| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1861 |
|
SUNITA HARISH TOSHNIWAL
(PAN:AANPT7118D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF MISHKA FINANCE & TRADING 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 02-DEC-2020 TO 01-DEC-2023
02-DEC-2020
|
SAT: SAT VIDE ITS ORDER DATED 06/05/2021 DIRECTED RESPONDENT TO THE APPLICATION FOR CONDONATION OF DELAY AS WELL AS TO MEMO OF APPEAL WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER ONE WEEK THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 14/06/2021 IN THE MEANWHILE, REJOINDER AFFIDAVITS FILED BY THE APPELLANTS IN THE APPEALS WHERE REJOINDERS HAVE NOT BEEN FILED
SAT: SAT VIDE ITS ORDER DATED 13/07/2021 DIRECTED APPELLANT TO FILE REJOINDER WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 12/11/2021 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 08/03/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 12/04/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 13/05/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 14/02/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDERS DATED 02/12/2020 AND 29/07/2022.NO COSTS
|
| 1862 |
|
|
SUNITADEVI NIRANJAN AGARWAL
(PAN:ADRPS3295H)
|
|
|
|
KALAHRIDHAAN TRENDZ LTD.
PAN:AAGCK1765P
|
|
DID NOT MAKE DISCLOSURE OF DEFAULT ON OUTSTANDING DUES TO STOCK EXCHANGES
MADE FALSE AND MISLEADING CORPORATE ANNOUNCEMENTS TO STOCK EXCHANGES REGARDING EXPANSION/PROFITABILITY AND RECEIPT OF LARGE BUY ORDER FROM A FICTITIOUS ENTITY FROM BANGLADESH
|
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-JUL-2026 TO 29-JUL-2027
10-FEB-2025
IMPOSED PENALTY RS.10,00,000
30-JUL-2026
|
SEBI VIDE ITS ORDER DATED 30/07/2026 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 ONE YEAR FROM DATE OF ORDER B) IMPOSED PENALTY OF RS.10 LAC U/S 15HB OF SEBI ACT.
SEBI VIDE ITS NOTICE DATED 30/10/2026 DIRECTED TO PAY RS.10,41,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 1863 |
|
|
SUNNY BHATIA
(PAN:AJLPB7728A)
|
|
|
INDULGED IN FRONT RUNNING THE TRADES OF BIG CLIENTS VIOLATING SECTIONS 12A(A) TO 12A(C) 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 SARVOTTAM SECURITIES PVT.LTD.
|
DIRECTED TO DISGORGE RS.2,64,79,000
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
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 24-MAR-2026 TO 23-MAR-2028
IMPOSED PENALTY RS.8,00,000
24-MAR-2026
|
SAT: SAT VIDE ITS ORDER DATED 15/06/2026 ALLOWED RESPONDENT SIX WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. STAYED THE RECOVERY SUBJECT TO DEPOSIT 50% PENALTY AND DISGORGEMENT AMOUNT WITHIN FOUR WEEKS
|
| 1864 |
|
|
SUPRABHAT LAHA
(PAN:APXPL1814M)
(Along with : HANIF KASAMBHAI SHEKH,
HASINA KASAMBHAI SHEKH)
|
|
|
|
ECONO BROKING PVT.LTD.
PAN:AADCB8817A
|
|
|
ECONO TRADE (INDIA) LTD.
PAN:AAACE5451C
|
|
|
ROBERT RESOURCES LTD.
PAN:AAACR2073D
|
|
|
SAI METALTECH LLP
PAN:ADXFS9004L
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF VISHAL FABRICS 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 19-JUN-2023 TO 18-JUN-2027
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
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
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 ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
21-JUN-2023
DIRECTED TO DISGORGE RS.22,780 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
30-JUN-2026
|
SEBI VIDE ITS ORDER DATED 30/06/2026 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH THE SECURITIES MARKET IN ANY MANNER, FOR A PERIOD OF FOUR YEARS FROM DATE OF INTERIM ORDER B) JOINTLY AND SEVERALLY, DISGORGE THE UNLAWFUL GAINS OF RS.22,780.00 ALONGWITH SIMPLE INTEREST @12% P.A. FROM 21/10/2020 TILL DATE OF PAYMENT OF DISGORGED AND AMOUNT TO BE REMITTED TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF) WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER
|
| 1865 |
|
|
SUPRABHAT LAHA
(PAN:APXPL1814M)
(Along with : HANIF KASAMBHAI SHEKH,
HASINA KASAMBHAI SHEKH)
|
|
|
|
ECONO BROKING PVT.LTD.
PAN:AADCB8817A
|
|
|
ECONO TRADE (INDIA) LTD.
PAN:AAACE5451C
|
|
|
ROBERT RESOURCES LTD.
PAN:AAACR2073D
|
|
|
SAI METALTECH LLP
PAN:ADXFS9004L
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF 7NR RETAIL 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 19-JUN-2023 TO 18-JUN-2027
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
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
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 ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
21-JUN-2023
DIRECTED TO DISGORGE RS.8,31,508 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
30-JUN-2026
|
SEBI VIDE ITS ORDER DATED 30/06/2026 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH THE SECURITIES MARKET IN ANY MANNER, FOR A PERIOD OF FOUR YEARS FROM DATE OF INTERIM ORDER B) JOINTLY AND SEVERALLY, DISGORGE THE UNLAWFUL GAINS OF RS.8,31,508.00 ALONGWITH SIMPLE INTEREST @12% P.A. FROM 21/10/2020 TILL DATE OF PAYMENT OF DISGORGED AND AMOUNT TO BE REMITTED TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF) WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER
|
| 1866 |
|
|
SUPRABHAT LAHA
(PAN:APXPL1814M)
(Along with : HANIF KASAMBHAI SHEKH,
HASINA KASAMBHAI SHEKH)
|
|
|
|
ECONO BROKING PVT.LTD.
PAN:AADCB8817A
|
|
|
ECONO TRADE (INDIA) LTD.
PAN:AAACE5451C
|
|
|
ROBERT RESOURCES LTD.
PAN:AAACR2073D
|
|
|
SAI METALTECH LLP
PAN:ADXFS9004L
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF MAURIA UDYOG 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 19-JUN-2023 TO 18-JUN-2027
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
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
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 ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
21-JUN-2023
DIRECTED TO DISGORGE RS.16,11,393 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
30-JUN-2026
|
SEBI VIDE ITS ORDER DATED 30/06/2026 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH THE SECURITIES MARKET IN ANY MANNER, FOR A PERIOD OF FOUR YEARS FROM DATE OF INTERIM ORDER B) JOINTLY AND SEVERALLY, DISGORGE THE UNLAWFUL GAINS OF RS.16,11,393.00 ALONGWITH SIMPLE INTEREST @12% P.A. FROM 21/10/2020 TILL DATE OF PAYMENT OF DISGORGED AND AMOUNT TO BE REMITTED TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF) WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER
|
| 1867 |
|
|
SURAJ GOVINDBHAI PRAJAPATI
(PAN:ALYPP7089F)
(Along with : PRIJESH ARUNKUMAR KURANI,
ASHISH PANALAL SHAH,
PRIYANKBHAI VITTHALBHAI PRAJAPATI,
JIGAR D.CHAUDHARI,
PIYUSH B.PATEL,
NISHIL KANTILAL MALDE)
|
|
|
AIDED AND ABETTED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SVARNIM TRADE UDYOG LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SVARNIM TRADE UDYOG 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 31-MAY-2024 TO 30-MAY-2029
DIRECTED TO OPEN ESCROW ACCOUNT WITH A NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT TO BE PROCEEDS GENERATED FROM FRONT RUNNING TRADES WITHOUT PERMISSION FROM SEBI
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 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 NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
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.51,95,607 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
31-JAN-2023
|
SAT: SAT VIDE ITS ORDER DATED 04/05/2023 DISPOSED OF THE APPEAL DIRECTING THAT IF THE APPELLANTS DEPOSIT UNLAWFUL GAIN AS DEPICTED IN TABLE NO.21 OF IMPUGNED ORDER, DEMAT AND BANK ACCOUNTS SHALL BE DEFREEZED WITHIN FORTY EIGHT HOURS UPON THE DEPOSIT
SEBI VIDE ITS ORDER DATED 06/12/2023 DISPOSED OF THE REQUESTS MADE BY EMAILS DATED 18/10/2023 AND 31/10/2023 AND ADDITIONAL SUBMISSIONS DATED 27/11/2023 WITH THE DIRECTION THAT DEMAT ACCOUNTS/TRADING ACCOUNTS BE DE-FREEZED
SEBI VIDE ITS ORDER DATED 31/05/2024 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 FIVE YEARS FROM DATE OF THIS ORDER B) DISGORGE RS.51,95,607.40 ALONG WITH SIMPLE INTEREST @ 12% P.A. CALCULATED FROM THE 2ND RECOMMENDATION DAY TILL DATE OF ACTUAL PAYMENT /IMPOUNDING C)AMOUNT TO BE REMITTED TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF) WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 25/03/2026 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS, MUTUAL FUNDS FOLIOS AND/OR POST OFFICE ACCOUNT EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
|
| 1868 |
|
|
SURBHI CHOPRA BHATIA
(PAN:ASOPC0887D)
|
|
|
INDULGED IN FRONT RUNNING THE TRADES OF BIG CLIENTS VIOLATING SECTIONS 12A(A) TO 12A(C) 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 SARVOTTAM SECURITIES PVT.LTD.
AIDED AND ABETTED MR.SUNNY BHATIA IN FRONT RUNNING THE TRADES OF BIG CLIENTS VIOLATING SECTIONS 12A(A) TO 12A(C) 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 SARVOTTAM SECURITIES PVT.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 24-MAR-2026 TO 23-MAR-2028
IMPOSED PENALTY RS.5,00,000
24-MAR-2026
|
SAT: SAT VIDE ITS ORDER DATED 15/06/2026 ALLOWED RESPONDENT SIX WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. STAYED THE RECOVERY SUBJECT TO DEPOSIT 50% PENALTY AND DISGORGEMENT AMOUNT WITHIN FOUR WEEKS
|
| 1869 |
|
|
SURENDERKAUR PARAMJEET PANESAR
(PAN:AGWPP3751B)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUNRISE ASIAN 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 06-SEP-2021 TO 05-MAR-2022
06-SEP-2021
|
SAT: SAT VIDE ITS ORDER DATED 24/11/2021 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 24/01/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 14/02/2023 ALLOWED APPELLANT FURTHER TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 04/05/2023 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 18/05/2023 DISPOSED OF THE APPEAL AND DIRECTED A) APPELLANTS TO DEPOSIT RS.2 LAC EACH B) IF AMOUNT DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED C) DEBARMENT PERIOD REDUCED TO PERIOD UNDERWENT BY APPELLANTS D) IMPUGNED ORDERS OF THE AO AND WTM NOT TO BE UTILIZED EITHER OF THE PARTIES IN THE CRIMINAL PROCEEDINGS PENDING BEFORE THE SESSIONS JUDGE
|
| 1870 |
|
|
SURENDRA KUMAR AGARWAL
(PAN:AEXPA7231G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF SULABH ENGINEERS & SERVICES 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 03-SEP-2020 TO 02-SEP-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 13/07/2021 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS AND REJOINDER MAY BE FILED WITHIN TWO WEEKS THEREAFTER
|
| 1871 |
|
|
SURENDRA KUMAR GUPTA
(PAN:AAQPG0240E)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF SULABH ENGINEERS & SERVICES 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 03-SEP-2020 TO 02-SEP-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 13/07/2021 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS AND REJOINDER MAY BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 29/04/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 03/09/2020. MATTER REMITTED TO WTM TO RE-DECIDE
SEBI VIDE ITS ORDER DATED 27/01/2023 DISPOSED OFF THE SCN DATED 31/07/2017
SAT: SAT VIDE ITS ORDER DATED 05/09/2023 ALLOWED THE APPEAL
|
| 1872 |
|
|
SURENDRA KUMAR GUPTA
(PAN:AAQPG0240E)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF NIKKI GLOBAL FINANCE 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 26-FEB-2021 TO 25-MAY-2021
26-FEB-2021
|
SAT: SAT VIDE ITS ORDER DATED 19/05/2021 DISPOSED OFF THE URGENCY APPLICATIONS BY DIRECTING RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER. FURTHER, APPLICATION REJECTED FOR STAY
SAT: SAT VIDE ITS ORDER DATED 07/02/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 26/02/2021
|
| 1873 |
|
|
SURENDRA KUMAR JAIN
(PAN:AAHPJ8940K)
|
|
|
|
DHENU BUILDCON INFRA LTD.
PAN:AAACT1951G
|
|
|
GOLKONDA ALUMINIUM EXTRUSIONS LTD.
PAN:AABCP7715M
|
|
|
SHANTA AGENCIES PVT.LTD.
PAN:AAACS9662D
|
|
|
SHRI NIWAS LEASING & FINANCE LTD.
PAN:AAACS2978Q
|
|
|
TIAAN CONSUMER LTD.
CIN:L85100GJ1992PLC017397
PAN:AAACR7447K
|
|
|
TWINKLE MERCANTILE & CREDITS PVT.LTD.
PAN:AAACT3839P
|
|
|
UTSAV SECURITIES PVT.LTD.
PAN:AAACU1214B
|
|
INDULGED IN MANIPULATION OF BOOKS OF ACCOUNTS AND FINANCIAL STATEMENTS
VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D),4(1), 4(2)(A) AND 4(2)(F) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DHENU BUILDCON INFRA 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 19-AUG-2026 UNTIL FURTHER ORDERS
19-AUG-2026
|
|
| 1874 |
|
|
SURENDRA KUMAR SOMANY
(PAN:AAGPS6467H)
|
|
|
|
SOMA TEXTILES & INDUSTRIES LTD.
PAN:AADCS0405R
|
|
PARTICIPATED IN THE BOARD MEETING OF SOMA WHERE APPROVALS WERE MADE AMONG OTHERS, AUTHORIZING BANCO TO USE GDR PROCEEDS AS SECURITY IN CONNECTION WITH THE LOAN AND THE SAME WAS ACTED UPON BY SOMA 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.
AUTHORISED OPENING OF BANK ACCOUNT WITH BANCO FOR THE PURPOSES OF RECEIVING SUBSCRIPTION MONEY IN RESPECT OF GDR ISSUE AND ALSO AUTHORIZED BANK TO USE THE FUNDS DEPOSITED AS SECURITY IN CONNECTION WITH THE LOANS 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.
AUTHORIZED MR.SUNIL PATEL TO SIGN, EXECUTE, ANY APPLICATION, AGREEMENT, ESCROW AGREEMENT, DOCUMENT, UNDERTAKING, CONFIRMATION, DECLARATION ETC REQUIRED BY BANK IN MATTER OF ISSUANCE 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.
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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 08-FEB-2021 TO 07-FEB-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
08-FEB-2021
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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 DISMISSED THE APPEAL
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| 1875 |
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SURENDRA KUMAR TIWARI
(PAN:ACVPT4865H)
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF MAA JAGDAMBE TRADELINKS LTD.
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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 29-JUL-2020 TO 28-JUL-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
29-JUL-2020
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SAT: SAT VIDE ITS ORDER DATED 19/11/2020 ALLOWED THE APPEAL AND CONDONED THE DELAY IN FILING OF APPEAL. ALLOWED TWO WEEKS TIME TO RESPONDENT TO FILE REPLY AND APPELLANT TO FILE REJOINDER TEN DAYS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 15/07/2021 RESERVES THE ORDER. WRITTEN SUBMISSIONS, IF ANY, MAY BE FILED WITHIN THREE DAYS
SAT: SAT VIDE ITS ORDER DATED 24/08/2021 DISMISSED THE APPEAL
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| 1876 |
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SURESH BOMMAYYA AMIN
(PAN:ADGPA3896H)
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G.V.FILMS LTD.
CIN:L92490MH1989PLC238780
PAN:AAACG2118C
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ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF G.V.FILMS LTD.
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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 26-AUG-2022 TO 06-JAN-2023
IMPOSED PENALTY RS.1,00,000
26-AUG-2022
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SAT: SAT VIDE ITS ORDER DATED 06/01/2023 CONDONED THE DELAY IN FILING OF APPEAL AND REDUCED DEBARMENT PERIOD FROM ONE YEAR TO PERIOD UNDERGONE AND REDUCED PENALTY AMOUNT TO RS.1 LAC FROM RS.4 LAC
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| 1877 |
|
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SURESH DESHALJIBHAI VAGHELA
(PAN:AATPV7474Q)
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF MAURIA UDYOG LTD.
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IMPOSED PENALTY RS.5,00,000
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-JUN-2026 TO 29-JUN-2030
30-JUN-2026
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SAT: SAT VIDE ITS ORDER DATED 11/09/2026 ALLOWED RESPONDENT SIX WEEK TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED IMPUGNED ORDER
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| 1878 |
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SURESH JAIRAM SHARMA
(PAN:ANFPS2503J)
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S.S.FORGINGS & ENGINEERING LTD.
CIN:L27106MH1994PLC108685
PAN:AABCS2068J
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TWINSTAR FINVEST PVT.LTD.
PAN:AABCT1168Q
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF VERTEX SPINNING LTD.
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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 29-JAN-2021 TO 28-JAN-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
29-JAN-2021
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|
| 1879 |
|
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SURESH JAIRAM SHARMA
(PAN:ANFPS2503J)
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VERTEX SPINNING LTD.
CIN:L28900MH1994PLC108684
PAN:AABCV5617N
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF VERTEX SPINNING LTD.
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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 29-JAN-2021 TO 28-JUL-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
29-JAN-2021
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|
| 1880 |
|
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SURESH KANMAL JAJOO
(PAN:AAFPJ0070J)
(Along with : VIRESH GANGARAM JOSHI,
SUMIT DESAI,
PRIJESH ARUNKUMAR KURANI,
VAIBHAV S.PANDYA,
VIMLA S.JAJOO,
ANKIT JAJOO,
SHEEPRA SUMEET KABRA)
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VISA CAPITAL PARTNERS
PAN:AAGFV6839A
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INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF AXIS MUTUAL FUND
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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 24-JUL-2026 TO 23-JUL-2029
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
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
28-FEB-2023
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SAT: SAT VIDE ITS ORDER DATED 27/03/2026 PARTLY ALLOWED THE APPEAL AND TIME EXTENDED FOR THREE MONTHS FROM DATE OF THIS ORDER TO PASS FINAL ORDER
SEBI VIDE ITS ORDER DATED 24/07/2026 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 THREE YEARS FROM DATE OF INTERIM ORDER I.E.28/02/2023 B) MONEY IMPOUNDED IN COMPLIANCE WITH DIRECTIONS OF INTERIM ORDER CUM SCN DATED 28/02/2023, WHICH HAS BEEN ALREADY PAID AND/OR REALIZED TO BE TREATED AS DISGORGEMENT AMOUNT AND SAME TO TRANSFERRED TO IPEF WITH SIMPLE INTEREST @12% P.A. FROM THE END OF INVESTIGATION PERIOD UNTIL DEPOSIT OF UNLAWFUL GAINS PURSUANT TO INTERIM ORDER CUM SCN AND AMOUNT TO BE REMITTED TO IPEF
SAT: SAT VIDE ITS ORDER DATED 28/09/2026 STAYED RECOVERY SUBJECT TO DEPOSIT OF 50% PENALTY WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
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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 94 of 104
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