| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 11541 |
|
YOGESHWARI GUPTA
(PAN:AETPG3131M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF BGIL FILMS & TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-NOV-2018
|
SEBI VIDE ITS NOTICE DATED 17/05/2019 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
SAT: SAT VIDE ITS ORDER DATED 25/02/2021 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
|
| 11542 |
|
|
YOGINI PATEL
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF OASIS MEDIA MATRIX LTD.
|
IMPOSED PENALTY RS.1,00,000
28-JAN-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 11543 |
|
|
YOGINI PATEL
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF OASIS MEDIA MATRIX LTD.
|
IMPOSED PENALTY RS.1,00,000
29-DEC-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 11544 |
|
|
YOGINI VYAS
(PAN:ACQPV5440H)
|
|
|
|
SOMPLAST LEATHER INDUSTRIES LTD.
PAN:AADCS0254L
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
ISSUED EQUITY SHARES IN EXCESS ON PREFERENTIAL BASIS WITHOUT TAKING IN-PRINCIPLE APPROVAL OF STOCK EXCHANGE
|
IMPOSED PENALTY RS.2,00,000
30-SEP-2005
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 11545 |
|
|
YOGRAJ SINGH BHAU
|
|
|
|
SHEEN AGRO & PLANTATION LTD.
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-JUN-2020
|
SEBI VIDE ITS NOTICE DATED 07/04/2021 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 18/05/2021 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 11546 |
|
|
YOSHITA GUPTA
(PAN:AKFPG0084K)
|
|
|
INDULGED IN FRAUDULENT PREFERENTIAL ALLOTMENT OF EQUITY SHARES VIOLATING SECTION 12A(A) TO (C) READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ACTION FINANCIAL SERVICES (INDIA) LTD.
|
IMPOSED PENALTY RS.5,00,000
21-AUG-2019
|
SAT: SAT VIDE ITS ORDER DATED 17/05/2021 REJECTED THE APPLICATION
|
| 11547 |
|
|
YP BHANSALI
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
|
IMPOSED PENALTY RS.2,10,000 ALONG WITH OTHER ENTITIES/PERSONS
29-MAY-2009
|
INCLUDED IN SEBI LIST DATED 30/06/2010, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 11548 |
|
|
YUDHBIR CHHIBBAR
(PAN:ACIPC6889M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.8,70,000
22-MAR-2019
|
|
| 11549 |
|
|
YUDHISHTHIR DILIP KHATAU
(DIN:00103650
PAN:AAHPK2447A)
|
|
|
ALLOTTED EQUITY SHARES TO PROMOTERS OF VARUN GLOBAL LTD. AND VARUN RESOURCES LTD. WHICH WERE NOT COVERED UNDER THE SCHEME OF ARRANGEMENT APPROVED BY BOMBAY HIGH COURT VIOLATING PARAGRAPH NO.1(D) OF PART A IN ANNEXURE TO SEBI CIRCULAR DATED 03/09/2009
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
11-APR-2022
|
SEBI VIDE ITS NOTICE DATED 05/03/2024 DIRECTED TO PAY RS.10,41,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 27/03/2024 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
|
| 11550 |
|
|
YUGESH SUMATICHANDRA MEHTA
(PAN:AFFPM5967A)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAFARI INDUSTRIES (INDIA) LTD.
|
IMPOSED PENALTY RS.2,00,000
29-JAN-2014
|
SAT: SAT VIDE ITS ORDER DATED 01/10/2014 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 29/01/2014 AND DIRECTED SEBI TO PASS FRESH ORDER ON MERITS WITHIN FOUR MONTHS FROM THE DATE OF THIS ORDER. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 29/01/2015 GRANTED EXTENSION OF TWO MONTHS TO SEBI FOR PASSING FINAL ORDER
|
| 11551 |
|
|
YUNUS A.KATHAWALA
(PAN:AACPK0479R)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNION QUALITY PLASTICS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNION QUALITY PLASTICS LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNION QUALITY PLASTICS LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(5) AND 10(6) OF SAST REGULATIONS, 2011 IN MATTER OF UNION QUALITY PLASTICS LTD.
DELAY IN MAKING 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 UNION QUALITY PLASTICS LTD.
|
IMPOSED PENALTY RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-AUG-2021
|
|
| 11552 |
|
|
YUSUFBHAI MOHMADBHAI KATARIYA
(PAN:AXTPK6561A)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
22-AUG-2023
|
SEBI VIDE ITS NOTICE DATED 11/12/2024 DIRECTED TO PAY RS.5,86,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 26/12/2024 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
|
| 11553 |
|
|
YUSUFBHAI UMARBHAI KOTHAWALA
(Along with : MOHAMMED ALIBHAI KOTHAWALA,
AMENA MAKSUD KOTHAWALA,
FATEMA MUKHTAR KOTHAWALA,
MAKSUD YUSUFBHAI KOTHAWALA,
MARIAM YUSUF KOTHAWALA,
MUKHTAR YUSUFBHAI KOTHAWALA)
|
|
|
|
PARSOLI CORP.LTD.
PAN:AABCP9030F
|
|
INDULGED IN OFF-MARKET TRANSFER OF SHARES OF PARSOLI CORP.LTD.
|
IMPOSED PENALTY RS.70,00,000 ALONG WITH OTHER ENTITIES/PERSONS
05-MAY-2010
|
SEBI VIDE ITS NOTICE DATED 16/12/2013 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 11554 |
|
|
YUVRAJ SHRIRAM MALAKAR
(DIN:07113606
PAN:AKYPY9430C)
|
|
|
|
VINAYAK HOMES & REAL ESTATE LTD.
CIN:U70101MP2010PLC024267
PAN:AADCV4004B
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
IMPOSED PENALTY RS.60,00,000 ALONG WITH OTHER ENTITIES/PERSONS
08-DEC-2020
|
SEBI VIDE ITS ORDER DATED 19/06/2023 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 30/11/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.82,21,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 11555 |
|
|
ZAFAR ABDUL GAFFAR SHAIKH
(PAN:APDPS0686Q)
|
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
IMPOSED PENALTY RS.2,50,000
27-NOV-2017
|
|
| 11556 |
|
|
ZAFAR YUNUS SARESHWALA
(DIN:00123536
PAN:ANYPS8494D)
(Along with : UVES MOHAMMED YUNUS SARESHWALA,
TALHA YUNUS SARESHWALA,
SALEHA MOHAMMED YUNUS SARESHWALA)
|
|
|
|
PARSOLI CORP.LTD.
|
|
INDULGED IN OFF-MARKET TRANSFER OF SHARES OF PARSOLI CORP.LTD.
|
IMPOSED PENALTY RS.3,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
05-MAY-2010
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
SAT: APPEAL DISMISSED
|
| 11557 |
|
|
ZAFAR YUNUS SARESHWALA
(DIN:00123536
PAN:ANYPS8494D)
(Along with : UVES MOHAMMED YUNUS SARESHWALA)
|
|
|
|
PARSOLI CORP.LTD.
|
|
INDULGED IN FRAUDULENTLY TRANSFER OF SHARES OF GENUINE SHAREHOLDERS TO PROMOTER GROUP ENTITITES IN MATTER OF PARSOLI CORP.LTD.
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
05-MAY-2010
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
SAT: APPEAL DISMISSED
|
| 11558 |
|
|
ZAFAR YUNUS SARESHWALA
(DIN:00123536
PAN:ANYPS8494D)
|
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE ITS ORDER DATED 27/07/2010
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
22-JUN-2018
|
SAT: SAT VIDE ITS ORDER DATED 14/07/2021 DIRECTED RESPONDENT TO FILE APPLICATION FOR CONDONATION OF DELAY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 07/09/2021 ALLOWED APPELLANT TWO WEEKS TO FILE REJOINDER TO APPLICATION FOR CONDONATION OF DELAY
|
| 11559 |
|
|
ZAFAR YUNUS SARESHWALA
(DIN:00123536
PAN:ANYPS8494D)
|
|
|
|
PARSOLI CORP.LTD.
PAN:AABCP9030F
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF PARSOLI CORP.LTD.
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF PARSOLI CORP.LTD.
|
IMPOSED PENALTY RS.5,50,000
28-FEB-2011
|
SAT: APPEAL DISMISSED
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 11560 |
|
|
ZAFAR YUNUS SARESHWALA
(DIN:00123536
PAN:ANYPS8494D)
|
|
|
|
PARSOLI CORP.LTD.
PAN:AABCP9030F
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
DIRECTED TO COMPLETE THE PROCESS OF PUBLIC OFFER BY PAYING CONSIDERATION AMOUNT OF RS.22.82 PER EQUITY SHARE ALONG WITH SIMPLE INTEREST @12% P.A.FROM 27/07/2010 TILL THE DATE OF ACTUAL PAYMENT
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 27-SEP-2024 TO 26-SEP-2027
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
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-SEP-2024 TO 26-SEP-2027
IMPOSED PENALTY RS.25,00,000
27-SEP-2024
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 578 of 579
|
