| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1241 |
|
S.S.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
|
|
| 1242 |
|
|
S.T.RAGHAVENDRA MADY
|
|
|
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.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
10-DEC-2019
|
|
| 1243 |
|
|
SABA RAOOF DHANANI
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES VIOLATING REGULATIONS 7(1), 7(1A), 7(2), 8(2), 10, 11(1) AND 14(1) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF LIBERTY PHOSPHATE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,21,28,486 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
01-NOV-2017
|
|
| 1244 |
|
|
SABAH TAIYAB NOORANI
(PAN:AVTPN8646H)
|
|
|
DELAY IN MAKING 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 ASHARI AGENCIES LTD.
|
IMPOSED PENALTY RS.1,00,000
22-APR-2022
|
SEBI VIDE ITS NOTICE DATED 05/07/2022 DIRECTED TO PAY RS.1,05,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 22/09/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.5004 OF 2022 DATED 05/07/2022
|
| 1245 |
|
|
SADHNA BHUTORIA
(PAN:AEAPB1048P)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2), 10(6) AND 10(7) OF SAST REGULATIONS, 2011 IN MATTER OF RTS POWER CORP.LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,17,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-AUG-2017
|
|
| 1246 |
|
|
SADIYA RAOOF DHANANI
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES VIOLATING REGULATIONS 7(1), 7(1A), 7(2), 8(2), 10, 11(1) AND 14(1) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF LIBERTY PHOSPHATE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,21,28,486 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
01-NOV-2017
|
|
| 1247 |
|
|
SAGAR PRAVIN SHAH
(PAN:AHEPS7486F)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1), 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF AMAR REMEDIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4), 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF AMAR REMEDIES LTD.
ENTERED INTO OPPOSITE TRANSACTIONS WITHIN SIX MONTHS FROM PRIOR TRANSACTION VIOLATING CLAUSE 4.2 OF MODEL CODE OF CONDUCT PART A OF SCHEDULE I READ WITH REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF AMAR REMEDIES LTD.
|
IMPOSED PENALTY RS.35,00,000
10-DEC-2014
|
SEBI VIDE ITS NOTICE DATED 21/09/2018 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 05/08/2022 DIRECTED ALL THE BANKS TO REMIT RS.67,21,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.SAGAR PRAVIN SHAH TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 1248 |
|
|
SAHIL MEHTA
|
|
|
DELAYED 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 FORTUNE FINANCIAL SERVICES (INDIA) LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-SEP-2021
|
|
| 1249 |
|
|
SAHIL PURI
(PAN:ARGPP3422J)
|
|
|
|
CITYGOLD CREDIT CAPITAL LTD.
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGE AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF CITY GOLD CREDIT CAPITAL LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(1) OF SAST REGULATIONS, 2011 IN MATTER OF CITY GOLD CREDIT CAPITAL LTD.
|
IMPOSED PENALTY RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-JUN-2025
|
|
| 1250 |
|
|
SAIRABAI MEHTA
(PAN:ACUPM2303E)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF JAYAVANT INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
17-MAY-2017
|
|
| 1251 |
|
|
SAJAN KUMAR JAIN
(PAN:ACSPJ6904A)
(Along with : PRADEEP KUMAR JINDAL,
TRISHLA JAIN,
RENU JAIN,
ANAND KUMAR JAIN,
MAMTA JINDAL,
AANCHAL JINDAL,
ARCHIT JINDAL,
KANIKA,
LAXMAN SINGH SATYAPAL,
MEERA MISHRA)
|
|
|
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 FOCUS INDUSTRIAL RESOURCES LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF FOCUS INDUSTRAIAL RESOURCES LTD.
|
IMPOSED PENALTY RS.30,00,000 ALONG WITH OTHER ENTITIES/PERSONS
22-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 01/07/2021 CONDONED THE DELAY OF 82 DAYS IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 10/08/2021 APPELLANTS FILE THE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 15/11/2021 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
SAT: SAT VIDE ITS ORDER DATED 24/09/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
SEBI VIDE ITS ORDER DATED 01/12/2021 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 15/11/2021
SAT: SAT VIDE ITS ORDER DATED 02/02/2022 GRANTED PERMISSION TO FILE AMENDMENT APPLICATION SEEKING TO AMEND RELIEF CLAUSE WITHIN TWO WEEKS FROM DATE OF THIS ORDER. SINCE APPELLANTS HAD ALREADY DEPOSITED RS.28 LAC,NO FURTHER RECOVERY TO BE MADE AGAINST THEM DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 21/02/2022 ALLOWED THE APPLICATION
SAT: SAT VIDE ITS ORDER DATED 18/07/2022 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS ORDER DATED 18/11/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4207 OF 2021 DATED 13/10/2021
|
| 1252 |
|
|
SAJAN KUMAR JAIN
(PAN:ACSPJ6904A)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF FOCUS INDUSTRAIAL RESOURCES LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
19-MAR-2020
|
SAT: SAT VIDE ITS ORDER DATED 01/07/2021 CONDONED THE DELAY OF 267 DAYS IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 10/08/2021 APPELLANTS FILE THE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 24/09/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 02/02/2022 GRANTED PERMISSION TO FILE AMENDMENT APPLICATION SEEKING TO AMEND RELIEF CLAUSE WITHIN TWO WEEKS FROM DATE OF THIS ORDER. SINCE APPELLANTS HAD ALREADY DEPOSITED RS.28 LAC,NO FURTHER RECOVERY TO BE MADE AGAINST THEM DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 21/02/2022 ALLOWED THE APPLICATION
SAT: SAT VIDE ITS ORDER DATED 18/07/2022 DISMISSED THE APPEAL. NO COSTS
|
| 1253 |
|
|
SAJEDA H.MEWAWALA
(PAN:AMFPM7784G)
|
|
|
DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 13(1) AND 13(2) OF SAST REGULATIONS, 2011 IN MATTER OF ACQUISITION OF 49,49,464 SHARES OF EXPO GAS CONTAINERS LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
25-FEB-2020
|
|
| 1254 |
|
|
SAKET AGARWAL
(PAN:ABXPA8150D)
|
|
|
ALLEGED FAILURE IN MAKING 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 AMULYA LEASING & FINANCE LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF AMULYA LEASING & FINANCE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,80,500 VIDE CONSENT ORDER)
31-JAN-2019
|
|
| 1255 |
|
|
SAKSHI ARORA
(PAN:AHXPA2013R)
|
|
|
|
RITESH INTERNATIONAL LTD.
PAN:AAACR8498N
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(5) AND 10(6) OF SAST REGULATIONS, 2011 IN MATTER OF RITESH INTERNATIONAL LTD.
|
IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUL-2021
|
|
| 1256 |
|
|
SAKSHI PURI
(PAN:AMCPP4688F)
|
|
|
|
CITYGOLD CREDIT CAPITAL LTD.
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGE AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF CITY GOLD CREDIT CAPITAL LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(1) OF SAST REGULATIONS, 2011 IN MATTER OF CITY GOLD CREDIT CAPITAL LTD.
|
IMPOSED PENALTY RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-JUN-2025
|
|
| 1257 |
|
|
SALIM A.KATHAWALA
(PAN:AAHPK0097L)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNION QUALITY PLASTICS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNION QUALITY PLASTICS LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNION QUALITY PLASTICS LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(5) AND 10(6) OF SAST REGULATIONS, 2011 IN MATTER OF UNION QUALITY PLASTICS LTD.
DELAY IN MAKING 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 UNION QUALITY PLASTICS LTD.
|
IMPOSED PENALTY RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-AUG-2021
|
|
| 1258 |
|
|
SALIM GOVANI
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) AND 30(1) OF SAST REGULATIONS, 2011 IN MATTER OF MADHUSUDAN SECURITIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,55,712 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
19-MAR-2018
|
|
| 1259 |
|
|
SALONI LOHIA
(PAN:CRWPM4569B)
|
|
|
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 ELEGANT FLORICULTURE & AGROTECH (INDIA) LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-JAN-2025
|
|
| 1260 |
|
|
SAMARTH PRABHUDAS RAMANUJ
(PAN:AQEPR2175F)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF DIGGI MULTITRADE LTD.
|
IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-MAY-2024
|
SEBI VIDE ITS NOTICE DATED 01/01/2025 DIRECTED TO PAY RS.3,28,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 23/01/2025 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 28/01/2025 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 23/01/2025
SEBI VIDE ITS NOTICE DATED 28/01/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.8490 OF 2025 DATED 01/01/2025
|
| 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 63 of 84
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