| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1821 |
|
SUMITRA VISHRAM NANDA
(PAN:AGSPN3750G)
|
|
|
INDULGED IN FRONT RUNNING ACTIVITIES VIOLATING 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 IN MATTER OF SANCTUM WEALTH MANAGEMENT PVT.LTD. (NOW KNOWN AS SANCTUM WEALTH PVT.LTD.)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2024 TO 30-JAN-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2024 TO 30-JAN-2025
RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR ANY INTERMEDIARY REGISTERED WITH SEBI AND FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY OR PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 31-JAN-2024 TO 30-JAN-2025
DIRECTED TO DISGORGE RS.34,84,605 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
31-JAN-2024
|
|
| 1822 |
|
|
SUNANDA JATHAN
(PAN:ABSPJ9617R)
|
|
|
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
|
|
| 1823 |
|
|
SUNDEEP CHADHA
(PAN:AAHPC9809N)
|
|
|
|
R.K.COMMODITIES SERVICES PVT.LTD.
PAN:AADCR3305H
|
|
AIDED AND ABETTED SCHEME AND ARTIFICE UTILIZED BY NEFM GROUP FOR TRADING IN MENTHA OIL CONTRACTS THROUGH A NUMBER OF ENTITIES WHO TRADED IN MENTHA OIL FUTURES AS CLIENT OF RCS VIOLATING REGULATION 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2019 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2019 TILL FURTHER ORDERS
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-FEB-2019
|
SAT: SAT VIDE ITS ORDER DATED 12/03/2019 ALLOWED THE APPEAL.NO COST
SEBI VIDE ITS ORDER DATED 06/12/2019 REVOKED ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 28/02/2019
|
| 1824 |
|
|
SUNDEEP CHADHA
(PAN:AAHPC9809N)
(Along with : RAJENDRA KUMAR GUPTA,
NAVDEEP VARSHNEYA)
|
|
|
|
R.K.COMMODITIES SERVICES PVT.LTD.
PAN:AADCR3305H
|
|
AIDED AND FACILITATED IN DECEPTIVE TRANSACTIONS OR SCHEMES WITH A VIEW TO DISTORTING MARKET VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT. AND REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF MENTHA OIL FUTURE CONTRACTS
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAR-2023
|
SEBI VIDE ITS NOTICE DATED 16/08/2023 DIRECTED TO PAY RS.10,61,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 12/09/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS NOTICE DATED 25/09/2023 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 12/09/2023
SEBI VIDE ITS ORDER DATED 25/09/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7075 OF 2023 DATED 16/08/2023
|
| 1825 |
|
|
SUNIL ARJAN LULLA
(PAN:AAAPL4639E)
|
|
|
INDULGED IN MANIPULATION OF BOOKS OF ACCOUNTS AND MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS OPERATIONS
DIVERTED/SIPHONED FUNDS TO OTHER GROUP COMPANIES
DID NOT HAVE ANY ACTUAL BUSINESS OPERATIONS OF COMPANIES
DID NOT ENGAGE IN ACTIVITIES RELATED TO ENTERTAINMENT INDUSTRY
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-JUN-2023 UNTIL FURTHER ORDERS
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
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 BSE TO APPOINT FORENSIC AUDITOR TO EXAMINE BOOKS OF ACCOUNTS OF THE COMPANY
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 22-JUN-2023 UNTIL FURTHER ORDERS
22-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 22/08/2023 DISPOSED OF THE APPEAL BY DIRECTING APPELLANT TO FILE REPLY/OBJECTION ALONG WITH STAY VACATION APPLICATION TO AD-INTERIM EX-PARTE ORDER DATED 22/06/2023 WITHIN THREE WEEKS FROM DATE OF THIS ORDER. WTM TO FIX A DATE WITHIN A WEEK FROM DATE OF FILING OF REPLY
SEBI VIDE ITS ORDER DATED 13/10/2023 DIRECTED TO CONTINUE TO BE RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, EITHER DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER UNTIL FURTHER ORDERS
SEBI VIDE ITS ORDER DATED 13/10/2023 DIRECTED TO CONTINUE TO BE RESTRAINED FROM HOLDING THE POSITION OF DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY, INCLUDING EROS, OR ITS SUBSIDIARIES OR ANY SEBI REGISTERED INTERMEDIARY UNTIL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 28/06/2024 DIRECTED TO ISSUE SCN IF ANY, WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND MATTER TO BE DECIDED WITHIN FIVE MONTHS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 31/01/2025 ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER. STAYED RECOVERY SUBJECT TO DEPOSIT 50% PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 1826 |
|
|
SUNIL BHANDARI
(PAN:ALZPB5747M)
(Along with : MANISH MISHRA,
REKHA BHANDARI,
ANSHU MISHRA)
|
|
|
|
LADDU GOPAL VENTURES PVT.LTD.
|
|
|
SRESTHA FINVEST LTD.
|
|
|
SUNSTAR REALTY DEVELOPMENT LTD.
|
|
INDUCED PUBLIC INVESTORS TO INVEST IN SCRIP BY UPLOADING FALSE & MISLEADING VIDEOS ON CERTAIN YOUTUBE CHANNELS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(A), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF GG ENGINEERING LTD.
INDULGED IN CREATING MISLEADING APPEARANCE OF TRADING VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(A), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF GG ENGINEERING LTD.
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-DEC-2025
|
|
| 1827 |
|
|
SUNIL GODHWANI
(PAN:AACPG6998F)
|
|
|
INDULGED IN DIVERSION OF FUNDS OF RS.2,473.66 CRORE (APPROX) OF RELIGARE FINVEST LTD. THROUGH SUBSIDIARY OF REL FOR BENEFIT OF PROMOTERS/PROMOTER GROUP ENTITIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RELIGARE ENTERPRISES LTD.
CERTIFIED FALSE AND MISLEADING FINANCIAL STATEMENTS VIOLATING CLAUSE 49(IX) OF LISTING AGREEMENT (POST CIRCULAR DATED 17/04/2014) READ WITH REGULATION 103 OF SEBI (LODR) REGULATIONS, 2015 AND SECTION 21 OF SCRA, 1956 AND REGULATIONS 17(8) AND 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF RELIGARE ENTERPRISES LTD.
DID NOT ABIDE BY PRINCIPLES GOVERNING DISCLOSURES AND OBLIGATIONS WITH RESPECT TO LISTED COMPANIES VIOLATING CLAUSES 49(I)(D)(1)(B), 49(I)(D)(2)(F), 49(I)(D)(3)(C),(F),(G),(I),(L) AND 49(II)(E)(2) OF LISTING AGREEMENT (POST CIRCULAR DATED 17/04/2014) READ WITH REGULATION 103 OF SEBI (LODR) REGULATIONS, 2015 AND REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(6), 4(2)(F)(III)(1)(3), (6), (7), (9), (12) AND 26(3) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF RELIGARE ENTERPRISES LTD.
DID NOT EXERCISE DUTY AS MEMBERS OF AUDIT COMMITTEE VIOLATING CLAUSES 49(III)(D)(1)(4),(5) & (9) 49(III)(E)(1)(2) AND 49(V)(B) OF LISTING AGREEMENT {POST AMENDMENT DATED 17/04/2014} READ WITH REGULATION 103 OF SEBI (LODR) REGULATIONS, 2015 AND REGULATIONS 18(3) READ WITH CLAUSES A(1), A(4), (5), (9) AND B(1) UNDER PART C OF SCHEDULE II AND REGULATION 24(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF RELIGARE ENTERPRISES 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 28-JUL-2022 TO 27-JUL-2024
IMPOSED PENALTY RS.5,00,00,000
28-JUL-2022
|
SAT: SAT VIDE ITS ORDER DATED 12/04/2023 ALLOWED FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 16/05/2023 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 24/07/2023 CONDONED THE DELAY IN FILING OF APPEAL AND DIRECTED REJOINDER TO BE FILED WITHIN A WEEK
SAT: SAT VIDE ITS ORDER DATED 02/08/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 14/09/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 1828 |
|
|
SUNIL GUPTA
(PAN:AEKPG9827P)
|
|
|
ALLEGED INDULGENCE IN MAKING FALSE/MISLEADING STATEMENTS AND MISREPRESENTING GDR ISSUE SUBSCRIBED BY SEVERAL INVESTORS WHEN INFACT ISSUE WAS SUBCRIBED BY FUSION INVESTMENTS LTD. VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D), 4(1), 4(2)(F) (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF KEI INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,36,00,000 VIDE CONSENT ORDER)
28-FEB-2019
|
|
| 1829 |
|
|
SUNIL KALOT
(PAN:BLHPK0027J)
|
|
|
|
DEBOCK INDUSTRIES LTD.
PAN:AACCD9561G
|
|
CONVERTED WARRANTS/ALLOTTED EQUITY SHARES (BOTH TRANCHES) WITHOUT ACTUALLY RECEIVING CONVERSION MONEY
MISSTATED FINANCIAL STATEMENTS FOR THE RELEVANT PERIOD
PREFERENTIAL ISSUE WAS DONE IN FRAUDULENT MANNER AND ALLOTTED SHARES TO ENTITIES WITHOUT RECEIVING ANY CONSIDERATION
MADE FICTITIOUS ISSUE OF WARRANTS AND SUBSEQUENT CONVERSION TO EQUITY SHARES TO FACILITATE COMPANY’S MIGRATION TO MAIN BOARD
DID NOT PROVIDE DETAILS OF UTILISATION OF FUNDS FROM RIGHTS ISSUE AND DID NOT DISCLOSE THE SAME IN FINANCIAL STATEMENTS
SUBMITTED FORGED BANK STATEMENTS TO SHOW RECEIPT OF FUNDS AS APPLICATION MONEY AND UTILIZATION OF ISSUE PROCEEDS IN PREFERENTIAL ISSUE
ISSUED BONUS SHARES FROM RESERVES GENERATED OUT OF INFLATED AND PROFIT GENERATED OUT OF FICTITIOUS SALES AND PURCHASES
GAVE LOAN OF RS.49.05 CRORE TO RELATED PARTY WHICH WAS PARTLY DIVERTED TO PROMOTER/CONNECTED ENTITIES AND NATURO INDIABULLS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 23-AUG-2024 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-AUG-2024 UNTIL FURTHER ORDERS
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.37,66,55,212
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 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 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 NSE TO NOT TO GRANT APPROVAL FOR SCHEME TO AMALGAMATION BETWEEN DEBOCK VENTURES LTD. WITH DEBOCK INDUSTRIES LTD.
DIRECTED SEBI TO INITIATE PROSECUTION PROCEEDINGS AGAINST DEBOCK INDUSTRIES LTD., MR.MUKESH MANVEER SINGH AND MR.SUNIL KALOT AS PER LAW
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
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
23-AUG-2024
|
SEBI VIDE ITS ORDER DATED 11/12/2024 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 23/08/2024 WITHOUT ANY MODIFICATIONS
|
| 1830 |
|
|
SUNIL KUMAR GARG
(PAN:AADPG6880D)
|
|
|
INDULGED IN DIVERSION OF FUNDS OF RS.2,473.66 CRORE (APPROX) OF RELIGARE FINVEST LTD. THROUGH SUBSIDIARY OF REL FOR BENEFIT OF PROMOTERS/PROMOTER GROUP ENTITIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RELIGARE ENTERPRISES LTD.
|
IMPOSED PENALTY RS.70,00,000
31-OCT-2022
|
SAT:SAT VIDE ITS ORDER DATED 19/01/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 16/03/2023 GRANTED RESPONDENT FURTHER TWO WEEKS TO FILE REPLIES AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 02/08/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 14/09/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 1831 |
|
|
SUNIL KUMAR GOEL
(PAN:AJTPG6767G)
|
|
|
|
IKF TECHNOLOGIES LTD.
CIN:L72200WB2000PLC111253
PAN:AAACI8167K
|
|
ISSUED AND ALLOTTED GDR WITHOUT DISCLOSING CRUCIAL DETAILS PERTAINING TO LOAN AND PLEDGE AGREEMENTS VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO (D) AND 4(2)(C), (F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IKF TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.1,00,00,000
24-JUN-2020
|
SAT: SAT VIDE ITS ORDER DATED 26/07/2021 DISMISSED THE APPEAL
SEBI VIDE ITS NOTICE DATED 27/08/2021 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SAT: SAT VIDE ITS ORDER DATED 28/11/2025 DISMISSED THE APPEAL AS WITHDRAWN
|
| 1832 |
|
|
SUNIL KUMAR SHARMA
(PAN:ABKPS1549R)
|
|
|
|
JAIPRAKASH POWER VENTURES LTD.
PAN:AAACJ6297K
|
|
MISREPRESENTED BOOKS OF ACCOUNTS AND/OR FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(R) READ WITH 2(1)(B) AND 2(1)(C)(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF JAIPRAKASH POWER VENTURES LTD.
MISREPRESENTED BOOKS OF ACCOUNTS AND/OR FINANCIAL STATEMENTS VIOLATING CLAUSE 41(I)(A) AND PARA V OF CLAUSE 49 OF ERSTWHILE LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF JAIPRAKASH POWER VENTURES LTD.
MISREPRESENTED BOOKS OF ACCOUNTS AND/OR FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E) AND 4(1)(G) TO 4(1)(J) READ WITH 4(2)(F)(I)(2), 4(2)(F)(II)(2), (6), (7), 4(2)(F)(III) (1)(3), (6), (12), 33(1)(A), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF JAIPRAKASH POWER VENTURES LTD.
FURNISHED FALSE CERTIFICATE WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF JAIPRAKASH POWER VENTURES LTD.
|
IMPOSED PENALTY RS.7,00,000
27-DEC-2024
|
SAT: SAT VIDE ITS ORDER DATED 06/03/2025 STAYED THE RECOVERY SUBJECT TO DEPOSIT OF 50% OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 08/07/2025 GRANTED APPELLANT SIX WEEKS TO FILE REJOINDER
|
| 1833 |
|
|
SUNIL MANUBHAI PATEL
(PAN:ARWPP5026A)
|
|
|
|
SOMA TEXTILES & INDUSTRIES LTD.
PAN:AADCS0405R
|
|
SIGNED ACCOUNT CHARGES AGREEMENT WHICH PROVIDED GDR PROCEEDS TO BE KEPT AS A SECURITY TOWARDS LOAN AVAILED BY WHITEVIEW TRADING CORP.FOR SUBSCRIPTION OF GDR VIOLATING SECTIONS 12A(A) TO 12A(D) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SOMA TEXTILES & INDUSTRIES LTD.
|
IMPOSED PENALTY RS.5,00,000
30-AUG-2022
|
SAT: SAT VIDE ITS ORDER DATED 22/02/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 08/02/2021 AND 30/08/2022
|
| 1834 |
|
|
SUNIL MANUBHAI PATEL
(PAN:ARWPP5026A)
|
|
|
|
SOMA TEXTILES & INDUSTRIES LTD.
PAN:AADCS0405R
|
|
SIGNED ACCOUNT CHARGES AGREEMENT WHICH PROVIDED GDR PROCEEDS TO BE KEPT AS A SECURITY TOWARDS LOAN AVAILED BY WHITEVIEW FOR SUBSCRIPTION OF GDR VIOLATING SECTION 12A (A) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SOMA TEXTILES & INDUSTRIES 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 08-FEB-2021 TO 07-FEB-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
08-FEB-2021
|
SAT: SAT VIDE ITS ORDER DATED 09/07/2021 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 08/11/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 29/11/2022 CONDONED THE DELAY IN FILING OF APPEAL AND RESPONDENT TO FILE REPLY WITHIN TWO WEEKS
SAT: SAT VIDE ITS ORDER DATED 13/12/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 22/02/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 08/02/2021 AND 30/08/2022
|
| 1835 |
|
|
SUNIL SINGH
(PAN:BDGPS0774K)
|
|
|
|
ALFA FINSEC
PAN:BDGPS0774K
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
ISSUED FICTITIOUS CONTRACT NOTES
FALSIFIED/FABRICATED DOCUMENT TO GIVE IMPRESSION OF AUTHENTICITY ABOUT ITS TRANSACTIONS
DELAY IN TRANSFER OF SHARES TO TRANSFEREES SUBSEQUENT TO RECEIPT OF PAYMENT FROM TRANSFEREES VIOLATING SECTION 2(I)(A) OF SCRA, 1956 AND SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION G.S.R 219(E) DATED 02/03/2000 AND SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF DELTA LEASING AND FINANCE LTD.
DID NOT FURNISH REQUIRED INFORMATION IN RESPONSE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF DELTA LEASING AND FINANCE LTD.
STATED FALSE REASONS IN DELIVERY INSTRUCTION SLIP (DIS) FOR TRANSACTIONS AS LOAN OF SHARES, RETURN OF LOAN, BAD DELIVERY, RECTIFICATION OF BAD DELIVERY AND GIFT VIOLATING REGULATION 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DELTA LEASING AND FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2023 TO 30-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2023 TO 30-APR-2023
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JAN-2023
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| 1836 |
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SUNITA THOMAS
(PAN:ACHPT8291M)
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INFOTECH FINANCIAL SERVICES PVT.LTD.
PAN:AAACI4871L
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INDULGED IN FRAUDULENT SCHEME WITHOUT PAYING REAL CONSIDERATION TO TRANSFERRED AND RECEIVED GDRS VIOLATING SECTIONS 12A(A) OF SEBI ACT. 1992 AND REGULATIONS 3(B) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF TELEDATA TECHNOLOGY SOLUTIONS LTD.
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IMPOSED PENALTY RS.1,00,00,000
30-JUN-2022
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SAT: SAT VIDE ITS ORDER DATED 11/08/2022 RESPONDENT FILE REPLIES IN ALL APPEALS AND REJOINDER FILE WITHIN THREE WEEKS FROM DATE OF THIS ORDER. DIRECTED AO PURSUANT TO THE IMPUGNED ORDER SHALL REMAIN STAYED DURING THE PENDENCY OF THE APPEAL.
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| 1837 |
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SUNITA THOMAS
(PAN:ACHPT8291M)
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INFOTECH FINANCIAL SERVICES PVT.LTD.
PAN:AAACI4871L
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MISUSE OF TRADING DATA OF NSE VIOLATING SECTIONS 12A (B) AND (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(C) & (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
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DIRECTED NOT TO PROVIDE ANY SERVICES TO AND/OR BE ASSOCIATED IN ANY MANNER AND IN ANY CAPACITY, DIRECTLY OR INDIRECTLY, WITH ANY STOCK EXCHANGE, CLEARING CORPORATION, DEPOSITORY, RECOGNIZED OR REGISTERED BY SEBI, AND/OR WITH ANY INTERMEDIARY REGISTERED WITH SEBI OR THEIR RELATED ENTITIES AND/OR WITH ANY COMPANY LISTED IN ANY OF STOCK EXCHANGES RECOGNIZED BY SEBI FROM 30-APR-2019 TO 29-APR-2021
30-APR-2019
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SAT: SAT VIDE ITS ORDER DATED 07/05/2019 DIRECTED RESPONDENT TO FILE REPLY WITHIN SIX WEEKS FROM DATE OF THIS ORDER. LIST APPEALS FOR ADMISSION AND FOR FINAL DISPOSAL ON 22/07/2019. OPERATION OF THE IMPUGNED ORDER STAYED TILL FURTHER ORDERS
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| 1838 |
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SUNITHA ARRAM
(PAN:AFFPA0880C)
(Along with : HASSAN ALI,
KATRAGADDA RAJESH,
L.NAGA VISWESWARA RAO,
MUNINDER RAJA ARRAM,
PRABHAKAR RAO KALLUR,
SREEDHAR KARANAM,
SUDHEER KOPPINENI)
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AIDED AND ABETTED THE SCHEME 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 BODHTREE CONSULTING LTD.
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IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
15-MAR-2022
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SEBI VIDE ITS NOTICE DATED 20/06/2022 DIRECTED TO PAY RS.10,41,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 27/07/2022 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 NOTICE DATED 03/08/2022 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 27/07/2022
SAT: SAT VIDE ITS ORDER DATED 10/08/2022 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. IN THE MEANWHILE, APPELLANTS TO DEPOSIT RS.30 LAC WITHIN THREE WEEKS FROM DATE OF THIS ORDER. IF AMOUNT IS DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 10/10/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 01/10/2024 APPELLANT SOUGHT THREE WEEKS TO FILE REJOINDER
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| 1839 |
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SUNNY BHATIA
(PAN:AJLPB7728A)
(Along with : SURBHI CHOPRA BHATIA,
MAMTA RANI,
ASHOK KUMAR)
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INDULGED IN FRONT RUNNING THE TRADES OF EASTMAN GROUP VIOLATING 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) READ WITH REGULATION 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003
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IMPOSED PENALTY RS.35,00,000 ALONG WITH OTHER ENTITIES/PERSONS
06-OCT-2025
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| 1840 |
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SUPRABHAT LALA
(PAN:ABEPL5061D)
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NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
PAN:AAACN1797L
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INDULGED IN SHARING CONFIDENTIAL DATA OF NSE IN FRAUDULENT MANNER TO MS.SUNITA THOMAS, INFOTECH FINANCIAL SERVICES PVT.LTD. (IFPL) AND MR.KRISHNA DAGLI WHEREIN IFPL WAS IN BUSINESS OF DEVELOPING ALGORITHMIC SOFTWARE AND SELLING IT TO MARKET PARTICIPANTS TO DEAL IN SECURITIES MARKET VIOLATING SECTIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(C) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF NSE CO-LOCATION AND CORPORATE GOVERNANCE
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IMPOSED PENALTY RS.1,00,00,000
30-JUN-2022
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SAT: SAT VIDE ITS ORDER DATED 11/08/2022 RESPONDENT FILE REPLIES IN ALL APPEALS AND REJOINDER FILE WITHIN THREE WEEKS FROM DATE OF THIS ORDER. DIRECTED AO PURSUANT TO THE IMPUGNED ORDER SHALL REMAIN STAYED DURING THE PENDENCY OF THE APPEAL.
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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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