| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
ADOLF PATRICK PINTO
|
|
|
ALLEGED INDULGENCE IN SYNCHRONIZED, CIRCULAR/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF KRBL LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF KRBL LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
28-JAN-2010
|
|
| 162 |
|
|
AFSANA KHATOON
(PAN:ALJPK5716D)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 163 |
|
|
AGARWAL PREM LATA
(PAN:AAMPA9811B)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 164 |
|
|
AGARWAL SANJAY RAJKUMAR
(PAN:AACHA6905J)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 165 |
|
|
AGARWAL SUBHASH KUMAR
(PAN:AACHA9297B)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 166 |
|
|
AGARWAL VIKAS NANDUBHAI
(PAN:AGAPA0398M)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 167 |
|
|
AHUTI PODDAR
(PAN:AISPP3245N)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 168 |
|
|
AISHWARYA PADIA
(PAN:CEVPP5588R)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 169 |
|
|
AISHWARYA PANSARI
(PAN:CQZPP8905L)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 170 |
|
|
AJAI HARI DALMIA
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO SEBI AS REQUIRED UNDER REGULATION 3(4) READ WITH 3(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 279324 (63.48%) SHARES OF ANNIVERSARY INVESTMENTS & AGENCIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,000, ADMINISTRATION CHARGES RS.25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
18-AUG-2008
|
|
| 171 |
|
|
AJAI VIKRAM SINGH
|
|
|
ALLEGED VIOLATION OF CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN THE MATTER OF HORIZON INFRASTRUCTURE LTD. (NOW KNOWN AS SKIL INFRASTRUCTURE LTD.)
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,32,74,000, INTEREST RS.5,10,595 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAY-2017
|
|
| 172 |
|
|
AJANTA RUSTAGI
(PAN:AANPR8489F)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 173 |
|
|
AJAY BHATIA
(PAN:AAMPB2104N)
|
|
|
|
QUANTLASE LAB LLC
|
|
ALLEGED COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION TO OTHERS VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ADANI GREEN ENERGY LTD., ADANI ENTERPRISES LTD. AND ADANI TRANSMISSION LTD.
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 READ WITH REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ADANI GREEN ENERGY LTD., ADANI ENTERPRISES LTD. AND ADANI TRANSMISSION LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,04,87,903, DISGORGEMENT AMOUNT RS.55,34,457, INTEREST RS.9,58,902 VIDE CONSENT ORDER)
16-SEP-2025
|
|
| 174 |
|
|
AJAY BIJLI
|
|
|
|
PVR LTD.
|
|
ALLEGED FAILURE IN COMPLIANCE OF CLAUSES D(V) (2) TO D(V) (4) OF CODE OF CONDUCT PRESCRIBED FOR DIRECTORS AND SENIOR MANAGEMENT OF COMPANY AS STIPULATED UNDER CLAUSE 49D OF ERSTWHILE LISTING AGREEMENT AND CORRESPONDING PROVISIONS OF REGULATION 17(5) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 IN MATTER OF PVR LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.20,40,000 VIDE CONSENT ORDER)
24-JAN-2018
|
|
| 175 |
|
|
AJAY DHOOT
(PAN:AFPPD3078M)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 176 |
|
|
AJAY DOSHI
(PAN:ADKPD1954H)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 177 |
|
|
AJAY GANGWAL
(PAN:AFQPG8739M)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 178 |
|
|
AJAY GANGWAL
(PAN:ADRPG3326K)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (CONSENT ORDER)
08-MAR-2023
|
|
| 179 |
|
|
AJAY GUPTA
(PAN:AGQPG4913Q)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 180 |
|
|
AJAY GUPTA
(PAN:AACHA1539A)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 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 9 of 438
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