| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1421 |
|
SITABEN PATEL
(PAN:BCQPP6397E)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF SHREE SURGOVIND TRADELINK LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-JUN-2014
|
COMPANY VIDE DEMAND DRAFT NO.728877 DATED 22/12/2014 FOR RS.6,00,000.00 DRAWN ON TAMILNAD MERCANTILE BANK HAS PAID THE PENALTY AMOUNT TO SEBI
|
| 1422 |
|
|
SITARAM LAHOTI
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(1) READ WITH 13(2) OF SAST REGULATIONS, 2011 IN MATTER OF SERVOTECH ENGINEERING INDUSTRIES LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
23-JAN-2015
|
|
| 1423 |
|
|
SMINU JINDAL
(PAN:AAGPJ1586N)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING FOR CHANGE OF MORE THAN 2% OF TOTAL SHAREHOLDING OF MS.URVI JINDAL ALONG WITH PERSONS ACTING IN CONCERT (PACS) VIOLATING REGULATION 29(2) OF SAST REGULATION, 2022 IN MATTER OF SHALIMAR PAINTS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,04,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
13-MAR-2025
|
|
| 1424 |
|
|
SNEHAL AJITBHAI PATEL
(PAN:ACIPP6141R)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF AROMA ENTERPRISES (INDIA) LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.7,98,273 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
22-DEC-2017
|
|
| 1425 |
|
|
SNEHAL BHARATBHAI PATEL
(PAN:BJBPP1597A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF OASIS TRADELINK LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF GALA GLOBAL PRODUCTS LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF OASIS TRADELINK LTD.
|
IMPOSED PENALTY RS.3,00,000
03-NOV-2020
|
SEBI VIDE ITS ORDER DATED 09/03/2021 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
SAT: SAT VIDE ITS ORDER DATED 05/10/2021 CONDONED THE DELAY OF 252 DAYS IN FILING OF APPEAL AND ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 01/02/2022 DISMISSED REVIEW APPLICATIONS. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 08/04/2022 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
SEBI VIDE ITS NOTICE DATED 25/11/2024 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 09/03/2021
SEBI VIDE ITS NOTICE DATED 25/11/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.3337 OF 2021 DATED 09/03/2021
|
| 1426 |
|
|
SOHAM NARENDRASINH CHAUHAN
(PAN:BUVPC6411K)
(Along with : NARENDRASINH J.CHAUHAN,
RANJITSINH GAMBHIRSINH SOLANKI,
JAGRUTIBEN N.CHAUHAN,
JIGNASHA RANJITSINH SOLANKI,
VILASBEN ASHOKKUMAR PARMAR,
KAJAL JITENDRAKUMAR CHAUHAN,
JITENDRAKUMAR J.CHAUHAN)
|
|
|
|
SHUBHLAXMI JEWEL ART LTD.
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF SHUBHLAXMI JEWEL ART LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
21-MAY-2026
|
SEBI VIDE ITS NOTICE DATED 27/07/2026 DIRECTED TO PAY RS.10,31,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 21/08/2026 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 NOTICE DATED 28/08/2026 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 21/08/2026
SEBI VIDE ITS ORDER DATED 28/08/2026 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.9246 OF 2026 DATED 27/07/2026
|
| 1427 |
|
|
SOHAN C.MEHTA
|
|
|
DELAYED DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF FORTUNE FINANCIAL SERVICES (INDIA) LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-SEP-2021
|
|
| 1428 |
|
|
SOHIL SETHI
(PAN:AUAPS1786M)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(1) READ WITH 3(3) OF SAST REGULATIONS, 2011 IN MATTER OF BERYL SECURITIES LTD.
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2018
|
SAT: APPEAL DISMISSED
|
| 1429 |
|
|
SOHIL SETHI
(PAN:AUAPS1786M)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(1) READ WITH 3(3) OF SAST REGULATIONS, 2011 IN MATTER OF BERYL SECURITIES LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
24-AUG-2017
|
SAT: SAT VIDE ITS ORDER DATED 06/11/2017 ALLOWED APPEAL TO BE WITHDRAWN WITH LIBERTY TO FILE FRESH APPEAL WITHIN A PERIOD OF EIGHT WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 02/02/2018 ALLOWED APPEAL TO BE WITHDRAWN. NO COSTS
|
| 1430 |
|
|
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
|
|
| 1431 |
|
|
SOMABHAI V.PATEL
(PAN:AGLPP3630Q)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF SHREE SURGOVIND TRADELINK LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-JUN-2014
|
COMPANY VIDE DEMAND DRAFT NO.728877 DATED 22/12/2014 FOR RS.6,00,000.00 DRAWN ON TAMILNAD MERCANTILE BANK HAS PAID THE PENALTY AMOUNT TO SEBI
|
| 1432 |
|
|
SOMAYAJI PADMANABHAN SRIHARI
(PAN:AFJPS1694C)
(Along with : SUDARSHAN VENKATRAMAN,
RAMANUJAM SHESHARATHNAM,
PARTHASARATHY SRIKANTH,
SRIKANTH SRIPRIYA)
|
|
|
|
STHITHI INSURANCE SERVICES PVT.LTD.
PAN:AAKCS6316E
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT VIOLATING SECTION 12A(F) OF SEBI ACT, 1992 AND REQUIRED UNDER REGULATION 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF ZYLOG SYSTEMS LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
24-NOV-2020
|
SAT: SAT VIDE ITS ORDER DATED 25/06/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 21/04/2023 DIRECTED APPELLANT TO FILE WRITTEN NOTE WITHIN THREE WEEKS FROM DATE OF THIS ORDER
|
| 1433 |
|
|
SOMBHAI VIRDAS PATEL
(PAN:AGLPP3630Q)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF SHREE SURGOVIND TRADELINK LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-JUN-2014
|
COMPANY VIDE DEMAND DRAFT NO.728877 DATED 22/12/2014 FOR RS.6,00,000.00 DRAWN ON TAMILNAD MERCANTILE BANK HAS PAID THE PENALTY AMOUNT TO SEBI
|
| 1434 |
|
|
SONAL NISHIT SHAH
(PAN:AGSPS6048N)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) READ WITH REGULATION 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF GLOBAL SECURITIES LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAY-2013
|
|
| 1435 |
|
|
SONIYA SETHI
(PAN:AERPS2182Q)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(1) READ WITH 3(3) OF SAST REGULATIONS, 2011 IN MATTER OF BERYL SECURITIES LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
24-AUG-2017
|
SAT: SAT VIDE ITS ORDER DATED 06/11/2017 ALLOWED APPEAL TO BE WITHDRAWN WITH LIBERTY TO FILE FRESH APPEAL WITHIN A PERIOD OF EIGHT WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 02/02/2018 ALLOWED APPEAL TO BE WITHDRAWN. NO COSTS
|
| 1436 |
|
|
SONIYA SETHI
(PAN:AERPS2182Q)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(1) READ WITH 3(3) OF SAST REGULATIONS, 2011 IN MATTER OF BERYL SECURITIES LTD.
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2018
|
SAT: APPEAL DISMISSED
|
| 1437 |
|
|
SOURABH H.BORA
(PAN:ADIPB7693R)
(Along with : RAKHI S.BORA)
|
|
|
|
SOURABH H.BORA (HUF)
PAN:AKFPB3102P
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF MAHAN INDUSTRIES LTD.
|
IMPOSED PENALTY RS.2,50,000 ALONG WITH OTHER ENTITIES/PERSONS
30-NOV-2015
|
SEBI VIDE ITS NOTICE DATED 29/02/2016 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 04/03/2016 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS/LOCKERS/DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 29/02/2016
|
| 1438 |
|
|
SRIKANTH SRIPRIYA
(PAN:AZAPS0630H)
(Along with : SUDARSHAN VENKATRAMAN,
RAMANUJAM SHESHARATHNAM,
PARTHASARATHY SRIKANTH,
SOMAYAJI PADMANABHAN SRIHARI)
|
|
|
|
STHITHI INSURANCE SERVICES PVT.LTD.
PAN:AAKCS6316E
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT VIOLATING SECTION 12A(F) OF SEBI ACT, 1992 AND REQUIRED UNDER REGULATION 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF ZYLOG SYSTEMS LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
24-NOV-2020
|
SAT: SAT VIDE ITS ORDER DATED 25/06/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 21/04/2023 DIRECTED APPELLANT TO FILE WRITTEN NOTE WITHIN THREE WEEKS FROM DATE OF THIS ORDER
|
| 1439 |
|
|
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
|
| 1440 |
|
|
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
|
| 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 72 of 84
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