| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1521 |
|
UMA MALHOTRA
(PAN:AABPM1326N)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) AND 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF EMPIRE INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
20-NOV-2017
|
|
| 1522 |
|
|
UMA YOGENDRA ASHTEKAR
(PAN:AFVPA7141Q)
|
|
|
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
|
| 1523 |
|
|
UMANG KEJRIWAL
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ELECTROSTEEL CASINGS LTD.
|
IMPOSED PENALTY RS.30,000
24-DEC-2009
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
|
| 1524 |
|
|
UMASHANKAR S.
(PAN:ANUPS2006D)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 2(E) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PALRED TECHNOLOGIES LTD.
|
DIRECTED TO DISGORGE RS.72,880
DIRECTED TO FREEZE ALL DEMAT ACCOUNTS WHEREIN EQUITY SHARES ALLOTTED UNDER PREFERENTIAL OFFER WERE LYING
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
04-FEB-2016
|
SEBI VIDE ITS ORDER DATED 13/08/2019 REVOKED THE DIRECTIONS OR INTERIM ORDER DATED 04/02/2016 AND ALLOWED TO WITHDRAW THE AMOUNTS DEPOSITED, ALONG WITH ACCRUED INTEREST, IF ANY, FROM ESCROW ACCOUNT OPENED PURSUANT TO DIRECTIONS PASSED IN INTERIM ORDER DATED 04/02/2016
|
| 1525 |
|
|
UMESH KELA
(PAN:AFYPK7898F)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) AND 8A(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GLORY POLYFILMS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GLORY POLYFILMS LTD.
|
IMPOSED PENALTY RS.2,00,000
25-JUN-2019
|
SEBI VIDE ITS NOTICE DATED 12/01/2021 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
SEBI VIDE ITS ORDER DATED 17/12/2020 DIRECTED ALL THE BANKS TO REMIT RS.2,40,978.00 TO THE EXTENT LYING IN THE ACCOUNT OF UMESH KELA BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS ORDER DATED 22/03/2021 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 12/01/2021
|
| 1526 |
|
|
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
|
| 1527 |
|
|
URMILA C.BHANSALI
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF CLASSIC DIAMOND (INDIA) LTD.
|
IMPOSED PENALTY RS.25,000
08-APR-2011
|
|
| 1528 |
|
|
URMILA SEETHA
(PAN:AAPPS6119K)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGE IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF DINESH ALLORGA LTD. (NOW KNOWN AS HEMO ORGANIC LTD.)
|
IMPOSED PENALTY RS.2,00,000
22-JUN-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 1529 |
|
|
URMILADEVI J.AGARWAL
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3(I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 AND SECTION 12 A (D&E) OF SEBI ACT, 1992 IN SCRIP OF NOVA PETROCHEMICALS LTD.
|
IMPOSED PENALTY RS.50,000
29-JUN-2010
|
|
| 1530 |
|
|
URVASHI ASHOK KADAKIA
(PAN:AAOPK9987C)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ASHOK ALCO-CHEM LTD.
|
IMPOSED PENALTY RS.4,00,000
12-MAR-2014
|
SAT: APPEAL DIMISSED. NO COSTS
|
| 1531 |
|
|
URVASHI GAUR
(PAN:AAOPG1932D)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(I), 3(II) & 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF JAIPRAKASH ASSOCIATES LTD.
|
IMPOSED PENALTY RS.10,00,000
05-JAN-2012
|
SAT: APPEAL ALOOWED WITH NO ORDER AS TO COSTS
|
| 1532 |
|
|
UTTAM GADA
(PAN:AACPG4068L)
|
|
|
|
OREGON COMMERCIAL LTD.
PAN:AAACO1582E
|
|
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 REGULATIONS 12(1) AND 12(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF OREGON COMMERCIAL LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-AUG-2011
|
|
| 1533 |
|
|
UVES MOHAMMED YUNUS SARESHWALA
(DIN:00123493
PAN:AOFPS5856M)
|
|
|
|
PARSOLI CORP.LTD.
PAN:AABCP9030F
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF PARSOLI CORP.LTD.
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF PARSOLI CORP.LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PARSOLI CORP.LTD.
ENTERED INTO OFF-MARKET TRANSACTIONS WHICH WERE NOT IN THE NATURE OF SPOT DELIVERY CONTRACTS VIOLATING SECTIONS 13 AND 16 READ WITH SECTION 18 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
IMPOSED PENALTY RS.7,50,000
25-FEB-2011
|
SAT: APPEAL DISMISSED
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 16/12/2013 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
|
| 1534 |
|
|
V.ARVINDKUMAR IYENGAR
(PAN:AADPI3727M)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4) READ WITH REGULATION 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF FINANCIAL TECHNOLOGIES INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,34,463 VIDE CONSENT ORDER)
31-MAY-2019
|
|
| 1535 |
|
|
V.ARVINDKUMAR IYENGAR
(PAN:AADPI3727M)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 2(E) READ WITH 2(C) AND 2(H) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF 63 MOONS TECHNOLOGIES LTD. (ERSTWHILE FINANCIAL TECHNOLOGIES (INDIA) LTD.
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A (D) OF SEBI ACT, 1992 AND REGULATIONS 3(I) AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF 63 MOONS TECHNOLOGIES LTD. (ERSTWHILE FINANCIAL TECHNOLOGIES (INDIA) LTD.
|
DIRECTED TO DISGORGE RS.26,87,713
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
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
02-AUG-2017
|
SEBI VIDE ITS ORDER DATED 31/01/2018 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 02/08/2017
|
| 1536 |
|
|
V.C.RAI
|
|
|
|
INFORMATION TECHNOLOGIES (INDIA) LTD.
CIN:U65910UP1994PLC017049
PAN:AAACI1891E
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CASE DISMISSED BY COURT. REVISION PETITION FILED BY SEBI IS PENDING BEFORE THE ADDITIONAL SESSIONS JUDGE, DELHI
|
| 1537 |
|
|
V.K.AGARWAL
|
|
|
|
AMBIKA FERRO ALLOYS PVT.LTD.
|
|
|
AMIT SHARE TRADING PVT.LTD.
|
|
|
ANJALI FLAT ROLLED SHEETS PVT.LTD.
|
|
|
AQUARIUS STEELS PVT.LTD.
|
|
|
ARUNODAY VINIMAY PVT.LTD.
|
|
|
CLASSIC DEALERS & ADVANCES PVT.LTD.
|
|
|
DECENT DEALERS & ADVANCES PVT.LTD.
|
|
|
DEEP TRADERS & ADVANCES PVT.LTD.
|
|
|
EUREKA MACHINERIES PVT.LTD.
|
|
|
KRP CONSULTANTS PVT.LTD.
|
|
|
NEWAGE COMMERCIAL PVT.LTD.
|
|
|
PARVATI CASTINGS PVT.LTD.
|
|
|
SUMAC IRON & STEEL PVT.LTD.
|
|
|
TAURAS PORTFOLIOS LTD.
|
|
|
VARREN FINANCIAL SERVICES LTD.
|
|
|
VEDANT STEEL CASTING & FORGING PVT.LTD.
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 1538 |
|
|
V.K.BINDLESH
|
|
|
|
DECENT DEALERS & ADVANCES PVT.LTD.
|
|
|
DEEP TRADERS & ADVANCES PVT.LTD.
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 1539 |
|
|
V.K.JAIN
|
|
|
|
ADVIK LABORATORIES LTD.
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF ADVIK LABORATORIES LTD.
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 IN MATTER OF ADVIK LABORATORIES
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ADVIK LABORATORIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-OCT-2010 TO 26-OCT-2011
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-OCT-2010 TO 26-OCT-2011
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
27-OCT-2010
|
|
| 1540 |
|
|
V.K.KAUL
(PAN:AAAPK6215D)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION IN MATTER OF ORCHID CHEMICALS & PHARMACEUTICALS LTD.
|
IMPOSED PENALTY RS.50,00,000
04-JAN-2012
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 25/06/2014 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 17/07/2014 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS/LOCKERS AND DEMAT ACCOUNTS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 25/06/2014
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 77 of 82
|
