| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 141 |
|
RAJIV RANJAN SINGH
(PAN:ASHPS8610D)
|
|
|
|
KARVY CAPITAL LTD.
PAN:AAACG4544N
|
|
|
KARVY STOCK BROKING LTD.
PAN:AABCK5190K
|
|
PLEDGED SECURITIES WITHOUT KNOWLEDGE OF CLIENTS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
TRANSFERRED FUNDS WITH ASSOCIATE COMPANY
DID NOT MAINTAIN CONTINUOUS NETWORTH
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
28-APR-2023
|
|
| 142 |
|
|
RAJU B.SHAH (AKA. ANIL HIRALAL SHAH)
|
|
|
DID NOT FURNISH INFORMATION AND REFUSED TO ACCEPT SUMMONS ISSUED FOR FURNISHING OF INFORMATION IN MATTER OF AVINASH INFORMATION TECHNOLOGY LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
03-MAR-2010
|
|
| 143 |
|
|
RAKESH GOKULBHAI PATEL
(PAN:AGPPP7771C)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS, SYNCHRONIZED, SELF TRADE AND OFF MARKET TRANSACTIONS IN SCRIP OF CRAZY INFOTECH LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
10-FEB-2015
|
|
| 144 |
|
|
RAKESH PARASMAL SINGHVI
(PAN:BCQPS0499L)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS, CIRCULAR, SYNCHRONIZED AND SELF TRADES IN SCRIP OF CRAZY INFOTECH LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-FEB-2015 TO 09-FEB-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-FEB-2015 TO 09-FEB-2017
10-FEB-2015
|
|
| 145 |
|
|
RAKSHA DEVI
|
|
|
INDULGED IN CREATING FALSE AND MISLEADING APPEARANCE OF TRADING IN SHARES OF ELECTROLUX KELVINATOR LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
20-AUG-2008
|
|
| 146 |
|
|
RAKSHABEN ARUNBHAI MAKWANA
(PAN:ABHPW9090J)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 147 |
|
|
RAMESH MORANDMAL SADHWANI
(PAN:ALJPS5991A)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 08/06/2022 DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER
|
| 148 |
|
|
RAMESH PAMANI
(PAN:ANCPP1186D)
|
|
|
VIOLATED SECTIONS 12A(A) TO (C) OF THE SEBI ACT READ WITH REGULATIONS 3(B) TO 3(D) & 4(2)(C), 4(2)(F), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES OF K SERA SERA LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-SEP-2017
|
|
| 149 |
|
|
RAMESHWARLAL GULABCHAND KOTHARI
(PAN:AAVPA0108L)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 150 |
|
|
RAVEENDRAN SAPPANY
(PAN:AAGPR8625Q)
|
|
|
|
ABL BIOTECHNOLOGIES LTD.
CIN:L52599TN1992PLC022340
PAN:AAACA5463G
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ABL BIOTECHNOLOGIES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
31-MAY-2019
|
|
| 151 |
|
|
RAVI VAJAWAT
(PAN:AASPV1975F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 152 |
|
|
REKHA MISHRA
(PAN:CFQPM0385H)
|
|
|
|
CAPVISION INVESTMENT ADVISOR
PAN:AAJFC0782A
|
|
ENGAGED IN NON-GENUINE AND DECEPTIVE ACTIVITY OF OBTAINING PAYMENTS FROM CLIENTS TO THIRD PARTY BANK ACCOUNTS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CAPVISION INVESTMENT ADVISOR
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
PROVIDED INVESTMENT ADVICE ON FREE TRIALS TO CLIENTS
DID NOT DISPLAY COMPLAINTS STATUS ON WEBSITE
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
28-FEB-2023
|
|
| 153 |
|
|
RIKESH R.SHAH
(PAN:APXPS9344F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS, SYNCHRONIZED, SELF TRADE AND OFF MARKET TRANSACTIONS IN SCRIP OF CRAZY INFOTECH LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
10-FEB-2015
|
|
| 154 |
|
|
ROSEMARY ISAAC
(PAN:AAEPR5705R)
|
|
|
|
ABL BIOTECHNOLOGIES LTD.
CIN:L52599TN1992PLC022340
PAN:AAACA5463G
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ABL BIOTECHNOLOGIES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
31-MAY-2019
|
|
| 155 |
|
|
ROSHAN KUMAR VERMA
(PAN:AEPPV0069K)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF RAM MINERALS & CHEMICALS LTD. (FORMERLY KNOWN AS IVCL CHEMICALS LTD.)
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
04-JUN-2019
|
|
| 156 |
|
|
RUCHIT HIRALAL JAIN
(PAN:AFCPJ6983L)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 08/04/2022 CONDONED THE DELAY IN FILING OF APPEALS. ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANTS TO FILE REJOINDER TWO WEEKS THEREAFTER. EFFECT AND OPERATION OF IMPUGNED ORDER TO REMAIN STAYED UNTIL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 08/06/2022 DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 03/01/2023 DISMISSED THE APPEAL. NO COSTS
|
| 157 |
|
|
RUPAL PANKAJ SARAIYA
(DIN:00002641
PAN:AMZPS1068D)
|
|
|
VIOLATED SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(B) TO 3(D) & 4(2)(C), 4(2)(F), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES OF AVON CORP.LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-SEP-2017
|
|
| 158 |
|
|
RUSHABH VIPUL SHAH
(PAN:BMMPS8777F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 08/06/2022 DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER
|
| 159 |
|
|
S.N.BANSAL
|
|
|
|
KARISHMA FLORICULTURE LTD.
CIN:U74899DL1994PLC057511
|
|
ADVANCED FUNDS FOR PURCHASE OF ITS OWN SHARES VIOLATING SECTION 77(2) OF COMPANIES ACT, 1956
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT TRANSFER SHARE CERTIFICATES WITHIN STIPULATED TIME
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
19-JUL-2011
|
|
| 160 |
|
|
SACHIN SURESH GAIKAWAD
(PAN:ALFPG5902R)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS, SYNCHRONIZED, SELF TRADE AND OFF MARKET TRANSACTIONS IN SCRIP OF CRAZY INFOTECH LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
10-FEB-2015
|
|
| 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 11
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