| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1221 |
|
RUCHIT BHARAT PATEL
(PAN:ANDPP9202F)
(Along with : MINAL BHARAT PATEL,
PRASHANT JAYANTILAL PATEL,
BHARAT JAYANTILAL PATEL,
HARDIK BHARAT PATEL,
PANKAJ JAYANTILAL PATEL)
|
|
|
|
PAT FINANCIAL CONSULTANTS PVT.LTD.
PAN:AAACP3115E
|
|
|
PRANAV HOLDINGS PVT.LTD.
PAN:AABCP1438P
|
|
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 TRANSPEK INDUSTRY LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-OCT-2020
|
SAT: SAT VIDE ITS ORDER DATED 15/05/2023 DISMISSED THE APPEAL. NO COST
|
| 1222 |
|
|
RUCHIT BHARAT PATEL
(PAN:ANDPP9202F)
|
|
|
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 ASIAN GRANITO INDIA LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-APR-2021
|
|
| 1223 |
|
|
RUCHIT BHARAT PATEL
(PAN:ANDPP9202F)
(Along with : MINAL BHARAT PATEL,
HARDIK BHARAT PATEL,
BHARAT JAYANTILAL PATEL)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGE AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF SUPER SALES INDIA LTD.
|
IMPOSED PENALTY RS.4,00,000 ALONG WITH OTHER ENTITIES/PERSONS
22-FEB-2018
|
|
| 1224 |
|
|
RUCHIT BHARAT PATEL
(PAN:ANDPP9202F)
(Along with : BHARAT JAYANTILAL PATEL,
HARDIK BHARAT PATEL,
MINAL BHARAT PATEL,
PRASHANT JAYANTILAL PATEL)
|
|
|
|
FIDELITY MULTITRADE PVT.LTD.
PAN:AABCF0017A
|
|
|
PASHA FINANCE PVT.LTD.
PAN:AAACP8316P
|
|
|
PAT FINANCIAL CONSULTANTS PVT.LTD.
PAN:AAACP3115E
|
|
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 GARWARE POLYSTER LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
15-APR-2021
|
|
| 1225 |
|
|
RUCHIT BHARAT PATEL
(PAN:ANDPP9202F)
|
|
|
DID NOT MAKE 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 DECCAN CEMENTS LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-FEB-2020
|
|
| 1226 |
|
|
RUDRA SEN SINDHU
(PAN:ANPPS3885D)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF SINDHU TRADE LINKS LTD.
|
IMPOSED PENALTY RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-MAY-2019
|
|
| 1227 |
|
|
RUPA KUMARI
(PAN:EGHPK3443N)
(Along with : UPENDRA NARAYAN CHOUDHARY,
DURGESHWARI DEVI CHOUDHURY,
GOPALJI CHOUDHARY)
|
|
|
|
DORNI VINIMOY PVT.LTD.
PAN:AAFCD3892H
|
|
|
H & K REALESTATE LLP
PAN:AAOFH4781M
|
|
|
TIMELY FINANCIAL CONSULTANTS PVT.LTD.
PAN:AAECT0938K
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF COOL CAPS INDUSTRIES LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
17-SEP-2025
|
|
| 1228 |
|
|
RUPA MODI
(PAN:AAHPM1264D)
|
|
|
DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10(3) OF SAST REGULATIONS, 2011 IN MATTER OF NETLINK SOLUTIONS (INDIA) LTD.
DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10(7) OF SAST REGULATIONS, 2011 IN MATTER OF NETLINK SOLUTIONS (INDIA) LTD.
|
IMPOSED PENALTY RS.5,50,000
21-JUN-2022
|
|
| 1229 |
|
|
RUPAL RASIKLAL THAKKAR
(PAN:ADZPT3677N)
|
|
|
DID NOT MAKE DISCLOSURES TO COMPANY AND STOCK EXCHANGES FOR INVOCATION OF PLEDGE CREATED ON SHARES AND SHARES OF THE COMPANY DISPOSED AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF ASHAPURA INTIMATES FASHION LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ASHAPURA INTIMATES FASHION LTD.
|
IMPOSED PENALTY RS.1,00,000
25-OCT-2021
|
|
| 1230 |
|
|
RUSHABH JITENDRA SHAH
(PAN:ABAPS7515F)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) AND 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF AADI INDUSTRIES LTD.
ENTERED INTO OPPOSITE TRANSACTIONS DURING NEXT SIX MONTHS FOLLOWING PRIOR TRANSACTIONS VIOLATING CLAUSE 4.2 OF SCHEDULE I OF MODEL CODE OF CONDUCT UNDER REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF AADI INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF AADI INDUSTRIES LTD.
|
IMPOSED PENALTY RS.25,00,000
30-APR-2019
|
SEBI VIDE ITS NOTICE DATED 02/11/2020 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
|
| 1231 |
|
|
RUSHANK V.SHAH
(PAN:BDBPS8032D)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF HUBTOWN LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,22,800 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
11-OCT-2017
|
|
| 1232 |
|
|
S.C.MALHOTRA
|
|
|
|
EMPIRE DYEING EMPLOYEES WELFARE FUND
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(6), 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF EMPIRE INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,83,226 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
21-JAN-2019
|
|
| 1233 |
|
|
S.DURAI
(Along with : D.RAVISANKAR,
R.VALLABAI,
K.R.JAIN,
R.RAJASANKAR,
V.P.RAMANATHAN)
|
|
|
|
SANKAR HOMES PVT.LTD.
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ARCHANA SOFTWARE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ARCHANA SOFTWARE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF ARCHANA SOFTWARE LTD.
|
IMPOSED PENALTY RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-DEC-2015
|
|
| 1234 |
|
|
S.GIRIDHARAN
(PAN:AAGPG2646E)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 31(1) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF SWARNAJYOTHI AGROTECH & POWER LTD. (FORMERLY KNOWN AS ‘OCTANT INDUSTRIES LTD.’)
|
IMPOSED PENALTY RS.3,00,000
20-JUN-2019
|
SEBI VIDE ITS NOTICE DATED 11/03/2020 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 23/06/2022 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 11/03/2020
SEBI VIDE ITS ORDER DATED 24/06/2022 DIRECTED TO RELEASE PROPERTY IN NAME OF MR.S.GIRIDHARAN AND MS.GANAPATHY GITA TO TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST OF THE PROPERTY
|
| 1235 |
|
|
S.JAYPRAKASH MADY
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF WINTECH LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF WINTECH LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 3(3) AND 3(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF WINTECH LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF WINTECH LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF WINTECH LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF WINTECH LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
10-DEC-2019
|
|
| 1236 |
|
|
S.K.M.SHREE SHIVKUMAR
(PAN:AJCPS0629L)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF SKM EGG PRODUCTS EXPORT (INDIA) LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
20-NOV-2019
|
|
| 1237 |
|
|
S.KUMUTHAVALLI
(PAN:AETPK1920N)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF SKM EGG PRODUCTS EXPORT (INDIA) LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
20-NOV-2019
|
|
| 1238 |
|
|
S.R.ASAITHAMBI
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF GEE GEE GRANITES LTD.
|
IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-AUG-2014
|
SEBI VIDE ITS ORDER DATED 30/06/2017 DISPOSED OFF PRESENT PROCEEDINGS AGAINST MR.S.R.ASAITHAMBI, MR.S.R.KUMAR AND MR.R.SEKAR IN AS MUCH AS THEY HAVE ALREADY PAID RS.3,00,000.00 TOWARDS MONETARY PENALTY
|
| 1239 |
|
|
S.R.KUMAR
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF GEE GEE GRANITES LTD.
|
IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-AUG-2014
|
SEBI VIDE ITS ORDER DATED 30/06/2017 DISPOSED OFF PRESENT PROCEEDINGS AGAINST MR.S.R.ASAITHAMBI, MR.S.R.KUMAR AND MR.R.SEKAR IN AS MUCH AS THEY HAVE ALREADY PAID RS.3,00,000.00 TOWARDS MONETARY PENALTY
|
| 1240 |
|
|
S.R.PATIL
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF SANGAM HEALTH CARE PRODUCTS LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 3(3) AND 3(4) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF SANGAM HEALTH CARE PRODUCTS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,99,534, INTEREST RS.19,567 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
11-JUL-2018
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 62 of 84
|
