| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1481 |
|
SUNITA SARWANKUMAR SARAF
(PAN:AALPS9589F)
|
|
|
DID NOT MAKE 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 RAMMAICA (INDIA) LTD.
|
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-MAY-2017
|
|
| 1482 |
|
|
SUNNY MARIA
(PAN:AJPPK6346K)
|
|
|
DELAY IN MAKING 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 NORTHLINK FISCAL & CAPITAL SERVICES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATIONS 10(5), 10(6) & 10(7) OF SAST REGULATIONS, 2011 IN MATTER OF NORTHLINK FISCAL & CAPITAL SERVICES LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
13-SEP-2023
|
|
| 1483 |
|
|
SUPRIYA ASHOK HIREMATH
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF ASTEC LIFE SCIENCES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,17,900 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
18-FEB-2020
|
|
| 1484 |
|
|
SUREKHA REDDY
(PAN:AESPC0112K)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF MOSCHIP SEMICONDUCTOR TECHNOLOGY LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF MOSCHIP SEMICONDUCTOR TECHNOLOGY LTD.
|
IMPOSED PENALTY RS.4,00,000 ALONG WITH OTHER ENTITIES/PERSONS
17-OCT-2017
|
|
| 1485 |
|
|
SUREKHA VENUGOPAL RAO
(PAN:CJKPS5789P)
|
|
|
DELAY IN MAKING OPEN OFFER TO PUBLIC SHAREHOLDERS AS REQUIRED UNDER REGULATIONS 3(2) READ WITH 13 TO 18 OF SAST REGULATIONS, 2011 IN MATTER OF TEJASSVI AAHARAM LTD.
DELAY IN MAKING 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 TEJASSVI AAHARAM LTD.
|
IMPOSED PENALTY RS.11,00,000
16-DEC-2022
|
|
| 1486 |
|
|
SURESH CHAND AGRAWAL
(PAN:AAHPA7386E)
(Along with : UDIT AGRAWAL,
RASHMI AGRAWAL,
MADHUR AGRAWAL,
HARISH CHANDRA AGRAWAL)
|
|
|
|
HARISH AGRAWAL (HUF)
PAN:AAAHH2114N
|
|
|
SURESH CHAND AGRAWAL (HUF)
PAN:AAKHS8188R
|
|
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 CAPITAL TRADE LINKS LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
07-AUG-2014
|
PENALTY AMOUNT OF RS.10,00,000.00 PAID BY APPELLANTS BY DEMAND DRAFT NO.229866 FOR RS.5,00,00.00 AND 229867 FOR RS.5,00,00.00 DATED 23/01/2015 DRAWN ON ORIENTAL BANK OF COMMERCE
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 1487 |
|
|
SURESH GAGGAR
(PAN:ABLPG3809K)
|
|
|
DELAY IN MAKING 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 GINI SILK MILLS LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
08-JUN-2021
|
|
| 1488 |
|
|
SURESH KUMAR GUPTA
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(1), 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF MEENAKSHI ENTERPRISES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
07-OCT-2016
|
|
| 1489 |
|
|
SURESH NENMALJI MALVI
(PAN:AKMPM4951C)
|
|
|
DELAY IN MAKING 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 SMS TECHSOFT (INDIA) LTD.
|
IMPOSED PENALTY RS.2,00,000
31-OCT-2018
|
|
| 1490 |
|
|
SURESH V.HIREMATH
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF ASTEC LIFE SCIENCES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,17,900 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
18-FEB-2020
|
|
| 1491 |
|
|
SURESH VENKATACHARI
(PAN:ATNPS3289H)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 31(1) OF SAST REGULATIONS, 2011 IN MATTER OF 8K MILES SOFTWARE SERVICES LTD. (NOW KNOWN AS SECURE KLOUD TECHNOLOGIES LTD.)
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF 8K MILES SOFTWARE SERVICES LTD. (NOW KNOWN AS SECURE KLOUD TECHNOLOGIES LTD.)
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF 8K MILES SOFTWARE SERVICES LTD. (NOW KNOWN AS SECURE KLOUD TECHNOLOGIES LTD.)
DELAY IN MAKING 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 8K MILES SOFTWARE SERVICES LTD. (NOW KNOWN AS SECURE KLOUD TECHNOLOGIES LTD.)
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF 8K MILES SOFTWARE SERVICES LTD. (NOW KNOWN AS SECURE KLOUD TECHNOLOGIES LTD.)
|
IMPOSED PENALTY RS.2,00,000
29-JUL-2022
|
|
| 1492 |
|
|
SURESHBHAI K.PATEL
(PAN:AEHPP8831R)
|
|
|
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
|
| 1493 |
|
|
SURINDER VEER SINGH
(PAN:BEIPS8829E)
|
|
|
DELAY IN MAKING 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 SYSCHEM (INDIA) LTD.
DID NOT MAKE 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 SYSCHEM (INDIA) LTD.
|
IMPOSED PENALTY RS.1,00,000
21-DEC-2022
|
|
| 1494 |
|
|
SURYA KUMAR JHUNJHNUWALA
(PAN:AGTPJ9766B)
|
|
|
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
|
|
| 1495 |
|
|
SUSHIL G.DUSEJA
(PAN:AAUPS7412E)
|
|
|
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 GEE GEE GRANITES LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-AUG-2014
|
SAT: SAT VIDE ITS ORDER DATED 20/11/2015 SET ASIDED THE ORDER PASSED BY SEBI AND RESTORE THE APPEALS TO THE FILE OF SEBI FOR PASSING FRESH ORDER ON MERITS. NO COSTS
SEBI VIDE ITS ORDER DATED 30/06/2017 IMPOSED A PENALTY OF RS.2,00,000.00 U/S 15A(B) PAYABLE JOINTLY AND SEVERALLY
|
| 1496 |
|
|
SUSHILA DEVI SINGHANIA
(PAN:ABXPS4723L)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 3(1) OF SAST REGULATIONS, 2011 IN MATTER OF JAYKAY ENTERPRISES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.18,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
09-NOV-2017
|
|
| 1497 |
|
|
SUSHILA GUPTA
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(1), 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF MEENAKSHI ENTERPRISES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
07-OCT-2016
|
|
| 1498 |
|
|
SUSHILA PURUSHOTTAMBHAI PATEL
(PAN:ANZPP9934A)
|
|
|
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
|
| 1499 |
|
|
SUSHILA PURUSHOTTAMBHAI PATEL
(PAN:ANZPP9934A)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF SHREE SURGOVIND TRADELINK LTD.
|
IMPOSED PENALTY RS.3,00,000
31-DEC-2014
|
|
| 1500 |
|
|
SUSHMA ASHOK GUPTA
(PAN:AAJPG9621L)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 12 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SVC RESOURCES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SVC RESOURCES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF SVC RESOURCES 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 SVC RESOURCES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 3(1) READ WITH 3(3) OF SAST REGULATIONS, 2011 IN MATTER OF SVC RESOURCES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3) AND 13(4A) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF SVC RESOURCES LTD.
|
IMPOSED FINE RS.3,40,000
31-JUL-2020
|
SEBI VIDE ITS NOTICE DATED 22/07/2021 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
SAT: SAT VIDE ITS ORDER DATED 09/06/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 31/07/2020. DIRECTED APPELLANTS TO APPEAR BEFORE THE AO ON 30/06/2022 AND DIRECTED AO TO DECIDE THE MATTER AFRESH WITHIN FOUR MONTHS AFTER THE REPLY RECEIVED
SEBI VIDE ITS ORDER DATED 27/06/2022 DIRECTED TO RELEASE BANK ACCOUNTS/LOCKERS/DEMAT ACCOUNTS/MUTUAL FUNDS FOLIO OF MS.SUSHMA ASHOK GUPTA IN COMPLIANCE WITH DIRECTIONS OF HON’BLE SAT ORDER DATED 09/06/2022
SEBI VIDE ITS ORDER DATED 30/11/2022 REDUCED PENALTY TO RS.3.40 LAC FROM RS.6.40 LAC U/S 15A(B) AND U/S 15H(II) OF SEBI ACT,1992 AND DIRECTED TO PAY WITHIN FORTY-FIVE DAYS FROM DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 12/04/2023 DIRECTED TO PAY RS.3,58,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 15/05/2023 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
|
| 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 75 of 84
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