| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
ABHILASHA CHOURASIYA
(PAN:ACWPC8959N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
30-SEP-2021
|
SAT: SAT VIDE ITS ORDER DATED 20/01/2023 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
|
| 102 |
|
|
ABHILASHA CHOURASIYA
(PAN:ACWPC8959N)
|
|
|
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 |
|
|
ABHILASHA GOYAL
(PAN:AJPPG9702K)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,97,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 104 |
|
|
ABHILASHA GUPTA
(PAN:AGYPG7863M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
28-OCT-2021
|
SEBI VIDE ITS NOTICE DATED 11/07/2023 DIRECTED TO PAY RS.6,11,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 03/08/2023 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 05/09/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.6,21,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SAT: SAT VIDE ITS ORDER DATED 08/09/2023 REJECTED THE APPEAL FOR CONDONATION OF DELAY OF 638 DAYS IN FILING OF APPEAL. APPEAL DISMISSED.NO COSTS
SEBI VIDE ITS NOTICE DATED 12/09/2023 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 03/08/2023
SEBI VIDE ITS ORDER DATED 12/09/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6833 OF 2023 DATED 11/07/2023
|
| 105 |
|
|
ABHILASHA JAIN
(PAN:ACTPJ4356P)
|
|
|
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
|
|
| 106 |
|
|
ABHIMANYU ARGAL
(PAN:AOYPA8539A)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
30-SEP-2021
|
SAT: SAT VIDE ITS ORDER DATED 20/01/2023 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
|
| 107 |
|
|
ABHIMANYU ARGAL
(PAN:AOYPA8539A)
|
|
|
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
|
|
| 108 |
|
|
ABHINANDAN JAIN
(PAN:AFFPJ2303D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PFL INFOTECH 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-NOV-2022 TO 27-NOV-2023
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-NOV-2022
|
SAT: SAT VIDE ITS ORDER DATED 07/06/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER 28/11/2022
SAT: SAT VIDE ITS ORDER DATED 24/11/2023 DISMISSED THE REVIEW APPLICATION
|
| 109 |
|
|
ABHINANDAN RANKA
(PAN:ATXPR8358Q)
|
|
|
|
JOSH TRADING PVT.LTD.
PAN:AACCJ4233H
|
|
|
VIRAJ MERCANTILE PVT.LTD.
PAN:AADCV3852H
|
|
AIDED AND ABETTED ENTITIES/PERSONS IN FRONT RUNNING OF TRADES IN MATTER OF STERLING GROUP OF COMPANIES
|
IMPOSED PENALTY RS.3,00,000
30-SEP-2021
|
|
| 110 |
|
|
ABHINANDAN RANKA
(PAN:ATXPR8358Q)
|
|
|
|
JOSH TRADING PVT.LTD.
PAN:AACCJ4233H
|
|
|
VIRAJ MERCANTILE PVT.LTD.
PAN:AADCV3852H
|
|
INDULGED IN FRONT RUNNING OF ORDERS/TRADES IN MATTER OF STERLING GROUP OF COMPANIES
|
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-DEC-2020 TO 17-DEC-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-DEC-2020 TO 17-DEC-2025
31-JUL-2015
|
SEBI VIDE ITS ORDER DATED 18/12/2020 DIRECTED A) NOT TO ACCESS SECURITIES MARKET OR BUY, SELL OR OTHERWISE DEAL IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY FOR FIVE YEARS FROM THE DATE OF THIS ORDER B) NOT TO LIQUIDATED EXISTING HOLDING OF SECURITIES INCLUDING UNITS OF MUTUAL FUNDS
SAT: SAT VIDE ITS ORDER DATED 05/07/2021 CONDONED THE DELAY OF 510 DAYS IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 27/08/2021 ALLOWED APPELLANTS THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 22/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 27/01/2022 CONDONED THE DELAY IN FILING OF APPEAL AND IN THE MEANWHILE RESPONDENT MAY FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 03/02/2022 CONDONED THE DELAY IN FILING OF APPEAL. IN THE MEANWHILE, RESPONDENT MAY FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 11/04/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER ONE WEEK THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 05/05/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 23/08/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 16/09/2022 DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS
SAT: SAT VIDE ITS ORDER DATED 30/10/2023 DISMISSED THE APPEAL. NO COSTS
|
| 111 |
|
|
ABHINAV AGARWAL
(PAN:AMSPA5945N)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 112 |
|
|
ABHINAV SINGH
(PAN:DOWPS8781H)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
31-DEC-2021
|
SEBI VIDE ITS NOTICE DATED 12/07/2023 DIRECTED TO PAY RS.6,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 03/08/2023 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 23/08/2023 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 03/08/2023
|
| 113 |
|
|
ABHINESH KUMAR
(PAN:AGWPK6944M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
31-JAN-2025
|
SEBI VIDE ITS NOTICE DATED 02/09/2025 DIRECTED TO PAY RS.5,46,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 16/10/2025 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS, MUTUAL FUNDS FOLIOS AND/OR POST OFFICE ACCOUNT 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 19/12/2025 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 16/10/2025
SEBI VIDE ITS ORDER DATED 19/12/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.8884 OF 2025 DATED 02/09/2025
|
| 114 |
|
|
ABHIRAJ M.PUJARA
(PAN:ARKPP6959Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
29-OCT-2021
|
|
| 115 |
|
|
ABHIRUP DUTTA
(PAN:CBGPD7685F)
|
|
|
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
|
|
| 116 |
|
|
ABHIRUP DUTTA
(PAN:CBGPD7685F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
31-DEC-2021
|
SAT: SAT VIDE ITS ORDER DATED 22/06/2022 CONDONED THE DELAY IN FILING OF APPEAL AND DISMISSED THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 17/11/2022 DISPOSED OF THE APPEAL DIRECTING APPELLANT TO FILE APPROPRIATE APPLICATION FOR SETTLEMENT BEFORE THE AUTHORITY WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 117 |
|
|
ABHISEK JAISWAL
(PAN:AGJPJ8015H)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
10-DEC-2021
|
|
| 118 |
|
|
ABHISEK JAISWAL
(PAN:AGJPJ8015H)
|
|
|
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
|
|
| 119 |
|
|
ABHISEK SAHA
(PAN:CCCPS4444N)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,20,000 VIDE CONSENT ORDER)
19-AUG-2024
|
|
| 120 |
|
|
ABHISHEK AGARWAL
(PAN:AGCPA8509L)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
08-DEC-2021
|
|
| 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 860
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