| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 12041 |
|
YOGENDRA BISAY
(DIN:02664008
PAN:AFQPB2353A)
|
|
|
|
VAYAA BUILDER & DEVELOPERS PVT.LTD.
PAN:AADCV3685L
CIN:U45201MP2010PTC024055
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
IMPOSED PENALTY RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS
25-FEB-2021
|
SEBI VIDE ITS NOTICE DATED 03/08/2023 DIRECTED TO PAY RS.19,66,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 14/03/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.20,71,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS ORDER DATED 27/01/2026 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
|
| 12042 |
|
|
YOGENDRA BISAY
(DIN:02664008
PAN:AFQPB2353A)
|
|
|
|
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
|
| 12043 |
|
|
YOGENDRA D.PATEL
(Along with : ANJNI Y.PATEL)
|
|
|
|
BHARAT FERTILIZER INDUSTRIES LTD.
|
|
|
WADA ALUMS & ACIDS PVT.LTD.
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHARES OF BHARAT FERTILISER INDUSTRIES LTD.
|
IMPOSED PENALTY RS.40,000 ALONG WITH OTHER ENTITIES/PERSONS
23-OCT-2007
|
|
| 12044 |
|
|
YOGENDRA J.PRAJAPATI
(PAN:CIYPP6021L)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF DHYANA FINSTOCK LTD.
|
IMPOSED PENALTY RS.5,00,000
11-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 29/04/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER AND LISTED THE MATTER ON 25/06/2021
SAT: SAT VIDE ITS ORDER DATED 04/08/2021 ADJOURNED THE CASE ON THE REQUEST OF FOR SOME OF THE APPELLANTS TO ENABLE THEM TO FILE REJOINDER WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 10/06/2022 ALLOWED THE APPEALS AND SET ASIDE IMPUGNED ORDERS DATED 29/07/2020 AND 11/08/2020. MATTER REMITTED TO WTM AND AO TO RECONSIDER THE MATTER IN THE LIGHT OF THE OBSERVATIONS MADE UPON AND DECIDE THE MATTER AFRESH WITHIN SIX MONTHS FROM DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATED 30/11/2022 RE-IMPOSED PENALTY TO RS.5 LAC U/S 15HA OF SEBI ACT,1992 AND DIRECTED TO PAY WITHIN FORTY-FIVE DAYS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 01/03/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED EXEMPTION APPLICATION. RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER. IN THE MEANWHILE,EFFECT AND OPERATION OF THE IMPUGNED ORDER TO REMAIN STAYED DURING PENDENCY OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 08/09/2023 DISMISSED THE APPEAL. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 13/03/2024 DISMISSED THE APPEAL AS WITHDRAWN
|
| 12045 |
|
|
YOGENDRA JANARDAN BANGERA
(DIN:00459818)
|
|
|
|
ADORE MERCANTILE CO.PVT.LTD.
PAN:AAFCA5699H
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRADES AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF STERLING INTERNATIONAL ENTERPRISES LTD.
|
IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JAN-2022
|
SAT: SAT VIDE ITS ORDER DATED 31/05/2022 ALLOWED THE APPEALS AND SET ASIDE IMPUGNED ORDER ON ACCOUNT OF INORDINATE DELAY. NO COSTS
|
| 12046 |
|
|
YOGENDRA PRATAP SHAHI
(DIN:03453495
PAN:ATBPS3325E)
|
|
|
|
LIFE CARE REAL DEVELOPERS LTD.
PAN:AABCL8415G
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.65,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-JAN-2019
|
SEBI VIDE ITS NOTICE DATED 01/09/2020 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
|
| 12047 |
|
|
YOGENDRA PRATAP SHAHI
(DIN:03453495
PAN:ATBPS3325E)
|
|
|
|
LIFE CARE INFRATECH LTD.
PAN:AACCL1319G
CIN:U70102UP2011PLC047389
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE ITS ORDER DATED 14/09/2015 TO REFUND ALL THE MONEY COLLECTED THROUGH RPS ALONG WITH INTEREST
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-MAR-2018
|
SEBI VIDE ITS NOTICE DATED 05/02/2021 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
|
| 12048 |
|
|
YOGENDRA PREMKRISHNA TRIVEDI
(PAN:AAFPT3468G)
|
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION SUBMITTED TO EURAM BANK VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BIRLA COTSYN (INDIA) LTD.
|
IMPOSED PENALTY RS.10,00,000
25-MAY-2022
|
SAT: SAT VIDE ITS ORDER DATED 27/09/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 03/11/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 25/05/2022
|
| 12049 |
|
|
YOGESH BANSAL
(PAN:AIUPB8729P)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET & PRICE MANIPULATION IN SCRIP OF JAISUKH DEALERS LTD.
|
IMPOSED PENALTY RS.5,00,000
29-OCT-2020
|
|
| 12050 |
|
|
YOGESH BANSAL
(PAN:AIJPB0977G)
|
|
|
|
QUASAR INDIA LTD.
PAN:AAACQ0219Q
|
|
DID NOT UTILIZE FUNDS RAISED THROUGH PREFERENTIAL ALLOTMENTS AS STATED IN OBJECTS OF ISSUE VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF QUASAR INDIA LTD.
|
IMPOSED PENALTY RS.2,00,000
10-OCT-2022
|
SAT: SAT VIDE ITS ORDER DATED 28/02/2023 PARTLY ALLOWED THE APPEAL. AFFIRMED PENALTY IMPOSED U/S 12A OF SEBI, 1992 READ WITH REGULATIONS 3 AND 4 OF SEBI (PFUTP) REGULATIONS
SEBI VIDE ITS NOTICE DATED 03/03/2023 DIRECTED TO PAY RS.2,13,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 08/05/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6289 OF 2023 DATED 03/03/2023
|
| 12051 |
|
|
YOGESH BANSAL
(PAN:AIJPB0977G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF PANKAJ PIYUSH TRADE & INVESTMENTS LTD.
|
IMPOSED PENALTY RS.5,00,000
31-MAY-2019
|
SEBI VIDE ITS NOTICE DATED 16/07/2021 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 29/07/2021 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNT OF MR. YOGESH BANSAL TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 12052 |
|
|
YOGESH BHAVANJI VORA
|
|
|
MISUSED IPO ALLOTMENT PROCESS BY CORNERING EQUITY SHARES RESERVED FOR RETAIL INVESTORS IN IPOS OF KRENEX MICROSYSTEMS LTD., PUNJ LLOYD AND ABG SHIPYARD LTD. LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
17-DEC-2019
|
|
| 12053 |
|
|
YOGESH BHAVNAGARI
|
|
|
DID NOT APPEAR AND FURNISH NECESSARY INFORMATION TO SEBI IN RESPONSE TO SUMMONS IN MATTER OF SOFTRACK TECHNOLOGY EXPORTS LTD.
|
IMPOSED PENALTY RS.2,00,000
30-AUG-2010
|
INCLUDED IN SEBI LIST DATED 30/09/2011, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 12054 |
|
|
YOGESH BHAWANSINGH BISHT
(PAN:ARDPB3914G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME AND PRICE MANIPULATION IN SCRIP OF SYNERGY BIZCON LTD.
|
IMPOSED PENALTY RS.7,00,000
15-DEC-2020
|
SEBI VIDE ITS NOTICE DATED 05/05/2021 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 11/05/2021 DISPOSED OFF THE APPLICATION AND DIRECTED APPELLANT TO DEPOSIT 50% OF THE PENALTY AMOUNT ON OR BEFORE 08/06/2021
SEBI VIDE ITS ORDER DATED 01/07/2021 DIRECTED TO RELEASE BANK ACCOUNTS/LOCKERS/DEMAT ACCOUNTS/MUTUAL FUNDS FOLIO OF MR.GANESH NAINSINGH SUNAR IN COMPLIANCE WITH DIRECTIONS OF HON’BLE SAT ORDER DATED 29/06/2021
SAT: SAT VIDE ITS ORDER DATED 08/06/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 09/11/2021 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS NOTICE DATED 22/04/2022 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 09/11/2022 DIRECTED ALL THE BANKS TO REMIT RS.1,31,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.YOGESH BHAWANSINGH BISHT TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS NOTICE DATED 07/07/2023 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 22/04/2022
SEBI VIDE ITS ORDER DATED 09/11/2023 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN THE ORDER C) DIRECTED TO FURNISH THE COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTER AND CHARGES, IF ANY, WITHIN ONE WEEK FROM DATE OF THIS ORDER AT SEBI HEAD OFFICE, MUMBAI D) DIRECTED INSPECTORS GENERAL OF REGISTRATION AND CONTROLLER OF STAMPS OF MAHARASHTRA STATE, SUB-REGISTRARS OF THE RESPECTIVE AREAS WHERE THE PROPERTIES ARE LOCATED E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED/HELD BY THE DEFAULTERS, IF PRESENTED FOR REGISTRATION
|
| 12055 |
|
|
YOGESH BHOGILAL CHAUHAN
(PAN:AAGPC7158P)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF INSTA FINANCE LTD. (ERSTWHILE SDFC FINANCE LTD.)
|
IMPOSED PENALTY RS.2,00,000
30-OCT-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 28/08/2018 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 09/01/2020 DIRECTED ALL THE BANKS TO REMIT RS.2,53,668.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.YOGESH BHOGILAL CHOUHAN BY WAY OF EFT/NEFT/RTGS
|
| 12056 |
|
|
YOGESH GALJIBHAI VAGHELA
(PAN:AYCPV6462D)
|
|
|
DID NOT FURNISH NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF PREMIER SYNTHETICS LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PREMIER SYNTHETICS LTD.
|
IMPOSED PENALTY RS.7,50,000
30-SEP-2024
|
SEBI VIDE ITS NOTICE DATED 27/02/2025 DIRECTED TO PAY RS.7,88,500.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 19/03/2025 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS 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 23/04/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.8,03,500.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 12057 |
|
|
YOGESH HIMATLAL PATEL
(PAN:AAQPP3499L)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
29-NOV-2019
|
|
| 12058 |
|
|
YOGESH JAIN
(PAN:AEGPJ3114G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
04-SEP-2023
|
SEBI VIDE ITS NOTICE DATED 11/09/2024 DIRECTED TO PAY RS.5,66,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 03/10/2024 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 19/12/2024 CANCELLED RECOVERY CERTIFICATE NO.7264 OF 2023 AS THE DEFAULTER HAS EXPIRED ON 17/09/2021
SEBI VIDE ITS NOTICE DATED 20/12/2024 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 03/10/2024
|
| 12059 |
|
|
YOGESH KUMAR GOYAL
(PAN:ASXPG1218M)
|
|
|
|
URJA GLOBAL LTD.
PAN:AAACC0367M
|
|
DISCLOSED FALSE INFORMATION VIOLATING REGULATIONS 3(D), 4(1), 4(2)(K) AND 4(2)(R) READ WITH REGULATIONS 2(1)(B) AND 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF URJA GLOBAL LTD.
DID NOT MAINTAIN HIGH ETHICAL STANDARDS AND TO TAKE INTO ACCOUNT INTEREST OF STAKEHOLDERS VIOLATING REGULATIONS 4(2)(F)III(3), 4(2)(F) III(6), 4(2)(F) III(7), 4(2)(F) III(12) AND 4(2)(F)III(13) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF URJA GLOBAL LTD.
DID NOT MAINTAIN OPERATIONAL TRANSPARENCY AND ETHICAL STANDARDS IN COMPANY VIOLATING REGULATION 26(3) OF SEBI (LODR) REGULATIONS, 2015 READ WITH CLAUSES A, C & H AND CLAUSES 1 TO 3 OF DUTIES OF DIRECTORS SECTION IN COMPANY’S CODE OF CONDUCT IN MATTER OF URJA GLOBAL LTD.
DISCREPANCIES IN ANNUAL REPORT/ DIRECTORS’ REPORT SIGNED BY WHOLE TIME DIRECTORS VIOLATING REGULATIONS 4(2)(F)I(2), 4(2)(F)II(8) AND 4(2)(F)III(6) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF URJA GLOBAL LTD.
|
IMPOSED PENALTY RS.10,00,000
29-JAN-2025
|
SAT: SAT VIDE ITS ORDER DATED 05/05/2025 GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN TWO WEEKS THEREAFTER. STAYED RECOVERY SUBJECT TO DEPOSIT OF 50% OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 12060 |
|
|
YOGESH KUMAR GUPTA
(PAN:ABKPG5746Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
14-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 05/09/2023 CONDONED THE DELAY IN FILING OF APPEAL AND DISMISSED THE APPEAL
SEBI VIDE ITS NOTICE DATED 20/10/2023 DIRECTED TO PAY RS.5,26,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 01/10/2024 CANCELLED RECOVERY CERTIFICATE NO.7258 OF 2023 AS THE NOTICEE HAS AVAILED BENEFIT OF ISO SETTLEMENT SCHEME, 2024 AND REMITTED SPECIFIED SETTLEMENT AMOUNT
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 603 of 606
|
