| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
BIMLESH KUMAR MISHRA
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF SOMANI CEMENT CO.LTD.
|
IMPOSED PENALTY RS.7,00,000
23-DEC-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 162 |
|
|
BINIT JOSHI
(PAN:ACKPJ7454M)
|
|
|
|
SUN & SHINE WORLDWIDE LTD.
PAN:AABCR6814P
|
|
INDULGED IN PUBLICATION OF FALSE PURCHASE AND SALES FIGURES IN FINANCIAL STATEMENTS AND VARIOUS CORPORATE ANNOUNCEMENTS ETC.VIOLATING SECTION 12A(D) OF SEBI ACT, 1992 AND REGULATIONS 3(D), 4(2)(F), AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SUN AND SHINE WORLDWIDE LTD.
DID NOT SUBMIT INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF SUN & SHINE WORLDWIDE LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 14-SEP-2021 TO 13-SEP-2022
IMPOSED PENALTY RS.10,00,000
14-SEP-2021
|
SEBI VIDE ITS NOTICE DATED 12/01/2023 DIRECTED TO PAY RS.11,71,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 05/10/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED THE APPEAL. QUASHED IMPUGNED ORDER DATED 14/09/2021 AND MATTER REMITTED TO WTM TO PASS A FRESH ORDER IN ACCORDANCE WITH LAW
SEBI VIDE ITS ORDER DATED 18/10/2023 CANCELLED RECOVERY CERTIFICATE AS PER SAT ORDER DATED 05/10/2023
SEBI VIDE ITS ORDER DATED 16/02/2024 DISPOSED OF THE PRESENT PROCEEDINGS WITHOUT ISSUANCE OF ANY DIRECTION OR IMPOSITION OF PENALTY
|
| 163 |
|
|
BIPIN SHAH
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION TO SEBI IN RESPONSE TO SUMMONS IN MATTER OF KARUNA CABLES LTD.
|
IMPOSED PENALTY RS.3,00,000
22-JAN-2009
|
SAT: SAT VIDE ITS ORDER DATED 24/10/2016 CONDONED THE DELAY AND SET ASIDED EX-PARTE ORDERS AND DIRECTED AO TO PASS FRESH ORDER WITHOUT BEING INFLUENCED BY IMPUGNED EX-PARTE ORDER AND IF AO IN FRESH ORDER DEEMS IT FIT TO IMPOSED PENALTY THEN HE MAY ALSO CONSIDER THE QUESTION AS TO WHETHER THE APPELLANTS SHOULD BE DIRECTED TO PAY THE PENALTY WITH INTEREST. NO COSTS
|
| 164 |
|
|
BRIJ KHANNA
(PAN:BGIPK5602F)
|
|
|
|
KINGFISHER OVERSEAS PVT.LTD.
|
|
DID NOT FURNISH INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF FILING OF FORGED PAPERS WITH BSE TO OBTAIN LISTING OF BLUE INFORMATION TECHNOLOGY LTD.
|
IMPOSED PENALTY RS.2,00,000
27-APR-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 28/08/2018 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
|
| 165 |
|
|
BRIJ KISHORE SABHARWAL
(PAN:AAXPS6830P)
|
|
|
|
ESTEEM BIO ORGANIC FOOD PROCESSING LTD.
CIN:L74899DL1995PLC071220
PAN:AAACE1925D
|
|
DID NOT UTILIZE IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS AND GAVE WRONG DISCLOSURES WITH RESPECT TO IPO PROCEED TO STOCK EXCHANGES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(C), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF ESTEEM BIO ORGANIC FOOD PROCEESING LTD.
MISUTILIZED IPO PROCEEDS FOR REPAYING LOANS VIOLATING REGULATION 57(1) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF IPO OF ESTEEM BIO ORGANIC FOOD PROCEESING LTD.
DID NOT SUBMIT INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF ESTEEM BIO FOOD PROCESSING LTD.
|
IMPOSED PENALTY RS.8,00,000
28-APR-2022
|
SEBI VIDE ITS NOTICE DATED 07/07/2023 DIRECTED TO PAY RS.9,29,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 03/08/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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 06/09/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.9,45,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS NOTICE DATED 15/01/2024 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 03/08/2023
SEBI VIDE ITS ORDER DATED 15/01/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6804 OF 2023 DATED 07/07/2023
|
| 166 |
|
|
BRIJ KISHORE SABHARWAL
(PAN:AAXPS6830P)
|
|
|
|
ECO FRIENDLY FOOD PROCESSING PARK LTD.
CIN:L45209DL2008PLC181131
PAN:AACCE0416B
|
|
MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSPECTUS VIOLATING SECTIONS 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 IPO OF ECO FRIENDLY FOOD PROCESSING PARK LTD.
DID NOT UTILIZE IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS AND MADE WRONG DISCLOSURE TO STOCK EXCHANGES WITH RESPECT TO IPO PROCEEDS VIOLATING REGULATION 57(1) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF ECO FRIENDLY FOOD PROCESSING PARK LTD.
DID NOT SUBMIT INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF IPO OF ECO FRIENDLY FOOD PROCESSING PARK LTD.
|
IMPOSED PENALTY RS.11,00,000
29-JUL-2022
|
SAT: SAT VIDE ITS ORDER DATED 23/03/2023 ALLOWED RESPONDENT FURTHER TWO WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
|
| 167 |
|
|
C.J.KUMAR
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF TAURAS MUTUAL FUND
|
IMPOSED PENALTY RS.1,00,000
22-MAR-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 13/07/2022 DIRECTED TO PAY RS.2,48,814.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 04/08/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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
|
| 168 |
|
|
C.P.BHUTA
|
|
|
|
ANIK SHIP BREAKING INDUSTRIES LTD.
|
|
MANIPULATED PUBLIC ISSUE OF ANIK SHIP BREAKING INDUSTRIES LTD.
ENTERED INTO TACIT BUYBACK ARRANGEMENT WITH A SET OF PERSONS WITH INTENTION TO ENSURE MINIMUM SUBSCRIPTION
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 23-OCT-2002 TO 22-OCT-2007
PROHIBITED PUBLIC COMPANIES IN WHICH THIS DIRECTOR HAS CONTROLLING/SUBSTANTIAL INTEREST TO RAISE FUNDS FROM CAPITAL MARKET FROM 23-OCT-2002 TO 22-OCT-2007
23-OCT-2002
|
|
| 169 |
|
|
C.R.PATEL
|
|
|
|
MARINE CARGO CO.LTD.
|
|
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
DID NOT SUBMIT REPLY/SUBMISSION OF SHOW CAUSE NOTICE TO ISSUED IN MATTER OF VANISHING COMPANIES
DID NOT FILE STATUTORY RETURNS WITH REGISTRAR OF COMPANIES (ROC) FOR TWO YEARS
DID NOT FILE RETURNS WITH STOCK EXCHANGES FOR TWO YEARS
COMPANY WAS NOT TRACEABLE AT ITS REGISTERED OFFICE
DIRECTORS OF THE COMPANY WERE NOT TRACEABLE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-OCT-2016 TO 20-OCT-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-OCT-2016 TO 20-OCT-2021
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 21-OCT-2016 TO 20-OCT-2021
21-OCT-2016
|
|
| 170 |
|
|
CHAITANYA P.RAOTE
|
|
|
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.3,00,000
20-NOV-2008
|
|
| 171 |
|
|
CHANDRAKANT K.PATEL
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF E.STAR INFOTECH LTD.
|
IMPOSED PENALTY RS.50,000
04-JUL-2012
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS ORDER DATED 16/10/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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 21/02/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,21,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 172 |
|
|
CHANDRAKANT KERU SHINDE
(PAN:ALUPS1679Q)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF INDO PACIFIC SOFTWARE & ENTERTAINMENT LTD.
|
IMPOSED PENALTY RS.2,50,000
19-OCT-2011
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 173 |
|
|
CHANDRAPRAKASH VALCHAND PAREKH
(PAN:ASAPP9100C)
|
|
|
PROVIDED FALSE/INCORRECT/INCOMPLETE INFORMATION IN RESPONSE TO SUMMONS IN MATTER OF AGRO PHOS INDIA LTD.
|
IMPOSED PENALTY RS.5,00,000
03-OCT-2022
|
|
| 174 |
|
|
CHANDRIKABEN NATUBHAI PANCHAL
(PAN:CNKPP8532R)
|
|
|
DID NOT FURNISH NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF PREMIER SYNTHETICS LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PREMIER SYNTHETICS LTD.
|
IMPOSED PENALTY RS.6,25,000
30-SEP-2024
|
SEBI VIDE ITS NOTICE DATED 27/02/2025 DIRECTED TO PAY RS.6,57,250.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 19/03/2025 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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 28/04/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.6,69,750.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 175 |
|
|
CHANDRIKABEN NATUBHAI PANCHAL
(PAN:CNKPP8532R)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF STEEL EXCHANGE INDIA LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF STEEL EXCHANGE INDIA LTD.
|
IMPOSED PENALTY RS.13,00,000
29-JAN-2021
|
SEBI VIDE ITS NOTICE DATED 23/09/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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
|
| 176 |
|
|
CHETAN DOGRA
(PAN:ABNPD1798C)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, REVERSAL OF TRADE TRANSACTIONS AND SELF TRADES IN SCRIP OF URJA GLOBAL LTD.
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF URJA GLOBAL LTD.
EXECUTED OFF-MARKET TRANSFER OF SHARES WITHOUT RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) READ WITH SECTIONS 13, 16 AND 18 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF URJA GLOBAL LTD.
|
IMPOSED PENALTY RS.50,00,000
09-FEB-2021
|
SEBI VIDE ITS NOTICE DATED 02/08/2022 DIRECTED TO PAY RS.59,51,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 12/09/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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 09/11/2022 DIRECTED ALL THE BANKS TO REMIT RS.61,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.CHETAN DOGRA TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS ORDER DATED 29/11/2023 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, IF ANY WITHIN ONE WEEK FROM DATE OF THIS ORDER D) COPIES OF THE ALL THE TITLE DEEDS, VALUATION REPORTS OF ALL THE PROPERTIES HELD BY DEFAULTER WITHIN TWO WEEKS FROM DATE OF THIS ORDER E) DIRECTED INSPECTORS GENERAL OF REGISTRATION OF MAHARASHTRA AND THE CONCERNED SUB-REGISTRARS OF THE RESPECTIVE AREAS WHERE THE PROPERTIES ARE LOCATEDF) 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 OWNED / HELD BY THE DEFAULTERS, IF PRESENTED FOR REGISTRATION
|
| 177 |
|
|
CHETAN MULCHANDBHAI SHAH
(PAN:ALWPS9006K)
|
|
|
INDULGED IN MISAPPROPRIATION OF FUNDS AND SECURITIES
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF SHAREPRO SERVICES (I) PVT.LTD.
|
IMPOSED PENALTY RS.37,00,000
27-OCT-2023
|
SEBI VIDE ITS NOTICE DATED 08/02/2024 DIRECTED TO PAY RS.38,86,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 18/04/2024 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILEDWITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 25/06/2024 CONDONED THE DELAY IN FILING OF REPLY
SAT: SAT VIDE ITS ORDER DATED 11/11/2024 APPELLANT SOUGHT TWO WEEKS TO FILE REJOINDER
|
| 178 |
|
|
CHETAN SUKHDEV PANDIT
(PAN:AGJPP0477F)
|
|
|
MISUSED NAMES OF CHARTERED ACCOUNTANTS AS STATUTORY AUDITORS IN FINANCIAL STATEMENTS AND FILED FRAUDULENT AUDIT REPORTS AND DID NOT SUBMIT TRUE AND FAIR AUDITED FINANCIAL STATEMENTS TO STOCK EXCHANGES VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(D), 4(2)(F) AND 4(2)(K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ACIL COTTON INDUSTRIES LTD., UNIVERSAL CREDIT & SECURITIES LTD., MINDVISION CAPITAL LTD. AND RFL INTERNATIONAL LTD.
MISUSED NAMES OF CHARTERED ACCOUNTANTS AS STATUTORY AUDITORS IN FINANCIAL STATEMENTS AND FILED FRAUDULENT AUDIT REPORTS AND DID NOT SUBMIT TRUE AND FAIR AUDITED FINANCIAL STATEMENTS TO STOCK EXCHANGES VIOLATING REGULATION 4(1)(B), (C), (G), (J), 33(1)(D), 33(3)(D), (E), 34(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ACIL COTTON INDUSTRIES LTD., UNIVERSAL CREDIT & SECURITIES LTD., MINDVISION CAPITAL LTD. AND RFL INTERNATIONAL LTD.
MISUSED NAMES OF CHARTERED ACCOUNTANTS AS STATUTORY AUDITORS IN FINANCIAL STATEMENTS AND FILED FRAUDULENT AUDIT REPORTS AND DID NOT SUBMIT TRUE AND FAIR AUDITED FINANCIAL STATEMENTS TO STOCK EXCHANGES VIOLATING CLAUSE 41(I)(D)(IV), AND (V) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF ACIL COTTON INDUSTRIES LTD., UNIVERSAL CREDIT & SECURITIES LTD., MINDVISION CAPITAL LTD. AND RFL INTERNATIONAL LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION / DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF ACIL COTTON INDUSTRIES LTD., UNIVERSAL CREDIT & SECURITIES LTD., MINDVISION CAPITAL LTD. AND RFL INTERNATIONAL LTD.
|
IMPOSED PENALTY RS.8,00,000
21-OCT-2022
|
SEBI VIDE ITS NOTICE DATED 16/10/2023 DIRECTED TO PAY RS.8,00,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 08/11/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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 15/12/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.9,21,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SAT: SAT VIDE ITS ORDER DATED 20/03/2024 ALLOWED RESPONDENT TWO WEEKS TO FILE REPLY A SHORT REPLY ON THE DELAY ASPECT
SEBI VIDE ITS NOTICE DATED 27/03/2024 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 08/11/2023
SEBI VIDE ITS ORDER DATED 27/03/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7232 OF 2023 DATED 16/10/2023
SAT: SAT VIDE ITS ORDER DATED 17/04/2024 ALLOWED APPELLANTS TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 08/05/2024 CONDONED THE DELAY OF SIX DAYS IN FILING OF REJOINDER
SAT: SAT VIDE ITS ORDER DATED 22/10/2024 ALLOWED THE APPEALS AND MATTER REMITTED TO SEBI TO PASS FRESH ORDERS
SEBI VIDE ITS NOTICE DATED 11/04/2025 CANCELLED RECOVERY CERTIFICATE AS PER SAT ORDER DATED 22/10/2024
SEBI VIDE ITS ORDER DATED 23/05/2025 DISPOSED OF ADJUDICATION PROCEEDINGS WITHOUT ANY PENALTY
|
| 179 |
|
|
CHETAN YASHWANT SHUKLA
(PAN:ABBPS2467H)
|
|
|
DID NOT SUBMIT INFORMATION ABOUT CHANGE OF ADDRESS VIOLATING REGULATION 13(II) OF SEBI (RESEARCH ANALYST) REGULATIONS, 2014
DID NOT PROVIDE INFORMATION TO SEBI
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
IMPOSED PENALTY RS.3,00,000
12-APR-2022
|
SEBI VIDE ITS NOTICE DATED 15/07/2022 DIRECTED TO PAY RS.3,13,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 22/08/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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 13/10/2022 DIRECTED ALL THE BANKS TO REMIT RS.3,22,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.CHETAN YASHWANT SHUKLA BY WAY OF EFT/NEFT/RTGS
|
| 180 |
|
|
CHETAN YASHWANT SHUKLA
(PAN:ABBPS2467H)
|
|
|
DID NOT PROVIDE INFORMATION TO SEBI
ACTED AS RESEARCH ANALYST WITHOUT SEBI REGISTRATION
|
CANCELLED REGISTRATION AS RESEARCH ANALYST
29-NOV-2022
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 9 of 57
|
