| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
RAVI KUMAR VADLAMANI
(PAN:AEWPV3295G)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 AND SECTIONS 12A(D) AND (E), 15G (I) AND 15HB OF SEBI ACT, 1992 IN MATTER OF DCB BANK LTD.
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING CLAUSE 6 OF MINIMUM STANDARD FOR CODE OF CONDUCT UNDER SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DCB BANK LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.66,93,750, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.5,26,800, INTEREST RS.3,35,651 VIDE CONSENT ORDER)
09-MAR-2021
|
|
| 122 |
|
|
REETHA SHETTY
(PAN:AADPS5018B)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATION 7(2)(A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF SUPRAJIT ENGINEERING LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.29,54,738 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
08-FEB-2019
|
|
| 123 |
|
|
REKHA JHUNJHUNWALA
(PAN:ACPPJ9449M)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF APTECH LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,57,82,393, DISGORGEMENT AMOUNT RS.1,06,10,013, INTEREST RS.55,18,369 VIDE CONSENT ORDER)
14-JUL-2021
|
|
| 124 |
|
|
RENUGAMBAL B.
(PAN:AACPR1362E)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(2A) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SESHASAYEE PAPER & BOARDS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,74,688, INTEREST RS.3,882 VIDE CONSENT ORDER)
26-JUN-2020
|
|
| 125 |
|
|
RONAK NARENDRA PARIKH
(PAN:AABPP4889M)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PNB HOUSING FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.45,50,000, DISGORGEMENT AMOUNT RS.6,83,750, INTEREST RS.2,14,680 VIDE CONSENT ORDER)
13-AUG-2024
|
|
| 126 |
|
|
RUCHI GUPTA
(PAN:AGXPG5744N)
|
|
|
ALLEGED TRADING IN SHARES WHEN TRADING WINDOW WAS CLOSED VIOLATING REGULATION 9(1) READ WITH CLAUSE 4(1) OF SCHEDULE B OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BANSAL WIRE INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.16,89,282, DISGORGEMENT AMOUNT RS.24,13,260, INTEREST RS.39,670 VIDE CONSENT ORDER)
02-MAY-2025
|
|
| 127 |
|
|
S.MADHAVAN
(PAN:AAAPM2924M)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF UFO MOVIEZ INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.19,12,500, DISGORGEMENT AMOUNT RS.1,59,499, INTEREST RS.76,140 VIDE CONSENT ORDER)
20-JAN-2022
|
|
| 128 |
|
|
SACHIN AGARWAL
(PAN:AEDPA9226P)
|
|
|
ALLEGED COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION TO MARKET PARTICIPANTS BEFORE THE SAME WAS DISCLOSED TO STOCK EXCHANGE VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, READ WITH REGULATION 3(II) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MANAPPURAM FINANCE LTD.
ALLEGED COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION TO MARKET PARTICIPANTS BEFORE THE SAME WAS DISCLOSED TO STOCK EXCHANGE VIOLATING REGULATION 21(1) OF SEBI (PIT) REGULATIONS READ WITH CLAUSES 1.2, 2.1 AND 2.1-1 OF CODE OF CONDUCT SPECIFIED UNDER PART A OF SCHEDULE I READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MANAPPURAM FINANCE LTD.
ALLEGED COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION TO MARKET PARTICIPANTS BEFORE THE SAME WAS DISCLOSED TO STOCK EXCHANGE VIOLATING SECTION 12A(C) OF SEBI ACT, READ WITH REGULATION 3(D) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF MANAPPURAM FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,37,70,000 VIDE CONSENT ORDER)
08-JUL-2020
|
|
| 129 |
|
|
SAHIR PATEL
(PAN:AADPP0411F)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 AND REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ABC BEARINGS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.44,20,000 VIDE CONSENT ORDER)
18-SEP-2023
|
|
| 130 |
|
|
SALIL PAREKH
(PAN:AAEPP5758N)
|
|
|
|
INFOSYS LTD.
PAN:AAACI4798L
|
|
ALLEGED FAILURE IN PUTTING IN PLACE ADEQUATE AND EFFECTIVE SYSTEM OF INTERNAL CONTROL TO ENSURE COMPLIANCE AT TIME OF ANNOUNCEMENT OF STRATEGIC PARTNERSHIP BETWEEN INFOSYS LTD. AND VANGUARD VIOLATING REGULATIONS 9A(1) AND 9A(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INFOSYS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,00,000 VIDE CONSENT ORDER)
26-JUN-2024
|
|
| 131 |
|
|
SAMIR JAIN
(PAN:AEHPJ3016Q)
|
|
|
|
CAMAC COMMERCIAL CO.LTD.
PAN:AABCC0733E
|
|
|
PNB FINANCE & INDUSTRIES LTD.
PAN:AAACP0256C
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
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 ASHOKA VINIYOGA LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ASHOKA VINIYOGA LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,12,01,300 VIDE CONSENT ORDER)
07-SEP-2022
|
|
| 132 |
|
|
SAMIR JAIN
(PAN:AEHPJ3016Q)
|
|
|
|
CAMAC COMMERCIAL CO.LTD.
PAN:AABCC0733E
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
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 COMBINE HOLDING LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF COMBINE HOLDING LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,12,01,300 VIDE CONSENT ORDER)
07-SEP-2022
|
|
| 133 |
|
|
SAMIR JAIN
(PAN:AEHPJ3016Q)
|
|
|
|
CAMAC COMMERCIAL CO.LTD.
PAN:AABCC0733E
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
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 SAHU JAIN LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SAHU JAIN LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,12,01,300 VIDE CONSENT ORDER)
07-SEP-2022
|
|
| 134 |
|
|
SAMRAT DASGUPTA
(PAN:AGIPD2130J)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF HDFC BANK LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.23,90,625 VIDE CONSENT ORDER)
28-FEB-2022
|
|
| 135 |
|
|
SAPNA SARAOGI
(PAN:AMWPK4406A)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(I), 3(II) AND 4 OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SAINT GOBAIN SEKURIT INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.26,77,500 VIDE CONSENT ORDER)
23-JUL-2020
|
|
| 136 |
|
|
SAROJ RATHI
(PAN:AASPS6006Q)
|
|
|
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ELECTROSTEEL CASTINGS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.45,50,000, DISGORGEMENT AMOUNT RS.2,90,300, INTEREST RS.1,19,023 VIDE CONSENT ORDER)
12-JUL-2024
|
|
| 137 |
|
|
SAUMIL KISHORE SHAH
(PAN:AAGPS6395E)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF POONAWALLA FINCORP LTD. (PREVIOUSLY KNOWN AS MAGMA FINCORP LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.39,00,000 VIDE CONSENT ORDER)
26-APR-2023
|
|
| 138 |
|
|
SAURABH MUKHERJE
(PAN:AOEPM2024E)
|
|
|
ALLEGED INDULGENCE IN COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 3(II) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF MANNAPURAM FINANCE LTD.
ALLEGED FAILURE IN MAINTAINING CONFIDENTIALITY OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 12(1)(E) OF SEBI (PIT) REGULATIONS, 1992 READ WITH CLAUSES 2.1 AND 2.2-1 OF CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR OTHER ENTITIES AS SPECIFIED IN PART B OF SCHEDULE I OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF MANNAPURAM FINANCE LTD.
ALLEGED INDULGENCE IN COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 READ WITH REGULATION 3(D) OF SEBI (PFUTP)) REGULATIONS, 2003 IN MATTER OF MANNAPURAM FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,37,70,000 VIDE CONSENT ORDER)
29-OCT-2020
|
|
| 139 |
|
|
SHARDA JAIN
(PAN:AAKPJ8759P)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 4(1) READ WITH 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF RELIGARE ENTERPRISES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.26,66,642, DISGORGEMENT AMOUNT RS.17,92,700 VIDE CONSENT ORDER)
10-JUN-2022
|
|
| 140 |
|
|
SHARWARY V.DESAI
(PAN:AHAPD5917E)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INDIABULLS VENTURES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.22,31,250 VIDE CONSENT ORDER)
06-OCT-2021
|
|
| 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 7 of 9
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