| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
ANUTHAM NARAYANA
(PAN:AVEPA7597B)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF VTX INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) AND 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF VTX INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,50,000
26-JUL-2017
|
|
| 162 |
|
|
APARNA BHARAT SHAH
(PAN:AAEPS9684G)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF AMIT SPINNING INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
15-FEB-2019
|
|
| 163 |
|
|
APARNA POONJA
|
|
|
DELAYED DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF FORTUNE FINANCIAL SERVICES (INDIA) LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-SEP-2021
|
|
| 164 |
|
|
ARCHANA BAGRI
(PAN:ADPPB7414B)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) AND 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF IKAB SECURITIES & INVESTMENT LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(1) AND 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF IKAB SECURITIES & INVESTMENT LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-NOV-2022
|
|
| 165 |
|
|
ARCHANA DEEPAK WANI
(PAN:AAEPW4658G)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF LINKHOUSE INDUSTRIES LTD.
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
24-MAY-2018
|
SEBI VIDE ITS NOTICE DATED 29/10/2018 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
SAT: SAT VIDE ITS ORDER DATED 05/12/2019 ALLOWED THE APPEAL. NO COSTS
SEBI VIDE ITS ORDER DATED 10/12/2019 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS,DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF DEFAULTERS WHICH WERE ATTACHED PURSUANT TO NOTICE OF ATTACHMENT DATED 29/10/2018
|
| 166 |
|
|
ARCHIT JINDAL
(PAN:AGNPJ5775G)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF PAWANSUT HOLDINGS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF PAWANSUT HOLDINGS LTD.
|
IMPOSED PENALTY RS.3,00,000
30-AUG-2019
|
SEBI VIDE ITS NOTICE DATED 02/03/2020 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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
SAT: SAT VIDE ITS ORDER DATED 27/08/2021 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 31/08/2021 PARTLY ALLOWED THE APPEAL BY REDUCING THE PENALTY AMOUNT TO RS.3 LAC FROM RS.11.50 LAC TO BE PAID WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATED 17/11/2021 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 02/03/2020
SEBI VIDE ITS ORDER DATED 18/11/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.2751 OF 2020 DATED 13/01/2020
|
| 167 |
|
|
ARCHIT JINDAL
(PAN:AGNPJ5775G)
(Along with : PRADEEP KUMAR JINDAL,
TRISHLA JAIN,
RENU JAIN,
ANAND KUMAR JAIN,
SAJAN KUMAR JAIN,
MAMTA JINDAL,
AANCHAL JINDAL,
KANIKA,
LAXMAN SINGH SATYAPAL,
MEERA MISHRA)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF FOCUS INDUSTRIAL RESOURCES LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF FOCUS INDUSTRAIAL RESOURCES LTD.
|
IMPOSED PENALTY RS.30,00,000 ALONG WITH OTHER ENTITIES/PERSONS
22-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 01/07/2021 CONDONED THE DELAY OF 82 DAYS IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 10/08/2021 APPELLANTS FILE THE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 15/11/2021 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
SAT: SAT VIDE ITS ORDER DATED 24/09/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 23/11/2021 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
SEBI VIDE ITS ORDER DATED 01/12/2021 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 15/11/2021
SAT: SAT VIDE ITS ORDER DATED 02/02/2022 GRANTED PERMISSION TO FILE AMENDMENT APPLICATION SEEKING TO AMEND RELIEF CLAUSE WITHIN TWO WEEKS FROM DATE OF THIS ORDER. SINCE APPELLANTS HAD ALREADY DEPOSITED RS.28 LAC,NO FURTHER RECOVERY TO BE MADE AGAINST THEM DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 21/02/2022 ALLOWED THE APPLICATION
SEBI VIDE ITS ORDER DATED 18/11/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4207 OF 2021 DATED 13/10/2021
|
| 168 |
|
|
ARCHIT JINDAL
(PAN:AGNPJ5775G)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF FOCUS INDUSTRAIAL RESOURCES LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
19-MAR-2020
|
SAT: SAT VIDE ITS ORDER DATED 01/07/2021 CONDONED THE DELAY OF 267 DAYS IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 10/08/2021 APPELLANTS FILE THE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 24/09/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 02/02/2022 GRANTED PERMISSION TO FILE AMENDMENT APPLICATION SEEKING TO AMEND RELIEF CLAUSE WITHIN TWO WEEKS FROM DATE OF THIS ORDER. SINCE APPELLANTS HAD ALREADY DEPOSITED RS.28 LAC,NO FURTHER RECOVERY TO BE MADE AGAINST THEM DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 21/02/2022 ALLOWED THE APPLICATION
|
| 169 |
|
|
ARCHIT JINDAL
(PAN:AGNPJ5775G)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) AND 13(5)(B) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DELTA LEASING & FINANCE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF DELTA LEASING & FINANCE LTD.
|
IMPOSED PENALTY RS.1,00,000
29-JUL-2022
|
SEBI VIDE ITS NOTICE DATED 09/01/2023 DIRECTED TO PAY RS.1,08,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 31/01/2023 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 ORDER DATED 08/02/2023 DIRECTED ALL THE BANKS TO REMIT RS.1,09,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MS.ARCHIT JINDAL TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS ORDER DATED 06/03/2023 DIRECTED ALL THE BANKS TO REMIT RS.1,10,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.ARCHIT JINDAL TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS NOTICE DATED 25/08/2026 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 31/01/2023
SEBI VIDE ITS ORDER DATED 25/08/2026 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6199 OF 2023 DATED 09/01/2023
|
| 170 |
|
|
ARENDRA KUMAR
(PAN:CMBPK9965M)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF RACL GEARTECH LTD.
|
IMPOSED PENALTY RS.1,10,000
23-OCT-2020
|
|
| 171 |
|
|
ARJUN GEEL
(PAN:AIOPG0153C)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 3(1) AND 4 OF SAST REGULATIONS, 2011 IN MATTER OF SHREENATH INDUSTRIAL INVESTMENT CO.LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-MAY-2018
|
SEBI VIDE ITS ORDER DATED 20/01/2025 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 20/01/2025 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
SEBI VIDE ITS NOTICE DATED 20/01/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.2111 OF 2019 DATED 02/05/2019
|
| 172 |
|
|
ARJUNDAS POKARDAS
(PAN:AAAHA0295D)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF S I CAPITAL & FINANCE SERVICES LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(1) AND 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF S I CAPITAL & FINANCE SERVICES LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF S I CAPITAL & FINANCE SERVICES LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-AUG-2022
|
|
| 173 |
|
|
ARMIN DESAI
(PAN:AJNPD5338G)
|
|
|
DID NOT MAKE OPEN OFFER TO SHAREHOLDERS POST ACQUISITION OF SHARES OF TRANSCHEM LTD. VIOLATING REGULATION 3(1) OF SAST REGULATIONS, 2011
|
IMPOSED PENALTY RS.4,50,000 ALONG WITH OTHER ENTITIES/PERSONS
18-FEB-2020
|
|
| 174 |
|
|
ARMINDER SINGH
(PAN:BLLPS6101B)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF VEDIC AYURVEDA LTD. (FORMERLY KNOWN AS KD LEISURE LTD.)
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF VEDIC AYURVEDA LTD. (FORMERLY KNOWN AS KD LEISURE LTD.)
|
IMPOSED PENALTY RS.2,00,000
27-AUG-2026
|
|
| 175 |
|
|
ART KHACHATURIAN
(PAN:AUGPK2932H)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF MOSCHIP SEMICONDUCTOR TECHNOLOGY LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF MOSCHIP SEMICONDUCTOR TECHNOLOGY LTD.
|
IMPOSED PENALTY RS.4,00,000 ALONG WITH OTHER ENTITIES/PERSONS
17-OCT-2017
|
|
| 176 |
|
|
ARTIBEN PANKAJKUMAR SHINGALA
(PAN:FMHPS5974P)
(Along with : SANGEETABEN NITESHBHAI VAGHASIYA,
NITESH PARSHOTTAMBHAI VAGHASIYA,
NITABEN PRAVINBHAI SHINGALA,
PARSHOTTAMBHAI LALJIBHAI VAGHASIYA,
YOGESHBHAI GOVINDBHAI RAMANI,
GOVINDBHAI KARSANBHAI RAMANI,
ARVINDBHAI PARSHOTAMBHAI VAGHASIYA,
RAMNIK PARSOTAMBHAI VAGHASIYA,
JAYABEN PARSHOTAMBHAI VAGHASIYA,
PRAVINKUMAR HARDASBHAI SHINGALA,
MUKTABEN GOVINDBHAI RAMANI,
VASANTBHAI HARDASBHAI SHINGALA,
PANKAJ VASANTBHAI SHINGALA,
NITEEN BHIKHUBHAI KHATRA)
|
|
|
|
NITESH P VAGHASIYA (HUF)
PAN:AAFHV2370F
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ULTRACAB (INDIA) LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
07-AUG-2026
|
|
| 177 |
|
|
ARUN DHIR
(PAN:ABCPD0779J)
|
|
|
|
ARUN ENTERPRISES
PAN:AADFA9183D
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF RAMA STEEL TUBES LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
17-SEP-2021
|
|
| 178 |
|
|
ARUN GOVIL
(PAN:AKVPG8378A)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF DYNACONS TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.1,00,000
06-AUG-2019
|
|
| 179 |
|
|
ARUN KOCHAR
(PAN:ARFPK1390P)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SMALL TRADES IN SCRIP OF WISEC GLOBAL LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF WISEC GLOBAL LTD.
EXECUTED OFF-MARKET TRANSACTION OF SHARES WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) OF SCRA, 1956 READ WITH SECTIONS 13, 16 AND 18 OF SCRA, 1956 AND READ WITH SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF WISEC GLOBAL LTD.
DID NOT PROVIDE INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF WISEC GLOBAL LTD.
|
IMPOSED PENALTY RS.13,00,000
30-JUN-2022
|
SAT: SAT VIDE ITS ORDER DATED 15/12/2022 ALLOWED THE APPLICATION AND RECALLED ORDER DATED 01/11/2022
SAT: SAT VIDE ITS ORDER DATED 20/01/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 10/02/2023 DIRECTED TO PAY RS.14,18,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 06/03/2023 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 ORDER DATED 10/04/2023 DIRECTED ALL THE BANKS TO REMIT RS.13,42,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.ARUN KOCHAR TO SEBI BY WAY OF EFT/NEFT/RTGS
SAT: SAT VIDE ITS ORDER DATED 19/05/2023 DISMISSED THE APPEAL. NO COST
SEBI VIDE ITS NOTICE DATED 08/08/2025 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 06/03/2025
SEBI VIDE ITS ORDER DATED 08/08/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6243 OF 2023 DATED 10/02/2023
|
| 180 |
|
|
ARUN KUMAR SETHIA
(PAN:AQUPS5258E)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF BALURGHAT TECHNOLOGIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
16-MAY-2019
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 9 of 84
|
