED 23/01/2008 UNDER CIVIL APPEAL NO.2 OF 2004 IN SUPREME COURT (RS.34,00,000 ALREADY PAID TOWARDS INVESTOR PROTECTION FUND AND RS.4,00,000 TOWARDS AO PENALTY SHALL BE FORFEITED), RS.4,00,000 TOWARDS COMPOUNDING CHARGES AND RS.6,00,000 TOWARDS LEGAL EXPENSES (RS.90,000 CRIMINAL COMPLAINT AND RS.5,10,000 TOWARDS CIVIL MATTERS).MATTER ACCORDINGLY DISPOSED OFF
|
| 1129 |
|
|
RAKESH BHATIA
(PAN:AHYPB7406Q)
|
|
|
DELAY IN MAKING DISCLOSURE OF PRICE SENSITIVE INFORMATION I.E. DECISION TO CANCEL PROPOSED MERGER TO STOCK EXCHANGES VIOLATING REGULATION 12(2) READ WITH CLAUSE 2.1 AND 7(II) OF SCHEDULE II OF CODE OF CORPORATE DISCLOSURE PRACTICES FOR PREVENTION OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF BGIL FILMS & TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.3,00,000
28-SEP-2018
|
SEBI VIDE ITS NOTICE DATED 09/09/2019 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 07/11/2019 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS,DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF DEFAULTERS WHICH WERE ATTACHED PURSUANT TO NOTICE OF ATTACHMENT DATED 09/09/2019
|
| 1130 |
|
|
RAKESH JHUNJHUNWALA
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES VIOLATING REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GEOMETRIC LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,48,872 VIDE CONSENT ORDER)
30-NOV-2018
|
|
| 1131 |
|
|
RAKESHCHAND M.JAIN
(PAN:AAEPJ5606P)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF SRK INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
26-AUG-2020
|
|
| 1132 |
|
|
RAMA MITTAL
|
|
|
|
SAMTEX FASHIONS LTD.
PAN:AABCS3233M
|
|
ACTED IN CONCERT WITH SUB-BROKERS TO CREATE ARTIFICIAL MARKET IN SCRIP OF SAMTEX FASHIONS LTD. AND OFF-LOADED THEIR SHARES TO MAKE UNJUST ENRICHMENT
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS 1992
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-MAR-2006 TILL FURTHER ORDERS
21-MAR-2006
|
NO NEED TO CONTINUE INTERIM ORDER DATED 21/03/2006
|
| 1133 |
|
|
RAMABEN JAYASUKHLAL PAREKH
(PAN:ACDPP2412N)
|
|
|
TRADED ON THE BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(I), 3(II) AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SHELTER INFRA PROJECTS LTD.
|
IMPOSED PENALTY RS.2,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
07-MAR-2014
|
|
| 1134 |
|
|
RAMAKANT GUPTA
(PAN:ADBPG5766B)
|
|
|
|
JINDAL STEEL & POWER LTD.
|
|
TRADED WHILE TRADING WINDOW WAS CLOSED WITHOUT OBTAINING PRE-CLEARANCE OF TRADE VIOLATING CLAUSES 4 AND 6 OF CODE OF CONDUCT UNDER SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF JINDAL STEEL & POWER LTD.
|
IMPOSED PENALTY RS.1,00,000
09-SEP-2026
|
|
| 1135 |
|
|
RAMAKANT MANGALCHAND GAGGAR
(PAN:ABKPG9952C)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF GARNET INTERNATIONAL LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) AND 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF GARNET INTERNATIONAL LTD.
ENTERED INTO OPPOSITE TRANSACTIONS DURING NEXT SIX MONTHS FOLLOWING PRIOR TRANSACTIONS VIOLATING CODE OF CONDUCT AS PRESECRIBED UNDER CLAUSE 4.2 OF SCHEDULE I OF REGULATION 12(1) OF SEBI (PIT) REGULATIONS, 1992 AND CLAUSE 10 OF SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF GARNET INTERNATIONAL LTD.
DID NOT MAKE DISCLOSURES REGARDING RELEASE OF PLEDGE OF SHARES TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF GARNET INTERNATIONAL LTD.
|
IMPOSED PENALTY RS.2,00,000
13-OCT-2021
|
|
| 1136 |
|
|
RAMAMURTHY SRINIVASAN
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRADING IN SCRIP OF HITECH DRILLING SERVICES LTD. BY USING UNPUBLISHED PRICE SENSITIVE INFORMATION RELATING TO TAKEOVER OF ABAN LOYD CHILES OFFSHORE LTD.AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 07-SEP-2009 TO 06-SEP-2011
02-SEP-2009
|
|
| 1137 |
|
|
RAMANA BHARATI
(PAN:AQXPR3490G)
|
|
|
ENTERED INTO OFF-MARKET TRANSACTION BUT THE PAYMENTS MADE WERE NOT AS PER SECTIONS 2(I) READ WITH SECTION 13 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF TAAZA INTERNATIONAL LTD. (FORMERLY KNOWN AS ARUNJYOTI ENTERPRISE LTD.)
|
IMPOSED PENALTY RS.50,000
09-NOV-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 30/08/2019 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
|
| 1138 |
|
|
RAMANA BHARATI
(PAN:AQXPR3490G)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ARUNJYOTI ENTERPRISES LTD.
|
IMPOSED PENALTY RS.5,00,000
28-MAR-2014
|
SAT: APPEAL DISMISSED. NO COSTS
SEBI VIDE ITS NOTICE DATED 23/10/2017 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 18/06/2018 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 23/10/2017
|
| 1139 |
|
|
RAMANA BOINA SHANKAR
(PAN:APIPR2889D)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ARUNJYOTI ENTERPRISES LTD.
|
IMPOSED PENALTY RS.5,00,000
28-MAR-2014
|
SAT: APPEAL DISMISSED. NO COSTS
SEBI VIDE ITS NOTICE DATED 23/10/2017 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 11/04/2018 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 23/01/2018
|
| 1140 |
|
|
RAMANA BOINA SHANKAR
(PAN:APIPR2889D)
|
|
|
ENTERED INTO OFF-MARKET TRANSACTION BUT THE PAYMENTS MADE WERE NOT AS PER SECTIONS 2(I) READ WITH SECTION 13 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF TAAZA INTERNATIONAL LTD. (FORMERLY KNOWN AS ARUNJYOTI ENTERPRISE LTD.)
|
IMPOSED PENALTY RS.50,000
09-NOV-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 57 of 82
|
