| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1421 |
|
SUBASH CHANDRAN
(PAN:AAHPC0075G)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHAGES AS REQUIRED UNDER REGULATION 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SATYAM COMPUTER SERVICES LTD.
|
IMPOSED PENALTY RS.50,000
23-JUL-2013
|
|
| 1422 |
|
|
SUBBARATHNAM RAVI
(PAN:ADEPR0817K)
|
|
|
|
FALCON TYRES LTD.
CIN:L25114KA1973PLC002455
PAN:AAACF7258E
|
|
DID NOT ADHERE TO CODE OF INTERNAL PROCEDURES AND CONDUCT AS REQUIRED UNDER CLAUSE 1.2 OF MODEL CODE OF CONDUCT SPECIFIED UNDER PART A OF SCHEDULE I READ WITH REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF FALCON TYRES LTD.
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-FEB-2014
|
SAT: SAT VIDE ITS ORDER DATED 11/02/2016 QUASHED AND SET ASIDED THE ORDER DATED 26/02/2004 RESTORED THE MATTER TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
SEBI VIDE ITS ORDER DATED 27/03/2017 RE-IMPOSED PENALTY OF RS.1,00,00,000 U/S 15HB OF SEBI ACT ON THE NOTICEES FALCON TYRES LTD., MR.PAWAN KUMAR RUIA, MR.SUBBARATHNAM RAVI, MR.SUNIL BHANSALI AND MR.MAHAVEER CHAND BHANSALI
SEBI VIDE ITS NOTICE DATED 29/08/2017 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 NOTICE DATED 11/01/2019 DIRECTED PUNJAB NATIONAL BANK, ICICI BANK LTD. AND HDFC BANK LTD. TO RELEASE FIFTY PERCENT (50%) OF BALANCE AVAILABLE AS ON DATE OF ATTACHMENT ORDER DATED I.E. 29/08/2017. FURTHER, DIRECTED BANKS TO NOT TO DEBIT IN THIS ACCOUNT UNTIL FURTHER ORDERS FROM RECOVERY OFFICER
SEBI VIDE ITS ORDER DATED 06/06/2019 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 29/08/2017
|
| 1423 |
|
|
SUBHASH BAHL
(PAN:AEDPB6810Q)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF NETWORK 18 MEDIA & INVESTMENT LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1), 13(3) AND 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF NETWORK 18 MEDIA & INVESTMENT LTD.
ALLEGED DELAY IN COMPLIANCE OF CLAUSE 35 OF LISTING AGREEMENT READ WITH REGULATIONS 31(1) AND 103(1) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 IN MATTER OF NETWORK 18 MEDIA & INVESTMENT LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.31,60,374 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-AUG-2018
|
|
| 1424 |
|
|
SUBHASH GANU BHOIR
(PAN:AGJPB9142R)
|
|
|
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
|
| 1425 |
|
|
SUBHASHCHANDRA OMKARMAL AGARWAL
(PAN:AAPPA7696D)
(Along with : CHAMPALAL GOPIRAM AGARWAL,
SHANKARLAL GOPIRAM AGARWAL)
|
|
|
|
OMKAR OVERSEAS LTD.
PAN:AAACO1827C
|
|
DID NOT CLOSE TRADING WINDOW PRIOR TO MAKING FINANCIAL RESULTS PUBLIC VIOLATING CLAUSES 3.2,1.2 AND 2.1 OF CODE OF CONDUCT AS SPECIFIED IN PART A OF SCHEDULE I READ WITH REGULATIONS 12(1) AND 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF OMKAR OVERSEAS LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
20-AUG-2018
|
|
| 1426 |
|
|
SUBHASHCHANDRA OMKARMAL AGARWAL
(PAN:AAPPA7696D)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF OMKAR OVERSEAS LTD.
|
IMPOSED PENALTY RS.2,00,000
14-AUG-2018
|
|
| 1427 |
|
|
SUCHARITA DAS
(PAN:AGSPD1209Q)
|
|
|
|
ORISSA MINERALS DEVELOPMENT CO.LTD.,THE
CIN:L51430WB1918GOI003026
|
|
DELAY IN DISSEMINATION OF PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES VIOLATING CLAUSE 2.1 OF CODE OF CORPORATE DISCLOSURE PRACTICES FOR PREVENTION OF INSIDER TRADING IN SCHEDULE II TO REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ORISSA MINERALS DEVELOPMENT CO.LTD.,THE
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
20-AUG-2020
|
|
| 1428 |
|
|
SUCHITRA DHANANI
(DIN:00712187
PAN:ACTPD1159Q)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SAYAJI HOTELS LTD.
|
IMPOSED PENALTY RS.5,00,000
28-MAR-2018
|
SAT: SAT VIDE ITS ORDER DATED 20/10/2019 SEBI GRANTED APPROVAL IN TERMS OF REGULATION 24(2) OF SETTLEMENT REGULATIONS. NO COSTS
|
| 1429 |
|
|
SUCHITRA MURALI BALAKRISHNAN
(PAN:AANPM0944L)
|
|
|
DELAY IN MAKING 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 HYDRO S&S INDUSTRIES LTD.
|
IMPOSED PENALTY RS.2,00,000
29-OCT-2015
|
SAT: SAT VIDE ITS ORDER DATED 17/03/2016 QUASHED AND SET ASIDED IMPUGNED ORDER AND RESTORED THE MATTER TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
SEBI VIDE ITS ORDER DATED 14/08/2017 RE-IMPOSED PENALTY OF RS.2 LACS U/S 15A(B) OF SEBI ACT
SAT: SAT VIDE ITS ORDER DATED 02/07/2019 PARTLY ALLOWED. QUASHED AND SET ASIDED PENALTY IMPOSED U/S REGULATION 29(2) READ WITH 29(3) OF TAKEOVER REGULATIONS, 2011 AND AFFIRMED PENALTY U/S REGULATIONS 13(3) AND 13(4A) READ WITH 13(5) OF PIT REGULATIONS. DIRECTED TO PAY PENALTY WITHIN SIX WEEKS FROM DATE OF THIS ORDER
|
| 1430 |
|
|
SUDARSHAN SRINIVASAN
|
|
|
|
IQ INFOTECH LTD.
CIN:L31909KA1985PLC006990
|
|
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
DID NOT FRAME CODE OF INTERNAL PROCEDURE AND CONDUCT AS REQUIRED UNDER REGULATIONS 12(1) AND 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-DEC-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 1431 |
|
|
SUDARSHAN TAPARIA
(PAN:ABVPT7624B)
|
|
|
DID NOT OBTAIN PRE-CLEARANCE OF OPPOSITE TRANSACTION EXECUTED WITHIN SIX MONTHS VIOLATING REGULATION 12(3) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF IN MATTER OF TULSI EXTRUSIONS LTD.
|
IMPOSED PENALTY RS.1,00,000
27-APR-2021
|
SEBI VIDE ITS NOTICE DATED 18/07/2022 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 04/08/2022 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 18/07/2022
|
| 1432 |
|
|
SUDHA DATTATRAY ASHTEKAR
(PAN:AAWPA8894L)
|
|
|
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
|
| 1433 |
|
|
SUDHA GUPTA
(PAN:ABFPG9121L)
|
|
|
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 USG TECH SOLUTIONS LTD.
|
IMPOSED PENALTY RS.1,00,000
27-DEC-2021
|
|
| 1434 |
|
|
SUDHAKAR PENDSE
|
|
|
|
NALINI PROPERTIES PVT.LTD.
|
|
DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3 A OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
DISMISSED
THE MATTER IS DISPOSED OFF AS COMPOUNDED
|
| 1435 |
|
|
SUDHINDER KUMAR
(PAN:ABNPS0846A)
|
|
|
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
|
| 1436 |
|
|
SUDHIR PRABHAKAR PATHAK
(PAN:ACJPP8388H)
|
|
|
DID NOT MAKE 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 MAHINDRA & MAHINDRA LTD.
|
IMPOSED PENALTY RS.2,00,000
28-APR-2014
|
SAT: APPEAL ALLOWED TO BE WITHDRAWN. NO COSTS
|
| 1437 |
|
|
SUDHIR V.VALIA
|
|
|
ALLEGED VIOLATION OF INTERNAL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FRAMED BY COMPANY IN TERMS OF REGULATION 12(2) READ WITH 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SUN PHARMACEUTICAL INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.18,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
10-AUG-2017
|
|
| 1438 |
|
|
SUJAL SHARMA
|
|
|
|
MAN INDUSTRIES (INDIA) LTD.
CIN:L99999MH1988PLC047408
PAN:AAACM2675G
|
|
DELAY IN DISSEMINATION OF PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES VIOLATING REGULATION 12(2) & (3) READ WITH CLAUSE 2.1 OF SCHEDULE II OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MAN INDUSTRIES (INDIA) LTD.
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-MAR-2014
|
SAT: SAT VIDE ITS ORDER DATED 26/07/2016 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS NOTICE DATED 12/03/2025 DIRECTED TO PAY RS.58,26,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 03/06/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.8674 OF 2025 DATED 12/03/2025
|
| 1439 |
|
|
SUJATA PAREKH KUMAR
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ORICON ENTERPRISES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
31-OCT-2017
|
|
| 1440 |
|
|
SUJATHA SHETH
(PAN:AAIPS6241H)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 10(6) OF SAST REGULATIONS, 2011 IN MATTER OF SHARP INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SHARP INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1), 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SHARP INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 12(1) AND 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHARP INDUSTREIS LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
06-SEP-2017
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 72 of 82
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