| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1441 |
|
SUJAY AJITKUMAR HAMLAI
(PAN:ABIPH4273M)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 12A (D) AND (E) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF DEEP INDUSTRIES LTD.
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DEEP INDUSTRIES LTD.
|
DIRECTED TO DISGORGE RS.18,19,711
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
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 OWNED BY COMPANY
16-APR-2018
|
|
| 1442 |
|
|
SULOCHANADEVI ANILKUMAR AGARWAL
(PAN:AABPA9575D)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(1)(B) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 IN MATTER OF FIBREWEB INDIA LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF FIBREWEB INDIA LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF FIBREWEB INDIA LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-SEP-2017
|
|
| 1443 |
|
|
SUMAN JAIN
|
|
|
|
GHCL LTD.
PAN:AAACG5609C
|
|
FILED FALSE AND MISLEADING REPORT ON SHAREHOLDING PATTERN WITH THE STOCK EXCHANGES
DID NOT MAKE DISCLOSURE OF SALE/TRANSFER OF SHARES OF PROMOTERS IN MATTER OF GHCL LTD.
MISLED INVESTORS BY GIVING FALSE SHAREHOLDING OF PROMOTERS OF GHCL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-APR-2009 TILL FURTHER ORDERS
20-APR-2009
|
INTERIM DIRECTIONS ISSUED VIDE EX-PARTE AD-INTERIM ORDER DATED 20/04/2009 VACATED AS PER ORDER DATED 07/07/2009
|
| 1444 |
|
|
SUMAN LAKHANI
(PAN:AAGPL7939R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3), 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF LAKHANI INDIA LTD.
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 LAKHANI INDIA LTD.
|
IMPOSED PENALTY RS.2,00,000
08-MAR-2018
|
|
| 1445 |
|
|
SUMEET SUBHASH BHOIR
(PAN:AMNPB9491R)
|
|
|
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
|
| 1446 |
|
|
SUMESH PARASRAMPURIA
(PAN:AABPP7217P)
|
|
|
DID NOT OBTAIN PRE-CLEARANCE FOR HIS TRADES VIOLATING CLAUSE 3.3.1 OF MODEL CODE OF CONDUCT UNDER PART A OF SCHEDULE I READ WITH REGULATION 12(1) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF MULTI COMMODITY EXCHANGE OF INDIA LTD.
|
IMPOSED PENALTY RS.5,00,000
20-MAR-2020
|
|
| 1447 |
|
|
SUMIT SURESHCHANDRA GOYAL
|
|
|
VIOLATED SECTION 11 (1) OF SEBI TAKEOVER CODE, 1997
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 FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 11/05/2012 NOTICEES RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES FOR A PERIOD OF TWO YEARS I.E. DATED 11/05/2012 TO 10/05/2014
|
| 1448 |
|
|
SUMITRA CHOPRA
(PAN:AFHPS5880C)
|
|
|
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
|
| 1449 |
|
|
SUNDERRAJAN RAJGOPALAN AVUUR
(PAN:ABQPA5672D)
|
|
|
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
|
|
| 1450 |
|
|
SUNDERRAJAN RAJGOPALAN AVUUR
(PAN:ABQPA5672D)
|
|
|
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
|
| 1451 |
|
|
SUNIL AJMERA
|
|
|
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
|
|
| 1452 |
|
|
SUNIL BHANSALI
(PAN:AKRPB5641H)
|
|
|
|
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 ICICI BANK TO RELEASE FIFTY PERCENT (50%) OF BALANCE AVAILABLE IN ACCOUNT NO.625501521144 IN THE NAME OF NOTICEE TO MS.NAMITA BHANSALI. FURTHER, DIRECTED BANK 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
|
| 1453 |
|
|
SUNIL DADHA
(PAN:AGHPD2867P)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SMS TECHSOFT (INDIA) LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SMS TECHSOFT (INDIA) LTD.
|
IMPOSED PENALTY RS.2,00,000
28-SEP-2018
|
|
| 1454 |
|
|
SUNIL GOKHALE
(PAN:AHPPG9709A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING AS REQUIRED UNDER REGULATION 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF BAJAJ FINANCE LTD.
|
IMPOSED PENALTY RS.2,00,000
29-NOV-2013
|
|
| 1455 |
|
|
SUNIL JAIN
(PAN:ABLPJ3324L)
|
|
|
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 (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SUNIL AGRO FOODS LTD.
|
IMPOSED PENALTY RS.3,00,000
21-FEB-2018
|
|
| 1456 |
|
|
SUNIL KRISHNA KHAITAN
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF KHAITAN ELECTRICALS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
31-JUL-2017
|
|
| 1457 |
|
|
SUNIL KUMAR AGARWAL
(PAN:ADNPA8277H)
|
|
|
DID NOT MAKE DISCLOSURE REGARDING NON-EXECUTION OF ORDERS BAGGED BY COMPANY TO STOCK EXCHANGES VIOLATING CLAUSE 3.2 UNDER REGULATION 12(2) OF SCHEDULE II OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SHREEYASH INDUSTRIES LTD. (NOW KNOWN AS NUTRICIRCLE LTD.)
|
IMPOSED PENALTY RS.2,00,000
31-OCT-2017
|
SAT: APPEAL DISMISSED. NO COSTS
|
| 1458 |
|
|
SUNIL KUMAR AGRAWAL
(PAN:AFIPA3580J)
|
|
|
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
|
| 1459 |
|
|
SUNIL KUMAR AGRAWAL
(PAN:AAEHS2185N)
|
|
|
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
|
| 1460 |
|
|
SUNIL KUMAR GOEL
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1),13(4) AND 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF IKF TECHNOLOGIES LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF IKF TECHNOLOGIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
03-FEB-2011
|
|
| 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 73 of 82
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