| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
PALAPARTHY VENKATA RAMANA MURTHY
(PAN:ABRPM1271B)
|
|
|
|
BIRLA PACIFIC MEDSPA LTD.
CIN:L85100MH2008PLC184689
PAN:AADCB5167F
|
|
INDULGED IN SIPHONING OFF/DIVERSION OF FUNDS AND MIS-UTILISATION OF IPO PROCEEDS VIOLATING REGULATIONS 57(1), 57(2) (A) READ WITH CLAUSE 2 (XVI) (B) (2) PART A OF SCHEDULE VIII READ WITH REGULATION 57(2)(A) OF SEBI (ICDR) REGULATIONS, 2009 IN THE MATTER OF BIRLA PACIFIC MEDSPA 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 23-OCT-2020 TO 22-OCT-2022
23-OCT-2020
|
SAT: SAT VIDE ITS ORDER DATED 05/01/2023 CONDONED THE DELAY IN FILING OF APPEAL. EFFECT AND OPERATION OF IMPUGNED ORDER TO REMAIN STAYED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 19/01/2023 ALLOWED RESPONDENT FURTHER TWO WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 27/02/2023 ALLOWED RESPONDENT FURTHER THREE WEEKS TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 28/03/2023 ALLOWED RESPONDENT TEN DAYS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 27/04/2023 ALLOWED APPELLANTS FURTHER TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 16/05/2023 ALLOWED APPELLANT FURTHER TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 05/12/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED THE APPLICATIONS
|
| 162 |
|
|
PANDOO PRABHAKAR NAIG
(PAN:ACNPN2800J)
|
|
|
|
ONELIFE CAPITAL ADVISORS LTD.
PAN:AAACO9540L
|
|
DID NOT EXERCISE DUE DILIGENCE WITH RESPECT TO DISCLOSURE MADE IN IPO PROSPECTUS VIOLATING CLAUSES 1 TO 4, 6, 7, 11 TO 13 AND 18 OF CODE OF CONDUCT UNDER SCHEDULE III READ WITH REGULATION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 IN MATTER OF PARAMOUNT PRINTPACKAGING LTD.
DID NOT MAKE DISCLOSURE OF MATERIAL CONFLICT OF INTEREST INFORMATION MADE IN IPO PROSPECTUS VIOLATING CLAUSES 1 TO 4, 6, 7, 11 TO 13 AND 18 OF CODE OF CONDUCT UNDER SCHEDULE III READ WITH REGULATION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 IN MATTER OF PARAMOUNT PRINTPACKAGING LTD.
DID NOT EXERCISE DUE DILIGENCE WITH RESPECT TO DISCLOSURE MADE IN IPO PROSPECTUS VIOLATING REGULATION 64(1) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF PARAMOUNT PRINTPACKAGING LTD.
DID NOT MAKE DISCLOSURE OF MATERIAL CONFLICT OF INTEREST INFORMATION MADE IN IPO PROSPECTUS VIOLATING REGULATION 64(1) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF PARAMOUNT PRINTPACKAGING LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-DEC-2022
|
SAT: SAT VIDE ITS ORDER DATED 05/06/2023 ALLOWED THE APPEAL AND QUASHED THE IMPUGNED ORDER DATED 30/12/2022
|
| 163 |
|
|
PARVINDER KAUR
(PAN:BNQPK5210E)
|
|
|
|
BROOKS LABORATORIES LTD.
PAN:AACCB5316P
|
|
INDULGED IN ROUND TRIPPING OF FUNDS/SIPHONING OF FUNDS FROM IPO PROCEEDS, MIS-UTILISATION OF IPO PROCEEDS ALONGWITH NON DISCLOSURES AND WRONG DISCLOSURES OF MATERIAL INFORMATION IN MATTER OF BROOKS LABORATORIES LTD.
|
IMPOSED PENALTY RS.5,00,000
12-JAN-2015
|
SAT: SAT VIDE ITS ORDER DATED 21/03/2018 MODIFIED SEBI'S ORDER DATED 12/01/2015 BY REDUCING PENALTY AMOUNT TO RS.5 LACS FROM RS.15 LACS. NO COSTS
|
| 164 |
|
|
PAVAN KUMAR KUCHANA
(DIN:00912842
PAN:ATAPK6144L)
|
|
|
|
TAKSHEEL SOLUTIONS LTD.
CIN:U72200TG1999PLC032556
PAN:AAACI7325P
|
|
MADE INCORRECT AND MISLEADING STATEMENTS IN PROSPECTUS VIOLATING REGULATION 57(1) OF SEBI (ICDR) REGULATIONS, 2009 AND CLAUSE 2(XVI)(B)(2) OF PART A OF SCHEDULE VIII OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF TAKSHEEL SOLUTIONS LTD.
DID NOT DISCLOSE ABOUT EXISTENCE OF INTER CORPORATE DEPOSITS (ICDS) AND MADE MISSTATEMENT ON UTILIZATION OF IPO PROCEEDS IN PROSPECTUS VIOLATING CLAUSE (2)(VII)(G) READ WITH REGULATION 57(1) OF SEBI (ICDR) REGULATIONS, 2009 AND CLAUSE (IX) OF PART D OF SCHEDULE VIII READ WITH REGULATIONS 58(1), 60(4)(A) AND 60(7)(A) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF TAKSHEEL SOLUTIONS LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTION ABOUT PURCHASE OF SOFTWARE FROM VBSL IN IPO PROSPECTUS VIOLATING REGULATIONS 57(1), 58(1), 60(1), 60(4)(A) AND 60(7)(A) OF SEBI (ICDR) REGULATIONS, 2009 AND CLAUSES 2(VI) (B)(4), 2(VII)(G), 2(IX) (12) AND 2(XVI) (B)(2) OF PART A AND CLAUSE IX OF PART D OF SCHEDULE VIII READ WITH REGULATION 57(2) (A) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF TAKSHEEL SOLUTIONS LTD.
INDULGED IN SIPHONING OFF IPO PROCEEDS AND MANIPULATED BOOKS OF ACCOUNTS VIOLATING SECTIONS 12(A) TO 12(C) OF SEBI ACT. 1992 READ WITH REGULATIONS 3(B) TO 3(D), 4(1), 42(2)(E), (F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF TAKSHEEL SOLUTIONS LTD.
|
IMPOSED PENALTY RS.16,00,00,000
10-AUG-2021
|
SEBI VIDE ITS NOTICE DATED 09/03/2022 DIRECTED ALL THE BANKS 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
SEBI VIDE ITS ORDER DATED 20/04/2022 DIRECTED ALL THE BANKS TO REMIT RS.17,33,09,493.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.PAVAN KUMAR KUCHANA TO SEBI BY WAY OF EFT/NEFT/RTGS
SAT: SAT VIDE ITS ORDER DATED 15/07/2022 DISMISSED THE APPEAL
SEBI VIDE ITS ORDER DATED 21/02/2023 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 ALONG WITH ORIGINAL TITLE DEEDS WITHIN TWO WEEKS FROM THE DATE OF THIS ORDER AT SEBI, SOUTHERN REGIONAL OFFICE, CHENNAI D) DIRECTED INSPECTORS GENERAL OF REGISTRATION OF TELANGANA AND CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS OF THE RESPECTIVE AREAS WHERE THE PROPERTIES ARE LOCATED E) 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
SEBI VIDE ITS ORDER DATED 05/07/2024 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 PROPERTY LISTED IN ORDER C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, IF ANY, ALONG WITH ORIGINAL TITLE DEEDS PERTAINING TO THE PROPERTIES, WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, SOUTHERN REGIONAL OFFICE, CHENNAI D) DIRECTED INSPECTORS GENERAL OF REGISTRATION OF TELANGANA AND CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS OF THE RESPECTIVE AREAS WHERE THE PROPERTY IS LOCATED E) 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, INCLUDING THE SAID PROPERTY, IF PRESENTED FOR REGISTRATION
SEBI VIDE ITS ORDER DATED 04/03/2025 IN VIEW OF COMPLETION OF RECOVERY CERTIFICATE RESCINDED PROHIBITORY ORDER NO.RO/SRO/997-999/2024 OF 2024 DATED 05/07/2024
|
| 165 |
|
|
PAWAN DHANUKA
(PAN:ADDPD9749D)
|
|
|
|
UNICON CAPITAL SERVICES PVT.LTD.
CIN:U74140DL2008PTC181236
PAN:AABCU0157G
|
|
ACTED AS AN UNREGISTERED MERCHANT BANKER FOR SME PUBLIC ISSUES
PROVIDED FALSE DECLARATION AND UNDERTAKING TO BSE OF THAT IT WAS A SEBI REGISTERED MERCHANT BANKER VIOLATING REGULATION 106-O (2) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2016 TO 30-MAR-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2016 TO 30-MAR-2019
08-DEC-2014
|
SEBI VIDE ITS ORDER DATED 31/03/2016 MR.PAWAN DHANUKA AND MR.PRITAM PANDYA DIRECTED TO RESTRAINED FROM ACCESSING SECURITES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHASTSOEVER, FOR A PERIOD OF THREE YEARS
|
| 166 |
|
|
POPATLAL KATHARIYA
(PAN:AAEPK4407B)
|
|
|
|
RAVI KUMAR DISTILLERIES LTD.
PAN:AABCR4195D
|
|
INDULGED IN SIPHONING OFF/DIVERSION OF RS.33.83 CRORES OF IPO PROCEEDS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F) AND (K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF RAVI KUMAR DISTILLERIES LTD.
MADE MIS-STATEMENTS IN ANNUAL REPORT TO COVER-UP SIPHONING OF FUNDS IN MATTER OF IPO OF RAVI KUMAR DISTILLERIES LTD.
INDULGED IN SIPHONING OFF/DIVERSION OF RS.33.83 CRORES OF IPO PROCEEDS VIOLATING REGULATIONS 57(1), 60(4) (A) AND 60(7)(A) AND CLAUSES 2(IV)(H)(24), 2(VII)(G), 2(X)(A)(1)(H), 2(X)(A)(3)(A), 2(X)(A)(5) AND 2(XVI)(B)(2) OF PART A OF SCHEDULE VIII READ WITH REGULATION 57(2)(A) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF IPO OF RAVI KUMAR DISTILLERIES LTD.
|
IMPOSED PENALTY RS.6,00,000
21-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 28/06/2021 CONDONED THE DELAY IN FILING OF APPEAL. GRANTED RESPONDENT THREE WEEKS TIME TO FILE AND REJOINDER MAY BE FILED ON OR BEFORE THE NEXT DATE
|
| 167 |
|
|
PRABHAT KUMAR GOYAL
(PAN:ABQPG0031N)
|
|
|
MADE WRONG, MISLEADING AND DISTORTED INFORMATION IN RHP VIOLATING REGULATIONS 57(1), 57(2) (A) READ WITH CLAUSE 2(VII) (G) OF SCHEDULE VIII AND 60(7) (A) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF DR.DATSONS LABS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-SEP-2019 TO 12-SEP-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-SEP-2019 TO 12-SEP-2020
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 13-SEP-2019 TO 12-SEP-2020
RESTRAINED FROM HOLDING OR OCCUPYING POSITION AS DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY FROM 13-SEP-2019 TO 12-SEP-2020
13-SEP-2019
|
|
| 168 |
|
|
PRACHI MAHESHWARI
|
|
|
|
SGI RESEARCH & ANALYSIS LTD.
CIN:U74140DL2010PLC203986
PAN:AAOCS5535R
|
|
ISSUED FALSE, MISLEADING AND DISTORTED INFORMATION/DECLARATIONS IN MATTER OF ISSUANCE OF CONVERTIBLE PREFERENCE SHARES OF SGI RESEARCH & ANALYSIS LTD.
ALLOTTED CONVERTIBLE PREFERENCE SHARES TO 162 INVESTORS VIOLATING SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 IN MATTER OF SGI RESEARCH & ANALYSIS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JAN-2013 TO 10-JAN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2013 TO 10-JAN-2023
DIRECTED TO REFUND MONEY COLLECTED TOWARDS SUBSCRIPTION OF CONVERTIBLE PREFERENCE SHARES ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
11-JAN-2013
|
SEBI VIDE ITS NOTICE DATED 28/08/2015 DIRECTED ALL THE BANKS 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
SEBI VIDE ITS ORDER DATED 17/01/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND FIXED DEPOSIT ACCOUNTS OF SGI RESEARCH & ANALYSIS LTD., MR.LOKESHWAR DEV, MR.LOKESHWAR KUMAR DEV, MR.ULHAS P.KHAIR, MR.SIDDHARTH JAY MARATHE, MR.RAJ ZAVERI, MR.RAKESH KUMAR MAHESHWARI, MS.PRIYANKA SARASWAT DEV, MS.PRIYANKA DEV, MS.MAYA SIDDHARTH MARATHE, MSGAURI SIDDHARTH MARATHE, MS.PRIYA ZAVERI, MS.PRACHI MAHESHWARI, MR.PRADEEP KUMAR SHARMA, MR.BALDEV RAJ SHARMA, MR.RAMESH SHARMA, MR.SANJEEV SHARMA, AND MS.SONIA SHARMA TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 169 |
|
|
PRADEEP KUMAR SHARMA
(DIN:03014935
PAN:AOBPS1015G)
|
|
|
|
SGI BEVERAGES LTD.
CIN:U15500DL2010PLC210907
PAN:AAPCS0649R
|
|
|
SGI BUILDTECH LTD.
CIN:U70101DL2010PLC210863
PAN:AAPCS0648Q
|
|
|
SGI RESEARCH & ANALYSIS LTD.
CIN:U74140DL2010PLC203986
PAN:AAOCS5535R
|
|
ISSUED FALSE, MISLEADING AND DISTORTED INFORMATION/DECLARATIONS IN MATTER OF ISSUANCE OF CONVERTIBLE PREFERENCE SHARES OF SGI RESEARCH & ANALYSIS LTD.
ALLOTTED CONVERTIBLE PREFERENCE SHARES TO 162 INVESTORS VIOLATING SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 IN MATTER OF SGI RESEARCH & ANALYSIS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JAN-2013 TO 10-JAN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2013 TO 10-JAN-2023
DIRECTED TO REFUND MONEY COLLECTED TOWARDS SUBSCRIPTION OF CONVERTIBLE PREFERENCE SHARES ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
11-JAN-2013
|
SEBI VIDE ITS NOTICE DATED 28/08/2015 DIRECTED ALL THE BANKS 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
SEBI VIDE ITS ORDER DATED 17/01/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND FIXED DEPOSIT ACCOUNTS OF SGI RESEARCH & ANALYSIS LTD., MR.LOKESHWAR DEV, MR.LOKESHWAR KUMAR DEV, MR.ULHAS P.KHAIR, MR.SIDDHARTH JAY MARATHE, MR.RAJ ZAVERI, MR.RAKESH KUMAR MAHESHWARI, MS.PRIYANKA SARASWAT DEV, MS.PRIYANKA DEV, MS.MAYA SIDDHARTH MARATHE, MSGAURI SIDDHARTH MARATHE, MS.PRIYA ZAVERI, MS.PRACHI MAHESHWARI, MR.PRADEEP KUMAR SHARMA, MR.BALDEV RAJ SHARMA, MR.RAMESH SHARMA, MR.SANJEEV SHARMA, AND MS.SONIA SHARMA TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 170 |
|
|
PRAMOD GUPTA
(PAN:AAHPG5646F)
|
|
|
|
PG ELECTROPLAST LTD.
PAN:AACCP9321Q
|
|
DID NOT MAKE DISCLOSURE OF CERTAIN MATERIAL INFORMATION IN OFFER DOCUMENT OF PG ELECTROPLAST LTD.
DIVERTED IPO PROCEEDS AND OTHER FUNS TO ENTITIES WHICH PURCHASED THE SHARES OF THE COMPANY TO ENSURE FULL SUBSCRIPTION TO IPO IN MATTER OF PG ELECTROPLAST LTD.
|
IMPOSED PENALTY RS.1,00,00,000
02-AUG-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: SAT VIDE ITS ORDER DATED 02/08/2019 ALLOWED THE APPEAL AND SET ASIDED PENALTY RS.1 CRORE EACH ON APPELLANTS. NO COSTS
|
| 171 |
|
|
PRASHANT GOUDAR
(PAN:AHZPG7768H)
|
|
|
|
RAVINDRA ENERGY LTD.
PAN:AAACR2065D
|
|
ALLEGED ISSUANCE AND ALLOTMENT OF EQUITY SHARES TO MORE THAN 49 PERSONS ON 5 OCCASIONS VIOLATING SECTIONS 73, 2(36) READ WITH 60 AND SECTIONS 56 READ WITH 67 OF THE COMPANIES ACT, 1956 IN MATTER OF RAVINDRA ENERGY LTD.
ALLEGED ISSUANCE AND ALLOTMENT OF EQUITY SHARES TO MORE THAN 49 PERSONS ON 5 OCCASIONS VIOLATING REGULATIONS 4(2) (D) & (E), 5(1),(2), (5) & (7), 6(1), 7, 26(1),(2) & (6), 32(1), 36, 37, 46, 47, 49, 57, 58 AND 63 OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF RAVINDRA ENERGY LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.99,60,938 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-APR-2020
|
|
| 172 |
|
|
PRAVEEN JAIN TIJARIA
(PAN:ABTPJ8112G)
|
|
|
DID NOT MAKE DISCLOSURE OF MATERIAL INFORMATION WITH REGARD TO RAISING OF FUNDS THROUGH ICDS IN IPO PROSPECTUS VIOLATING REGULATIONS 57(1) AND 57(2) (A) READ WITH SCHEDULE VIII PART A(16) OF SEBI (ICDR) REGULATIONS, 2009 AND REGULATIONS 59, 60(4) AND 60(7)(A) IN MATTER OF IPO OF TIJARIA POLYPIPES LTD.
|
IMPOSED PENALTY RS.2,00,000
09-MAR-2021
|
SEBI VIDE ITS NOTICE DATED 21/02/2022 DIRECTED TO PAY RS.2,23,948.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 14/01/2022 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
|
| 173 |
|
|
PRAVIN NANJI GALA
(PAN:AACPG2087R)
|
|
|
|
INVENTURE GROWTH & SECURITIES LTD.
PAN:AAACI2044K
|
|
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING REGULATION 57(1) AND 57(2) READ WITH CLAUSE 2(VII)(G) AND (XVI)(B)(2) OF PART A OF SCHEDULE VIII OF SEBI ICDR REGULATIONS, 2009 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) & 4(1) AND 4(2)(K) & (R) OF PFUTP REGULATIONS, 2003 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
|
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 01-JAN-2019 TO 31-DEC-2022
06-AUG-2018
|
SAT: SAT VIDE ITS ORDER DATED 10/10/2019 DISPOSED OFF MISC. APPLICATION NO.299 OF 2018 AS INFRUCTUOUS
SAT: SAT VIDE ITS ORDER DATED 26/02/2020 ALLOWED THE APPEALS AND QUASHED IMPUGNED ORDER 10/10/2019 AND MATTER REMITTED TO AO TO DECIDE AFRESH
|
| 174 |
|
|
PRAVIN NANJI GALA
(PAN:AACPG2087R)
|
|
|
|
INVENTURE GROWTH & SECURITIES LTD.
PAN:AAACI2044K
|
|
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) & 4(1) AND 4(2)(K) & (R) OF PFUTP REGULATIONS, 2003 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING REGULATION 57(1) AND 57(2) READ WITH CLAUSE 2(VII)(G) AND (XVI)(B)(2) OF PART A OF SCHEDULE VIII OF SEBI ICDR REGULATIONS, 2009 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
|
IMPOSED PENALTY RS.15,00,000
30-AUG-2019
|
|
| 175 |
|
|
PRAVIN NANJI GALA
(PAN:AACPG2087R)
|
|
|
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING REGULATION 57(1) AND 57(2) READ WITH CLAUSE 2(VII)(G) AND (XVI)(B)(2) OF PART A OF SCHEDULE VIII OF SEBI ICDR REGULATIONS, 2009 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-AUG-2018 TO 05-AUG-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-AUG-2018 TO 05-AUG-2022
06-AUG-2018
|
SAT: SAT VIDE ITS ORDER DATED 10/10/2019 DISPOSED OFF MISC. APPLICATION NO.299 OF 2018 AS INFRUCTUOUS
SAT: SAT VIDE ITS ORDER DATED 26/02/2020 ALLOWED THE APPEALS AND QUASHED IMPUGNED ORDER 10/10/2019 AND MATTER REMITTED TO AO TO DECIDE AFRESH
|
| 176 |
|
|
PRITAM PANDYA
(PAN:AORPP5179A)
|
|
|
|
UNICON CAPITAL SERVICES PVT.LTD.
CIN:U74140DL2008PTC181236
PAN:AABCU0157G
|
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ACTED AS AN UNREGISTERED MERCHANT BANKER FOR SME PUBLIC ISSUES
PROVIDED FALSE DECLARATION AND UNDERTAKING TO BSE OF THAT IT WAS A SEBI REGISTERED MERCHANT BANKER VIOLATING REGULATION 106-O (2) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2016 TO 30-MAR-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2016 TO 30-MAR-2019
08-DEC-2014
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SEBI VIDE ITS ORDER DATED 31/03/2016 MR.PAWAN DHANUKA AND MR.PRITAM PANDYA DIRECTED TO RESTRAINED FROM ACCESSING SECURITES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHASTSOEVER, FOR A PERIOD OF THREE YEARS
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| 177 |
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PRIYA ZAVERI
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SGI RESEARCH & ANALYSIS LTD.
CIN:U74140DL2010PLC203986
PAN:AAOCS5535R
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ISSUED FALSE, MISLEADING AND DISTORTED INFORMATION/DECLARATIONS IN MATTER OF ISSUANCE OF CONVERTIBLE PREFERENCE SHARES OF SGI RESEARCH & ANALYSIS LTD.
ALLOTTED CONVERTIBLE PREFERENCE SHARES TO 162 INVESTORS VIOLATING SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 IN MATTER OF SGI RESEARCH & ANALYSIS LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JAN-2013 TO 10-JAN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2013 TO 10-JAN-2023
DIRECTED TO REFUND MONEY COLLECTED TOWARDS SUBSCRIPTION OF CONVERTIBLE PREFERENCE SHARES ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
11-JAN-2013
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SEBI VIDE ITS NOTICE DATED 28/08/2015 DIRECTED ALL THE BANKS 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
SEBI VIDE ITS ORDER DATED 17/01/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND FIXED DEPOSIT ACCOUNTS OF SGI RESEARCH & ANALYSIS LTD., MR.LOKESHWAR DEV, MR.LOKESHWAR KUMAR DEV, MR.ULHAS P.KHAIR, MR.SIDDHARTH JAY MARATHE, MR.RAJ ZAVERI, MR.RAKESH KUMAR MAHESHWARI, MS.PRIYANKA SARASWAT DEV, MS.PRIYANKA DEV, MS.MAYA SIDDHARTH MARATHE, MSGAURI SIDDHARTH MARATHE, MS.PRIYA ZAVERI, MS.PRACHI MAHESHWARI, MR.PRADEEP KUMAR SHARMA, MR.BALDEV RAJ SHARMA, MR.RAMESH SHARMA, MR.SANJEEV SHARMA, AND MS.SONIA SHARMA TO SEBI BY WAY OF EFT/NEFT/RTGS
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| 178 |
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PRIYANKA DEV
(DIN:02981620
PAN:BCIPD7293J)
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G3 COMMODITIES PVT.LTD.
CIN:U74900DL2010PTC210956
PAN:AAECG0383M
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SGI BEVERAGES LTD.
CIN:U15500DL2010PLC210907
PAN:AAPCS0649R
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SGI BUILDTECH LTD.
CIN:U70101DL2010PLC210863
PAN:AAPCS0648Q
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SGI RESEARCH & ANALYSIS LTD.
CIN:U74140DL2010PLC203986
PAN:AAOCS5535R
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SGI SECURITIES PVT.LTD.
CIN:U74920DL2010PTC210955
PAN:AAPCS0647B
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ISSUED FALSE, MISLEADING AND DISTORTED INFORMATION/DECLARATIONS IN MATTER OF ISSUANCE OF CONVERTIBLE PREFERENCE SHARES OF SGI RESEARCH & ANALYSIS LTD.
ALLOTTED CONVERTIBLE PREFERENCE SHARES TO 162 INVESTORS VIOLATING SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 IN MATTER OF SGI RESEARCH & ANALYSIS LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JAN-2013 TO 10-JAN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2013 TO 10-JAN-2023
DIRECTED TO REFUND MONEY COLLECTED TOWARDS SUBSCRIPTION OF CONVERTIBLE PREFERENCE SHARES ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
11-JAN-2013
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SEBI VIDE ITS NOTICE DATED 28/08/2015 DIRECTED ALL THE BANKS 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
SEBI VIDE ITS ORDER DATED 17/01/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND FIXED DEPOSIT ACCOUNTS OF SGI RESEARCH & ANALYSIS LTD., MR.LOKESHWAR DEV, MR.LOKESHWAR KUMAR DEV, MR.ULHAS P.KHAIR, MR.SIDDHARTH JAY MARATHE, MR.RAJ ZAVERI, MR.RAKESH KUMAR MAHESHWARI, MS.PRIYANKA SARASWAT DEV, MS.PRIYANKA DEV, MS.MAYA SIDDHARTH MARATHE, MSGAURI SIDDHARTH MARATHE, MS.PRIYA ZAVERI, MS.PRACHI MAHESHWARI, MR.PRADEEP KUMAR SHARMA, MR.BALDEV RAJ SHARMA, MR.RAMESH SHARMA, MR.SANJEEV SHARMA, AND MS.SONIA SHARMA TO SEBI BY WAY OF EFT/NEFT/RTGS
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| 179 |
|
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PRIYANKA SARASWAT DEV
(PAN:ARXPD5427C)
|
|
|
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SGI RESEARCH & ANALYSIS LTD.
CIN:U74140DL2010PLC203986
PAN:AAOCS5535R
|
|
ISSUED FALSE, MISLEADING AND DISTORTED INFORMATION/DECLARATIONS IN MATTER OF ISSUANCE OF CONVERTIBLE PREFERENCE SHARES OF SGI RESEARCH & ANALYSIS LTD.
ALLOTTED CONVERTIBLE PREFERENCE SHARES TO 162 INVESTORS VIOLATING SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 IN MATTER OF SGI RESEARCH & ANALYSIS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JAN-2013 TO 10-JAN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2013 TO 10-JAN-2023
DIRECTED TO REFUND MONEY COLLECTED TOWARDS SUBSCRIPTION OF CONVERTIBLE PREFERENCE SHARES ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
11-JAN-2013
|
SEBI VIDE ITS NOTICE DATED 28/08/2015 DIRECTED ALL THE BANKS 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
SEBI VIDE ITS ORDER DATED 17/01/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND FIXED DEPOSIT ACCOUNTS OF SGI RESEARCH & ANALYSIS LTD., MR.LOKESHWAR DEV, MR.LOKESHWAR KUMAR DEV, MR.ULHAS P.KHAIR, MR.SIDDHARTH JAY MARATHE, MR.RAJ ZAVERI, MR.RAKESH KUMAR MAHESHWARI, MS.PRIYANKA SARASWAT DEV, MS.PRIYANKA DEV, MS.MAYA SIDDHARTH MARATHE, MSGAURI SIDDHARTH MARATHE, MS.PRIYA ZAVERI, MS.PRACHI MAHESHWARI, MR.PRADEEP KUMAR SHARMA, MR.BALDEV RAJ SHARMA, MR.RAMESH SHARMA, MR.SANJEEV SHARMA, AND MS.SONIA SHARMA TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 180 |
|
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PRUTHVI HIMANSHU SHAH
(PAN:DCAPS6011N)
|
|
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DID NOT PAY CONSIDERATION AMOUNT TOWARDS SAHRES ALLOTTED IN PREFERENTIAL ALLOTMENT VIOLATING REGULATION 77(1) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 IN MATTER OF SMS TECHSOFT (INDIA) LTD.
|
IMPOSED PENALTY RS.2,00,000
29-MAR-2019
|
SEBI VIDE ITS NOTICE DATED 17/02/2022 DIRECTED TO PAY RS.2,70,436.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
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, MUTUAL FUNDS FOLIOS AND/OR POST OFFICE ACCOUNT 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 28/02/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.3,21,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS NOTICE DATED 21/11/2025 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 16/10/2023
SEBI VIDE ITS ORDER DATED 19/11/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4496 OF 2022 DATED 17/02/2022
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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 15
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