| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1261 |
|
SANDEEP VYAS
|
|
|
|
PARVATI CASTINGS PVT.LTD.
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 1262 |
|
|
SANDHYA AGRAWAL
(PAN:AFIPA3683G)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 1263 |
|
|
SANDHYA R.GANDHI
|
|
|
DEALT IN SCRIP OF WOCKHARDT LTD.ON BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION
|
IMPOSED PENALTY RS.5,00,000
30-NOV-2006
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
|
| 1264 |
|
|
SANDHYA R.GANDHI
|
|
|
ALLEGED IRREGULAR TRADING ON BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN SCRIP OF WOCKHARDT LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 21-APR-2009 TO 20-OCT-2010
20-APR-2009
|
|
| 1265 |
|
|
SANDHYA SHIRISH SHAH
|
|
|
ALLEGED FAILURE 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 FAST TRACK ENTERTAINMANT LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF FAST TRACK ENTERTAINMENT LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,50,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
06-MAY-2009
|
|
| 1266 |
|
|
SANDIP LAXMANBHAI BHAMANI
|
|
|
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 GUJARAT TERCE LABORATORIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GUJARAT TERCE LABORATORIES 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
|
| 1267 |
|
|
SANGEETA AGRAWAL
(PAN:ABDPA5797Q)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PREMIER CAPITAL SERVICES LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PREMIER CAPITAL SERVICES LTD.
|
IMPOSED PENALTY RS.1,25,000
14-SEP-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 1268 |
|
|
SANGEETA CHOPRA
(PAN:AAIPC6211H)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 1269 |
|
|
SANGEETHA JAIN
(PAN:AFKPJ3114P)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 1270 |
|
|
SANGITA JAYESH VALIA
(PAN:ACDPV4956F)
|
|
|
|
VASPARR SHELTER LTD.
PAN:AABCV2888D
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF YASHRAJ CONTAINEURS LTD.
INDULGED IN TRANSACTIONS OF SHARES WHILE IN POSSESSION OF MATERIAL AND UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3(II) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN SCRIP OF YASHRAJ CONTAINEURS LTD.
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
13-NOV-2009
|
SAT: APPEAL DISMISSED AS WITHDRAWN
|
| 1271 |
|
|
SANGITA JAYESH VALIA
(PAN:ACDPV4956F)
|
|
|
|
VASPARR SHELTER LTD.
PAN:AABCV2888D
|
|
|
YASHRAJ CONTAINEURS LTD.
CIN:L28120MH1993PLC073160
PAN:AAACV4846L
|
|
|
YASHRAJ CONTAINEURS LTD.
CIN:L28120MH1993PLC073160
PAN:AAACV4846L
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY IN PRESCRIBED FORMAT AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN THE MATTER OF YASHRAJ CONTAINERS LTD.
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A (D) & (E) OF SEBI ACT, 1992 AND REGULATION 3 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN THE MATTER OF YASHRAJ CONTAINERS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JAN-2016 TO 12-JAN-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JAN-2016 TO 12-JAN-2021
13-JAN-2016
|
SAT: SAT VIDE ITS ORDER DATED 15/11/2016 MODIFIED IMPUGNED ORDER DATED 13/01/2016 BY RESTRAINT ORDER PASSED AGAINST THE APPELLANTS FROM FIVE YEARS TO TWO YEARS
|
| 1272 |
|
|
SANGITA SETHI
(PAN:AERPS2183R)
|
|
|
|
BERYL DRUGS LTD.
PAN:AABCB2664H
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF BERLY DRUGS LTD.
|
IMPOSED PENALTY RS.1,00,000
15-JAN-2018
|
|
| 1273 |
|
|
SANHITHA REDDY
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1) AND 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PALRED TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.1,00,000
30-MAY-2019
|
|
| 1274 |
|
|
SANJAY ARUNKUMAR CHOKSI
(PAN:ABIPC0957H)
|
|
|
FURNISHED FALSE/FORGED INFORMATION/DOCUMENTS IN RESPONSE TO THE SUMMONS ISSUED, FAILED TO FRAME AND IMPLEMENT THE CODE OF CONDUCT UNDER SEBI (PIT) REGULATIONS, 1992 VIOLATING REGULATION 12(1) READ WITH CLAUSE 1.2 OF SCHEDULE I, PART A OF PIT IN MATTER OF ALEXANDER STAMPS & COIN LTD. (FORMERLY KNOWN AS RUDRAKSH CAP TECH LTD.)
|
IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
12-MAR-2018
|
SAT: SAT VIDE ITS ORDER DATED 04/06/2018 DIRECTED APPELLANTS TO PAY PENALTY OF RS.20 LACS IN FOUR EQUAL INSTALLMENTS I.E.FIRST INSTALLMENT ON OR BEFORE 04/07/2018 AND SUBSEQUENT INSTALLMENTS ON OR BEFORE 04/08/2018, 04/09/2018 AND 04/10/2018 RESPECTIVELY. NO COSTS
|
| 1275 |
|
|
SANJAY BAGRODIA
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GLOBAL BOARDS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
27-SEP-2010
|
|
| 1276 |
|
|
SANJAY BAJRANGLAL SHARMA
(PAN:AKSPS3714K)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MTZ POLYFILMS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MTZ POLYFILMS LTD.
|
IMPOSED PENALTY RS.5,00,000
05-MAR-2013
|
|
| 1277 |
|
|
SANJAY BANSAL
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 3(1) AND 29(2) OF SAST REGULATIONS, 2011
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.40,14,844 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
26-NOV-2018
|
|
| 1278 |
|
|
SANJAY BIPIN LAI
(PAN:AAEPL6967H)
|
|
|
|
KSS LTD.
PAN:AAACG5103D
|
|
WRONG AND DELAYED DISCLOSURE OF PLEDGED SHARES OF MANTRA TRADING CO.PVT.LTD. TO NSE VIOLATING REGULATION 8A(4) OF SAST (AMENDMENT) REGULATIONS, 2009 IN MATTER OF KSS LTD.
DID NOT MAKE DISCLOSURE OF PLEDGED SHARES OF PROMOTERS TO BSE IN MATTER OF KSS LTD.
DID NOT MAKE DISCLOSURE OF INVOCATION OF SHARES OF THE PROMOTERS TO NSE & BSE DESPITE RECEIVING THE SAME FROM THE PROMOTERS IN MATTER OF KSS LTD.
DID NOT MAKE DISCLOSURE OF NON-IMPLEMENTATION OF CORPORATE ANNOUNCEMENTS TO STOCK EXCHANGES VIOLATING CLAUSE 36(7) OF LISTING AGREEMENT READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF KSS LTD.
DID NOT MAKE DISCLOSURE OF INVOCATION OF PLEDGED SHARES TO STOCK EXCHANGES VIOLATING CLAUSE 2.1 OF SCHEDULE II OF REGULATION 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF KSS LTD.
|
IMPOSED PENALTY RS.10,00,000
11-MAY-2018
|
SEBI VIDE ITS NOTICE DATED 30/01/2019 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 17/09/2019 SET ASIDED IMPUGNED ORDER DATED 11/05/2018 AND REMITTED MATTER TO AO TO PASS FRESH ORDER AFTER HEARING THE APPELLANT
|
| 1279 |
|
|
SANJAY BIPIN LAI
(PAN:AAEPL6967H)
|
|
|
DID NOT MAKE DISCLOSURE OF SHARES PLEDGED AND INVOCATION OF SHARES TO STOCK EXCHANGES VIOLATING REGULATION 8A(4) OF SEBI SAST (AMENDMENT) REGULATIONS, 2009 IN MATTER OF KSS LTD.
DID NOT MAKE DISCLOSURE OF NON-IMPLEMENTATION OF CORPORATE ANNOUNCEMENT TO STOCK EXCHANGES VIOLATING CLAUSE 2.1 OF SCHEDULE II OF REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF KSS LTD.
DID NOT MAKE DISCLOSURE OF NON-IMPLEMENTATION OF CORPORATE ANNOUNCEMENT TO STOCK EXCHANGES VIOLATING CLAUSE 36(7) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF KSS LTD.
|
IMPOSED PENALTY RS.3,00,000
31-DEC-2019
|
SEBI VIDE ITS NOTICE DATED 28/05/2021 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
SEBI VIDE ITS NOTICE DATED 10/03/2022 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 28/05/2021
|
| 1280 |
|
|
SANJAY CHANDRA
(PAN:AACPC5804C)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(4) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF UNITECH LTD.
|
IMPOSED PENALTY RS.2,00,000
12-DEC-2019
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 64 of 82
|
