| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 141 |
|
AMRIT TRIPATHI
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND COMPANY AS REQUIRED UNDER REGULATIONS 7(1) AND 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SOMANI CEMENT CO.LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SOMANI CEMENT CO.LTD.
|
IMPOSED PENALTY RS.1,00,000
01-DEC-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 142 |
|
|
AMRITHAVALLI SINGARAM
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUTOMOBILE PRODUCTS OF INDIA LTD.
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10, 11(2) AND 12 READ WITH REGULATION 14 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUTOMOBILE PRODUCTS OF INDIA LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUTOMOBILE PRODUCTS OF INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,97,33,551 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-JAN-2017
|
|
| 143 |
|
|
AMRITTESH KANOI
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 6(1),6(3) FOR YEAR 1997 AND 8(1),8(2) FOR YEARS 1998 TO 2003 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 20% SHARES/VOTING RIGHTS OF ORION PAPER & INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000, ADMINISTRATION CHARGES RS.25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
11-MAY-2009
|
|
| 144 |
|
|
AMRUTLAL JIVANDAS GANDHI
(Along with : ANIL AMRUITLAL GANDHI,
SUDHABEN AMRUTLAL GANDHI,
PRITI ANIL GANDHI,
POOJA ANIL GANDHI)
|
|
|
|
ANIL AMRUITLAL GANDHI (HUF)
PAN:AABHG6852M
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ZIGMA SOFTWARE LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
15-DEC-2011
|
|
| 145 |
|
|
AMUL GAGABHAI DESAI
(PAN:AHDPD3526G)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PARICHAY INVESTMENTS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1), 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PARICHAY INVESTMENTS LTD.
|
IMPOSED PENALTY RS.6,00,000
26-SEP-2018
|
SAT: SAT VIDE ITS ORDER DATED 05/11/2019 DISMISSED THE APPEAL
|
| 146 |
|
|
AMUL SUMATICHANDRA MEHTA
(PAN:AAHPM0112E)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAFARI INDUSTRIES (INDIA) LTD.
|
IMPOSED PENALTY RS.2,00,000
29-JAN-2014
|
SAT: SAT VIDE ITS ORDER DATED 01/10/2014 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 29/01/2014 AND DIRECTED SEBI TO PASS FRESH ORDER ON MERITS WITHIN FOUR MONTHS FROM THE DATE OF THIS ORDER. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 29/01/2015 GRANTED EXTENSION OF TWO MONTHS TO SEBI FOR PASSING FINAL ORDER
SEBI VIDE ITS ORDER DATED 27/03/2015 IMPOSED PENALTY OF RS.200000.00 UNDER SECTION 15A(B)
SAT: SAT VIDE ITS ORDER DATED 20/11/2015 SET ASIDED THE ORDER PASSED BY SEBI AND RESTORE THE APPEALS TO THE FILE OF SEBI FOR PASSING FRESH ORDER ON MERITS. NO COS
SEBI VIDE ITS ORDER DATED 28/07/2017 RE-IMPOSED PENALTY OF RS.2,00,000.00 U/S 15A(B) OF SEBI ACT ON THE NOTICEES MR.AMUL SUMATICHANDRA MEHTA, MR.YUGESH SUMATICHANDRA MEHTA, MR.AKUL YUGESH MEHTA, MR.JAYENDRA YUGESH MEHTA, MS.MRUDULA AMUL MEHTA, MS.MAITRI AMUL MEHTA, MS.RACHNA AMUL MEHTA, MS.SUNALI YUGESH MEHTA, SENATOR INVESTMENT PVT.LTD., TOURISTOR INVESTMENTS PVT.LTD., YUG INVESTMENT PVT.LTD. AND MR.AMUL SUMATICHANDRA MEHTA (HUF)
|
| 147 |
|
|
AMUTHA RAJENTHIRAN
|
|
|
VIOLATED SECTION 20 OF SEBI TAKEOVER CODE, 1997
VIOLATED SECTION 22 OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 148 |
|
|
ANAND ARYA
|
|
|
|
BLUE BLEND FINANCE LTD.
PAN:AAACB9027D
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 3(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PREMIER SYNTHETICS LTD.
|
IMPOSED PENALTY RS.10,000 ALONG WITH OTHER ENTITIES/PERSONS
03-MAR-2008
|
SAT: ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.10,000 FROM RS.1,00,000
|
| 149 |
|
|
ANAND MANGAL
(PAN:AIJPM8446P)
|
|
|
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
|
| 150 |
|
|
ANAND RAMANLAL TRIVEDI
(PAN:AEGPT1120C)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PLATINUM CORP.LTD.
|
IMPOSED PENALTY RS.1,00,000
21-NOV-2011
|
|
| 151 |
|
|
ANAND S.MASHRUWALA
(PAN:AAGPM0003P)
|
|
|
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
|
| 152 |
|
|
ANANDBA MAHENDRASINH JADEJA
(PAN:ABLPJ1921H)
|
|
|
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
|
| 153 |
|
|
ANANT P.SINHA
|
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.3,43,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAY-2002
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.1,02,000 FROM RS.3,43,000
|
| 154 |
|
|
ANANTNARAYAN GOPAL IYER
|
|
|
|
ADHIKASH FINANCE & TRADING PVT.LTD.
|
|
|
AGNIKAMAL FINANCE & TRADING PVT.LTD.
|
|
|
ALANKAR FINANCE & INVESTMENT LTD.
|
|
|
KALPIT TRADING PVT.LTD.
|
|
|
RENOLD FINANCE & INVESTMENT PVT.LTD.
|
|
|
SATYANAND PRASAD FINANCE PVT.LTD.
|
|
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 13.90% SHARES OF KRISHNA FILAMENTS LTD. WHILE ACTING IN CONCERT WITH OTHER ENTITIES
|
IMPOSED PENALTY RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS
20-JUN-2005
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
29-APR-2008
|
SAT: APPEAL DISPOSED OFF, AS APPLICANTS AGREED TO PAY A SUM OF RS. 75,000 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER
|
| 155 |
|
|
ANANYA KANOI
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 6(1),6(3) FOR YEAR 1997 AND 8(1),8(2) FOR YEARS 1998 TO 2003 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 20% SHARES/VOTING RIGHTS OF ORION PAPER & INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000, ADMINISTRATION CHARGES RS.25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
11-MAY-2009
|
|
| 156 |
|
|
ANANYAVRAT KANOI
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 6(1),6(3) FOR YEAR 1997 AND 8(1),8(2) FOR YEARS 1998 TO 2003 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 20% SHARES/VOTING RIGHTS OF ORION PAPER & INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000, ADMINISTRATION CHARGES RS.25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
11-MAY-2009
|
|
| 157 |
|
|
ANCHI DEVI JINDAL
|
|
|
|
VIKAS WSP LTD.
CIN:L24139HR1988PLC030300
PAN:AAACV7816Q
|
|
DID NOT MAKE CORRECT DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BSE & DELHI STOCK EXCHANGE IN RESPECT OF HOLDINGS OF PROMOTERS OR PERSONS(S) HAVING CONTROL OVER COMPANY AS ON 31ST MARCH AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-SEP-2004
|
|
| 158 |
|
|
ANEESA BANU
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ALPINE HOUSING DEVELOPMENT CORP.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
07-SEP-2009
|
|
| 159 |
|
|
ANGOORI DEVI
(PAN:ACWPD3533F)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF KAILASH AUTO FINANCE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF KAILASH AUTO FINANCE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF KAILASH AUTO FINANCE LTD.
|
IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
17-MAR-2015
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 160 |
|
|
ANIL AMRUITLAL GANDHI
(PAN:ACIPG8954B)
(Along with : AMRUTLAL JIVANDAS GANDHI,
SUDHABEN AMRUTLAL GANDHI,
PRITI ANIL GANDHI,
POOJA ANIL GANDHI)
|
|
|
|
ANIL AMRUITLAL GANDHI (HUF)
PAN:AABHG6852M
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ZIGMA SOFTWARE LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
15-DEC-2011
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 8 of 148
|
