| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
REKHABEN KANAKKUMAR PATEL
|
|
|
|
MISHTANN FOODS LTD.
PAN:AAACH5335G
|
|
INDULGED IN DIVERSION/ MISUTILISATION/ MISAPPROPRIATION OF FUNDS VIOLATING REGULATION 4(1) OF SEBI (PFUTP) REGULATIONS, 2003IN MATTER OF MISHTANN FOODS LTD.
|
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 05-DEC-2024 UNTIL FURTHER ORDERS
05-DEC-2024
|
|
| 162 |
|
|
RUPABEN KEVINBHAI BHATT
(PAN:BVBPB4487K)
|
|
|
|
SHIVAAY INVESTMENT
PAN:BSKPG9592A
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
MADE FALSE DECLARATION ON WEBSITE ASSURING FOR GUARANTEED ALLOTMENT IN IPOS OF COMPANIES
|
DIRECTED TO REFUND INVESTMENT MANAGEMENT AND ADVISORY FEES
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO ACCEPT REFUND CLAIMS/REQUESTS FROM THE PUBLIC
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 25-OCT-2023 TO 24-OCT-2025
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-OCT-2023 TO 24-OCT-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-OCT-2023 TO 24-OCT-2025
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 25-OCT-2023 TO 24-OCT-2025
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI FROM 25-OCT-2023 TO 24-OCT-2025
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
25-OCT-2023
|
SEBI VIDE ITS NOTICE DATED 15/10/2024 DIRECTED TO PAY RS.6,79,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 16/10/2024 DIRECTED TO PAY RS.2,17,40,098.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 07/11/2024 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
SEBI VIDE ITS NOTICE DATED 24/12/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.2,21,24,861.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 163 |
|
|
SAHINDRA JAGANNATH BHAWALE
(DIN:07352920
PAN:AIAPB7130Q)
|
|
|
|
VAISHNO DEVI DAIRY PRODUCTS LTD.
|
|
MOBILIZED RS.25.00 CRORE FROM PUBLIC THROUGH ISSUANCE OF NCDS BY WAY OF PRIVATE PLACEMENT TO 185 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 67(3), 73 AND 117C OF COMPANIES ACT, 1956 READ WITH SECTIONS 25(2) AND 465(2) OF THE COMPANIES ACT, 2013 READ WITH SEBI (ILDS) REGULATIONS, 2008
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 25-SEP-2024 TO 24-DEC-2024
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-SEP-2024 TO 24-DEC-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-SEP-2024 TO 24-DEC-2024
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 25-SEP-2024 TO 24-DEC-2024
25-SEP-2024
|
|
| 164 |
|
|
SAMIM REZA
(DIN:06615175)
|
|
|
|
FIIDEX INDUSTRIES LTD.
CIN:U45400WB2011PLC160414
PAN:AABCF7024P
|
|
MOBILIZED RS.1.02 CRORE FROM PUBLIC THROUGH ISSUANCE OF SECURED REDEEMABLE NON-CONVERTIBLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT TO 102 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 67(3) READ WITH 465 OF COMPANIES ACT, 2013
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 22-JAN-2025 TO 21-JAN-2028
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-JAN-2025 TO 21-JAN-2028
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-JAN-2025 TO 21-JAN-2028
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 22-JAN-2025 TO 21-JAN-2028
22-JAN-2025
|
SAT: SAT VIDE ITS ORDER DATED 08/01/2026 GRANTED TWO MORE MONTHS TO ENABLE THE APPELLANTS TO SHOW THEIR BONAFIDES
|
| 165 |
|
|
SANJEEV KUMAR VISHWAKARMA
(PAN:AIXPV3212C
DIN:05291375)
|
|
|
|
SARVODAY AGRO POWER LTD.
CIN:U45400WB2007PLC116883
PAN:AAOCS8605G
|
|
MOBILIZED FUND OF RS.4.68 CRORE FROM PUBLIC THROUGH ISSUANCE OF 4,67,575 SECURED NON-CONVERTIBLE REDEEMABLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT TO 3,622 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60 READ WITH 2(36), 67(3) AND 73(1) TO 73(3) OF THE COMPANIES ACT, 1956 READ WITH SECTION 465(2) OF THE COMPANIES ACT, 2013 AND REGULATIONS 4(2)(A) TO 4(2)(D), 4(4), 5(2)(B), 6 TO 9, 12, 14, 15, 19 AND 26 OF SEBI (ILDS) REGULATIONS READ WITH 59 OF SEBI (ISSUE AND LISTING OF NON-CONVERTIBLE SECURITIES) REGULATIONS, 2021
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 31-JUL-2025 TO 30-JUL-2029
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JUL-2025 TO 30-JUL-2029
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2025 TO 30-JUL-2029
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 31-JUL-2025 TO 30-JUL-2029
31-JUL-2025
|
|
| 166 |
|
|
SANTANU CHAKRABORTY
(DIN:02403146)
|
|
|
|
BASIL INTERNATIONAL LTD.
PAN:AACCB0938K
|
|
MOBILIZED RS.9.35 CRORE FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 5,180 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 67(1) TO 67(3) AND 73(1) TO 73(3) OF COMPANIES ACT, 1956
MOBILIZED RS.9.35 CRORE FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 5,180 INVESTORS VIOLATING REGULATION 16(1) OF SEBI (ISSUE AND LISTING OF NCRPS) REGULATIONS, 2013
|
DIRECTED TO REFUND MONEY COLLECTED THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) INCLUDING APPLICATION MONEY ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 29-FEB-2024 TO 28-FEB-2025
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO SUBMIT REPAYMENT REPORT TO SEBI CERTIFIED BY TWO INDEPENDENT CHARTERED ACCOUNTANTS WHO ARE IN PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 29-FEB-2024 TO 28-FEB-2025
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-FEB-2024 TO 28-FEB-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-FEB-2024 TO 28-FEB-2025
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 29-FEB-2024 TO 28-FEB-2025
29-FEB-2024
|
SEBI VIDE ITS NOTICE DATED 15/04/2025 DIRECTED TO PAY RS.9,35,00,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 167 |
|
|
SANTOSH KUMAR PATHAK
(DIN:03049455
PAN:ATIPP1350K)
|
|
|
|
SARVODAY AGRO POWER LTD.
CIN:U45400WB2007PLC116883
PAN:AAOCS8605G
|
|
MOBILIZED FUND OF RS.4.68 CRORE FROM PUBLIC THROUGH ISSUANCE OF 4,67,575 SECURED NON-CONVERTIBLE REDEEMABLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT TO 3,622 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60 READ WITH 2(36), 67(3) AND 73(1) TO 73(3) OF THE COMPANIES ACT, 1956 READ WITH SECTION 465(2) OF THE COMPANIES ACT, 2013 AND REGULATIONS 4(2)(A) TO 4(2)(D), 4(4), 5(2)(B), 6 TO 9, 12, 14, 15, 19 AND 26 OF SEBI (ILDS) REGULATIONS READ WITH 59 OF SEBI (ISSUE AND LISTING OF NON-CONVERTIBLE SECURITIES) REGULATIONS, 2021
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 31-JUL-2025 TO 30-JUL-2029
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JUL-2025 TO 30-JUL-2029
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2025 TO 30-JUL-2029
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 31-JUL-2025 TO 30-JUL-2029
31-JUL-2025
|
|
| 168 |
|
|
SARANG WADHAWAN
(PAN:AAAPW2530R)
|
|
|
|
WADHAWAN CONSOLIDATED HOLDINGS PVT.LTD.
PAN:AACCD2944F
|
|
|
WADHAWAN GLOBAL CAPITAL LTD.
PAN:AAACW9811G
|
|
|
WADHAWAN HOLDINGS PVT.LTD.
CIN:U74999MH2002PTC135601
PAN:AAACW5001G
|
|
|
WADHAWAN RETAIL VENTURES PVT.LTD.
PAN:AAACW6632R
|
|
INDULGED IN MANIPULATION/FALSIFICATION IN BOOKS OF ACCOUNTS VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO (D), 4(1) & 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DEWAN HOUSING FINANCE CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-AUG-2025 TO 11-AUG-2029
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-AUG-2025 TO 11-AUG-2029
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 12-AUG-2025 TO 11-AUG-2029
22-SEP-2020
IMPOSED PENALTY RS.20,75,00,000
12-AUG-2025
|
SEBI VIDE ITS ORDER DATED 22/10/2021 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 22/09/2020
SEBI VIDE ITS ORDER DATED 12/08/2025 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR PERIOD OF FOUR YEARS FROM DATE OF THIS ORDER B) RESTRAINED FROM BEING ASSOCIATED WITH SECURITIES MARKET, IN ANY MANNER WHATSOEVER, INCLUDING AS A DIRECTOR OR KEY MANAGERIAL PERSONNEL IN A LISTED COMPANY OR AN INTERMEDIARY REGISTERED WITH SEBI OR A PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC IN SECURITIES MARKET FOR PERIOD FOUR YEARS FROM DATE OF THIS ORDER C) IMPOSED PENALTY OF RS.20 CRORE U/S 15HA AND RS.75 LAC U/S 23H OF SCRA OF SEBI ACT.
|
| 169 |
|
|
SARFRAJ ALI
(PAN:AULPA2242F)
|
|
|
|
STARBURST RESEARCH
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
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
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 11-DEC-2023 TO 10-DEC-2025
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-DEC-2023 TO 10-DEC-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-DEC-2023 TO 10-DEC-2025
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 11-DEC-2023 TO 10-DEC-2025
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
11-DEC-2023
|
|
| 170 |
|
|
SAUGATA BASU
(DIN:03566418
PAN:AFUPB7369C)
|
|
|
|
DOLPHIN INFRA POWERPROJECT LTD.
CIN:U40102JK2012PLC003531
|
|
MOBILIZED RS.1.10 CRORE THROUGH ISSUANCE OF NON-CONVERTIBLE REDEEMABLE DEBENTURES (NCRDS) BY WAY OF PRIVATE PLACEMENT TO 134 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60 AND 73 READ WITH 67 OF THE COMPANIES ACT, 1956 IN MATTER OF DOLPHIN POWERPROJECT LTD.
MOBILIZED RS.1.10 CRORE THROUGH ISSUANCE OF NON-CONVERTIBLE REDEEMABLE DEBENTURES (NCRDS) BY WAY OF PRIVATE PLACEMENT TO 134 INVESTORS VIOLATING REGULATIONS 4(2)(A) TO 4(2)(D), 5(2)(B), 6 TO 9, 12, 14, 19 AND 26 OF (ISSUE & LISTING OF DEBT SECURITIES) REGULATIONS, 2008 IN MATTER OF DOLPHIN POWERPROJECT LTD.
|
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 29-AUG-2022 TO 28-AUG-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-AUG-2022 TO 28-AUG-2024
29-AUG-2022
|
|
| 171 |
|
|
SEKH ARFAT ALI
(DIN:06611933)
|
|
|
|
FIIDEX INDUSTRIES LTD.
CIN:U45400WB2011PLC160414
PAN:AABCF7024P
|
|
MOBILIZED RS.1.02 CRORE FROM PUBLIC THROUGH ISSUANCE OF SECURED REDEEMABLE NON-CONVERTIBLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT TO 102 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 67(3) READ WITH 465 OF COMPANIES ACT, 2013
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 22-JAN-2025 TO 21-JAN-2028
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-JAN-2025 TO 21-JAN-2028
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-JAN-2025 TO 21-JAN-2028
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 22-JAN-2025 TO 21-JAN-2028
22-JAN-2025
|
SAT: SAT VIDE ITS ORDER DATED 08/01/2026 GRANTED TWO MORE MONTHS TO ENABLE THE APPELLANTS TO SHOW THEIR BONAFIDES
|
| 172 |
|
|
SHAHAJI NAMDEO SHENDGE
(PAN:CUWPS2796B
DIN:03103151)
|
|
|
|
SITARAM MAHARAJ SAKHAR KARKHANA (KHARDI) LTD.
PAN:AAOCS0492B
CIN:U15424PN1999PLC013656
|
|
MOBILIZED RS.17.10 CRORES THROUGH ISSUANCE OF NON-CONVERTIBLE REDEEMABLE PREFERENCE SHARES (NCRPS) BY WAY OF PRIVATE PLACEMENT TO 5,696 INVESTORS VIOLATING SECTIONS 56, 60, 67 AND 73 OF COMPANIES ACT, 1956 AND SECTIONS 26, 33, 40 AND 42 OF COMPANIES ACT, 2013 AND REGULATIONS 4(2)(A), 4(2)(B), 4(2)(C), 4(2)(D), 4(5), 5 TO 9, 13, 15, 16, 16(B)(1) AND 22 OF SEBI (ISSUE AND LISTING OF NCRPS) REGULATIONS, 2013
|
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 30-NOV-2022 TO 29-NOV-2025
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 30-NOV-2022 TO 29-NOV-2025
DIRECTED NOT TO DISPOSE OF, ALIENATE OR ENCUMBER ANY ASSETS / PROPERTIES
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC EITHER THROUGH OFFER AND ALLOTMENTS OF PREFERENCE SHARES AND/OR ALLOTMENT OF DEBENTURES
DIRECTED TO FURNISH COMPLETE DETAILS, INFORMATION, DOCUMENTS, ETC. SOUGHT BY SEBI
DIRECTED TO REFUND MONEY TO THE INVESTORS
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
PERMITTED TO SELL ASSETS OF COMPANY FOR SOLE PURPOSE OF MAKING REFUNDS AND DEPOSIT PROCEEDS IN AN ESCROW ACCOUNT OPENED WITH NATIONALISED BANK
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 30-NOV-2022 TO 29-NOV-2025
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-NOV-2022 TO 29-NOV-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-NOV-2022 TO 29-NOV-2025
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 30-NOV-2022 TO 29-NOV-2025
31-MAR-2021
|
SEBI VIDE ITS ORDER DATED 30/11/2022 DIRECTED TO A) REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF NON-CONVERTIBLE REDEEMABLE PREFERENCE SHARES (NCRPS) WITH INTEREST @ 15% P.A. FROM DATE OF COLLECTION OF FUNDS, TILL DATE OF ACTUAL PAYMENT B) PROVIDE FULL INVENTORY OF ASSETS & PROPERTIES, BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF MUTUAL FUNDS/SHARES/SECURITIES, IF HELD IN PHYSICAL AND DEMAT FORM C) PERMITTED TO SELL ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUNDS AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK D) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE VERNACULAR DAILY WITH WIDE CIRCULATION, DETAILING MODALITIES FOR REFUND E) FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI CERTIFIED BY TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS F) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FROM DATE OF THIS ORDER TILL EXPIRY OF THREE YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS G) RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM THE DATE OF THIS ORDER TILL EXPIRY OF THREE YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS FOR FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
|
| 173 |
|
|
SHAIL TUSHAR SHAH
(PAN:HAMPS6706J)
|
|
|
|
SEACOAST SHIPPING SERVICES LTD.
PAN:AACCM2171R
|
|
PARTICIPATED IN ALLOTMENT OF SHARES WITHOUT PAYMENT OF CONSIDERATION VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SEACOAST SHIPPING SERVICES LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-SEP-2024 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2024 UNTIL FURTHER ORDERS
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 30-SEP-2024 UNTIL FURTHER ORDERS
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.1,02,32,308
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 THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI EXCEPT FOR THE PURPOSE OF TRANSFER OF FUNDS TO ESCROW ACCOUNT
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 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 REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
30-SEP-2024
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SAT: SAT VIDE ITS ORDER DATED 06/12/2024 DISMISSED THE APPEAL WITH LIBERTY TO APPELLANTS TO RAISE ALL CONTENTIONS BEFORE THE WTM OF SEBI
SAT: SAT VIDE ITS ORDER DATED 06/05/2025 EXTENDED TIME TILL 30/09/2025
SEBI VIDE ITS ORDER DATED 24/09/2025 VACATED DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 30/09/2024
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| 174 |
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SHANKAR KISAN BAGAL
(DIN:02529528)
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SITARAM MAHARAJ SAKHAR KARKHANA (KHARDI) LTD.
PAN:AAOCS0492B
CIN:U15424PN1999PLC013656
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MOBILIZED RS.17.10 CRORES THROUGH ISSUANCE OF NON-CONVERTIBLE REDEEMABLE PREFERENCE SHARES (NCRPS) BY WAY OF PRIVATE PLACEMENT TO 5,696 INVESTORS VIOLATING SECTIONS 56, 60, 67 AND 73 OF COMPANIES ACT, 1956 AND SECTIONS 26, 33, 40 AND 42 OF COMPANIES ACT, 2013 AND REGULATIONS 4(2)(A), 4(2)(B), 4(2)(C), 4(2)(D), 4(5), 5 TO 9, 13, 15, 16, 16(B)(1) AND 22 OF SEBI (ISSUE AND LISTING OF NCRPS) REGULATIONS, 2013
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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 30-NOV-2022 TO 29-NOV-2025
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 30-NOV-2022 TO 29-NOV-2025
DIRECTED NOT TO DISPOSE OF, ALIENATE OR ENCUMBER ANY ASSETS / PROPERTIES
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC EITHER THROUGH OFFER AND ALLOTMENTS OF PREFERENCE SHARES AND/OR ALLOTMENT OF DEBENTURES
DIRECTED TO FURNISH COMPLETE DETAILS, INFORMATION, DOCUMENTS, ETC. SOUGHT BY SEBI
DIRECTED TO REFUND MONEY TO THE INVESTORS
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
PERMITTED TO SELL ASSETS OF COMPANY FOR SOLE PURPOSE OF MAKING REFUNDS AND DEPOSIT PROCEEDS IN AN ESCROW ACCOUNT OPENED WITH NATIONALISED BANK
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 30-NOV-2022 TO 29-NOV-2025
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-NOV-2022 TO 29-NOV-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-NOV-2022 TO 29-NOV-2025
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 30-NOV-2022 TO 29-NOV-2025
31-MAR-2021
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SEBI VIDE ITS ORDER DATED 30/11/2022 DIRECTED TO A) REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF NON-CONVERTIBLE REDEEMABLE PREFERENCE SHARES (NCRPS) WITH INTEREST @ 15% P.A. FROM DATE OF COLLECTION OF FUNDS, TILL DATE OF ACTUAL PAYMENT B) PROVIDE FULL INVENTORY OF ASSETS & PROPERTIES, BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF MUTUAL FUNDS/SHARES/SECURITIES, IF HELD IN PHYSICAL AND DEMAT FORM C) PERMITTED TO SELL ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUNDS AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK D) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE VERNACULAR DAILY WITH WIDE CIRCULATION, DETAILING MODALITIES FOR REFUND E) FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI CERTIFIED BY TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS F) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FROM DATE OF THIS ORDER TILL EXPIRY OF THREE YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS G) RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM THE DATE OF THIS ORDER TILL EXPIRY OF THREE YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS FOR FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
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| 175 |
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SHANTANU PRAKASH
(PAN:AAJPP1605K)
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EDUCOMP SOLUTIONS LTD.
PAN:AAACE2983M
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INDULGED IN MISREPRESENTATION OF FINANCIALS STATEMENTS AND DID NOT PUBLISH & REPORT A TRUE AND FAIR VIEW OF FINANCIAL PERFORMANCE AND POSITION TO STOCK EXCHANGES VIOLATING SECTIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF EDUCOMP SOLUTIONS TD.
GAVE CORPORATE GUARANTEE FOR LOANS AVAILED BY EDU SMART SERVICES PVT.LTD. (ESSPL) TO TUNE OF RS.1550 CRORE WITHOUT APPROVAL OF AUDIT COMMITTEE VIOLATING PROVISION (IV) (A) OF CLAUSE 49 OF LISTING AGREEMENT READ WITH REGULATION 103(2) OF SEBI (LODR) REGULATIONS, 2015 AND SCRA ACT, 1956
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-MAY-2023 TO 29-MAY-2028
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-MAY-2023 TO 29-MAY-2028
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 30-MAY-2023 TO 29-MAY-2028
IMPOSED PENALTY RS.1,10,00,000
30-MAY-2023
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SAT: SAT VIDE ITS ORDER DATED 22/08/2023 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED EFFECT AND OPERATION OF IMPUGNED ORDER TILL DISPOSAL OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 31/10/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 07/12/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 25/01/2024 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 18/03/2024 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
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| 176 |
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SHIVA NAND MISHRA
(PAN:AJHPM9388B
DIN:02706697)
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GEOSHINE MINES 2 METALS LTD.
CIN:U74110UP1997PLC021979
PAN:AABCB5955D
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MOBILIZED RS.71.56 LAC FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE CUMULATIVE PREFERENCE SHARES (RCPS) BY WAY OF PRIVATE PLACEMENT TO 103 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60 READ WITH 2(36), 67(3), 73(1) TO 73(3) OF COMPANIES ACT, 1956 READ WITH SECTION 465(2) OF THE COMPANIES ACT, 2013
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DIRECTED TO REFUND MONEY COLLECTED THROUGH ISSUANCE OF REDEEMABLE CUMULATIVE PREFERENCE SHARES (RCPS) ALONGWITH INTEREST @15% PER ANNUM
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
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 30-OCT-2024 TO 29-OCT-2026
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 30-OCT-2024 TO 29-OCT-2026
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-OCT-2024 TO 29-OCT-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-OCT-2024 TO 29-OCT-2026
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 30-OCT-2024 TO 29-OCT-2026
30-OCT-2024
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|
| 177 |
|
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SHIVANGI GAJJAR
(PAN:ASRPG2005J)
|
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SEACOAST SHIPPING SERVICES LTD.
PAN:AACCM2171R
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DID NOT DISCHARGE BASIC DUTY AS DIRECTORS AND MEMBERS OF AUDIT COMMITTEE VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(2), 4(2)(F)(II)(6), 4(2)(F)(II)(7), 4(2)(F)(II)(8) AND 18(3) READ WITH PARA A OF PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEACOAST SHIPPING SERVICES LTD.
|
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 30-SEP-2024 UNTIL FURTHER ORDERS
30-SEP-2024
IMPOSED PENALTY RS.3,00,000
24-SEP-2025
|
SAT: SAT VIDE ITS ORDER DATED 06/05/2025 EXTENDED TIME TILL 30/09/2025
SEBI VIDE ITS ORDER DATED 24/09/2025 A) IMPOSED PENALTY OF RS.3 LAC U/S 15HB OF SEBI ACT. AND PAY WITHIN FORTY-FIVE (45) DAYS FROM DATE OF RECEIPT OF THIS ORDER B) VACATED DEBARMENT DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 30/09/2024
SAT: SAT VIDE ITS ORDER DATED 12/01/2026 GRANTED RESPONDENT EIGHT WEEKS TO FILE REPLY AND REJOINDER IF ANY, BE FILED WITHIN FOUR WEEKS THEREAFTER. STAYED IMPUGNED ORDER SUBJECT TO APPELLANT DEPOSITING 50% PENALTY AMOUNT WITH RESPONDENT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
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| 178 |
|
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SHOBHA RUPESH PAWAR
(PAN:APPPP2546K
DIN:02484233)
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SITARAM MAHARAJ SAKHAR KARKHANA (KHARDI) LTD.
PAN:AAOCS0492B
CIN:U15424PN1999PLC013656
|
|
MOBILIZED RS.17.10 CRORES THROUGH ISSUANCE OF NON-CONVERTIBLE REDEEMABLE PREFERENCE SHARES (NCRPS) BY WAY OF PRIVATE PLACEMENT TO 5,696 INVESTORS VIOLATING SECTIONS 56, 60, 67 AND 73 OF COMPANIES ACT, 1956 AND SECTIONS 26, 33, 40 AND 42 OF COMPANIES ACT, 2013 AND REGULATIONS 4(2)(A), 4(2)(B), 4(2)(C), 4(2)(D), 4(5), 5 TO 9, 13, 15, 16, 16(B)(1) AND 22 OF SEBI (ISSUE AND LISTING OF NCRPS) REGULATIONS, 2013
|
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 30-NOV-2022 TO 29-NOV-2025
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 30-NOV-2022 TO 29-NOV-2025
DIRECTED NOT TO DISPOSE OF, ALIENATE OR ENCUMBER ANY ASSETS / PROPERTIES
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC EITHER THROUGH OFFER AND ALLOTMENTS OF PREFERENCE SHARES AND/OR ALLOTMENT OF DEBENTURES
DIRECTED TO FURNISH COMPLETE DETAILS, INFORMATION, DOCUMENTS, ETC. SOUGHT BY SEBI
DIRECTED TO REFUND MONEY TO THE INVESTORS
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
PERMITTED TO SELL ASSETS OF COMPANY FOR SOLE PURPOSE OF MAKING REFUNDS AND DEPOSIT PROCEEDS IN AN ESCROW ACCOUNT OPENED WITH NATIONALISED BANK
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 30-NOV-2022 TO 29-NOV-2025
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-NOV-2022 TO 29-NOV-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-NOV-2022 TO 29-NOV-2025
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 30-NOV-2022 TO 29-NOV-2025
31-MAR-2021
|
SEBI VIDE ITS ORDER DATED 30/11/2022 DIRECTED TO A) REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF NON-CONVERTIBLE REDEEMABLE PREFERENCE SHARES (NCRPS) WITH INTEREST @ 15% P.A. FROM DATE OF COLLECTION OF FUNDS, TILL DATE OF ACTUAL PAYMENT B) PROVIDE FULL INVENTORY OF ASSETS & PROPERTIES, BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF MUTUAL FUNDS/SHARES/SECURITIES, IF HELD IN PHYSICAL AND DEMAT FORM C) PERMITTED TO SELL ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUNDS AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK D) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE VERNACULAR DAILY WITH WIDE CIRCULATION, DETAILING MODALITIES FOR REFUND E) FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI CERTIFIED BY TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS F) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FROM DATE OF THIS ORDER TILL EXPIRY OF THREE YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS G) RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM THE DATE OF THIS ORDER TILL EXPIRY OF THREE YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS FOR FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
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| 179 |
|
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SITA RAM PRAJAPATI
(DIN:07526339
PAN:ASPPP5581Q)
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GEOSHINE MINES 2 METALS LTD.
CIN:U74110UP1997PLC021979
PAN:AABCB5955D
|
|
MOBILIZED RS.71.56 LAC FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE CUMULATIVE PREFERENCE SHARES (RCPS) BY WAY OF PRIVATE PLACEMENT TO 103 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60 READ WITH 2(36), 67(3), 73(1) TO 73(3) OF COMPANIES ACT, 1956 READ WITH SECTION 465(2) OF THE COMPANIES ACT, 2013
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 30-OCT-2024 TO 29-JAN-2025
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-OCT-2024 TO 29-JAN-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-OCT-2024 TO 29-JAN-2025
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 30-OCT-2024 TO 29-JAN-2025
30-OCT-2024
|
|
| 180 |
|
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SOMAYAJI PADMANABHAN SRIHARI
(PAN:AFJPS1694C)
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ZYLOG SYSTEMS LTD.
|
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MADE FALSE, INCORRECT AND MISLEADING DISCLOSURES ABOUT PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES AND MEDIA IN MATTER OF ZYLOG SYSTEMS LTD.
ACQUIRED SHARES OF ZYLOG SYSTEMS LTD. BEYOND THRESHOLD LIMIT AS STIPULATED UNDER REGULATION 3(2) OF SEBI TAKEOVER CODE, 1997 WITHOUT MAKING OPEN OFFER
PROVIDED FUNDS TO PROMOTER ENTITY AND OTHERS FOR DEALING IN SHARES OF ZYLOG SYSTEMS LTD. VIOLATING SECTION 77(2) OF COMPANIES ACT, 1956
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DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-JUN-2021 TO 13-JUN-2023
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 14-JUN-2021 TO 13-JUN-2023
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 14-JUN-2021 TO 13-JUN-2023
13-JUN-2013
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SEBI VIDE ITS ORDER DATED 30/07/2015 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 13/06/2013
SEBI VIDE ITS ORDER DATED 14/06/2021 DIRECTED TO A) MAKE PUBLIC OFFER WITHIN 45 DAYS OF DATE OF THIS ORDER, THROUGH A MERCHANT BANKER TO ACQUIRE THE SHARES OF THE COMPANY FROM PUBLIC SHAREHOLDERS B) PAY INTEREST @ 10% P.A. ALONG WITH OFFER PRICE FOR THE PERIOD STARTING FROM THE DATE WHEN BECAME LIABLE TO MAKE OPEN OFFER FOR THE FIRST TIME I.E. FROM 10/07/2012 TILL THE DATE OF PAYMENT OF CONSIDERATION TO THE SHAREHOLDERS WHO WERE HOLDING SHARES OF ZSL ON THE DATE OF VIOLATION AND WHOSE SHARES ARE ACCEPTED IN THE OPEN OFFER AFTER ADJUSTMENT OF DIVIDEND PAID, IF ANY C) DIRECTED BSE TO FACILITATE VALUATION OF SHARES TO BE PURCHASED D) RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM THE PUBLIC AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, FROM DATE OF THIS ORDER TILL EXPIRY OF TWO YEARS FROM DATE OF COMPLETION OF OPEN OFFER D) RESTRAINED FROM HOLDING THE POST OF DIRECTOR OR ANY KEY MANAGERIAL POSITION OR ASSOCIATING THEMSELVES IN ANY CAPACITY WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM THE DATE OF THIS ORDER TILL EXPIRY OF TWO YEARS FROM DATE OF COMPLETION OF OPEN OFFER
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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 11
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