| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
NIWAS A.KAMBLE
(PAN:BBPPK9582E)
|
|
|
|
INDIRA TRADING CO.
PAN:AAFFI0479L
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
ACTED AS RESEARCH ANALYST WITHOUT SEBI REGISTRATION
|
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 26-FEB-2021 TO 25-FEB-2025
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 26-FEB-2021 TO 25-FEB-2025
DIRECTED TO CEASE & DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR RESEARCH ANALYST AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 26-FEB-2021 TO 25-FEB-2025
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 26-FEB-2021 TO 25-FEB-2025
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 26-FEB-2021 TO 25-FEB-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-FEB-2021 TO 25-FEB-2025
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 26-FEB-2021 TO 25-FEB-2025
17-MAR-2016
|
SEBI VIDE ITS ORDER DATED 26/02/2021 DIRECTED TO A) JOINTLY AND SEVERALLY, FORTHWITH REFUND RS.52,14,969.00 AND ANY OTHER AMOUNT IN RESPECT OF ITS UNREGISTERED INVESTMENT ADVISORY AND UNREGISTERED RESEARCH ANALYST SERVICES WITHIN THREE MONTHS FROM DATE OF THIS ORDER AND SUBMIT A A REPORT OF REFUND MADE TO SEBI ALONG WITH CERTIFICATE FROM A PEER REVIEWED CHARTERED ACCOUNTANT, WHO IS IN PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION WITHIN 15 DAYS OF COMPLETION OF REFUND B) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND C) REPAYMENTS TO CLIENS SHALL BE EFFECTED ONLY THROUGH BANK DEMAND DRAFT OR PAY ORDER D) NOT TO DIVERT ANY FUNDS RAISED FROM INVESTORS, KEPT IN BANK ACCOUNTS AND/OR IN THEIR CUSTODY, EXCEPT FOR THE PURPOSE OF REFUNDS TO THE CLIENTS E) PREVENTED FROM SELLING THE ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED AND DEPOSIT THE PROCEEDS IN AN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK F) NOT TO DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER, FROM DATE OF THIS ORDER, TILL EXPIRY OF FOUR (4) YEARS FROM DATE OF REFUNDS OF MONEY G) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, UNREGISTERED INVESTMENT ADVISORY ACTIVITIES AND UNREGISTERED RESEARCH ANALYST SERVICE OR ANY ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI H) RESTRAINED FROM ASSOCIATING WITH ANY COMPANY WHOSE SECURITIES ARE LISTED ON A RECOGNIZED STOCK EXCHANGE AND ANY COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI IN ANY CAPACITY, FROM THE DATE OF THIS ORDER, TILL THE EXPIRY OF FOUR (04) YEARS FROM THE DATE OF REFUND OF THE MONEY
SEBI VIDE ITS ORDER DATED 31/05/2022 DIRECTED TO PAY RS.60,50,364.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 22/08/2022 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 ORDER DATED 09/11/2022 DIRECTED ALL THE BANKS TO REMIT RS.63,63,262.18 TO THE EXTENT LYING IN THE ACCOUNT OF INDIRA TRADING CO., MR.PANKAJ SETH, MR.VISHAL ANAJI GIRKAR, MR.JOHEPH CHAND MALIKSHAIKH, MR.GIRISH SRICHAND VALECHA, MR.NIWAS A.KAMBLE, MR.JAGDISH LALMANI GUPTA & MR.MOHD.ZAID SIDDIQUE TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 122 |
|
|
P.B.MEHTA (AKA.PRIYADARSHAN B.MEHTA)
(PAN:AAYPM2209B)
|
|
|
DID NOT INFORM STOCK EXCHANGE ABOUT ACCOUNT CHARGE AGREEMENT WITH BANCO FOR SUBSCRIPTION OF GDRS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF STERLING BIOTECH LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 22-JUN-2021 TO 21-JUN-2024
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 22-JUN-2021 TO 21-JUN-2024
22-JUN-2021
|
SAT: SAT VIDE ITS ORDER DATED 30/08/2021 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 22/06/2021
SAT: SAT VIDE ITS ORDER DATED 28/10/2021 DISMISSED THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 08/03/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER
|
| 123 |
|
|
PANKAJ SETH
(PAN:COLPS0476M)
|
|
|
|
INDIRA TRADING CO.
PAN:AAFFI0479L
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
ACTED AS RESEARCH ANALYST WITHOUT SEBI REGISTRATION
|
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 26-FEB-2021 TO 25-FEB-2025
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 26-FEB-2021 TO 25-FEB-2025
DIRECTED TO CEASE & DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR RESEARCH ANALYST AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 26-FEB-2021 TO 25-FEB-2025
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 26-FEB-2021 TO 25-FEB-2025
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 26-FEB-2021 TO 25-FEB-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-FEB-2021 TO 25-FEB-2025
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 26-FEB-2021 TO 25-FEB-2025
17-MAR-2016
|
SEBI VIDE ITS ORDER DATED 26/02/2021 DIRECTED TO A) JOINTLY AND SEVERALLY, FORTHWITH REFUND RS.52,14,969.00 AND ANY OTHER AMOUNT IN RESPECT OF ITS UNREGISTERED INVESTMENT ADVISORY AND UNREGISTERED RESEARCH ANALYST SERVICES WITHIN THREE MONTHS FROM DATE OF THIS ORDER AND SUBMIT A A REPORT OF REFUND MADE TO SEBI ALONG WITH CERTIFICATE FROM A PEER REVIEWED CHARTERED ACCOUNTANT, WHO IS IN PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION WITHIN 15 DAYS OF COMPLETION OF REFUND B) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND C) REPAYMENTS TO CLIENS SHALL BE EFFECTED ONLY THROUGH BANK DEMAND DRAFT OR PAY ORDER D) NOT TO DIVERT ANY FUNDS RAISED FROM INVESTORS, KEPT IN BANK ACCOUNTS AND/OR IN THEIR CUSTODY, EXCEPT FOR THE PURPOSE OF REFUNDS TO THE CLIENTS E) PREVENTED FROM SELLING THE ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED AND DEPOSIT THE PROCEEDS IN AN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK F) NOT TO DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER, FROM DATE OF THIS ORDER, TILL EXPIRY OF FOUR (4) YEARS FROM DATE OF REFUNDS OF MONEY G) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, UNREGISTERED INVESTMENT ADVISORY ACTIVITIES AND UNREGISTERED RESEARCH ANALYST SERVICE OR ANY ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI H) RESTRAINED FROM ASSOCIATING WITH ANY COMPANY WHOSE SECURITIES ARE LISTED ON A RECOGNIZED STOCK EXCHANGE AND ANY COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI IN ANY CAPACITY, FROM THE DATE OF THIS ORDER, TILL THE EXPIRY OF FOUR (04) YEARS FROM THE DATE OF REFUND OF THE MONEY
SEBI VIDE ITS ORDER DATED 31/05/2022 DIRECTED TO PAY RS.60,50,364.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 22/08/2022 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 ORDER DATED 09/11/2022 DIRECTED ALL THE BANKS TO REMIT RS.63,63,262.18 TO THE EXTENT LYING IN THE ACCOUNT OF INDIRA TRADING CO., MR.PANKAJ SETH, MR.VISHAL ANAJI GIRKAR, MR.JOHEPH CHAND MALIKSHAIKH, MR.GIRISH SRICHAND VALECHA, MR.NIWAS A.KAMBLE, MR.JAGDISH LALMANI GUPTA & MR.MOHD.ZAID SIDDIQUE TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 124 |
|
|
PARASMAL KUNDANMAL SHAH
(PAN:ASOPS6543G)
|
|
|
|
PARASMAL KUNDANMAL SHAH (HUF)
PAN:AAOHS9993Q
|
|
PARTICIPATED IN ALLOTMENT OF SHARES WITHOUT PAYMENT OF CONSIDERATION VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SEACOAST SHIPPING SERVICES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-SEP-2024 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2024 UNTIL FURTHER ORDERS
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 30-SEP-2024 UNTIL FURTHER ORDERS
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.3,46,84,799
DIRECTED TO CREDIT/DEPOSIT AMOUNT OF UNLAWFUL GAINS IN INTEREST BEARING ESCROW ACCOUNT WITH NATIONALIZED BANK WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND THE AMOUNT KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI EXCEPT FOR THE PURPOSE OF TRANSFER OF FUNDS TO ESCROW ACCOUNT
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
30-SEP-2024
|
SAT: SAT VIDE ITS ORDER DATED 02/05/2025 DISMISSED THE APPEAL. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 06/05/2025 EXTENDED TIME TILL 30/09/2025
SEBI VIDE ITS ORDER DATED 24/09/2025 VACATED DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 30/09/2024
|
| 125 |
|
|
PARIN SHAH
(PAN:GUIPS3791C)
|
|
|
|
SEACOAST SHIPPING SERVICES LTD.
PAN:AACCM2171R
|
|
DID NOT DISCHARGE DUTY AS COMPANY SECRETARY AND/OR COMPLIANCE OFFICER VIOLATING REGULATIONS 6(2)(A) AND 6(2)(C) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEACOAST SHIPPING SERVICES LTD.
|
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 30-SEP-2024 UNTIL FURTHER ORDERS
30-SEP-2024
IMPOSED PENALTY RS.3,00,000
24-SEP-2025
|
SAT: SAT VIDE ITS ORDER DATED 06/05/2025 EXTENDED TIME TILL 30/09/2025
SEBI VIDE ITS ORDER DATED 24/09/2025 A) IMPOSED PENALTY OF RS.3 LAC U/S 15HB OF SEBI ACT. AND PAY WITHIN FORTY-FIVE (45) DAYS FROM DATE OF RECEIPT OF THIS ORDER B) VACATED DEBARMENT DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 30/09/2024
SAT: SAT VIDE ITS ORDER DATED 12/01/2026 GRANTED RESPONDENT EIGHT WEEKS TO FILE REPLY AND REJOINDER IF ANY, BE FILED WITHIN FOUR WEEKS THEREAFTER. STAYED IMPUGNED ORDER SUBJECT TO APPELLANT DEPOSITING 50% PENALTY AMOUNT WITH RESPONDENT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 126 |
|
|
PARTH A.PATEL
(PAN:CBDPP9586J)
|
|
|
|
SEACOAST SHIPPING SERVICES LTD.
PAN:AACCM2171R
|
|
DID NOT DISCHARGE DUTY AS COMPANY SECRETARY AND/OR COMPLIANCE OFFICER VIOLATING REGULATIONS 6(2)(A) AND 6(2)(C) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEACOAST SHIPPING SERVICES LTD.
|
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 30-SEP-2024 UNTIL FURTHER ORDERS
30-SEP-2024
IMPOSED PENALTY RS.3,00,000
24-SEP-2025
|
SAT: SAT VIDE ITS ORDER DATED 06/05/2025 EXTENDED TIME TILL 30/09/2025
SEBI VIDE ITS ORDER DATED 24/09/2025 A) IMPOSED PENALTY OF RS.3 LAC U/S 15HB OF SEBI ACT. AND PAY WITHIN FORTY-FIVE (45) DAYS FROM DATE OF RECEIPT OF THIS ORDER B) VACATED DEBARMENT DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 30/09/2024
SAT: SAT VIDE ITS ORDER DATED 12/01/2026 GRANTED RESPONDENT EIGHT WEEKS TO FILE REPLY AND REJOINDER IF ANY, BE FILED WITHIN FOUR WEEKS THEREAFTER. STAYED IMPUGNED ORDER SUBJECT TO APPELLANT DEPOSITING 50% PENALTY AMOUNT WITH RESPONDENT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 127 |
|
|
PARTHA SARATHI GHOSAL
(DIN:03121257
PAN:ALNPG7331C)
|
|
|
|
MAX WEALTH INFRACON INDIA LTD.
CIN:U45400WB2010PLC153347
PAN:AAGCM8372A
|
|
MOBILIZED RS.27.00 CRORE FROM PUBLIC THROUGH ISSUANCE OF NCDS BY WAY OF PRIVATE PLACEMENT TO 213 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 67(3), 73(1) TO 73(3) OF COMPANIES ACT 1956
MOBILIZED RS.27.00 CRORE FROM PUBLIC THROUGH ISSUANCE OF NCDS BY WAY OF PRIVATE PLACEMENT TO 213 INVESTORS VIOLATING REGULATION 4(4) OF SEBI (ILDS) REGULATIONS, 2008 READ WITH SECTIONS 117B READ WITH 465(2) OF COMPANIES ACT, 2013 AND REGULATIONS 4(2)(A) TO 4(2)(D), 4(4), 5(2)(B), 6 TO 9, 12, 14, 15, 17, 19 AND 26 OF SEBI (ILDS) REGULATIONS, 2008 READ WITH REGULATION 59 OF SEBI (ISSUE AND LISTING OF NON-CONVERTIBLE SECURITIES) REGULATIONS, 2021 READ WITH SECTION 5 OF THE COMPANIES ACT, 1956
|
DIRECTED TO REFUND MONEY COLLECTED THROUGH ISSUANCE OF NCDS INCLUDING APPLICATION MONEY ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 30-SEP-2024 TO 29-SEP-2027
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 30-SEP-2024 TO 29-SEP-2027
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-SEP-2024 TO 29-SEP-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2024 TO 29-SEP-2027
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 30-SEP-2024 TO 29-SEP-2027
30-SEP-2024
|
|
| 128 |
|
|
PARTHASARATHY SRIKANTH
(PAN:AAQPS9253H)
|
|
|
|
ZYLOG SYSTEMS LTD.
|
|
MADE FALSE, INCORRECT AND MISLEADING DISCLOSURES ABOUT PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES AND MEDIA IN MATTER OF ZYLOG SYSTEMS LTD.
ACQUIRED SHARES OF ZYLOG SYSTEMS LTD. BEYOND THRESHOLD LIMIT AS STIPULATED UNDER REGULATION 3(2) OF SEBI TAKEOVER CODE, 1997 WITHOUT MAKING OPEN OFFER
PROVIDED FUNDS TO PROMOTER ENTITY AND OTHERS FOR DEALING IN SHARES OF ZYLOG SYSTEMS LTD. VIOLATING SECTION 77(2) OF COMPANIES ACT, 1956
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-JUN-2021 TO 13-JUN-2023
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 14-JUN-2021 TO 13-JUN-2023
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 14-JUN-2021 TO 13-JUN-2023
13-JUN-2013
|
SEBI VIDE ITS ORDER DATED 30/07/2015 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 13/06/2013
WHOLE TIME MEMBER SEBI VIDE ITS ORDER DATED 07/06/2016 DIRECTED SEBI TO INVESTIGATE THE ALLEGATIONS PERTAINING TO TAKEOVER REGULATIONS LEVELLED AGAINST MR.RAMANUJAM SESHARATHNAM, MR.SUDARSHAN VENKATARAMAN, MR.PARTHASARATHY SRIKANTH, MS.SRIPRIYA SRIKANTH & STHITHI INSURANCE SERVICES PVT.LTD. AND ALSO ADVISED TO EXPEDITIOUSLY COMPLETE THE INVESTIGATION. NOTICEES ARE ALSO DIRECTED TO CO-OPERATE WITH SEBI IN ON-GOING INVESTIGATION AND PROVIDE ALL INFORMATION AND DOCUMENTS THAT MAY BE SOUGHT BY SEBI IN THIS REGARD
SEBI VIDE ITS ORDER DATED 14/06/2021 DIRECTED TO A) MAKE PUBLIC OFFER WITHIN 45 DAYS OF DATE OF THIS ORDER, THROUGH A MERCHANT BANKER TO ACQUIRE THE SHARES OF THE COMPANY FROM PUBLIC SHAREHOLDERS B) PAY INTEREST @ 10% P.A. ALONG WITH OFFER PRICE FOR THE PERIOD STARTING FROM THE DATE WHEN BECAME LIABLE TO MAKE OPEN OFFER FOR THE FIRST TIME I.E. FROM 10/07/2012 TILL THE DATE OF PAYMENT OF CONSIDERATION TO THE SHAREHOLDERS WHO WERE HOLDING SHARES OF ZSL ON THE DATE OF VIOLATION AND WHOSE SHARES ARE ACCEPTED IN THE OPEN OFFER AFTER ADJUSTMENT OF DIVIDEND PAID, IF ANY C) DIRECTED BSE TO FACILITATE VALUATION OF SHARES TO BE PURCHASED D) RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM THE PUBLIC AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, FROM DATE OF THIS ORDER TILL EXPIRY OF TWO YEARS FROM DATE OF COMPLETION OF OPEN OFFER D) RESTRAINED FROM HOLDING THE POST OF DIRECTOR OR ANY KEY MANAGERIAL POSITION OR ASSOCIATING THEMSELVES IN ANY CAPACITY WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM THE DATE OF THIS ORDER TILL EXPIRY OF TWO YEARS FROM DATE OF COMPLETION OF OPEN OFFER
|
| 129 |
|
|
PASHUPATI NATH DIXIT
(DIN:01664553
PAN:AJPPD9322G)
|
|
|
|
GEOSHINE MINES 2 METALS LTD.
CIN:U74110UP1997PLC021979
PAN:AABCB5955D
|
|
MOBILIZED RS.71.56 LAC FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE CUMULATIVE PREFERENCE SHARES (RCPS) BY WAY OF PRIVATE PLACEMENT TO 103 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60 READ WITH 2(36), 67(3), 73(1) TO 73(3) OF COMPANIES ACT, 1956 READ WITH SECTION 465(2) OF THE COMPANIES ACT, 2013
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 30-OCT-2024 TO 29-JAN-2025
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-OCT-2024 TO 29-JAN-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-OCT-2024 TO 29-JAN-2025
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 30-OCT-2024 TO 29-JAN-2025
30-OCT-2024
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| 130 |
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PAWAN BHISE
(PAN:CUUPB8830M)
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GLOBAL RESEARCH
PAN:CUUPB8830M
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ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
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DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 19-OCT-2022 TO 18-OCT-2024
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-OCT-2022 TO 18-OCT-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-OCT-2022 TO 18-OCT-2024
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 19-OCT-2022 TO 18-OCT-2024
19-OCT-2022
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SEBI VIDE ITS NOTICE DATED 10/04/2024 DIRECTED TO PAY RS.51,18,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
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| 131 |
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PAWANSUT SWAMI
(PAN:CCSPS3205B)
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SEACOAST SHIPPING SERVICES LTD.
PAN:AACCM2171R
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DID NOT DISCHARGE DUTY AS COMPANY SECRETARY AND/OR COMPLIANCE OFFICER VIOLATING REGULATIONS 6(2)(A) AND 6(2)(C) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEACOAST SHIPPING SERVICES LTD.
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RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 30-SEP-2024 UNTIL FURTHER ORDERS
30-SEP-2024
IMPOSED PENALTY RS.3,00,000
24-SEP-2025
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SAT: SAT VIDE ITS ORDER DATED 06/05/2025 EXTENDED TIME TILL 30/09/2025
SEBI VIDE ITS ORDER DATED 24/09/2025 A) IMPOSED PENALTY OF RS.3 LAC U/S 15HB OF SEBI ACT. AND PAY WITHIN FORTY-FIVE (45) DAYS FROM DATE OF RECEIPT OF THIS ORDER B) VACATED DEBARMENT DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 30/09/2024
SAT: SAT VIDE ITS ORDER DATED 12/01/2026 GRANTED RESPONDENT EIGHT WEEKS TO FILE REPLY AND REJOINDER IF ANY, BE FILED WITHIN FOUR WEEKS THEREAFTER. STAYED IMPUGNED ORDER SUBJECT TO APPELLANT DEPOSITING 50% PENALTY AMOUNT WITH RESPONDENT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
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| 132 |
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PINKESH ROHIT SHAH
(PAN:ABAPS2169R)
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RELIANCE HOME FINANCE LTD.
CIN:L67190MH2008PLC183216
PAN:AAECR0305E
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INDULGED IN SIPHONING OFF/DIVERSION OF FUNDS OF RHFL BY PROMOTERS AND MANAGEMENT AND RECEIPT OF MULTIPLE FRAUD MONITORING RETURNS (FMRS) FROM BANKS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(D), 4(1)(G) TO 4(1)(J), 4(2)(B) 4(2)(E), 23(2), 30(1), 30(7), 33(1) AND 51(1) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF RELIANCE HOME FINANCE LTD.
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DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-FEB-2022 UNTIL FURTHER ORDERS
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 11-FEB-2022 UNTIL FURTHER ORDERS
11-FEB-2022
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| 133 |
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PINTU ROY
(DIN:06395752)
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BASIL INTERNATIONAL LTD.
PAN:AACCB0938K
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MOBILIZED RS.9.35 CRORE FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 5,180 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 67(1) TO 67(3) AND 73(1) TO 73(3) OF COMPANIES ACT, 1956
MOBILIZED RS.9.35 CRORE FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 5,180 INVESTORS VIOLATING REGULATION 16(1) OF SEBI (ISSUE AND LISTING OF NCRPS) REGULATIONS, 2013
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DIRECTED TO REFUND MONEY COLLECTED THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) INCLUDING APPLICATION MONEY ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 29-FEB-2024 TO 28-FEB-2025
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO SUBMIT REPAYMENT REPORT TO SEBI CERTIFIED BY TWO INDEPENDENT CHARTERED ACCOUNTANTS WHO ARE IN PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 29-FEB-2024 TO 28-FEB-2025
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-FEB-2024 TO 28-FEB-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-FEB-2024 TO 28-FEB-2025
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 29-FEB-2024 TO 28-FEB-2025
29-FEB-2024
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SEBI VIDE ITS NOTICE DATED 15/04/2025 DIRECTED TO PAY RS.9,35,00,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
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| 134 |
|
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POOJA D.WADHAWAN
(PAN:AAJPB9268Q)
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WADHAWAN CONSOLIDATED HOLDINGS PVT.LTD.
PAN:AACCD2944F
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WADHAWAN GLOBAL CAPITAL LTD.
PAN:AAACW9811G
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WADHAWAN HOLDINGS PVT.LTD.
CIN:U74999MH2002PTC135601
PAN:AAACW5001G
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WADHAWAN RETAIL VENTURES PVT.LTD.
PAN:AAACW6632R
|
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INDULGED IN MANIPULATION/FALSIFICATION IN BOOKS OF ACCOUNTS VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO (D), 4(1) & 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DEWAN HOUSING FINANCE CORP.LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-SEP-2020 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-SEP-2020 TILL FURTHER ORDERS
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 20-SEP-2020 TILL FURTHER ORDERS
22-SEP-2020
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SEBI VIDE ITS ORDER DATED 22/10/2021 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 22/09/2020
SAT: SAT VIDE ITS ORDER DATED 13/09/2021 DISMISSED THE APPEAL
SEBI VIDE ITS ORDER DATED 10/03/2023 VACATED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 22/09/2020 READ WITH CONFIRMATORY ORDER DATED 22/10/2021
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| 135 |
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PORATHUR DEVASSY ANTONY
(PAN:AGJPD0248A)
|
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BRD SECURITIES LTD.
PAN:AAACB9980B
|
|
MOBILIZED RS.461.34 CRORE FROM PUBLIC THROUGH ISSUANCE OF NON-CONVERTIBLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT TO 1,20,701 INVESTORS VIOLATING SECTIONS 56, 60, 67(3) AND 73 OF THE COMPANIES ACT, 1956 (CORRESPONDING SECTIONS 26, 33, 40 AND 42 OF THE COMPANIES ACT, 2013) READ WITH SECTION 465 OF THE COMPANIES ACT, 2013 AND CLAUSES 2.1.4, 5.6.2, 2.5, 2.1.5, 5.4, 10.2, 6.0 TO 6.15, 2.1.1, 5.6A, 6.16 TO 6.33 AND CHAPTER X OF SEBI (DIP) GUIDELINES, 2000 AND REGULATIONS 4(2)(A), 4(2)(B), 4(2)(C), 4(2)(D), 4(3), 4(4), 5, 6, 7, 8, 9, 15 TO 19 AND 26 OF SEBI (ILDS) REGULATIONS, 2008
MOBILIZED RS.26.81 CRORE FROM PUBLIC THROUGH ISSUANCE OF BONDS/ SUBORDINATE DEBT INSTRUMENTS (SDIS) BY WAY OF PRIVATE PLACEMENT TO 2,578 INVESTORS VIOLATING SECTIONS 26, 33, 42 AND 40 OF THE COMPANIES ACT, 2013, RULE 14(2)(B) OF THE COMPANIES (PROSPECTUS AND ALLOTMENT OF SECURITIES) RULES, 2014 AND REGULATIONS 4(2)(A), 4(2)(B), 4(2)(C), 4(2)(D), 4(3), 4(4), 5, 6, 7, 8, 9, 15 TO 19 AND 26 OF SEBI (ILDS) REGULATIONS, 2008
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DIRECTED TO REFUND MONEY COLLECTED THROUGH OFFER AND ALLOTMENT OF BONDS/SDIS BY BRD SECURITIES LTD. ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
PERMITTED TO SELL ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
PERMITTED TO SELL ASSETS OF COMPANY FOR SOLE PURPOSE OF MAKING REFUNDS AND DEPOSIT PROCEEDS IN AN ESCROW ACCOUNT OPENED WITH NATIONALISED BANK
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 30-MAY-2024 TO 29-MAY-2026
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-MAY-2024 TO 29-MAY-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-MAY-2024 TO 29-MAY-2026
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-MAY-2024
|
SAT: SAT VIDE ITS ORDER DATED 18/11/2024 CONDONED THE DELAY OF 91 DAYS IN FILING OF APPEAL. ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANTS TO FILE REJOINDER WITHIN TWO WEEKS THEREAFTER
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| 136 |
|
|
PRAKASH KUMAR
(PAN:BVRPK8681G)
|
|
|
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EPROFITZONE FINCAP CONSULTANT PVT.LTD.
PAN:AAECE4442M
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 27-MAY-2022 TO 26-MAY-2024
DIRECTED TO CEASE & DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR RESEARCH ANALYST AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 27-MAY-2022 TO 26-MAY-2024
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 27-MAY-2022 TO 26-MAY-2024
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 27-MAY-2022 TO 26-MAY-2024
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-MAY-2022 TO 26-MAY-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-MAY-2022 TO 26-MAY-2024
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO SUBMIT LIST OF CLIENTS AND FEE COLLECTED FROM THEM
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 27-MAY-2022 TO 26-MAY-2024
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 27-MAY-2022 TO 26-MAY-2024
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO SUBMIT NUMBER AND DETAILS OF CLIENTS WHO HAVE AVAILED THEIR INVESTMENT ADVISORY SERVICES
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 27-MAY-2022 TO 26-MAY-2024
DIRECTED TO FURNISH REPORT TO SEBI DULY CERTIFIED BY CHARTERED ACCOUNTANT RESOLVED ALL COMPLAINTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 27-MAY-2022 TO 26-MAY-2024
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI FROM 27-MAY-2022 TO 26-MAY-2024
07-DEC-2020
|
SEBI VIDE ITS ORDER DATED 27/05/2022 DIRECTED TO A) REFUND THE MONEY RECEIVED FROM CLIENTS/INVESTORS, AS FEES OR CONSIDERATION OR IN ANY OTHER FORM, IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES WITHIN THREE MONTHS FROM DATE OF THIS ORDER B) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING MODALITIES FOR REFUND INCLUDING DETAILS OF CONTACT PERSON NAMES, ADDRESSES AND CONTACT DETAILS WITHIN 15 DAYS OF COMING FORCE OF THIS ORDER C) REPAYMENTS TO CLIENTS/INVESTORS SHALL BE EFFECTED ONLY THROUGH BANK DEMAND DRAFT OR PAY ORDER OR ELECTRONICS FUND TRANSFER D) PREVENTED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED. FURTHER, DIRECTED BANK TO ALLOW DEBIT ONLY FOR THE PURPOSE OF MAKING REFUNDS TO THE CLIENTS/INVESTORS/COMPLAINTS WHO WERE AVAILING THE INVESTMENT ADVISORY SERVICES E) RESOLVE ALL THE COMPLAINTS PENDING AGAINST THEM AND FILE REPORT OF SUCH RESOLUTION WITH SEBI WITHIN A PERIOD OF 30 DAYS FROM THE DATE OF THIS ORDER F) FILE REPORT OF SUCH COMPLETION WITH SEBI DULY CERTIFIED FROM INDEPENDENT CHARTERED ACCOUNTANTS G) DEBARRED FROM ACCESSING SECURITIES MARKET DIRECTLY OR INDIRECTLY AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR TWO YEARS FROM DATE OF THIS ORDER OR TILL EXPIRY OF TWO YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS H) RESTRAINED FROM ASSOCIATING WITH ANY COMPANY WHOSE SECURITIES ARE LISTED ON RECOGNIZED STOCK EXCHANGE AND ANY COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI ANY CAPACITY FOR PERIOD OF TWO YEARS FROM THE DATE OF THIS ORDER OR TILL EXPIRY OF TWO YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS I) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, INVESTMENT ADVISORY SERVICES OR ANY OTHER ACTIVITY IN THE SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI J) NOT TO DIVERT ANY FUNDS COLLECTED FROM INVESTORS, KEPT IN BANK ACCOUNT(S) AND/OR IN THEIR CUSTODY EXCEPT FOR THE PURPOSE OF REFUND K) NOT TO DISPOSE OFF OR ALIENATE ANY ASSETS, WHETHER MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE ON ANY OF SUCH ASSETS HELD THEIR NAME, INCLUDING MONEY LYING IN BANK ACCOUNTS EXCEPT FOR PURPOSE OF REFUND
SAT: SAT VIDE ITS ORDER DATED 25/08/2022 DISMISSED THE APPEAL. NO COSTS
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| 137 |
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PRAKASH SHYAMLAL RATHOD
(PAN:CTLPP8213L)
|
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AGRICH TRADERS
PAN:CTLPP8213L
|
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ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 23-JAN-2023 TO 22-JUL-2023
DIRECTED TO CEASE & DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR RESEARCH ANALYST AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 23-JAN-2023 TO 22-JUL-2023
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 23-JAN-2023 TO 22-JUL-2023
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 23-JAN-2023 TO 22-JUL-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 23-JAN-2023 TO 22-JUL-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-JAN-2023 TO 22-JUL-2023
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO SUBMIT NUMBER AND DETAILS OF CLIENTS WHO HAVE AVAILED THEIR INVESTMENT ADVISORY SERVICES
DIRECTED TO SUBMIT LIST OF CLIENTS AND FEE COLLECTED FROM THEM
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 23-JAN-2023 TO 22-JUL-2023
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 23-JAN-2023 TO 22-JUL-2023
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO DEACTIVATE ACCOUNT WITH PAYMENT GATEWAY PAYUMONEY/PHONEPE/PAYTM ETC.
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 23-JAN-2023 TO 22-JUL-2023
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 23-JAN-2023 TO 22-JUL-2023
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI FROM 23-JAN-2023 TO 22-JUL-2023
15-DEC-2020
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SEBI VIDE ITS ORDER DATED 23/01/2023 DIRECTED TO A) REFUND THE MONEY RECEIVED FROM CLIENTS/INVESTORS/COMPLAINANT AS FEES OR CONSIDERATION OR IN ANY OTHER FORM IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES B) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING MODALITIES FOR REFUND INCLUDING DETAILS OF CONTACT PERSON NAMES, ADDRESSES AND CONTACT DETAILS C) REPAY TO CLIENTS/INVESTORS ONLY THROUGH BANK DEMAND DRAFT OR PAY ORDER OR ELECTRONICS FUND TRANSFER D) FILE REPORT OF SUCH COMPLETION WITH SEBI DULY CERTIFIED FROM INDEPENDENT CHARTERED ACCOUNTANT E) REMAINING BALANCE AMOUNT DEPOSITED WITH SEBI TO BE KEPT IN AN ESCROW ACCOUNT FOR ONE YEAR FOR DISTRIBUTION TO CLIENTS/INVESTORS F) RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED. FURTHER, DIRECTED BANK TO ALLOW DEBIT ONLY FOR THE PURPOSE OF MAKING REFUNDS TO THE CLIENTS/INVESTORS, WHO WERE AVAILING THE INVESTMENT ADVISORY SERVICES G) RESOLVE ALL THE COMPLAINTS PENDING AGAINST THEM AND FILE REPORT OF SUCH RESOLUTION WITH SEBI WITHIN 30 DAYS FROM DATE OF THIS ORDER H) DEBARRED FROM ACCESSING SECURITIES MARKET DIRECTLY AND INDIRECTLY AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR SIX MONTHS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS/CLIENTS I) RESTRAINED FROM ASSOCIATING WITH ANY COMPANY WHOSE SECURITIES ARE LISTED ON A RECOGNIZED STOCK EXCHANGE AND ANY COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI IN ANY CAPACITY FOR SIX MONTHS FROM DATE OF THIS ORDER OR TILL EXPIRY OF SIX MONTHS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS J) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN THE SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI K) NOT TO DIVERT ANY FUNDS COLLECTED FROM INVESTORS, KEPT IN BANK ACCOUNT(S) AND/OR IN THEIR CUSTODY EXCEPT FOR THE PURPOSE OF REFUND L) NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, WHETHER MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE ON ANY OF SUCH ASSETS HELD THEIR NAME, INCLUDING MONEY LYING IN BANK ACCOUNTS EXCEPT FOR PURPOSE OF REFUND
SEBI VIDE ITS NOTICE DATED 19/01/2024 DIRECTED TO PAY RS.1,42,71,101.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
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| 138 |
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PRASAD PUNNOOSE
(PAN:AGBPP0338F)
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BRD SECURITIES LTD.
PAN:AAACB9980B
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MOBILIZED RS.461.34 CRORE FROM PUBLIC THROUGH ISSUANCE OF NON-CONVERTIBLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT TO 1,20,701 INVESTORS VIOLATING SECTIONS 56, 60, 67(3) AND 73 OF THE COMPANIES ACT, 1956 (CORRESPONDING SECTIONS 26, 33, 40 AND 42 OF THE COMPANIES ACT, 2013) READ WITH SECTION 465 OF THE COMPANIES ACT, 2013 AND CLAUSES 2.1.4, 5.6.2, 2.5, 2.1.5, 5.4, 10.2, 6.0 TO 6.15, 2.1.1, 5.6A, 6.16 TO 6.33 AND CHAPTER X OF SEBI (DIP) GUIDELINES, 2000 AND REGULATIONS 4(2)(A), 4(2)(B), 4(2)(C), 4(2)(D), 4(3), 4(4), 5, 6, 7, 8, 9, 15 TO 19 AND 26 OF SEBI (ILDS) REGULATIONS, 2008
MOBILIZED RS.26.81 CRORE FROM PUBLIC THROUGH ISSUANCE OF BONDS/ SUBORDINATE DEBT INSTRUMENTS (SDIS) BY WAY OF PRIVATE PLACEMENT TO 2,578 INVESTORS VIOLATING SECTIONS 26, 33, 42 AND 40 OF THE COMPANIES ACT, 2013, RULE 14(2)(B) OF THE COMPANIES (PROSPECTUS AND ALLOTMENT OF SECURITIES) RULES, 2014 AND REGULATIONS 4(2)(A), 4(2)(B), 4(2)(C), 4(2)(D), 4(3), 4(4), 5, 6, 7, 8, 9, 15 TO 19 AND 26 OF SEBI (ILDS) REGULATIONS, 2008
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RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 30-MAY-2024 TO 29-MAY-2026
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-MAY-2024 TO 29-MAY-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-MAY-2024 TO 29-MAY-2026
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-MAY-2024
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SAT: SAT VIDE ITS ORDER DATED 18/11/2024 CONDONED THE DELAY OF 91 DAYS IN FILING OF APPEAL. ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANTS TO FILE REJOINDER WITHIN TWO WEEKS THEREAFTER
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| 139 |
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PRIYA BHALLA
(PAN:AGPPB9884L)
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URJA GLOBAL LTD.
PAN:AAACC0367M
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ISSUED FALSE AND MISLEADING CORPORATE ANNOUNCEMENTS IN MATTER OF URJA GLOBAL LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-MAY-2022 TO 12-MAY-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-MAY-2022 TO 12-MAY-2024
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 13-MAY-2022 TO 12-MAY-2024
13-MAY-2022
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SAT: SAT VIDE ITS ORDER DATED 04/01/2023 DISMISSED THE APPEAL
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| 140 |
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PRIYADARSHAN B.MEHTA (AKA.P.B.MEHTA)
(PAN:AAYPM2209B)
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DID NOT INFORM STOCK EXCHANGE ABOUT ACCOUNT CHARGE AGREEMENT WITH BANCO FOR SUBSCRIPTION OF GDRS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF STERLING BIOTECH LTD.
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RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 22-JUN-2021 TO 21-JUN-2024
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 22-JUN-2021 TO 21-JUN-2024
22-JUN-2021
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SAT: SAT VIDE ITS ORDER DATED 30/08/2021 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 22/06/2021
SAT: SAT VIDE ITS ORDER DATED 28/10/2021 DISMISSED THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 08/03/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER
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