| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1541 |
|
V.K.MANTRI
|
|
|
|
CLASSIC DEALERS & 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
|
|
| 1542 |
|
|
V.N.SESHAGIRI RAO
|
|
|
|
ADVENT COMPUTER SERVICES LTD.
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(4) AND 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF 2,27,907 SHARES OF ADVENT COMPUTER SERVICES LTD. SOLD
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-SEP-2009
|
|
| 1543 |
|
|
V.P.NANDAKUMAR
(PAN:ABGPN8092A)
|
|
|
ALLEGED FAILURE IN CLOSING TRADING WINDOW AS PER REGULATION 12(1) READ WITH CLAUSE 3.2-4 OF CODE OF CONDUCT SPECIFIED UNDER PART A OF SCHEDULE I OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MANAPPURAM FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,80,000 VIDE CONSENT ORDER)
23-SEP-2015
|
|
| 1544 |
|
|
V.R.VENKATCHALAM
(PAN:AADPV3203H)
|
|
|
MISUSED STOCK EXCHANGE TRADING PLATFORM TO MANIPULATE THE PRICE OF SHARES OF TCP LTD. VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1) AND 4(2) (A) & (E) OF PFUTP REGULATIONS, 2003
DID NOT OBTAIN PRE-CLEARANCE OF OPPOSITE TRANSACTION EXECUTING WITHIN SIX MONTHS VIOLATING UNDER PART A OF SCHEDULE I READ WITH REGULATION 12 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF TCP LTD.
|
IMPOSED PENALTY RS.15,03,00,000
31-JAN-2018
|
SAT: APPEALS DISMISSED. NO COSTS
SEBI VIDE ITS NOTICE DATED 05/12/2018 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 13/02/2020 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE MOVABLE AND IMMOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF PROPERTIES LISTED IN ORDER C) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES HELD BY THE DEFAULTERS, IF PRESENTED FOR REGISTRATION
SAT: SAT VIDE ITS ORDER DATED 25/02/2020 DIRECTED APPELLANT TO APPROACH RECOVERY OFFICER BY FILING APPROPRIATE APPLICATION U/S 28A OF SEBI ACT, 1992 READ WITH SECTIONS 220 TO 227, 228A, 229 AND 232 ETC OF THE INCOME TAX ACT AND INCOME TAX (CERTIFICATES PROCEEDINGS) RULES, 1962
SEBI VIDE ITS ORDER DATED 13/11/2019 DIRECTED ALL THE BANKS TO REMIT RS.18,24,69,318.00 TO THE EXTENT LYING IN THE ACCOUNT OF V.R.VENKATCHALAM BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS ORDER DATED 12/10/2021 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 05/12/2018
|
| 1545 |
|
|
V.RAGHURAMAN
(PAN:AAHPR9789E)
|
|
|
ALLEGED DELAY IN AMENDMENT IN CODE OF CONDUCT AND DID NOT INCORPORATE PROVISIONS RELATED TO PRE-CLEARANCE OF TRADES VIOLATING REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 AND CLAUSE 1.2 OF MODEL CODE OF CONDUCT IN MATTER OF SUZLON ENERGY LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
29-JAN-2013
|
|
| 1546 |
|
|
V.RAJASEKHARAN
(PAN:AERPR0716F)
|
|
|
MISUSED STOCK EXCHANGE TRADING PLATFORM TO MANIPULATE THE PRICE OF SHARES OF TCP LTD. VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1) AND 4(2) (A) & (E) OF PFUTP REGULATIONS, 2003
DID NOT OBTAIN PRE-CLEARANCE OF OPPOSITE TRANSACTION EXECUTING WITHIN SIX MONTHS VIOLATING UNDER PART A OF SCHEDULE I READ WITH REGULATION 12 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF TCP LTD.
|
IMPOSED PENALTY RS.1,03,00,000
31-JAN-2018
|
SAT: APPEALS DISMISSED. NO COSTS
SEBI VIDE ITS NOTICE DATED 13/11/2019 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
|
| 1547 |
|
|
V.S.N.RAJU
(PAN:ACOPV1584A)
|
|
|
TRADED IN STOCK FUTURES DURING CLOSURE OF TRADING WINDOW VIOLATING CLAUSE 4.2 OF CODE UNDER SCHEDULE I UNDER REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SATYAM COMPUTER SERVICES LTD.
|
IMPOSED PENALTY RS.50,000
28-FEB-2012
|
|
| 1548 |
|
|
V.SRINIVASAN
(PAN:AAGPS0200C)
|
|
|
DELAY IN MAKING 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 HYDRO S&S INDUSTRIES LTD.
|
IMPOSED PENALTY RS.3,50,000
29-OCT-2015
|
SAT: SAT VIDE ITS ORDER DATED 17/03/2016 QUASHED AND SET ASIDED IMPUGNED ORDER AND RESTORED THE MATTER TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
|
| 1549 |
|
|
VADLAMANI SRINIVASU
(PAN:ABEPV4019P)
|
|
|
|
SATYAM COMPUTER SERVICES LTD.
|
|
MISLED INVESTORS THROUGH ISSUANCE OF BONUS SHARES AND AMERICAN DEPOSITORY SHARES (ADS) AND BY GIVING MISLEADING ANNOUNCEMENTS OF BUY BACK OF SHARES IN MATTER OF SATYAM COMPUTER SERVICES LTD.
SOLD AND PLEDGED SHARES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3 AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 AND SECTION 12A (D) & (E) OF SEBI ACT, 1992 IN MATTER OF SATYAM COMPUTER SERVICES LTD.
DID NOT ADHERE TO PRINCIPLES OF CORPORATE GOVERNANCE IN GENERAL AND OBLIGATION OF CEO/CFO CERTIFICATION STIPULATED IN CLAUSE 49 OF THE LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-JUL-2014 TO 14-JUL-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-JUL-2014 TO 14-JUL-2021
DIRECTED TO DISGORGE RS.15,65,97,987
15-JUL-2014
|
SAT: SAT VIDE ITS ORDER DATED 12/05/2017 SET ASIDED IMPUGNED ORDER DATED 15/07/2014 TO THE EXTENT IT RELATED TO THE PERIOD FOR WHICH THE APPELALANTS WERE RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND THE ILLEGAL GAIN DIRECTED TO BE DISGORGED BY THE APPLLANTS AND REMANDED THE MATTER TO FILE OF WTM OF SEBI TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. FURTHER, DIRECTED THAT THE APPELLANTS SHALL NOT ACCESS THE SECURITIES MARKET AND SHALL NOT BUY, SELL OR OTHERWISE DEAL IN SECURITIES, DIRECTLY OR INDIRECTLY TILL FRESH ORDER IS PASSED BY WTM OF SEBI ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
SEBI VIDE ITS ORDER DATED 16/10/2018 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FOR SEVEN YEARS B) DISGORGE WRONGFUL GAIN OF RS.15,65,97,987.00 ALONG WITH SIMPLE INTEREST @ 12% P.A. FROM 07/01/2009 TILL DATE OF PAYMENT WITHIN 45 DAYS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 19/05/2021 ALLOWED APPELLANTS TO FILE WRITTEN SUBMISSION WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND GRANTED RESPONDENT ANOTHER THREE WEEKS TO FILE WRITTEN SUBMISSION THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 02/02/2023 ALLOWED THE APPEALS AND SET ASIDE IMPUGNED ORDERS DATED 16/10/2018 AND 02/11/2018. MATTER REMITTED TO WTM TO PASS A FRESH ORDER WITHIN FOUR MONTHS
SAT: SAT VIDE ITS ORDER DATED 13/06/2023 DISPOSE OF THE MATTER AND DIRECTED WTM TO DECIDE THE MATTER AS PER DIRECTIONS GIVEN IN PARAGRAPH 120 OF ORDER DATED 02/02/2023 ON OR BEFORE 30/11/2023
|
| 1550 |
|
|
VADLAMUDI SRIKRISHNA
(PAN:ADNPV5504C)
|
|
|
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 VENUS POWER VENTURES (INDIA) LTD.
|
IMPOSED PENALTY RS.50,000
28-NOV-2013
|
SEBI VIDE ITS NOTICE DATED 03/06/2016 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
SEBI VIDE ITS ORDER DATED 23/06/2021 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 03/06/2016
|
| 1551 |
|
|
VAISHALI SHARAD GAWDE
(PAN:AKZPG4168Q)
|
|
|
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
|
| 1552 |
|
|
VALIYAVEDDU KRISHNANKUTTY SUKUMARAN
(PAN:AJAPS8288D)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF VKS PROJECT 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 VKS PROJECT 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 VKS PROJECT 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 VKS PROJECT LTD.
TRANSFERRED AND/OR RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION SAME DAY OR NEXT DAY VIOLATING SECTION 2(I) READ WITH SECTIONS 13, 16 AND 18 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF VKS PROJECT LTD.
|
IMPOSED PENALTY RS.10,00,000
05-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 24/12/2020 CONDONED THE DELAY OF 4 DAYS IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN FOUR WEEKS FROM THE DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 24/08/2021 DISMISSED THE APPEAL
|
| 1553 |
|
|
VANDANA MALIK
(PAN:AAJPM4486B)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF NETWORK 18 MEDIA & INVESTMENT LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1), 13(3) AND 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF NETWORK 18 MEDIA & INVESTMENT LTD.
ALLEGED DELAY IN COMPLIANCE OF CLAUSE 35 OF LISTING AGREEMENT READ WITH REGULATIONS 31(1) AND 103(1) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 IN MATTER OF NETWORK 18 MEDIA & INVESTMENT LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.31,60,374 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-AUG-2018
|
|
| 1554 |
|
|
VANDANABEN DEEPAKBHAI MEHTA
(PAN:ACUPM6669B)
|
|
|
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
|
| 1555 |
|
|
VANTIMITTA SURYANARAYANA PRABHAKARA GUPTA
(PAN:AEAPP2815G)
|
|
|
|
SATYAM COMPUTER SERVICES LTD.
|
|
MISLED INVESTORS THROUGH ISSUANCE OF BONUS SHARES AND AMERICAN DEPOSITORY SHARES (ADS) AND BY GIVING MISLEADING ANNOUNCEMENTS OF BUY BACK OF SHARES IN MATTER OF SATYAM COMPUTER SERVICES LTD.
SOLD AND PLEDGED SHARES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3 AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 AND SECTION 12A (D) & (E) OF SEBI ACT, 1992 IN MATTER OF SATYAM COMPUTER SERVICES LTD.
DID NOT ADHERE TO PRINCIPLES OF CORPORATE GOVERNANCE IN GENERAL AND OBLIGATION OF CEO/CFO CERTIFICATION STIPULATED IN CLAUSE 49 OF THE LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-JUL-2014 TO 14-JUL-2018
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-JUL-2014 TO 14-JUL-2018
DIRECTED TO DISGORGE RS.48,00,105
15-JUL-2014
|
SAT: SAT VIDE ITS ORDER DATED 12/05/2017 SET ASIDED IMPUGNED ORDER DATED 15/07/2014 TO THE EXTENT IT RELATED TO THE PERIOD FOR WHICH THE APPELALANTS WERE RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND THE ILLEGAL GAIN DIRECTED TO BE DISGORGED BY THE APPLLANTS AND REMANDED THE MATTER TO FILE OF WTM OF SEBI TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. FURTHER, DIRECTED THAT THE APPELLANTS SHALL NOT ACCESS THE SECURITIES MARKET AND SHALL NOT BUY, SELL OR OTHERWISE DEAL IN SECURITIES, DIRECTLY OR INDIRECTLY TILL FRESH ORDER IS PASSED BY WTM OF SEBI ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
SEBI VIDE ITS ORDER DATED 16/10/2018 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FOR FOUR YEARS B) DISGORGE WRONGFUL GAIN OF RS.48,00,105.00 ALONG WITH SIMPLE INTEREST @ 12% P.A. FROM 07/01/2009 TILL DATE OF PAYMENT WITHIN 45 DAYS FROM DATE OF THIS ORDER
|
| 1556 |
|
|
VARSHA RAJNIKANT AGARWAL
(PAN:AAPPA7705B)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3(I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF OMKAR OVERSEAS LTD.
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-AUG-2018
|
|
| 1557 |
|
|
VARUN HARESH JASHNANI
(PAN:AIGPJ8710L)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A (D) & (E) OF SEBI ACT, 1992 AND REGULATIONS 3(I) AND 4 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF UNITED SPIRITS LTD.
|
DIRECTED TO DISGORGE RS.27,04,781
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 10-JAN-2020
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-JAN-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-JAN-2020
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 10-JAN-2020
10-JAN-2020
|
SEBI VIDE ITS NOTICE DATED 28/05/2021 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 NOTICE DATED 12/12/2022 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 28/05/2021
|
| 1558 |
|
|
VARUN JAIN
(PAN:AEZPJ3027M)
|
|
|
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
|
| 1559 |
|
|
VARUN KIRANKUMAR MEHTA
(PAN:AMUPM8063F)
(Along with : KIRANKUMAR NAVRATANMAL MEHTA,
KAILASH SHREERAM AGARWAL)
|
|
|
|
VARUN INDUSTRIES LTD.
PAN:AAACV2069F
|
|
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGE ABOUT NON-MATERIALIZATION OF JOINT VENTURE AGREEMENT VIOLATING CLAUSES 22(D), 36(7), 41(III)(A) AND (B) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA ACT, 1956 IN MATTER OF VARUN INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF ABOUT NON-MATERIALIZATION OF JOINT VENTURE AGREEMENT TO STOCK EXCHANGES VIOLATING CLAUSES 2.1 AND 7.0 (II) OF CODE OF CORPORATE DISCLOSURE PRACTICES FOR PREVENTION OF INSIDER TRADING AS SPECIFIED UNDER REGULATION 12) OF SCHEDULE II OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF VARUN INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
08-NOV-2017
|
SEBI VIDE ITS NOTICE DATED 31/08/2018 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS ORDER DATED 14/03/2019 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 31/08/2018
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| 1560 |
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VASANT L.PATEL
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DHANLAXMI LEASE FINANCE LTD.
CIN:U67120GJ1995PLC024788
PAN:AABCD6189R
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DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
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PROSECUTION LAUNCHED
15-MAY-2006
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| 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 78 of 82
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