| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 11681 |
|
YOGESH RAJAPUT
(PAN:ALGPR0634Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF SHRI LAKSHMI COTSYN LTD.
|
IMPOSED PENALTY RS.2,00,000
27-APR-2018
|
|
| 11682 |
|
|
YOGESH RASIKLAL DOSHI
(PAN:AAEPD3360Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF HARITA SEATING SYSTEMS LTD.
|
IMPOSED PENALTY RS.8,00,000
31-JUL-2015
|
|
| 11683 |
|
|
YOGESH SAKHARAM AMBEKAR
(PAN:AHEPA6359D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF HINDUSTAN BIO SCIENCES LTD.
|
IMPOSED PENALTY RS.5,00,000
04-SEP-2009
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 12/12/2014 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 21/01/2020 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL AND MUTUAL FUNDS 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 12/12/2014
|
| 11684 |
|
|
YOGESH SAKHARAM AMBEKAR
(PAN:AHEPA6359D)
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF CUPID LTD., GARNET CONSTRUCTIONS LTD. AND EZ-COMM TRADE TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.2,00,000
11-MAR-2011
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 17/07/2014 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
SEBI VIDE ITS NOTICE DATED 18/05/2022 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 17/07/2014
|
| 11685 |
|
|
YOGESH SHAH
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATIONS 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF GLOBAL SECURITIES LTD.
|
IMPOSED PENALTY RS.2,00,000
08-JAN-2021
|
|
| 11686 |
|
|
YOGESH SHARMA
(PAN:CZQPS8304C)
|
|
|
RECEIVED SHARES THROUGH OFF-MARKET TRANSACTIONS AND SOLD IN MINISCULE QUANTITIES IN SCRIP OF PSIT INFRASTRUCTURE & SERVICES LTD.
|
IMPOSED PENALTY RS.1,00,000
31-JUL-2020
|
SAT: SAT VIDE ITS ORDER DATED 21/06/2021 DISMISSED THE APPEAL
|
| 11687 |
|
|
YOGESH SHRINIVAS JADHAV
(PAN:ALFPJ5077Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH SYNCHRONIZED AND STRUCTURED TRANSACTIONS IN SCRIP OF BHAGERIA INDUSTRIES LTD.
|
IMPOSED PENALTY RS.5,00,000
31-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 06/07/2023 CONDONED THE DELAY IN FILING OF APPEAL AND DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER.DIRECTED APPELLANTS TO DEPOSIT PENALTY AMOUNT PURSUANT TO IMPUGNED ORDER
SAT: SAT VIDE ITS ORDER DATED 15/09/2023 ALLOWED RESPONDENT FURTHER TWO WEEKS TO FILE REPLY AND APPELLANTS TO FILE REJOINDER WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 31/10/2023 CONDONED THE DELAY IN FILING OF REPLIES AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 11/12/2023 ALLOWED APPELLANTS FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 08/03/2024 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 11688 |
|
|
YOGESHBHAI CHIMANBHAI PATEL
(PAN:AFVPP7212F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SMALL BUY ORDERS AND CONNECTED COUNTERPARTY TRADES IN SCRIP OF HIMACHAL FIBRES LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
22-JUN-2021
|
|
| 11689 |
|
|
YOGESHBHAIM 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
|
| 11690 |
|
|
YOGESHBHAIM 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
|
| 11691 |
|
|
YOGESHKUMAR PANNALAL SHAH
(PAN:ABVPS5384D)
|
|
|
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION SAME DAY OR NEXT DAY VIOLATING SECTION 2(I) READ WITH SECTIONS 13, 16 AND 18 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF L&T FINANCE HOLDINGS LTD.
|
IMPOSED PENALTY RS.25,000
31-JAN-2020
|
|
| 11692 |
|
|
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
SAT: SAT VIDE ITS ORDER DATED 16/02/2022 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS ORDER DATED 02/09/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF MR.RAJIV KUMAR AGARWAL & MS.YOGESHWARI GUPTA TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 11693 |
|
|
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
|
| 11694 |
|
|
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
|
| 11695 |
|
|
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
|
| 11696 |
|
|
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
SAT: SAT VIDE ITS ORDER DATED 24/08/2021 DISMISSED THE APPEAL
SEBI VIDE ITS ORDER DATED 01/09/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF MR.ANGREZ SINGH BHADWAL, MR.SURINDER KUMAR TRILOKIA, MR.NASEEB SINGH PAWAR, MR.KAMAL SINGH BHAU, MR.SUDERSHAN SINGH JAMWAL, MR.AJEET LAL SHARMA, MR.KIRPAL SINGH, MR YOGRAJ SINGH BHAU & MR.TEJ PAL SINGH TO SEBI BY WAY OF EFT/NEFT/RTGS
SAT: SAT VIDE ITS ORDER DATED 16/02/2023 CONDONED THE DELAY OF 899 DAYS IN FILING OF APPEAL AND RESPONDENT TO FILE REPLY WITHIN A WEEK
SAT: SAT VIDE ITS ORDER DATED 23/02/2023 ALLOWED APPELLANTS TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 14/03/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 17/05/2023 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 07/04/2021
|
| 11697 |
|
|
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
|
| 11698 |
|
|
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
|
| 11699 |
|
|
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
|
|
| 11700 |
|
|
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
SEBI VIDE ITS NOTICE DATED 08/05/2024 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 27/03/2024
SEBI VIDE ITS ORDER DATED 08/05/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7725 OF 2024 DATED 05/03/2024
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 585 of 586
|
