| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
RAJESH KUMAR (HUF)
(PAN:AALHR7522P)
|
|
|
EXECUTED OFF-MARKET TRANSACTION OF SHARES WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I)(A) OF SCRA, 1956 READ WITH SECTIONS 13, 16 AND 18 OF SCRA, 1956 AND SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF VIKAS PROPPANT & GRANITE LTD.
|
IMPOSED PENALTY RS.1,00,000
20-MAR-2024
|
|
| 122 |
|
|
RELIGARE ENTERPRISES LTD.
(PAN:AAACV5888N)
|
|
|
INDULGED IN DIVERSION OF FUNDS OF RS.2,473.66 CRORE (APPROX) OF RELIGARE FINVEST LTD. THROUGH SUBSIDIARY OF REL FOR BENEFIT OF PROMOTERS/PROMOTER GROUP ENTITIES VIOLATING REGULATIONS 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RELIGARE ENTERPRISES LTD.
INDULGED IN DIVERSION OF FUNDS OF RS.2,473.66 CRORE (APPROX) OF RELIGARE FINVEST LTD. THROUGH SUBSIDIARY OF REL FOR BENEFIT OF PROMOTERS/PROMOTER GROUP ENTITIES VIOLATING CLAUSES 32 AND 36 OF LISTING AGREEMENT IN MATTER OF RELIGARE ENTERPRISES LTD.
INDULGED IN DIVERSION OF FUNDS OF RS.2,473.66 CRORE (APPROX) OF RELIGARE FINVEST LTD. THROUGH SUBSIDIARY OF REL FOR BENEFIT OF PROMOTERS/PROMOTER GROUP ENTITIES VIOLATING CLAUSES 49(I)(C)(1)(A) AND 49(I)(C)(1)(D) OF LISTING AGREEMENT {POST CIRCULAR DATED 17/04/2014} READ WITH REGULATION 103 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF RELIGARE ENTERPRISES LTD.
INDULGED IN DIVERSION OF FUNDS OF RS.2,473.66 CRORE (APPROX) OF RELIGARE FINVEST LTD. THROUGH SUBSIDIARY OF REL FOR BENEFIT OF PROMOTERS/PROMOTER GROUP ENTITIES VIOLATING REGULATIONS 4(1)(A) TO 4(1)(D), 4(1)(G) TO 4(1)(J), 30(1) AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF RELIGARE ENTERPRISES LTD.
INDULGED IN DIVERSION OF FUNDS OF RS.2,473.66 CRORE (APPROX) OF RELIGARE FINVEST LTD. THROUGH SUBSIDIARY OF REL FOR BENEFIT OF PROMOTERS/PROMOTER GROUP ENTITIES VIOLATING SECTION 21 OF SCRA, 1956 IN MATTER OF RELIGARE ENTERPRISES LTD.
|
DIRECTED TO CONTINUE TO PURSUE THE MEASURES TO RECOVER THE AMOUNT DUE ALONGWITH INTEREST
28-JUL-2022
|
|
| 123 |
|
|
RELIGARE ENTERPRISES LTD.
(PAN:AAACV5888N)
|
|
|
ALLEGED INDULGENCE IN FINANCIAL MISMANAGEMENT AND DIVERSION OF FUNDS OF RS.2,473.66 CRORE OF RELIGARE FINVEST LTD. THROUGH SUBSIDIARY OF REL FOR BENEFIT OF PROMOTERS/PROMOTER GROUP ENTITIES VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RELIGARE ENTERPRISES LTD.
ALLEGED INDULGENCE IN FINANCIAL MISMANAGEMENT AND DIVERSION OF FUNDS OF RS.2,473.66 CRORE OF RELIGARE FINVEST LTD. THROUGH SUBSIDIARY OF REL FOR BENEFIT OF PROMOTERS/PROMOTER GROUP ENTITIES VIOLATING CLAUSES 32 AND 36 OF LISTING AGREEMENT IN MATTER OF RELIGARE ENTERPRISES LTD.
ALLEGED INDULGENCE IN FINANCIAL MISMANAGEMENT AND DIVERSION OF FUNDS OF RS.2,473.66 CRORE OF RELIGARE FINVEST LTD. THROUGH SUBSIDIARY OF REL FOR BENEFIT OF PROMOTERS/PROMOTER GROUP ENTITIES VIOLATING CLAUSES 49(I)(C)(1)(A) AND 49(I)(C)(1)(D) OF LISTING AGREEMENT {POST CIRCULAR DATED 17/04/2014} READ WITH REGULATION 103 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF RELIGARE ENTERPRISES LTD.
ALLEGED INDULGENCE IN FINANCIAL MISMANAGEMENT AND DIVERSION OF FUNDS OF RS.2,473.66 CRORE OF RELIGARE FINVEST LTD. THROUGH SUBSIDIARY OF REL FOR BENEFIT OF PROMOTERS/PROMOTER GROUP ENTITIES VIOLATING REGULATIONS 4(1)(A) TO 4(1)(D), 4(1)(G) TO 4(1)(J), 30(1) AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF RELIGARE ENTERPRISES LTD.
ALLEGED INDULGENCE IN FINANCIAL MISMANAGEMENT AND DIVERSION OF FUNDS OF RS.2,473.66 CRORE OF RELIGARE FINVEST LTD. THROUGH SUBSIDIARY OF REL FOR BENEFIT OF PROMOTERS/PROMOTER GROUP ENTITIES VIOLATING SECTIONS 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF RELIGARE ENTERPRISES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,41,80,000 VIDE CONSENT ORDER)
31-MAY-2022
|
|
| 124 |
|
|
RICHHOLD PROPERTIES PVT.LTD.
(PAN:AABCR4071J)
|
|
|
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) READ WITH SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION G.S.R.219(E) DATED 02/03/2000 IN MATTER OF VIDEOCON INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
06-AUG-2021
|
SEBI VIDE ITS NOTICE DATED 01/10/2024 DIRECTED TO PAY RS.1,40,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 17/01/2025 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
|
| 125 |
|
|
ROMY REALTY PVT.LTD.
(PAN:AADCR6342Q)
|
|
|
INDULGED IN OFF MARKET TRANSACTIONS WITHOUT SALE CONSIDERATION VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.G.S.R.219 (E) DATED 02/03/2000 AND SECTIONS 13 AND 18 OF SCRA READ WITH SECTIONS 2(I) OF SCRA ACT, 1956 IN MATTER OF TILAK FINANCE LTD.
|
IMPOSED PENALTY RS.5,00,000
30-NOV-2018
|
|
| 126 |
|
|
ROSHI APPLIANCES PVT.LTD.
(PAN:AAACR0210J)
|
|
|
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) READ WITH SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION G.S.R.219(E) DATED 02/03/2000 IN MATTER OF VIDEOCON INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
10-AUG-2021
|
|
| 127 |
|
|
ROXTECH SECURITIES SERVICES
(PAN:AIMPY3580D)
|
|
|
|
PARMANAND YADAV
PAN:AIMPY3580D
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
ISSUED FICTITIOUS CONTRACT NOTES
FALSIFIED/FABRICATED DOCUMENT TO GIVE IMPRESSION OF AUTHENTICITY ABOUT ITS TRANSACTIONS
DELAY IN TRANSFER OF SHARES TO TRANSFEREES SUBSEQUENT TO RECEIPT OF PAYMENT FROM TRANSFEREES VIOLATING SECTION 2(I)(A) OF SCRA, 1956 AND SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION G.S.R 219(E) DATED 02/03/2000 AND SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF DELTA LEASING AND FINANCE LTD.
DID NOT FURNISH REQUIRED INFORMATION IN RESPONSE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF DELTA LEASING AND FINANCE LTD.
STATED FALSE REASONS IN DELIVERY INSTRUCTION SLIP (DIS) FOR TRANSACTIONS AS LOAN OF SHARES, RETURN OF LOAN, BAD DELIVERY, RECTIFICATION OF BAD DELIVERY AND GIFT VIOLATING REGULATION 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DELTA LEASING AND FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2023 TO 30-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2023 TO 30-APR-2023
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JAN-2023
|
|
| 128 |
|
|
SANJAY JAIN (HUF)
(PAN:AATHS3941P)
|
|
|
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) OF SEBI SCRA ACT, 1956 READ WITH SECTIONS 13, 16 AND 18 OF SEBI SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF YAMINI INVESTMENT CO.LTD.
|
IMPOSED PENALTY RS.2,00,000
21-SEP-2021
|
|
| 129 |
|
|
SANJAY JETHALAL SONI (HUF)
(PAN:AAWHS0331J)
|
|
|
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) READ WITH SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF TIMBOR HOME LTD.
DID NOT ADHERE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF TIMBOR HOME LTD.
|
IMPOSED PENALTY RS.2,15,000
06-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 04/02/2022 CONDONED THE DELAY IN FILING OF THE APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 13/04/2022 DIRECTED TO PAY RS.2,35,862.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 23/06/2022 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 23/02/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.2,84,800.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS ORDER DATED 08/01/2025 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, IF ANY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, WESTERN REGIONAL OFFICE, AHMEDABAD D) DIRECTED INSPECTORS GENERAL OF REGISTRATION AND CONTROLLER OF STAMPS OF THE GUJARAT STATE AND CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS OF THE RESPECTIVE AREAS WHERE THE PROPERTIES ARE LOCATED E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED/HELD BY THE DEFAULTERS, IF PRESENTED FOR REGISTRATION
SEBI VIDE ITS NOTICE DATED 30/01/2026 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 23/06/2022
SEBI VIDE ITS ORDER DATED 30/01/2026 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4654 OF 2022 DATED 13/04/2022
|
| 130 |
|
|
SANJAY KALWADIA (HUF)
(PAN:AATHS4243L)
|
|
|
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) OF SEBI SCRA ACT, 1956 READ WITH SECTIONS 13, 16 AND 18 OF SEBI SECURITIES CONTRACTS (REGULATION) ACT, 1956 READ WITH SEBI NOTIFICATION DATED 03/10/2013 IN MATTER OF STL GLOBAL LTD.
|
IMPOSED PENALTY RS.1,00,000
21-OCT-2021
|
SEBI VIDE ITS NOTICE DATED 17/02/2022 DIRECTED ALL THE BANKS 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
|
| 131 |
|
|
SANRAA MEDIA LTD.
(PAN:AAACS9093A)
|
|
|
|
ANNASWAMI VENKATRAMANI
PAN:AABPV3960F
|
|
|
KRISHNAN RAJAGOPAL
PAN:AEHPR7931J
|
|
|
RAJEEV AGARWAL
DIN:00232816
PAN:AAJPA6719K
|
|
|
RAJENDRAN SIVASHANKARAN
PAN:AVAPS0218D
|
|
|
SUKUMAR SUBRAMANIAN
DIN:01835134
PAN:AOUPS4543L
|
|
|
UMA KARTHIKEYAN
DIN:00092543
PAN:AKPPK3166J
|
|
MISLED INVESTORS INTO BELIEVING ABOUT SUCCESS OF GDR ISSUE VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) AND 4 (2) (F), (K) & (R) OF SEBI (PFUTP) REGULATIONS, 2003
DID NOT MAKE DISCLOSURE OF PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES VIOLATING CLAUSES 36(7) AND 50 OF LISTING AGREEMENT
DID NOT ADHERE TO ACCOUNTING STANDARD (AS-1) VIOLATING SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.10,20,00,000
29-NOV-2019
|
SEBI VIDE ITS NOTICE DATED 17/08/2020 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
SEBI VIDE ITS ORDER DATED 09/11/2020 DIRECTED ALL THE BANKS TO REMIT RS.11,36,03,849.00 TO THE EXTENT LYING IN THE ACCOUNT OF SANRAA MEDIA LTD. BY WAY OF EFT/NEFT/RTGS
|
| 132 |
|
|
SANTOWIN CORP.LTD.
(CIN:L51900MH1985PLC035195
PAN:AADCS9595G)
|
|
|
DID NOT APPOINT REQUISITE NUMBER OF INDEPENDENT DIRECTORS ON ITS BOARD VIOLATING CLAUSE 49(IA)(II) OF LISTING AGREEMENT READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATIONS) ACT, 1956
APPOINTED RELATIVE OF PROMOTER & DIRECTOR AND PROMOTER & CHAIRMAN AS AN INDEPENDENT DIRECTOR ON ITS BOARD VIOLATING CLAUSE 49(IA)(III) OF LISTING AGREEMENT READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATIONS) ACT, 1956
DID NOT APPOINT REQUISITE NUMBER OF INDEPENDENT DIRECTORS AS MEMBERS IN AUDIT COMMITTEE ON ITS BOARD VIOLATING CLAUSE 49(IIA)(I) OF LISTING AGREEMENT READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATIONS) ACT, 1956
DID NOT PROVIDE CORPORATE GOVERNANCE REPORT IN ITS ANNUAL REPORT FOR YEAR 2010-2011 VIOLATING CLAUSE 49(VI)(I) OF LISTING AGREEMENT READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATIONS) ACT, 1956
DELAY IN SUBMISSION OF QUARTERLY REPORT TO STOCK EXCHANGES WITHIN TIME SPECIFIED VIOLATING CLAUSE 49(VI)(II) OF LISTING AGREEMENT READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATIONS) ACT, 1956
|
IMPOSED PENALTY RS.5,00,000
31-OCT-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 07/02/2020 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
SEBI VIDE ITS ORDER DATED 05/09/2022 DIRECTED ALL THE BANKS TO REMIT RS.7,91,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF SANTOWIN CORP.LTD. BY WAY OF EFT/NEFT/RTGS
|
| 133 |
|
|
SARANG CHEMICALS LTD.
(CIN:L24110GJ1989PLC012272)
|
|
|
ISSUED FALSE & MISLEADING CORPORATE ANNOUNCEMENTS IN MATTER OF SARANG CHEMICALS LTD.
MADE WRONG/INCONSISTENT DISCLOSURE OF SHAREHOLDING TO BSE VIOLATING SECTION 21 OF SCRA, 1956 IN MATTER OF SARANG CHEMICALS LTD.
DID NOT ADHERE TO APPOINTMNET OF COMMON AGENCY REQUIREMENT FOR RTA VIOLATING SECTION 53A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SARANG CHEMICALS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SARANG CHEMICALS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-MAY-2012 TO 10-MAY-2014
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-MAY-2012 TO 10-MAY-2014
11-MAY-2012
|
|
| 134 |
|
|
SARVOTTAM ADVISORY PVT.LTD.
(PAN:AAMCS7291N)
|
|
|
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 SUPERSPACE INFRASTRUCTURE LTD. (EARLIER KNOWN AS SURABHI CHEMICALS & INVESTMENT LTD.)
DID NOT CONFORM TO THE SPOT DELIVERY CONTRACT VIOLATING SECTION 2(I) READ WITH SECTIONS 13, 16 AND 18 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 READ WITH SEBI NOTIFICATION G.S.R.184(E) DATED 01/03/2000 IN MATTER OF SUPERSPACE INFRASTRUCTURE LTD. (EARLIER KNOWN AS SURABHI CHEMICALS & INVESTMENT LTD.)
|
IMPOSED PENALTY RS.6,00,000
29-MAR-2023
|
SEBI VIDE ITS NOTICE DATED 09/08/2023 DIRECTED TO PAY RS.6,37,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 04/09/2023 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
|
| 135 |
|
|
SEER FINLEASE PVT.LTD.
|
|
|
|
BHUPENDRA T.JOSHI
|
|
|
COMANDUR PARTHASARATHY
PAN:AAFPC7617L
|
|
|
GAUTAMBHAI KARSANBHAI PATEL
|
|
|
HEMLATABEN VINUBHAI PATEL
|
|
|
JAGDISHBHAI GOVINDLAL SHETH
|
|
|
KIRITBEN RAJESH PATEL
|
|
|
M.S.RAMAKRISHNA
|
|
|
M.YAGUANDHAR
|
|
|
MANHARLAL KANTALILAL KOTADIA
|
|
|
NILESH RAMANLAL SHAH
|
|
|
RAJESH KUMAR VITHABHAI PATEL
|
|
|
RAKESH SURESHCHANDRA SHAH
|
|
|
SOAYUBEN H.VORA
|
|
|
VIPINCHANDRA GORDHANBHAI PATEL
|
|
FILED APPLICATION FOR SUBSCRIPTION AND/OR ACQUISITION OF SHARES IN FICTITIOUS NAME
VIOLATED SECTION 12A OF SEBI ACT.,1992
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SEBI DEPOSITORIES ACT, 1996
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 136 |
|
|
SHAHI PROPERTY DEVELOPERS PVT.LTD.
|
|
|
VIOLATED SECTION 2 (I) (A) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SECTION 16 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SECTION 24 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.30,00,000 BY THE ACCUSED TO SEBI
|
| 137 |
|
|
SHARK COMMUNICATIONS
(PAN:AAACS4896P)
|
|
|
SOLD 4,58,190 SHARES IN OFF-MARKET AND RECEIVED ONLY RS.78,000.00 INSTEAD OF RS 67,43,501.00 VIOLATING SECTION 16 OF SCRA READ WITH SEBI NOTIFICATION NO.G.S.R.219 (E) DATED 02/03/2000 AND SECTIONS 13 AND 18 OF SCRA READ WITH SECTIONS 2(I) OF SCRA ACT, 1956 IN MATTER OF IFL PROMOTERS LTD.
|
IMPOSED PENALTY RS.21,00,000
15-MAY-2018
|
SEBI VIDE ITS NOTICE DATED 16/12/2019 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 ORDER DATED 24/12/2019 DIRECTED ALL THE BANKS TO REMIT RS.25,06,962.00 TO THE EXTENT LYING IN THE ACCOUNT OF SHARK COMMUNICATIONS BY WAY OF EFT/NEFT/RTGS
|
| 138 |
|
|
SHIVAM TRADING CO.
(PAN:AQMPG2650C)
|
|
|
|
PRAVEEN GOYAL
PAN:AQMPG2650C
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
ISSUED FICTITIOUS CONTRACT NOTES
FALSIFIED/FABRICATED DOCUMENT TO GIVE IMPRESSION OF AUTHENTICITY ABOUT ITS TRANSACTIONS
DELAY IN TRANSFER OF SHARES TO TRANSFEREES SUBSEQUENT TO RECEIPT OF PAYMENT FROM TRANSFEREES VIOLATING SECTION 2(I)(A) OF SCRA, 1956 AND SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION G.S.R 219(E) DATED 02/03/2000 AND SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF DELTA LEASING AND FINANCE LTD.
DID NOT FURNISH REQUIRED INFORMATION IN RESPONSE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF DELTA LEASING AND FINANCE LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2023 TO 30-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2023 TO 30-APR-2023
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JAN-2023
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| 139 |
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SHIVUM HOLDINGS PVT.LTD.
(Along with : BRADY & MORRIS ENGINEERING CO.LTD.)
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ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF RULE 19A(1) OF SCRR READ WITH CLAUSE 40A OF LISTING AGREEMENT BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
ALLEGED VIOLATION OF SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,80,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
02-DEC-2014
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| 140 |
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SHRADDHA ENTERTAINMENT PVT.LTD.
(PAN:AAKCS8199P)
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INDULGED IN OFF MARKET TRANSACTIONS OF SHARES WITHOUT SALE CONSIDERATION VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.G.S.R.219 (E) DATED 02/03/2000 AND SECTIONS 13 AND 18 OF SCRA READ WITH SECTIONS 2(I) OF SCRA ACT, 1956 IN MATTER OF VERTEX SPINNING LTD.
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IMPOSED PENALTY RS.10,00,000
26-SEP-2018
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| 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 10
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