| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1401 |
|
SOHAN LAL JHALANI
(PAN:ABUPJ0262A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 1402 |
|
|
SOHESH PRAKASH SHAH
(PAN:AMHPS7250B)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES IN STIPULATED TIME AS REQUIRED UNDER REGULATIONS 7(1), 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF DJS SHARES & STOCKS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO SEBI IN STIPULATED TIME AS REQUIRED UNDER REGULATION 3(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF DJS SHARES & STOCKS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF DJS SHARES & STOCKS LTD.
|
IMPOSED PENALTY RS.4,00,000
08-MAY-2013
|
|
| 1403 |
|
|
SOHNI DIPAK TANNA
(PAN:ACEPT3611J)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF LOOKS HEALTH SERVICES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF LOOKS HEALTH SERVICES LTD.
|
IMPOSED PENALTY RS.4,50,000
22-NOV-2017
|
|
| 1404 |
|
|
SOMABHAI SUNDERBHAI MEENA
(DIN:05138990
PAN:BFYPM1247K)
|
|
|
|
AADHAAR VENTURES INDIA LTD.
PAN:AABCP4155F
|
|
DID NOT MAKE DISCLOSURE OF PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES VIOLATING CLAUSES 2.0, 2.1, 3.2 AND 7.0(II) OF SCHEDULE II CODE OF CORPORATE DISCLOSURE PRACTICES FOR PREVENTION OF INSIDER TRADING READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF AADHAAR VENTURES INDIA LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-AUG-2022
|
SEBI VIDE ITS NOTICE DATED 31/01/2024 DIRECTED TO PAY RS.5,91,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 18/09/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7552 OF 2024 DATED 31/01/2024
|
| 1405 |
|
|
SONIA GARWARE
(PAN:AADPG5422B)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF GARWARE POLYSTER LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF GARWARE POLYSTER LTD.
|
IMPOSED PENALTY RS.11,00,000
15-JAN-2021
|
SAT: SAT VIDE ITS ORDER DATED 22/06/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER. INTERIM ORDER, IF ANY, EXTENDED TILL THE NEXT DATE OF LISTING
SAT: SAT VIDE ITS ORDER DATED 09/08/2021 ALLOWED THE APPEAL AND QUASHED THE IMPUGNED ORDER DATED 15/01/2021
|
| 1406 |
|
|
SONIA SETHI
(PAN:AERPS2182Q)
|
|
|
|
BERYL DRUGS LTD.
PAN:AABCB2664H
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF BERLY DRUGS LTD.
|
IMPOSED PENALTY RS.1,00,000
15-JAN-2018
|
|
| 1407 |
|
|
SONIA UPPAL
|
|
|
ALLEGED INDULGENCE IN DEALING WITH EITHER ON HIS OWN BEHALF OR ON BEHALF OF ANY OTHER PERSON VIOLATING REGULATION 3(I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN SCRIP OF LAKSHMI ENERGY & FOODS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.13,32,000, ADMINISTRATION CHARGES RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-APR-2009
|
|
| 1408 |
|
|
SORABH RAKESH JAIN
(PAN:AHUPJ0555C)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4) READ WITH 13(4A) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF SRK INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
26-AUG-2020
|
|
| 1409 |
|
|
SOUMITRA TRIVEDI
(PAN:ACYPT9330Q)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF DWITIYA TRADING LTD.
|
IMPOSED PENALTY RS.12,00,000 ALONG WITH OTHER ENTITIES/PERSONS
24-MAR-2021
|
SAT: SAT VIDE ITS ORDER DATED 14/07/2021 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. IN THE MEANWHILE, IF THE APPELLANT DEPOSIT 50% OF PENALTY AMOUNT AS PER IMPUGNED ORDER, BALANCE AMOUNT SHALL NOT BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 07/09/2021 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 10/12/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 29/07/2022 DISMISSED THE APPEAL. NO COSTS
|
| 1410 |
|
|
SOURA SEKHAR SAHA
(PAN:BNUPS0753A)
|
|
|
TRADED ON THE BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(I), 3(II) AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SHELTER INFRA PROJECTS LTD.
|
IMPOSED PENALTY RS.20,00,000
07-MAR-2014
|
SAT: APPEAL DISMISSED. NO COSTS
|
| 1411 |
|
|
SRAVANTHI YAKKANTI
(PAN:ACEPY9948F)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A (D) & (E) OF SEBI ACT, 1992 AND REGULATIONS 3 AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ICSA (INDIA) LTD.
VIOLATED REGULATION 3(C) AND (D) OF SEBI (PFUTP) REGULATIONS READ WITH SECTION 12A (B) AND (C) OF SEBI ACT, 1992
|
IMPOSED PENALTY RS.40,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
15-OCT-2015
|
SAT: SAT VIDE ITS ORDER DATED 12/07/2019 AFFIRMED PENALTY OF RS.40 CRORES U/S 15G & 15HA OF SEBI ACT FOR INDSIDER TRADING
|
| 1412 |
|
|
SREERAM V.MANGALAPALLI
(PAN:ADPPM5088C)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ARUNJYOTI ENTERPRISES LTD.
|
IMPOSED PENALTY RS.5,00,000
28-MAR-2014
|
SAT: APPEAL DISMISSED. NO COSTS
SEBI VIDE ITS NOTICE DATED 23/10/2017 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
SEBI VIDE ITS ORDER DATED 29/01/2018 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 23/10/2017
|
| 1413 |
|
|
SREERAM V.MANGALAPALLI
(PAN:ADPPM5088C)
|
|
|
ENTERED INTO OFF-MARKET TRANSACTION BUT THE PAYMENTS MADE WERE NOT AS PER SECTIONS 2(I) READ WITH SECTION 13 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF TAAZA INTERNATIONAL LTD. (FORMERLY KNOWN AS ARUNJYOTI ENTERPRISE LTD.)
|
IMPOSED PENALTY RS.50,000
09-NOV-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 1414 |
|
|
SRINIVAS MULLAPUDI
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) AND 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF LOKESH MACHINES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,10,375 VIDE CONSENT ORDER)
29-JAN-2018
|
|
| 1415 |
|
|
SRINIVAS NADUPALLI
(PAN:ABKPN8799A)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) OF SAST REGULATIONS, 2011 IN MATTER OF SANKHYA INFOTECH LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SANKHYA INFOTECH LTD.
|
IMPOSED PENALTY RS.2,00,000
26-MAR-2019
|
SEBI VIDE ITS NOTICE DATED 11/03/2020 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 01/10/2020 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 11/03/2020
|
| 1416 |
|
|
SRINIVASA RAO MARUPUDI
(PAN:ACQPM0876L)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF VENUS POWER VENTURES (INDIA) LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3) AND 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF VENUS POWER VENTURES (INDIA) LTD.
|
IMPOSED PENALTY RS.2,00,000
12-NOV-2021
|
SEBI VIDE ITS ORDER DATED 09/06/2026 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS, MUTUAL FUNDS FOLIOS AND/OR POST OFFICE ACCOUNT 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 30/06/2026 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4724 OF 2022 DATED 04/05/2022
|
| 1417 |
|
|
SRINIVASA RAO MARUPUDI
(PAN:ACQPM0876L)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF VENUS POWER VENTURES (INDIA) LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1), 13(3) AND 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF VENUS POWER VENTURES (INDIA) LTD.
|
IMPOSED PENALTY RS.16,50,000
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 12/07/2018 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
|
| 1418 |
|
|
SRIVIDYA SHANKAR
(PAN:ABPPS0154D)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ING VYSYA BANK LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,24,750 VIDE CONSENT ORDER)
16-DEC-2016
|
|
| 1419 |
|
|
STUTHI REDDY
(PAN:BVCPR0035E)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1) AND 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PALRED TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.1,00,000
30-MAY-2019
|
|
| 1420 |
|
|
SUBASH CHANDRA GUPTA
(PAN:AGKPG7678J)
(Along with : AJAY SHANKARLAL BANKDA,
JYOTI BANKDA,
J.C.PALIWAL,
ATUL THAPLIYAL,
NAVEEN SOOD)
|
|
|
DID NOT ADOPT CODE OF CONDUCT VIOLATING CLAUSE 1.2 READ WITH REGULATIONS 12(1) AND 12(3) PART A OF SCHEDULE I OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SYNCOM HEALTHCARE LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-NOV-2017
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 71 of 82
|
