| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1341 |
|
SEEMA GARG
(PAN:AAJPG3268R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF BEST AGROLIFE LTD. (FORMERLY KNOWN AS SAHYOG MULTIBASE LTD.)
|
IMPOSED PENALTY RS.2,00,000
21-MAR-2024
|
|
| 1342 |
|
|
SEEMA GARG
(PAN:AAJPG3268R)
(Along with : VIKAS GARG,
SUKRITI GARG,
VRINDA GARG,
VAASU GARG,
NAND KISHORE GARG,
USHA GARG,
MADANLAL AGARWAL,
LAXMIDEVI AGARWAL)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF BEST AGROLIFE LTD. (FORMERLY KNOWN AS SAHYOG MULTIBASE LTD.)
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
21-MAR-2024
|
|
| 1343 |
|
|
SEEMA GARG
(PAN:AAJPG3268R)
|
|
|
DELAY IN MAKING 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 ADVIK CAPITAL LTD.
|
IMPOSED PENALTY RS.3,00,000
20-JUN-2024
|
SAT: SAT VIDE ITS ORDER DATED 26/09/2025 DISPOSED OF THE APPEAL BY REDUCING PENALTY AMOUNT BY 50%. NO COSTS
|
| 1344 |
|
|
SEEMA GOYAL
(PAN:AEQPG5812C)
|
|
|
ALLEGED 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 PRADEEP METALS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.21,29,625 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
09-DEC-2015
|
|
| 1345 |
|
|
SEEMA JAIN
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3),13(4),13(4A) AND 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF FIEM INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) & 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF FIEM INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
03-FEB-2015
|
|
| 1346 |
|
|
SEEMA LOKESH KAPOOR
(PAN:AOHPK7825E)
(Along with : SIMRAN SUNIL RAHEJA,
POONAM GIRIDHARILAL RAHEJA,
SUNIL GIRDHARILAL RAHEJA,
LOKESH INDER KAPOOR,
INDER KAPOOR)
|
|
|
|
EUROPLUS ONE REALTY PVT.LTD.
PAN:AACCE5599D
|
|
|
MIST HOTELS PVT.LTD.
PAN:AAJCG1907G
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF VINNY OVERSEAS LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-OCT-2025
|
|
| 1347 |
|
|
SEVANTILAL S.KAPASHI
(PAN:AADPK3641A)
|
|
|
ALLEGED 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 KAPASHI COMMERCIAL LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF KAPASHI COMMERCIAL LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,14,000, INTEREST RS.13,335 VIDE CONSENT ORDER)
10-JUL-2020
|
|
| 1348 |
|
|
SHABEENA M.MEWAWALA
(PAN:BEWPM6363P)
|
|
|
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
|
|
| 1349 |
|
|
SHAH NISHIT BABULAL
(PAN:AKQPS8934D)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) READ WITH REGULATION 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF GLOBAL SECURITIES LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAY-2013
|
|
| 1350 |
|
|
SHAH SUSHILABEN BABULAL
(PAN:BEOPS3103M)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) READ WITH REGULATION 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF GLOBAL SECURITIES LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAY-2013
|
|
| 1351 |
|
|
SHAHIDA S.MEWAWALA
(PAN:AFSPM8222K)
|
|
|
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
|
|
| 1352 |
|
|
SHAILAJA MEHTA
(PAN:ACUPM2300H)
|
|
|
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
|
|
| 1353 |
|
|
SHAILAJA 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
|
|
| 1354 |
|
|
SHAILESH MULCHAND SAVLA
(PAN:AKSPS2544P)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SURYALAKSHMI COTTON MILLS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,45,250 VIDE CONSENT ORDER)
15-NOV-2017
|
|
| 1355 |
|
|
SHAM SADHURAM GANDHI
(PAN:AAAPG8353J)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF FINALYSIS CREDIT & GUARANTEE CO.LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF FINALYSIS CREDIT & GUARANTEE CO.LTD.
DELAY IN MAKING 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 FINALYSIS CREDIT & GUARANTEE CO.LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3) AND 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF FINALYSIS CREDIT & GUARANTEE CO.LTD.
|
IMPOSED PENALTY RS.3,00,000
11-FEB-2019
|
SAT: SAT VIDE ITS ORDER DATED 08/11/2019 UPHELD AO ORDER DECLARING APPELLANT VIOLATED THE REGULATION AND SET ASIDED ORDER IMPOSING PENALTY OF RS.3 LACS. FURTHER, WARNED APPELLANT NOT TO REPEAT SIMILAR VIOLATION IN FUTURE
|
| 1356 |
|
|
SHAMLI MARIA
(PAN:AZNPM7768F)
|
|
|
DELAY IN MAKING 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 NORTHLINK FISCAL & CAPITAL SERVICES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATIONS 10(5), 10(6) & 10(7) OF SAST REGULATIONS, 2011 IN MATTER OF NORTHLINK FISCAL & CAPITAL SERVICES LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
13-SEP-2023
|
|
| 1357 |
|
|
SHAMS UT TEHREEN
(PAN:AFOPT5883R)
|
|
|
DELAY IN MAKING 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 MAHAVIR INDUSTRIES LTD.
|
IMPOSED PENALTY RS.2,00,000
24-OCT-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 18/02/2019 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
SEBI VIDE ITS NOTICE DATED 01/09/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.45,813.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS NOTICE DATED 18/03/2024 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 18/02/2019
SEBI VIDE ITS ORDER DATED 18/03/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.1905 OF 2019 DATED 23/01/2019
|
| 1358 |
|
|
SHAMSHAD BEGUM KHAN
(PAN:AHMPP8481F)
(Along with : MOHAMMAD RAFI,
MOHD.SALIM KHAN,
AMIR HAMZA HAKIM KHAN,
ABDUL ZAMEER HAKIM KHAN,
TALAT WAHADATALI MOHAMAD,
REHANA KHAN)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1), 29(2) AND 29(3)(A) OF SAST REGULATIONS, 2011 IN MATTER OF FINALYSIS CREDIT & GUARANTEE CO.LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUN-2020
|
SAT: SAT VIDE ITS ORDER DATED 29/06/2021 CONDONED THE DELAY IN FILING OF APPEAL.IN THE MEANWHILE, RESPONDENT MAY FILE THE REPLY
SAT: SAT VIDE ITS ORDER DATED 01/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 28/09/2022 CONDONED THE DELAY OF 689 DAYS IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY TO THE DELAY APPLICATION AS WELL AS MEMORANDUM OF APPEAL WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 21/10/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 24/01/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 09/08/2023 DIRECTED TO PAY RS.13,81,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 07/09/2023 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 09/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.14,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SAT: SAT VIDE ITS ORDER DATED 09/08/2024 DISMISSED THE APPEALS. NO COSTS
|
| 1359 |
|
|
SHANKARLAL SHARMA
(PAN:AHZPS4363E)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SAST REGULATIONS, 2011 IN MATTER OF KESAR PETROPRODUCTS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-MAR-2020 TO 08-MAR-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-MAR-2020 TO 08-MAR-2021
09-MAR-2020
|
SAT: SAT VIDE ITS ORDER DATED 07/04/2021 DISMISSED THE APPEAL AS INFRUCTUOUS AND RESTRAINT ORDER OF ONE YEAR HAS NOW COME TO END
|
| 1360 |
|
|
SHANTABEN SURESHBHAI PATEL
(PAN:AWQPP7584G)
|
|
|
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 SHREE SURGOVIND TRADELINK LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-JUN-2014
|
COMPANY VIDE DEMAND DRAFT NO.728877 DATED 22/12/2014 FOR RS.6,00,000.00 DRAWN ON TAMILNAD MERCANTILE BANK HAS PAID THE PENALTY AMOUNT TO SEBI
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 68 of 84
|
