| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1801 |
|
SUJEET KUMAR SONA
(PAN:CWTPS3069L)
|
|
|
|
AADYA COMMODITIES PVT.LTD.
PAN:AAHCA2094C
|
|
|
AADYA COMMODITIES PVT.LTD.
PAN:AAHCA2094C
(Member : MCX)
|
|
|
AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD.
PAN:AAECA3909P
|
|
|
AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD.
PAN:AAECA3909P
(Depository Participants : CDSL,Member : NSE/BSE/MCX/MSEI)
|
|
DID NOT SUBMIT INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MISUSED PLEDGING OF CLIENT’S SECURITIES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
DID NOT REDRESS INVESTOR COMPLAINTS
FALSIFIED TRIAL BALANCE, BANK BOOKS AND CONCEALED THE INFORMATION RELATED TO PLEDGING OF SECURITIES, CASH WITHDRAWAL AND FUND MOVEMENT RELATED TO ENTITIES VIOLATING SECTIONS 12(A) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2) (P) OF SEBI (PFUTP) REGULATIONS, 2003
|
IMPOSED PENALTY RS.7,00,000
28-APR-2022
|
SAT: SAT VIDE ITS ORDER DATED 06/01/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 09/02/2023 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 18/07/2023 DIRECTED TO PAY RS.8,13,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 10/12/2024 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 14/07/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.9,81,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 1802 |
|
|
SUJITKUMAR AMARNATH GUPTA
|
|
|
INDULGED IN RECEIVE ILL-GOTTEN GAINS FROM FRAUD
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-JUL-2020 TO 07-JUL-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-JUL-2020 TO 07-JUL-2027
08-JUL-2020
|
|
| 1803 |
|
|
SUJITKUMAR AMARNATH GUPTA
|
|
|
INDULGED IN MISAPPROPRIATION OF FUNDS AND SECURITIES
|
IMPOSED PENALTY RS.20,00,000
27-OCT-2023
|
SEBI VIDE ITS NOTICE DATED 13/02/2025 DIRECTED TO PAY RS.23,41,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 1804 |
|
|
SUKHDEV S.BHOSALE
(PAN:BUHPB1708E)
|
|
|
PLAYED ROLE OF CONDUIT/FRONT ENTITIES FOR INDIRA KARKERA/G.R.RAO AND MADE PETTY GAINS IN PROCESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-JUL-2020 TO 07-JUL-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-JUL-2020 TO 07-JUL-2025
08-JUL-2020
|
|
| 1805 |
|
|
SUKHJINDER KAUR
(PAN:AMVPK3867A)
|
|
|
|
RANA SUGARS LTD.
PAN:AABCR6744C
|
|
INDULGED IN SIPHONING OFF/DIVERSION OF FUNDS TO ITS PROMOTERS AND THEIR FAMILY MEMBERS THROUGH CONDUIT ENTITIES VIOLATING SECTIONS 12A(B) AND 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C), 3(D), 4(1), 4(2)(F) AND 4(2)(K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RANA SUGAR 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 27-AUG-2024 TO 26-AUG-2026
RESTRAINED FROM HOLDING OR OCCUPYING POSITION AS DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY FROM 27-AUG-2024 TO 26-AUG-2026
IMPOSED PENALTY RS.3,00,00,000
27-AUG-2024
|
SAT: SAT VIDE ITS ORDER DATED 06/03/2025 DIRECTED SEBI TO FILE REPLY WITHIN FOUR WEEKS AND REJOINDER, IF ANY, TO BE FILED TWO WEEKS THEREAFTER. IN THE MEANWHILE, SEBI NOT TO INITIATE ANY COERCIVE ACTION AGAINST APPELLANTS
|
| 1806 |
|
|
SUMATI SHARMA
(PAN:AIGPS2352B)
|
|
|
|
NU TEK INDIA LTD.
CIN:L74899DL1993PLC054313
PAN:AAACN2270L
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF NU TEK INDIA LTD. AND SUBSIDIARIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(A), 4(2)(E), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF NU TEK INDIA LTD. AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF NU TEK INDIA LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF NU TEK INDIA 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 21-DEC-2021 TO 20-JUN-2022
IMPOSED PENALTY RS.1,60,000
21-DEC-2021
|
|
| 1807 |
|
|
SUMATILAL MEHTA
(PAN:AADPM0100C)
|
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-MAR-2023 TILL FURTHER ORDERS
DIRECTED TO DEPOSIT WRONGFUL GAINS IN ESCROW ACCOUNT
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
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
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
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
28-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 13/04/2023 DIRECTED A) RESPONDENT TO FILE REPLY WITHIN A WEEK FROM DATE OF THIS ORDER B) SET ASIDE DIRECTION IN PARA 51.1 OF IMPUGNED ORDER DATED 28/03/2023 FOR RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET OR ASSOCIATING THEMSELVES WITH SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER UNTIL FURTHER ORDERS C) APPELLANT TO DEPOSIT 50% AMOUNT IN ESCROW ACCOUNT. UPON DEPOSIT, THEIR BANK ACCOUNTS, DEMAT ACCOUNTS ETC. WILL BE DEFREEZED FORTHWITH
SAT: SAT VIDE ITS ORDER DATED 27/04/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED TEN DAYS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 11/05/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED THE APPLICATION
SAT: SAT VIDE ITS ORDER DATED 17/05/2023 DIRECTED TO A) DIRECTION GIVEN IN PARAGRAPH 51.1 OF IMPUGNED ORDER TO REMAIN STAYED DURING PENDENCY OF PROCEEDINGS BEFORE THE WTM B) APPELLANT TO DEPOSIT 50% OF AMOUNT IN ESCROW ACCOUNT WITH LIEN MARKED IN FAVOUR OF SEBI. UPON DEPOSIT OF 50% OF ALLEGED UNLAWFUL GAINS, BANK ACCOUNTS,DEMAT ACCOUNTS TO BE DEFREEZED FORTHWITH C) APPELLANTS TO FILE THEIR REPLY ON OR BEFORE 09/06/2023 AND DIRECTED WTM TO PROCEED IN ACCORDANCE WITH LAW WITHIN SIX MONTHS FROM DATE OF FILING OF REPLY
SEBI VIDE ITS ORDER DATED 21/03/2024 REVOKED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 28/03/2023
|
| 1808 |
|
|
SUMIT DESAI
(PAN:ADQPD3744F)
(Along with : VIRESH GANGARAM JOSHI,
PRIJESH ARUNKUMAR KURANI,
VAIBHAV S.PANDYA,
SURESH KANMAL JAJOO,
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
|
|
| 1809 |
|
|
SUMIT DESAI
(PAN:ADQPD3744F)
(Along with : VIRESH GANGARAM JOSHI,
PRIJESH ARUNKUMAR KURANI,
PRANAV PRAFULCHANDRA VORA,
VAIBHAV S.PANDYA,
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
|
|
| 1810 |
|
|
SUMIT DESAI
(PAN:ADQPD3744F)
(Along with : BHAVIN ARVIND SHAH,
VIRESH GANGARAM JOSHI,
PRIJESH ARUNKUMAR KURANI,
PRANAV PRAFULCHANDRA VORA,
VAIBHAV S.PANDYA)
|
|
|
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
|
|
| 1811 |
|
|
SUMIT DESAI
(PAN:ADQPD3744F)
(Along with : RUPAL BHAVIN SHAH,
VIRESH GANGARAM JOSHI,
PRIJESH ARUNKUMAR KURANI,
PRANAV PRAFULCHANDRA VORA,
VAIBHAV S.PANDYA)
|
|
|
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
|
|
| 1812 |
|
|
SUMIT DESAI
(PAN:ADQPD3744F)
(Along with : NISHIL SURENDRABHAI MARFATIA,
VIRESH GANGARAM JOSHI,
PRIJESH ARUNKUMAR KURANI,
PRANAV PRAFULCHANDRA VORA,
VAIBHAV S.PANDYA)
|
|
|
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
|
|
| 1813 |
|
|
SUMIT DILIP JAIN
(PAN:AGWPJ6652M)
|
|
|
INDULGED IN FUNDING IN FRAUDULENT MANNER THROUGH ITS SUBSIDIARIES/ASSOCIATED/CONNECTED ENTITIES, SUBSCRIPTION TO PREFERENTIAL ALLOTMENT OF WARRANTS AND CONVERSION OF WARRANTS INTO EQUITY SHARES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF HASTI FINANCE LTD.
|
IMPOSED PENALTY RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-JUL-2022
|
SEBI VIDE ITS NOTICE DATED 11/11/2022 DIRECTED TO PAY RS.15,,76,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 15/02/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6127 OF 2022 DATED 15/02/2023
|
| 1814 |
|
|
SUMIT KUMAR
(DIN:03199632
PAN:ARUPK1589P)
(Along with : MADHUKAR DUBEY,
SATENDRA KUMAR,
NEM SINGH)
|
|
|
|
A R ENTERPRISES
PAN:AWWPK8525E
|
|
|
AVISHA CREDIT CAPITAL LTD.
PAN:AAACA5715D
|
|
|
GOLD LINE INTERNATIONAL FINVEST LTD.
CIN:L74899DL1992PLC050250
|
|
|
LMR GREEN REALTY PVT.LTD.
CIN:U70101DL2012PTC231844
|
|
|
MAGNUM INDUSTRIAL CORP.
PAN:AIJPD7329J
|
|
|
NIKKY PRINTING PRESS PVT.LTD.
CIN:U22190DL2010PTC207535
|
|
|
VIJAY BHAGWANDAS & CO.
PAN:ARUPK1589P
|
|
ACTED FRAUDULENTLY TO GOT IPO SUBSCRIBED BY DIRECTLY/INDIRECTLY FUNDING VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF CHANNEL NINE ENTERTAINMENT LTD.
|
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2022
|
SAT: SAT VIDE ITS ORDER DATED 28/06/2022 CONDONED THE DELAY IN FILING OF REPLY AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 24/12/2024 DIRECTED TO PAY RS.10,81,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 1815 |
|
|
SUMIT KUMAR
(DIN:03199632
PAN:ARUPK1589P)
|
|
|
|
AMS POWERTRONIC PVT.LTD.
CIN:U31104DL2004PTC127710
PAN:AAECA8718H
|
|
|
DURGA PRASAD & CO.
PAN:ARUPK1589P
|
|
ACTED FRAUDULENTLY TO LIST SCRIP OF THE COMPANY AND SUBSEQUENTLY DIVERT THE IPO PROCEEDS VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF HPC BIOSCIENCES LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
25-FEB-2022
|
SEBI VIDE ITS NOTICE DATED 29/07/2022 DIRECTED TO PAY RS.10,61,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 18/08/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS ORDER DATED 05/09/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF DURGA PRASAD & CO. & MR.SUMIT KUMAR TO SEBI BY WAY OF EFT/NEFT/RTGS
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| 1816 |
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SUMIT KUMAR
(DIN:03199632
PAN:ARUPK1589P)
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AMS POWERTRONIC PVT.LTD.
CIN:U31104DL2004PTC127710
PAN:AAECA8718H
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DURGA PRASAD & CO.
PAN:ARUPK1589P
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VIJAY BHAGWANDAS & CO.
PAN:ARUPK1589P
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MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSPECTUS VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF ECO FRIENDLY FOOD PROCESSING PARK LTD.
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IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-JUL-2022
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SAT: SAT VIDE ITS ORDER DATED 23/03/2023 ALLOWED RESPONDENT FURTHER TWO WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 17/09/2024 DIRECTED TO PAY RS.7,63,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 16/07/2025 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS NOTICE DATED 10/09/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.8,35,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTGS
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| 1817 |
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SUMIT KUMAR
(DIN:03199632
PAN:ARUPK1589P)
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AMS POWERTRONIC PVT.LTD.
CIN:U31104DL2004PTC127710
PAN:AAECA8718H
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CORE CAPITAL SERVICES LTD.
CIN:U74899DL1995PLC066243
PAN:AAACC2840D
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DURGA PRASAD & CO.
PAN:ARUPK1589P
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MAYFAIR INFOSOLUTION PVT.LTD.
CIN:U72900DL2007PTC168997
PAN:AAFCM3716M
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VIJAY BHAGWANDAS & CO.
PAN:ARUPK1589P
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF ECO FRIENDLY FOOD PROCESSING PARK LTD., ESTEEM BIO ORGANIC FOOD PROCESSING LTD., CHANNEL NINE ENTERTAINMENT LTD. AND HPC BIOSCIENCES LTD.
MISUTILIZED MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSECTUS VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF HPC BIOSCIENCES LTD.
MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSPECTUS VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF ECO FRIENDLY FOOD PROCESSING PARK LTD.
MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSECTUS VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D), 4(1), 4(2)(A) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF CHANNEL NINE ENTERTAINMENT LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-JUN-2015 TO 22-DEC-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JUN-2015 TO 22-DEC-2020
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
29-JUN-2015
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SEBI VIDE ITS ORDER DATED 14/06/2016 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 29/06/2015
SEBI VIDE ITS ORDER DATED 17/02/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 29/06/2015
SAT: SAT VIDE ITS ORDER DATED 15/06/2023 REJOINDER TO BE FILE WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATED 22/12/2020 DIRECTED TO A) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER MANNER FOR TILL THE DATE OF THIS ORDER B) EXISTING HOLDING OF SECURITIES INCLUDING UNITS OF MUTUAL FUNDS TO REMAIN FREEZE
SEBI VIDE ITS ORDER DATED 22/12/2020 DIRECTED TO A) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER MANNER FOR TILL THE DATE OF THIS ORDER B) RESTRAINT THE EXISTING HOLDING OF SECURITIES INCLUDING THE UNITS OF MUTUAL FUNDS REMAIN UNDER FREEZE
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| 1818 |
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SUMIT MAZUMDAR
(PAN:AEOPM4572K)
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TIL LTD.
PAN:AABCT0704G
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MISREPRESENTED/MISSTATED FINANCIALS STATEMENTS VIOLATING REGULATION 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF TIL LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF TIL LTD.
MISREPRESENTED/MISSTATED FINANCIALS STATEMENTS VIOLATING REGULATIONS 4(1), 33(1)(A), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF TIL LTD.
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IMPOSED PENALTY RS.1,00,00,000
30-MAY-2024
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SAT: SAT VIDE ITS ORDER DATED 12/08/2024 ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY. REJOINDER, IF ANY, TO BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 30/09/2024 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 09/12/2025 CONDONED THE DELAY OF 38 DAYS IN FILING OF APPEAL AND STAY OF RECOVERY SUBJECT TO DEPOSIT OF 50% PENALTY AMOUNT WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 17/12/2025 CONDONED THE DELAY IN FILING OF APPEAL AND REJOINDER
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| 1819 |
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SUMIT PAL SINGH
(PAN:FJNPS6477N)
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SUUMAYA INDUSTRIES LTD.
PAN:AAFCR4357R
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INDULGED IN SIPHONING OFF/DIVERSION OF FUNDS VIOLATING SECTIONS 12A(A) 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 SUUMAYA INDUSTRIES LTD.
MISREPRESENTED FINANCIAL STATEMENTS AND MANIPULATED BOOKS OF ACCOUNTS VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(2)(6)(7)(8) AND 4(2)(F)(III)(1),(3),(6),(7)(12) OF SEBI (LODR) REGULATIONS, 2015 AND SECTION 21 OF SCRA, 1956 READ WITH SECTION 27(2) OF SEBI ACT, 1992 IN MATTER OF SUUMAYA INDUSTRIES LTD.
FURNISHED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II AND REGULATION 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SUUMAYA INDUSTRIES LTD.
DID NOT ADHERE TO PREPARATION OF FINANCIAL STATEMENTS AS PER ACCOUNTING STANDARD VIOLATING REGULATION 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTIONS 27(1) AND 27(2) OF SEBI ACT, 1992 IN MATTER OF SUUMAYA INDUSTRIES LTD.
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DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-JAN-2025 UNTIL FURTHER ORDERS
24-JAN-2025
|
|
| 1820 |
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SUMIT SONTHALIA
(PAN:ALAPS2324Q)
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INDULGED IN EXTENDED FRONT RUNNING THE TRADES OF BIG CLIENTS VIOLATING CLAUSE (C) OF SUB-REGULATION (1) OF REGULATION 2 OF THE PFUTP REGULATIONS AND SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003
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DIRECTED TO IMPOUND UNLAWFUL GAIN RS.65,77,11,547 ALONG WITH OTHER ENTITIES/PERSONS
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 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
02-JAN-2025
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SAT: SAT VIDE ITS ORDER DATED 17/01/2025 GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 29/01/2025 REJECTED PRAYER FOR INTERIM ORDER
SAT: SAT VIDE ITS ORDER DATED 02/04/2025 DISPOSED OF APPEAL AS INFRUCTUOUS
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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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