| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 141 |
|
SHASHWAT AGARWAL
(PAN:ABUPA2590C)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) AND 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF NIKKI GLOBAL FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,62,109 VIDE CONSENT ORDER)
12-DEC-2019
|
|
| 142 |
|
|
SIDDHARTH DINESH MEHTA
|
|
|
ALLEGED COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION TO OTHERS VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(1) READ WITH 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF RELIGARE ENTERPRISES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.22,31,250 VIDE CONSENT ORDER)
27-MAY-2022
|
|
| 143 |
|
|
SIDHANT CHANDALIA
(PAN:AXPPC3623H)
|
|
|
ALLEGED COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PNB HOUSING FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,70,000 VIDE CONSENT ORDER)
13-AUG-2024
|
|
| 144 |
|
|
SRI LAKSHMI LINGAMNEN
(PAN:ACZPL7827K)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(1) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DIVI'S LABORATORIES LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2) (A) READ WITH 6(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DIVI'S LABORATORIES LTD.
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING CLAUSE 6 OF CODE OF CONDUCT UNDER SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF MATTER OF DIVI'S LABORATORIES LTD.
|
REACHED SETTLEMENT ( DISGORGEMENT AMOUNT RS.96,68,183 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
21-OCT-2020
|
|
| 145 |
|
|
SRI LAKSHMI LINGAMNEN
(PAN:ACZPL7827K)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(1) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DIVI'S LABORATORIES LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2) (A) READ WITH 6(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DIVI'S LABORATORIES LTD.
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING CLAUSE 6 OF CODE OF CONDUCT UNDER SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF MATTER OF DIVI'S LABORATORIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.22,31,250 VIDE CONSENT ORDER)
21-OCT-2020
|
|
| 146 |
|
|
SRINIVASAN R.
(PAN:AAJPS6272M)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(2A) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SESHASAYEE PAPER & BOARDS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,74,688, INTEREST RS.3,882 VIDE CONSENT ORDER)
26-JUN-2020
|
|
| 147 |
|
|
SUDHA GUPTA
(PAN:ACWPG5015D)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF APTECH LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,41,939, DISGORGEMENT AMOUNT RS.33,89,540, INTEREST RS.17,95,249 VIDE CONSENT ORDER)
14-JUL-2021
|
|
| 148 |
|
|
SUJAY AJITKUMAR HAMLAI
(PAN:ABIPH4273M)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DEEP INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,50,000, PAID TO IEPF RS.18,19,711 VIDE CONSENT ORDER)
14-AUG-2019
|
|
| 149 |
|
|
SUPARNA MITRA
(PAN:AATPM1079N)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) READ WITH 6(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF TITAN CO.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,60,235 VIDE CONSENT ORDER)
20-MAR-2020
|
|
| 150 |
|
|
SURABHI KISHORE SHAH
(PAN:APQPS7611L)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF POONAWALLA FINCORP LTD. (PREVIOUSLY KNOWN AS MAGMA FINCORP LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,71,63,490 VIDE CONSENT ORDER)
26-APR-2023
|
|
| 151 |
|
|
SURAJ NANGIA
(PAN:AFAPN9292E)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) OF SEBI ACT, 1992 READ WITH REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF COSMO FILMS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.45,50,000, DISGORGEMENT AMOUNT RS.2,28,801, INTEREST RS.64,240 VIDE CONSENT ORDER)
25-AUG-2023
|
|
| 152 |
|
|
SURESH SHETTY
(PAN:ABBPS1631D)
|
|
|
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 READ WITH REGULATION 7(2)(A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF SUPRAJIT ENGINEERING LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.29,54,738 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
08-FEB-2019
|
|
| 153 |
|
|
SUSHILADEVI GUPTA
(PAN:ADYPG7188E)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF APTECH LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.80,73,363, DISGORGEMENT AMOUNT RS.54,27,471, INTEREST RS.28,31,801 VIDE CONSENT ORDER)
14-JUL-2021
|
|
| 154 |
|
|
SWARNAKUMARI R.
(PAN:AAJPS5952L)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(2A) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SESHASAYEE PAPER & BOARDS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,74,688, INTEREST RS.3,882 VIDE CONSENT ORDER)
26-JUN-2020
|
|
| 155 |
|
|
TARUN KUMAR SRIVASTAVA
(PAN:ARIPS1676H)
|
|
|
|
MINDA INDUSTRIES LTD.
PAN:AAACM1152C
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 9(3) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MINDA INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,62,500 VIDE CONSENT ORDER)
13-MAY-2022
|
|
| 156 |
|
|
TRISHLA JAIN
(PAN:AEMPJ2136G)
|
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF ASHOKA VINIYOGA LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ASHOKA VINIYOGA LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,12,01,300 VIDE CONSENT ORDER)
07-SEP-2022
|
|
| 157 |
|
|
UMANG KEJRIWAL
(PAN:AGGPK0884Q)
|
|
|
|
ELECTROCAST SALES INDIA LTD.
PAN:AAACE5671N
|
|
ALLEGED COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION TO OTHERS VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(1) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ELECTROSTEEL CASTINGS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,20,40,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM SECURITIES MARKET) FROM 20-FEB-2025 TO 19-AUG-2025
20-FEB-2025
|
|
| 158 |
|
|
USHMA SHETH SULE
(PAN:BNFPS6095A)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF APTECH LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.52,95,066, DISGORGEMENT AMOUNT RS.35,59,708, INTEREST RS.18,57,290 VIDE CONSENT ORDER)
14-JUL-2021
|
|
| 159 |
|
|
UTPAL SHETH
(PAN:AISPS7583C)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION AND COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF APTECH LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.66,93,750 VIDE CONSENT ORDER)
14-JUL-2021
|
|
| 160 |
|
|
V.P.NANDAKUMAR
(PAN:ABGPN8092A)
|
|
|
ALLEGED FAILURE IN IMPLEMENTING CODE OF CONDUCT VIOLATING REGULATION 12(1) OF SEBI (PIT) REGULATIONS, 1992 READ WITH CLAUSE 1.2 OF CODE OF CONDUCT SPECIFIED UNDER PART B OF SCHEDULE I READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MANAPPURAM FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,48,000 VIDE CONSENT ORDER)
08-JUL-2020
|
|
| 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 8 of 9
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