| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
SUNIL ATODE
(DIN:07857476)
|
|
|
|
HIGHBROW MARKET RESEARCH PVT.LTD.
PAN:AACCH8077M
|
|
INDULGED IN NON-GENUINE INVESTMENT ADVISORY ACTIVITY VIOLATING CLAUSES 1 TO 6 AND 8 OF CODE OF CONDUCT FOR INVESTMENT ADVISERS READ WITH REGULATION 15(9) OF (INVESTMENT ADVISORS) REGULATIONS, 2013
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-SEP-2023 TO 19-SEP-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-SEP-2023 TO 19-SEP-2024
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-SEP-2023 TO 19-SEP-2024
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NOT TRANSFERRED SECURITIES HELD JOINTLY OR SEVERALLY
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 20-SEP-2023 TO 19-SEP-2024
23-MAY-2019
|
SEBI VIDE ITS ORDER DATED 30/01/2020 CONFIRMED DIRECTIONS ISSUED VIDE ITS EX-PARTE AD-INTERIM ORDER DATED 23/01/2019
SEBI VIDE ITS ORDER DATED 20/09/2023 DIRECTED TO A) DEBARFROM ACCESSING SECURITIES MARKET, DIRECTLY OR INDIRECTLY AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER, FOR ONE YEAR FROM DATE OF THIS ORDER AND B) PROHIBITED FROM HOLDING POSITION OF A DIRECTOR OR A KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR REGISTERED INTERMEDIARIES
|
| 162 |
|
|
SURABHI KISHORE SHAH
(PAN:APQPS7611L)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MAGMA FINCORP LTD. (NOW KNOWN AS POONAWALLA FINCORP LTD.)
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-SEP-2021 UNTIL FURTHER ORDERS
DIRECTED TO IMPOUND BANK ACCOUNTS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 15-SEP-2021 UNTIL FURTHER ORDERS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.1,76,03,579 ALONG WITH OTHER ENTITIES/PERSONS
15-SEP-2021
|
SEBI VIDE ITS ORDER DATED 28/03/2022 A) DIRECTED TO RESTRAINED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES DIRECTLY OR INDIRECTLY IN ANY MANNER, WHATSOEVER UNTIL FURTHER ORDERS AND DIRECTIONS ISSUED VIDE ITS INTERIM ORDER STAND MODIFIED TO THE EXTENT OF ALLOWING CREDIT AND DEBIT OF SECURITIES IN THE ACCOUNTSB) CLARIFIED THAT RESTRAINT RELATED TO BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN RESPECT OF PFL (MAGMA) WOULD NOT PROHIBIT THE CREDIT OF SHARES TO RECEIVED ON ACCOUNT OF STOCK OPTION, BONUS ETC. ISSUED BY THE COMPANYC) CLARIFIED THAT THE FUNDS DEPOSITED BY ENTITIES IN INTEREST BEARING ESCROW ACCOUNT WILL REMAIN IN SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS
SEBI VIDE ITS ORDER DATED 22/06/2023 REVOKED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD-INTERIM ORDER DATED 15/09/2021 AND CONFIRMATORY ORDER DATED 28/03/2022
|
| 163 |
|
|
SURBHI AGGARWAL
(PAN:BNIPA1542D)
(Along with : PRIJESH ARUNKUMAR KURANI,
VIKAS GARG,
SANDEEP KUMAR SRIVASTAVA)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF V MARC INDIA LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2024 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2024 UNTIL FURTHER ORDERS
DIRECTED TO DISGORGE RS.3,53,51,500 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
28-FEB-2024
|
SEBI VIDE ITS ORDER DATED 26/07/2024 CONFIRMED DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 28/02/2024 BY MODIFYING TOTAL AMOUNT TO RS.6,30,79,750.00 AS MR.JAIKISHORR SINGHAL HAS DEPOSITED ALLEGED ILLEGAL GAINS MADE BY HIM AND FUNDS DEPOSITED BY THE ENTITIES IN ESCROW ACCOUNT OR SAVINGS ACCOUNT AS DIRECTED IN THE INTERIM ORDER TO REMAIN IN SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 02/09/2024 DIRECTED REPLY TO BE FILED WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND REJOINDER, IF ANY, TO BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 21/10/2024 GRANTED APPELLANT FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 04/12/2024 APPELLANT SOUGHT THREE WEEKS TO FILE REJOINDER
|
| 164 |
|
|
SURESH KANMAL JAJOO
(PAN:AAFPJ0070J)
(Along with : VIRESH GANGARAM JOSHI,
SUMIT DESAI,
PRIJESH ARUNKUMAR KURANI,
VAIBHAV S.PANDYA,
VIMLA S.JAJOO,
ANKIT JAJOO,
SHEEPRA SUMEET KABRA)
|
|
|
|
VISA CAPITAL PARTNERS
PAN:AAGFV6839A
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF AXIS MUTUAL FUND
|
PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS) DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 28-FEB-2023 UNTIL FURTHER ORDERS
DIRECTED AMOUNTS DEPOSITED IN ESCROW ACCOUNT AND SHARES RETAINED IN DEMAT ACCOUNT BE NOT WITHDRAWN WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO DISGORGE RS.14,07,03,341 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2023
|
|
| 165 |
|
|
SWAPNIL PRAJAPATI
(PAN:BTWPP9571K)
|
|
|
|
HIGHBROW MARKET RESEARCH PVT.LTD.
PAN:AACCH8077M
|
|
INDULGED IN NON-GENUINE INVESTMENT ADVISORY ACTIVITY VIOLATING CLAUSES 1 TO 6 AND 8 OF CODE OF CONDUCT FOR INVESTMENT ADVISERS READ WITH REGULATION 15(9) OF (INVESTMENT ADVISORS) REGULATIONS, 2013
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-SEP-2023 TO 19-SEP-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-SEP-2023 TO 19-SEP-2024
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-SEP-2023 TO 19-SEP-2024
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NOT TRANSFERRED SECURITIES HELD JOINTLY OR SEVERALLY
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 20-SEP-2023 TO 19-SEP-2024
23-MAY-2019
|
SEBI VIDE ITS ORDER DATED 30/01/2020 CONFIRMED DIRECTIONS ISSUED VIDE ITS EX-PARTE AD-INTERIM ORDER DATED 23/01/2019
SEBI VIDE ITS ORDER DATED 20/09/2023 DIRECTED TO A) DEBARFROM ACCESSING SECURITIES MARKET, DIRECTLY OR INDIRECTLY AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER, FOR ONE YEAR FROM DATE OF THIS ORDER AND B) PROHIBITED FROM HOLDING POSITION OF A DIRECTOR OR A KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR REGISTERED INTERMEDIARIES
|
| 166 |
|
|
TABREZ KHAN
(PAN:BBQPK0436A)
|
|
|
|
ZOID RESEARCH
PAN:BBQPK0436A
|
|
INDULGED IN CARRYING OUT ACTIVITIES AS AN INVESTMENT ADVISER VIOLATING CLAUSES 1 TO 6 AND 8 OF CODE OF CONDUCT FOR INVESTMENT ADVISERS READ WITH REGULATION 15(9) OF (INVESTMENT ADVISORS) REGULATIONS, 2013
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-FEB-2019 TILL FURTHER ORDERS
DIRECTED TO CEASE & DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR RESEARCH ANALYST AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 08-FEB-2019 TILL FURTHER ORDERS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NOT TRANSFERRED SECURITIES HELD JOINTLY OR SEVERALLY
08-FEB-2019
|
SAT: SAT VIDE ITS ORDER DATED 20/02/2019 DISPOSED OFF APPEAL AND MISC. APPLICATION AND DIRECTED APPELLANT TO FILE THE OBJECTIONS, IF ANY, BEFORE WTM OF SEBI WITHIN 48 HOURS
SEBI VIDE ITS ORDER DATED 01/03/2019 DISPOSED OFF APPLICATION FOR STAY DATED 22/02/2019 AS THERE WAS NO ADQUATE GROUNDS TO STAY OPERATION OF INTERIM ORDER DATED 08/02/2019
SEBI VIDE ITS ORDER DATED 25/10/2019 DIRECTED TO A) CEASE AND DESIST FROM UNDERTAKING INVESTMENT ADVISORY ACTIVITY OR ANY ACTIVITY IN THE SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER TILL FURTHER DIRECTIONS B) CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 08/02/2019
|
| 167 |
|
|
TEJAS BAKUL DAGLI
(PAN:AJCPD1746K)
|
|
|
INDULGED IN FRONT RUNNING THE TRADES OF PNB METLIFE INDIA INSURANCE CO. AND INSTITUTIONAL CLIENTS OF INVESTEC AND MADE UNLAWFUL PROFITS VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DHANMATA REALTY PVT.LTD. AND OTHERS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-DEC-2024 UNTIL FURTHER ORDERS
DIRECTED TO DISGORGE RS.21,15,78,005 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT AMOUNT OF UNLAWFUL GAINS IN INTEREST BEARING ESCROW ACCOUNT WITH NATIONALIZED BANK WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND THE AMOUNT KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO CEASE & DESIST FROM DIRECTLY OR INDIRECTLY, ENGAGED IN FRAUDULENT, MANIPULATIVE OR UNFAIR TRADE PRACTICE INCLUDING FRONT RUNNING ACTIVITIES FROM 20-DEC-2024 UNTIL FURTHER ORDERS
20-DEC-2024
|
|
| 168 |
|
|
VAIBHAV S.PANDYA
(PAN:APPPP9112C)
(Along with : BHAVIN ARVIND SHAH,
VIRESH GANGARAM JOSHI,
SUMIT DESAI,
PRIJESH ARUNKUMAR KURANI,
PRANAV PRAFULCHANDRA VORA)
|
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF AXIS MUTUAL FUND
|
PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS) DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 28-FEB-2023 UNTIL FURTHER ORDERS
DIRECTED AMOUNTS DEPOSITED IN ESCROW ACCOUNT AND SHARES RETAINED IN DEMAT ACCOUNT BE NOT WITHDRAWN WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO DISGORGE RS.1,98,38,703 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2023
|
|
| 169 |
|
|
VAIBHAV S.PANDYA
(PAN:APPPP9112C)
(Along with : RUPAL BHAVIN SHAH,
VIRESH GANGARAM JOSHI,
SUMIT DESAI,
PRIJESH ARUNKUMAR KURANI,
PRANAV PRAFULCHANDRA VORA)
|
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF AXIS MUTUAL FUND
|
PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS) DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 28-FEB-2023 UNTIL FURTHER ORDERS
DIRECTED AMOUNTS DEPOSITED IN ESCROW ACCOUNT AND SHARES RETAINED IN DEMAT ACCOUNT BE NOT WITHDRAWN WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO DISGORGE RS.1,41,85,266 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2023
|
|
| 170 |
|
|
VAIBHAV S.PANDYA
(PAN:APPPP9112C)
(Along with : NISHIL SURENDRABHAI MARFATIA,
VIRESH GANGARAM JOSHI,
SUMIT DESAI,
PRIJESH ARUNKUMAR KURANI,
PRANAV PRAFULCHANDRA VORA)
|
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF AXIS MUTUAL FUND
|
PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS) DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 28-FEB-2023 UNTIL FURTHER ORDERS
DIRECTED AMOUNTS DEPOSITED IN ESCROW ACCOUNT AND SHARES RETAINED IN DEMAT ACCOUNT BE NOT WITHDRAWN WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO DISGORGE RS.3,08,28,714 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2023
|
|
| 171 |
|
|
VAIBHAV S.PANDYA
(PAN:APPPP9112C)
(Along with : VIRESH GANGARAM JOSHI,
SUMIT DESAI,
PRIJESH ARUNKUMAR KURANI,
PRANAV PRAFULCHANDRA VORA,
KRUNAL KHAMAR,
KAMLESH ARJUNDAS DHANRAJANI)
|
|
|
|
OLGA TRADING PVT.LTD.
PAN:AACCO8900C
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF AXIS MUTUAL FUND
|
PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS) DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 28-FEB-2023 UNTIL FURTHER ORDERS
DIRECTED AMOUNTS DEPOSITED IN ESCROW ACCOUNT AND SHARES RETAINED IN DEMAT ACCOUNT BE NOT WITHDRAWN WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO DISGORGE RS.3,01,08,854 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2023
|
|
| 172 |
|
|
VAIBHAV S.PANDYA
(PAN:APPPP9112C)
(Along with : VIRESH GANGARAM JOSHI,
SUMIT DESAI,
PRIJESH ARUNKUMAR KURANI,
SURESH KANMAL JAJOO,
VIMLA S.JAJOO,
ANKIT JAJOO,
SHEEPRA SUMEET KABRA)
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VISA CAPITAL PARTNERS
PAN:AAGFV6839A
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INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF AXIS MUTUAL FUND
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PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS) DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 28-FEB-2023 UNTIL FURTHER ORDERS
DIRECTED AMOUNTS DEPOSITED IN ESCROW ACCOUNT AND SHARES RETAINED IN DEMAT ACCOUNT BE NOT WITHDRAWN WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO DISGORGE RS.14,07,03,341 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2023
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| 173 |
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VIDHI SINGH PARIHAR
(PAN:CDTPP2860D)
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PROFICIENT RESEARCH
PAN:AAQFP1547F
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ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-NOV-2021 TO 31-OCT-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-NOV-2021 TO 31-OCT-2025
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 01-NOV-2021 TO 31-OCT-2025
DIRECTED TO REFUND MONEY RECEIVED FROM CLIENTS/INVESTORS/COMPLAINANT AS FEES OR CONSIDERATION OR IN ANY OTHER FORM IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
PROHIBITED FROM SELLING, TRANSFERRING, DIRECTLY OR INDIRECTLY, ASSETS, PROPERTIES (IMMOVABLE AND MOVABLE) AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 01-NOV-2021 TO 31-OCT-2025
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
01-NOV-2021
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SEBI VIDE ITS NOTICE DATED 10/04/2024 DIRECTED TO PAY RS.62,41,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 10/07/2024 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
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| 174 |
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VIKAS GARG
(PAN:AEAPG2497K)
(Along with : SURBHI AGGARWAL,
PRIJESH ARUNKUMAR KURANI,
SANDEEP KUMAR SRIVASTAVA)
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF V MARC INDIA LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2024 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2024 UNTIL FURTHER ORDERS
DIRECTED TO DISGORGE RS.3,53,51,500 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
28-FEB-2024
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SEBI VIDE ITS ORDER DATED 26/07/2024 CONFIRMED DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 28/02/2024 BY MODIFYING TOTAL AMOUNT TO RS.6,30,79,750.00 AS MR.JAIKISHORR SINGHAL HAS DEPOSITED ALLEGED ILLEGAL GAINS MADE BY HIM AND FUNDS DEPOSITED BY THE ENTITIES IN ESCROW ACCOUNT OR SAVINGS ACCOUNT AS DIRECTED IN THE INTERIM ORDER TO REMAIN IN SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 30/07/2024 DISMISSED THE APPEAL AS INFRUCTUOUS
SAT: SAT VIDE ITS ORDER DATED 02/09/2024 DIRECTED REPLY TO BE FILED WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND REJOINDER, IF ANY, TO BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 21/10/2024 GRANTED APPELLANT FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 04/12/2024 APPELLANT SOUGHT THREE WEEKS TO FILE REJOINDER
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| 175 |
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VIKAS GARG
(PAN:AEAPG2497K)
(Along with : REKHA KURANI,
PRIJESH ARUNKUMAR KURANI,
SANDEEP KUMAR SRIVASTAVA)
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF V MARC INDIA LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2024 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2024 UNTIL FURTHER ORDERS
DIRECTED TO DISGORGE RS.87,74,400 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
28-FEB-2024
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SEBI VIDE ITS ORDER DATED 26/07/2024 CONFIRMED DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 28/02/2024 BY MODIFYING TOTAL AMOUNT TO RS.6,30,79,750.00 AS MR.JAIKISHORR SINGHAL HAS DEPOSITED ALLEGED ILLEGAL GAINS MADE BY HIM AND FUNDS DEPOSITED BY THE ENTITIES IN ESCROW ACCOUNT OR SAVINGS ACCOUNT AS DIRECTED IN THE INTERIM ORDER TO REMAIN IN SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 30/07/2024 DISMISSED THE APPEAL AS INFRUCTUOUS
SAT: SAT VIDE ITS ORDER DATED 02/09/2024 GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER, IF ANY, TO BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 21/10/2024 GRANTED APPELLANT FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 04/12/2024 APPELLANT SOUGHT THREE WEEKS TO FILE REJOINDER
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| 176 |
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VIKAS GARG
(PAN:AEAPG2497K)
(Along with : SUDHIR GUPTA,
PRIJESH ARUNKUMAR KURANI,
SANDEEP KUMAR SRIVASTAVA)
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF V MARC INDIA LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2024 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2024 UNTIL FURTHER ORDERS
DIRECTED TO DISGORGE RS.1,89,53,850 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
28-FEB-2024
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SEBI VIDE ITS ORDER DATED 26/07/2024 CONFIRMED DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 28/02/2024 BY MODIFYING TOTAL AMOUNT TO RS.6,30,79,750.00 AS MR.JAIKISHORR SINGHAL HAS DEPOSITED ALLEGED ILLEGAL GAINS MADE BY HIM AND FUNDS DEPOSITED BY THE ENTITIES IN ESCROW ACCOUNT OR SAVINGS ACCOUNT AS DIRECTED IN THE INTERIM ORDER TO REMAIN IN SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 30/07/2024 DISMISSED THE APPEAL AS INFRUCTUOUS
SAT: SAT VIDE ITS ORDER DATED 02/09/2024 GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER, IF ANY, TO BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 21/10/2024 GRANTED APPELLANT FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 04/12/2024 APPELLANT SOUGHT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 31/01/2025 ALLOWED THREE WEEKS TO FILE REJOINDER
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| 177 |
|
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VIKAS GARG
(PAN:AEAPG2497K)
(Along with : JAI KISHORR SINGHAL,
PRIJESH ARUNKUMAR KURANI,
SANDEEP KUMAR SRIVASTAVA)
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF V MARC INDIA LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2024 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2024 UNTIL FURTHER ORDERS
DIRECTED TO DISGORGE RS.7,82,553 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
28-FEB-2024
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SEBI VIDE ITS ORDER DATED 26/07/2024 CONFIRMED DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 28/02/2024 BY MODIFYING TOTAL AMOUNT TO RS.6,30,79,750.00 AS MR.JAIKISHORR SINGHAL HAS DEPOSITED ALLEGED ILLEGAL GAINS MADE BY HIM AND FUNDS DEPOSITED BY THE ENTITIES IN ESCROW ACCOUNT OR SAVINGS ACCOUNT AS DIRECTED IN THE INTERIM ORDER TO REMAIN IN SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 30/07/2024 DISMISSED THE APPEAL AS INFRUCTUOUS
SAT: SAT VIDE ITS ORDER DATED 02/09/2024 DIRECTED REPLY TO BE FILED WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND REJOINDER, IF ANY, TO BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 21/10/2024 GRANTED APPELLANT FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 04/12/2024 APPELLANT SOUGHT THREE WEEKS TO FILE REJOINDER
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| 178 |
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VIKRAM KUMAR
(PAN:AROPK2904N)
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MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
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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 11-OCT-2019 TO 10-OCT-2024
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 11-OCT-2019 TO 10-OCT-2024
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR TO CREATE OR INVOKE OR RELEASE ANY INTEREST OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF NSE AND BSE
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED EXCHANGES AND/OR CLEARING CORPORATIONS AND/OR DEPOSITORIES TO APPOINT FORENSIC AUDITOR TO TRACK MISUSE OF CLIENT'S FUNDS/SECURITIES AND TO IDENTIFY NET ASSETS/LIABILITIES
DIRECTED EXCHANGES TO DEAL WITH COMPLAINTS/CLAIMS OF CLIENTS AGAINST MEMBER AND RETURN AMOUNT OF CLIENT FUND AND SECURITIES TO CLIENTS
11-OCT-2019
|
SEBI VIDE ITS ORDER DATED 24/01/2020 CONFIRMED DIRECTIONS ISSUED VIDE ITS EX-PARTE AD-INTERIM ORDER DATED 11/10/2019
SEBI VIDE ITS ORDER DATED 28/06/2023 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, EITHER DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR FIVE YEARS FROM INTERIM ORDER
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| 179 |
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VILLAYANUR VARADARAJAN VENKATASUBRAMANIYAM
(PAN:AAKPV6612K)
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INFOSYS LTD.
PAN:AAACI4798L
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COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(E) OF SEBI ACT, 1992 AND REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INFOSYS LTD.
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DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAY-2021 UNTIL FURTHER ORDERS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 31-MAY-2021 UNTIL FURTHER ORDERS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
31-MAY-2021
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SEBI VIDE ITS ORDER DATED 15/09/2021 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD-INTERIM ORDER DATED 31/05/2021 SUBJECT TO MODIFICATIONS AFTER TAKING INTO ACCOUNT THE SPECIFIC FACTS AND CIRCUMSTANCES - A) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES OF INFOSYS, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER UNTIL FURTHER ORDER B) DIRECTIONS ISSUED VIDE PARA 71.9 AND 71.10 OF THE INTERIM ORDER STANDS MODIFIED TO THE EXTENT OF ALLOWING CREDIT AND DEBIT OF SECURITIES IN THE ACCOUNTS
SAT: SAT VIDE ITS ORDER DATED 22/12/2021 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 25/04/2022 ALLOWED THE APPEALS AND QUASHED INTERIM ORDER DATED 31/05/2021 AND CONFIRMATORY ORDER DATED 15/09/2021
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| 180 |
|
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VIMLA S.JAJOO
(PAN:ADAPJ8747J)
(Along with : VIRESH GANGARAM JOSHI,
SUMIT DESAI,
PRIJESH ARUNKUMAR KURANI,
VAIBHAV S.PANDYA,
SURESH KANMAL JAJOO,
ANKIT JAJOO,
SHEEPRA SUMEET KABRA)
|
|
|
|
VISA CAPITAL PARTNERS
PAN:AAGFV6839A
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF AXIS MUTUAL FUND
|
PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS) DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 28-FEB-2023 UNTIL FURTHER ORDERS
DIRECTED AMOUNTS DEPOSITED IN ESCROW ACCOUNT AND SHARES RETAINED IN DEMAT ACCOUNT BE NOT WITHDRAWN WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO DISGORGE RS.14,07,03,341 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2023
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| 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 10
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