| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
ABHASA INFRASTRUCTURE PVT.LTD.
(CIN:U45200DL2010PTC207058
PAN:AAJCA0790P)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF ERA INFRA ENGINEERING LTD.
|
IMPOSED PENALTY RS.10,000
28-JAN-2022
|
|
| 102 |
|
|
ABHAY AGARWAL TRUST
(PAN:AACTA1729Q)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 103 |
|
|
ABHAY BANKA (HUF)
(PAN:AAMHA0998K)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 104 |
|
|
ABHAY JAIN (HUF)
(PAN:AAGHA6530F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF SULABH ENGINEERS & SERVICES 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 03-SEP-2020 TO 02-SEP-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-SEP-2020
|
|
| 105 |
|
|
ABHAY JAIN (HUF)
(PAN:AAGHA6530F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SULABH ENGINEERS & SERVICES LTD.
|
IMPOSED PENALTY RS.1,00,000
30-AUG-2022
|
SAT: SAT VIDE ITS ORDER DATED 05/01/2023 LIST THE ORDER ON 18/01/2023 AND IN THE MEANWHILE, RESPONDENT MAY FILE REPLY AND STAY APPLICATION WILL BE CONSIDERED ON NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 18/01/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 22/02/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 106 |
|
|
ABHAY KUAMR SAHU (HUF)
(PAN:AAMHA9808E)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 107 |
|
|
ABHAY KUMAR MEHTA (HUF)
(PAN:AAKHA3564K)
|
|
|
|
ABHAY KUMAR MEHTA
PAN:AFWPM5978E
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF RODIUM REALTY LTD.
|
IMPOSED PENALTY RS.10,00,000
27-JUN-2014
|
SEBI VIDE ITS NOTICE DATED 11/04/2022 DIRECTED TO PAY RS.19,51,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 13/05/2022 DISMISSED THE APPEAL AS NOT PRESSED
SEBI VIDE ITS NOTICE DATED 01/06/2022 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 ORDER DATED 24/06/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF ABHAY KUMAR MEHTA (HUF) TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS ORDER DATED 03/08/2022 DIRECTED TO RELEASE RBL BANK ACCOUNT NO.309017111195 OF ABHAY KUMAR MEHTA (HUF)
SEBI VIDE ITS NOTICE DATED 14/09/2022 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 01/06/2022
SEBI VIDE ITS ORDER DATED 14/09/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4645 OF 2022 DATED 11/04/2022
|
| 108 |
|
|
ABHAY VERMA (HUF)
(PAN:AANHA6503R)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 109 |
|
|
ABHAY VERMA (HUF)
(PAN:AANHA6503R)
|
|
|
|
ABHAY VERMA
PAN:AANHA6503R
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-NOV-2021
|
SAT: SAT VIDE ITS ORDER DATED 17/11/2022 CONDONED THE DELAY IN FILING OF APPEAL AND DISPOSED OF THE APPEAL DIRECTING APPELLANT TO FILE APPROPRIATE APPLICATION FOR SETTLEMENT BEFORE THE AUTHORITY WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 110 |
|
|
ABHI CAPITAL SERVICES LTD.
(PAN:AAACA5419N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF & ON MARKET TRANSACTIONS IN SCRIP OF RICHA INDUSTRIES LTD.
|
IMPOSED PENALTY RS.6,00,000
19-MAY-2015
|
|
| 111 |
|
|
ABHI CAPITAL SERVICES LTD.
(PAN:AAACA5419N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF PRIYADARSHINI SPINNING MILLS LTD.
|
IMPOSED PENALTY RS.10,00,000
31-DEC-2013
|
|
| 112 |
|
|
ABHI PLASTICS PVT.LTD.
(PAN:AACCA0998E)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 113 |
|
|
ABHI PORTFOLIO PVT.LTD.
(PAN:AAACA8350Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
31-AUG-2021
|
|
| 114 |
|
|
ABHIDEEP EXPORTS PVT.LTD.
(PAN:AACCA2207L)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.8,52,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 115 |
|
|
ABHIDEEP GLOBAL FINANCE PVT.LTD.
(PAN:AABCC2633F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.3,00,000
30-NOV-2021
|
SAT: SAT VIDE ITS ORDER DATED 23/08/2022 DISPOSED OF THE APPEAL DIRECTING APPELLANT TO FILE APPROPRIATE APPLICATION FOR SETTLEMENT BEFORE THE AUTHORITY WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 116 |
|
|
ABHIDEEP GLOBAL FINANCE PVT.LTD.
(PAN:AABCC2633F)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 117 |
|
|
ABHIJAT TRADING CO.PVT.LTD.
|
|
|
ACTED IN CONCERT WITH BROKERS/SUB BROKERS TO CREATE ARTIFICIAL MARKET/PRICE RISE BY PLACING SELL ORDERS THROUGH ONE BROKER AND BUY ORDER FROM ANOTHER WITHOUT ANY INTENTION TO TAKE OR GIVE DELIVERY OF SHARES IN SCRIP OF SHIRPUR GOLD REFINERY LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-FEB-2006 TO 01-FEB-2007
02-FEB-2006
|
|
| 118 |
|
|
ABHIJEET CEMENT LTD.
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SILICON VALLEY INFOTECH LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
25-MAR-2011
|
|
| 119 |
|
|
ABHIJEET SHETH (HUF)
(PAN:AANHA2607L)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 120 |
|
|
ABHIJEET SURESH BORA (HUF)
(PAN:AAKHA5076L)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
30-DEC-2021
|
SEBI VIDE ITS NOTICE DATED 10/07/2023 DIRECTED TO PAY RS.6,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 01/08/2023 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 11/09/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.6,11,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 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 6 of 594
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