| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1501 |
|
UMA SINGAL
(PAN:ANRPS7987A)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF RAJLAXMI INDUSTRIES LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
24-DEC-2021
|
|
| 1502 |
|
|
UMANG BHAVANI
(PAN:BEKPB8748F)
|
|
|
DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 13(1) READ WITH 13(2)(E) OF SAST REGULATIONS, 2011 IN MATTER OF BARODA RAYON CORP.LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-FEB-2024
|
|
| 1503 |
|
|
UMANG KEJRIWAL
|
|
|
|
SREEJI FAMILY BENEFIT TRUST
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SAST REGULATIONS, 2011 IN MATTER OF ELECTROSTEEL CASTING LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
26-SEP-2019
|
|
| 1504 |
|
|
UMESH KUMAR MODI
(PAN:AAPPM6795H)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF SBEC SUGAR LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
17-SEP-2018
|
SAT: SAT VIDE ITS ORDER DATED 01/08/2019 HAS ALLOWED THREE WEEKS TIME TO FILE REJOINDER AND INTERITM ORDER, IF ANY, EXTENDED TILL DATE OF HEARING
SAT: SAT VIDE ITS ORDER DATED 29/01/2020 PARTLY ALLOWED THE APPEAL
|
| 1505 |
|
|
UMESH KUMAR MODI
(PAN:AAPPM6795H)
|
|
|
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 SBEC SUGAR LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SBEC SUGAR LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,13,434, INTEREST RS.3,376 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-AUG-2018
|
COMPANY VIDE DEMAND DRAFT NO.116301 DATED 24/07/2018 FOR RS 5,16,810.00 DRAWN ON AXIS BANK LTD. HAS PAID SETTLEMENT CHARGES INCLUDING INTEREST
|
| 1506 |
|
|
UNNATI P.SHETH
(PAN:AUPPS6260F)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 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
|
|
| 1507 |
|
|
UPENDRA NARAYAN CHOUDHARY
(PAN:AHUPC4639A)
(Along with : DURGESHWARI DEVI CHOUDHURY,
GOPALJI CHOUDHARY,
RUPA KUMARI)
|
|
|
|
DORNI VINIMOY PVT.LTD.
PAN:AAFCD3892H
|
|
|
H & K REALESTATE LLP
PAN:AAOFH4781M
|
|
|
TIMELY FINANCIAL CONSULTANTS PVT.LTD.
PAN:AAECT0938K
|
|
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 COOL CAPS INDUSTRIES LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
17-SEP-2025
|
|
| 1508 |
|
|
UPESH BHAVANI
(PAN:BERPB5146J)
|
|
|
DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 13(1) READ WITH 13(2)(E) OF SAST REGULATIONS, 2011 IN MATTER OF BARODA RAYON CORP.LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-FEB-2024
|
|
| 1509 |
|
|
URMI A.PATEL
(PAN:AADPP5711G)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GMM PFAUDLER LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GMM PFAUDLER LTD.
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 GMM PFAUDLER LTD.
DID NOT MAKE 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 GMM PFAUDLER LTD.
|
IMPOSED PENALTY RS.10,00,000
30-MAY-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
|
| 1510 |
|
|
URVASHI JAIN
(PAN:ADQPJ1597A)
|
|
|
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 GAYLORD COMMERCIAL CO.LTD.
|
IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
15-JAN-2014
|
SAT: APPEAL DISMISSED. NO COSTS
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 1511 |
|
|
URVASHI JOSHI
(PAN:AFXPJ8613E)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(6) AND 29(1) OF SAST REGULATIONS, 2011 IN MATTER OF REAL REALTY MANAGEMENT CO.LTD.
|
IMPOSED PENALTY RS.4,00,000 ALONG WITH OTHER ENTITIES/PERSONS
22-OCT-2019
|
|
| 1512 |
|
|
URVI JINDAL
(PAN:AGFPJ3837R)
|
|
|
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
|
|
| 1513 |
|
|
URVISHIBEN PATEL
(PAN:ABAPP7657H)
|
|
|
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
|
|
| 1514 |
|
|
USHA A.MEHTA
(PAN:AADPM8788N)
(Along with : ASHOK KUMAR MEHTA,
KAJAL SURAJ MEHTA)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 3(1) READ WITH 3(3) OF SAST REGULATIONS, 2011 IN MATTER OF ROSE ZINC LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF ROSE ZINC LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-JUL-2022
|
|
| 1515 |
|
|
USHA A.MEHTA
(PAN:AADPM8788N)
(Along with : ASHOK KUMAR MEHTA,
KAJAL SURAJ MEHTA)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF ROSE ZINC 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 ROSE ZINC LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-JUL-2022
|
|
| 1516 |
|
|
USHA AGGARWAL
(PAN:ADEPA0240R)
|
|
|
|
ANSHU AGARWAL (HUF)
PAN:AAJHA0516J
|
|
|
R.C.AGARWAL (HUF)
PAN:AALHR4752D
|
|
|
RACE ECO CHAIN LTD.
PAN:AADCA1572H
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF AKASHDEEP METAL INDUSTRIES LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES RELATED TO ACQUISITION OF SHARES DURING OFFER PERIOD AS REQUIRED UNDER REGULATION 18(6) OF SAST REGULATIONS, 2011 IN MATTER OF AKASHDEEP METAL INDUSTRIES LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JUL-2023
|
SEBI VIDE ITS NOTICE DATED 13/10/2023 DIRECTED TO PAY RS.5,21,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 03/11/2023 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
SEBI VIDE ITS NOTICE DATED 06/11/2023 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 03/11/2023
SEBI VIDE ITS NOTICE DATED 06/11/2023 CANCELLED RECOVERY CERTIFICATE NO.7229 OF 2023 DATED 13/10/2023
|
| 1517 |
|
|
USHA D.KHIMAVAT
(PAN:AAPPK0229G)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF KANCHAN INTERNATIONAL 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 KANCHAN INTERNATIONAL LTD.
|
IMPOSED PENALTY RS.11,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-APR-2021
|
SEBI VIDE ITS NOTICE DATED 27/07/2023 DIRECTED TO PAY RS.14,09,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 18/08/2023 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
SEBI VIDE ITS NOTICE DATED 30/08/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.14,20,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS NOTICE DATED 06/09/2023 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 18/08/2023
SEBI VIDE ITS ORDER DATED 06/09/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6994 OF 2023 DATED 27/07/2023
|
| 1518 |
|
|
USHA D.KHIMAVAT
(PAN:AAPPK0229G)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 3(1) AND 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF KANCHAN INTERNATIONAL LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-MAY-2020
05-MAY-2020
|
|
| 1519 |
|
|
USHA DEVI MALHOTRA
(PAN:AGSPM5468L)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(6), 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF EMPIRE INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,83,226 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
21-JAN-2019
|
|
| 1520 |
|
|
USHA GARG
(PAN:AAHPG6276D)
(Along with : SEEMA GARG,
VIKAS GARG,
SUKRITI GARG,
VRINDA GARG,
VAASU GARG,
NAND KISHORE GARG,
MADANLAL AGARWAL,
LAXMIDEVI AGARWAL)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF BEST AGROLIFE LTD. (FORMERLY KNOWN AS SAHYOG MULTIBASE LTD.)
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
21-MAR-2024
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 76 of 82
|
