| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 141 |
|
ANUPAM KUMAR AGARWAL
|
|
|
|
ANJALI FLAT ROLLED SHEETS PVT.LTD.
|
|
|
AQUARIUS STEELS 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
|
|
| 142 |
|
|
ANUPAMA S.MOTWANI
|
|
|
|
M’BELLE INTERNATIONAL PVT.LTD.
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
PROSECUTION LAUNCHED
31-MAR-2010
|
SAT: SAT VIDE ITS ORDER DATED 17/01/2018 CONDONED THE DELAY OF 603 DAYS IN FILING OF APPEAL. APPEAL DISPOSED OFF. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 12/12/2018 DISPOSED OFF MISC.APPLICATION. COUNSEL FOR SEBI SUBMITTED THAT RECOVERY OFFICER WILL PASS ORDER WITHIN 15 DAYS FROM DATE OF THIS ORDER. NO COSTS
|
| 143 |
|
|
ANUPAMA S.MOTWANI
|
|
|
|
M’BELLE INTERNATIONAL PVT.LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
SAT: SAT VIDE ITS ORDER DATED 17/01/2018 CONDONED THE DELAY OF 603 DAYS IN FILING OF APPEAL. APPEAL DISPOSED OFF. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 12/12/2018 DISPOSED OFF MISC.APPLICATION. COUNSEL FOR SEBI SUBMITTED THAT RECOVERY OFFICER WILL PASS ORDER WITHIN 15 DAYS FROM DATE OF THIS ORDER. NO COSTS
|
| 144 |
|
|
ANURADHA D.PENDSE
|
|
|
|
NALINI PROPERTIES PVT.LTD.
|
|
DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3 A OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
DISMISSED
THE MATTER IS DISPOSED OFF AS COMPOUNDED
|
| 145 |
|
|
ANUSUYA JAYESH PATEL
|
|
|
|
GUJARAT AQUA INDUSTRIES LTD.
CIN:L11110GJ1993PLC019481
PAN:AABCR4816P
|
|
VIOLATED SECTION 20(2) OF SEBI DEPOSITORIES ACT, 1996
|
PROSECUTION LAUNCHED
31-MAR-2014
|
|
| 146 |
|
|
APPASANI RAVI KUMAR
|
|
|
|
S.S.ORGANICS LTD.
PAN:AADCS2216C
|
|
VIOLATED SECTION 20(2) OF SEBI DEPOSITORIES ACT, 1996
|
PROSECUTION LAUNCHED
31-MAR-2014
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.67000.00 TO SEBI
|
| 147 |
|
|
ARIF MITHANI
|
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 27 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 148 |
|
|
ARIHANT JAIN
|
|
|
|
IDEAL HOTELS & INDUSTRIES LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 149 |
|
|
ARJAN R.DASWANI
|
|
|
|
SILVERLINE TECHNOLOGIES LTD.
PAN:AAACS7365M
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
15-MAY-2006
|
COMPANY VIDE DEMAND DRAFT NO.854566 DATED 11/03/2005 FOR RS.19,00,000.00 (RUPEES NINETEEN LAC ONLY) DRAWN ON THE SHAMRAO VITHAL CO-OP BANK LTD. PAID THE PENALTY AMOUNT TO SEBI ON 11/03/2005
|
| 150 |
|
|
ARSHAD AFZAL KHAN
(PAN:ADVPK6755C)
|
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
31-MAR-2014
|
|
| 151 |
|
|
ARTI R.JHUNJHUNWALA
|
|
|
|
JHUNJHUNWALA STOCK BROKERS PVT.LTD.
(Member : BSE)
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
DISCHARGED
|
| 152 |
|
|
ARUN AGGARWAL
|
|
|
|
TAURAS PORTFOLIOS 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
|
|
| 153 |
|
|
ARUN GOYAL
|
|
|
|
VAISHNO TRADELINK PVT.LTD.
|
|
|
WARNER MULTIMEDIA LTD.
CIN:L92100WB1983PLC036338
PAN:AABCC0225H
|
|
VIOLATED REGULATION 4(A) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 4(B) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 154 |
|
|
ARUN J.SHAH
|
|
|
|
LUMINANT INVESTMENTS PVT.LTD.
PAN:AAACL0834A
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
DISMISSED
|
| 155 |
|
|
ARUN J.SHAH
|
|
|
|
LUMINANT INVESTMENTS PVT.LTD.
PAN:AAACL0834A
|
|
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 156 |
|
|
ARUN KUMAR BAJORIA
|
|
|
VIOLATED REGULATION 4(A) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 157 |
|
|
ARUN KUMAR CHOWDHURY
|
|
|
|
SHREEJEE CAPITAL MANAGEMENT LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACCUSED NO.1 TO 6 ACQUITTED
|
| 158 |
|
|
ARUN KUMAR GUPTA
|
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
31-MAR-2014
|
|
| 159 |
|
|
ARUN KUMAR JAGATRAMKA
|
|
|
|
GUJARAT NRE COKE LTD.
|
|
VIOLATED SEBI ACT, 1992
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 160 |
|
|
ARUN KUMAR MURARKA
|
|
|
|
DHANGANGA DEALCOMM PVT.LTD.
|
|
|
MARUDHAR VINIMAY PVT.LTD.
|
|
|
PAYAGPOUR VINIMAY PVT.LTD.
|
|
|
WHITELINE COMMERCIAL PVT.LTD.
|
|
VIOLATED SECTION 24 (2) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
31-MAR-2010
|
COMPOUNDED RS.42,648.00 INTEREST AND RS.67000.00 LEGAL COSTS
COMPOUNDED, INTEREST OF RS.43,131.00 AND LEGAL COSTS OF RS.67000.00
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 8 of 102
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