| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1961 |
|
SUPRABHAT LALA
(PAN:ABEPL5061D)
|
|
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
CIN:U67120MH1992PLC069769
PAN:AAACN1797L
|
|
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
|
DIRECTED NOT HOLD ANY POSITION, EITHER DIRECTLY OR INDIRECTLY IN OR BE ASSOCIATED, DIRECTLY OR INDIRECTLY, WITH ANY STOCK EXCHANGE, CLEARING CORPORATION, DEPOSITORY, RECOGNIZED OR REGISTERED BY SEBI AND/OR IN ANY INTERMEDIARY REGISTERED WITH SEBI OR ANY OF THEIR RELATED ENTITIES FROM 30-APR-2019 TO 29-APR-2021
30-APR-2019
|
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
SEBI VIDE ITS ORDER DATED 16/01/2020 EXONERATED NOTICEE FROM THE ALLEGATIONS CHARGED VIDE ITS OREDER DATED 30/04/2019 AS VIOLATION OF REGULATION 26(2) OF SECC REGULATIONS READ WITH PART B OF SCHEDULE II OF SECC REGULATIONS AND SEBI MASTER CIRCULAR NOT ESTABLISHED
|
| 1962 |
|
|
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
|
| 1963 |
|
|
SURBHI CHOPRA BHATIA
(PAN:ASOPC0887D)
(Along with : SUNNY BHATIA,
MAMTA RANI,
ASHOK KUMAR)
|
|
|
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
|
IMPOSED PENALTY RS.35,00,000 ALONG WITH OTHER ENTITIES/PERSONS
06-OCT-2025
|
|
| 1964 |
|
|
SUREN JAIN
(PAN:AASPJ5976A)
|
|
|
|
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
|
| 1965 |
|
|
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
|
|
| 1966 |
|
|
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.
|
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 DISMISSED THE APPEAL
|
| 1967 |
|
|
SURENDRA KUMAR SOMANY
(PAN:AAGPS6467H)
|
|
|
|
SOMA TEXTILES & INDUSTRIES LTD.
PAN:AADCS0405R
|
|
INDULGED IN FACILITATING SUBSCRIPTION OF GDRS AMOUNTING TO USD 15.67 MN. BY WHITEVIEW TRADING CORP.THROUGH FINANCE OBTAINED FROM BANCO EFISA, LISBON FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY (SOMA TEXTILES & INDUSTRIES LTD.) AND PLEDGED GDR WITH BANCO BANK 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 SOMA TEXTILES & INDUSTRIES LTD.
|
IMPOSED PENALTY RS.5,00,000
30-AUG-2022
|
SAT: SAT VIDE ITS ORDER DATED 22/02/2023 DISMISSED THE APPEAL
|
| 1968 |
|
|
SURENDRA KUMAR YADAV
(PAN:AOBPY4416K)
|
|
|
|
MISHTANN FOODS LTD.
PAN:AAACH5335G
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF MISHTANN FOODS LTD.
INDULGED IN FICTITIOUS SALES AND PURCHASE TRANSACTIONS WITH MISHTANN FOODS LTD. VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 AND SECTION 27(1) OF SEBI ACT, 1992
|
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
|
|
| 1969 |
|
|
SURESH GOYAL
(PAN:AANPG7006M)
|
|
|
|
LS INDUSTRIES LTD.
CIN:L51505HP1993PLC031724
PAN:AAACL1987E
|
|
DESIGNED MANIPULATIVE SCHEME TO DEFRAUD INVESTORS 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)(B) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF LS INDUSTRIES LTD.
|
DIRECTED TO CO-OPERATE WITH SEBI IN INVESTIGATION BY FURNISHING ALL RELEVANT INFORMATION
RESTRAINED FROM BUYING, SELLING OR DEALING IN SHARES OF LS INDUSTRIES LTD. EITHER DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FROM 11-FEB-2025 UNTIL FURTHER ORDERS
11-FEB-2025
|
SEBI VIDE ITS ORDER DATED 30/05/2025 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 11/02/2025 AND DIRECTED TO COOPERATE WITH SEBI IN INVESTIGATION IN RIGHT EARNEST
SEBI VIDE ITS ORDER DATED 09/10/2026 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 11/02/2025 AND CONFIRMATORY ORDER DATED 30/05/2025
|
| 1970 |
|
|
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)
|
|
|
|
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
|
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
|
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
|
| 1971 |
|
|
SURESH KANMAL JAJOO
(PAN:AAFPJ0070J)
|
|
|
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
|
IMPOSED PENALTY RS.40,00,000
24-JUL-2026
|
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
|
| 1972 |
|
|
SURESH NARAYAN HEGDE
(PAN:AAAPH4848P)
|
|
|
|
SURESH HEGDE & CO.
|
|
CERTIFIED MIS-STATED FINANCIAL STATEMENTS IN SIPHONING OFF RS.64.43 CRORES (APPROX) FROM IPO PROCEEDS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF SUDAR INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS IN SIPHONING OFF RS.64.43 CRORES (APPROX) FROM IPO PROCEEDS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF SUDAR INDUSTRIES LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAY-2022
|
|
| 1973 |
|
|
SURESH PARMASHIVAM
(PAN:EPGPP1022C)
|
|
|
|
ASMITA PATEL GLOBAL SCHOOL OF TRADING PVT.LTD.
PAN:AASCA6577F
|
|
|
GEMINI ENTERPRISE
PAN:EPGPP1022C
|
|
|
KING TRADERS
PAN:EGGPS8029K
|
|
AIDED AND ABETTED WITH ASMITA PATEL GLOBAL SCHOOL OF TRADING PVT.LTD. VIOLATING CLAUSES (A) TO (C) OF SECTION 12A OF SEBI ACT, 1992 READ WITH SUB-REGULATIONS (A) TO (D) OF REGULATION 3, SUB-REGULATION (1) OF REGULATION 4, CLAUSES (K), (O) AND (S) OF SUB-REGULATION 2 OF REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ASMITA PATEL GLOBAL SCHOOL OF TRADING PVT.LTD.
|
DIRECTED TO DISGORGE RS.53,67,46,384 ALONG WITH OTHER ENTITIES/PERSONS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-FEB-2025 TILL FURTHER ORDERS
DIRECTED TO OPEN FIXED DEPOSIT ACCOUNTS EITHER IN ANY NOTICEE’S NAME OR JOINTLY/SEVERALLY WITH LIEN MARK IN FAVOUR OF SEBI AND MONIES KEPT THEREIN NOT TO BE RELEASED 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/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 NOT TO COLLECT ANY MONEY AND/OR FEE FROM THE INVESTORS FROM 06-FEB-2025 TILL FURTHER ORDERS
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 06-FEB-2025 TILL FURTHER ORDERS
06-FEB-2025
|
|
| 1974 |
|
|
SURESH UNAVANE
(PAN:AAXPU3881C)
|
|
|
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
|
|
| 1975 |
|
|
SURESH VENKATACHARI
(PAN:ATNPS3289H)
|
|
|
|
SECUREKLOUD TECHNOLOGIES LTD.
PAN:AABCP6266D
|
|
INDULGED IN MANIPULATION OF BOOKS OF ACCOUNTS OR FINANCIAL STATEMENTS AND SIPHONING OF FUNDS RS.3.83 CRORE VIOLATING SECTIONS 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(D), 4(1), 4(2)(F, 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATION, 2003 IN MATTER OF SECUREKLOUD TECHNOLOGIES LTD. (FORMERLY KNOWN AS 8K MILES SOFTWARE SERVICES LTD.)
DID NOT FURNISH NECESSARY INFORMATION/DOCUMENTS SOUGHT BY FORENSIC AUDITOR IN MATTER OF SECUREKLOUD TECHNOLOGIES LTD. (FORMERLY KNOWN AS 8K MILES SOFTWARE SERVICES LTD.)
INDULGED IN PREPARING AND SUBMITTING AND PUBLISHING FALSE & MANIPULATED CONSOLIDATED AND STANDALONE FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), (G), (H), (J), 4(2)(F)(I)(2), 4(2)(F)(II)(2), (6),(7), 4(2)(F)(III) (1)(3), (6) AND (12) READ WITH REGULATION 33(1)(A), (C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF SECUREKLOUD TECHNOLOGIES LTD. (FORMERLY KNOWN AS 8K MILES SOFTWARE SERVICES LTD.)
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES REGARDING FACT OF INITIATION OF FORENSIC AUDIT BY SEBI VIOLATING REGULATION 30(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SECUREKLOUD TECHNOLOGIES LTD. (FORMERLY KNOWN AS 8K MILES SOFTWARE SERVICES LTD.)
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 SECUREKLOUD TECHNOLOGIES LTD. (FORMERLY KNOWN AS 8K MILES SOFTWARE SERVICES LTD.)
|
RESTRAINED AND FURTHER PROHIBITED FROM HOLDING AND OCCUPYING ANY MANAGERIAL POST OR BEING ASSOCIATED DIRECTLY OR INDIRECTLY WITH ANY LISTED PUBLIC COMPANY AND/OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 16-DEC-2022 TO 15-DEC-2023
16-DEC-2022
|
SAT: SAT VIDE ITS ORDER DATED 19/01/2023 RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER MAY BE FILE WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 23/03/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 03/05/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 28/06/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 04/08/2023 CONDONED THE DELAY IN FILING OF APPEAL
SEBI VIDE ITS NOTICE DATED 23/04/2025 DIRECTED TO PAY RS.3,87,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 29/04/2025 STAYED RECOVERY PROCEEDINGS SUBJECT TO DEPOSIT 50% PENALTY AMOUNT WITHIN SIX WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 09/06/2025 EXTENDED TIME TO COMPLY WITH ORDER DATED 29/04/2025
SEBI VIDE ITS ORDER DATED 10/03/2026 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
SAT: SAT VIDE ITS ORDER DATED 06/03/2026 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS NOTICE DATED 21/04/2026 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,06,51,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS ORDER DATED 03/08/2026 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, IF ANY, ALONG WITH ORIGINAL TITLE DEEDS PERTAINING TO THE PROPERTIES, WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, SOUTHERN REGIONAL OFFICE, CHENNAI D) DEFAULTERS AND THE INSPECTOR GENERAL OF REGISTRATION IN THE STATE OF TAMIL NADU E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED / HELD BY THE DEFAULTER, INCLUDING THE SAID PROPERTIES, IF PRESENTED FOR REGISTRATION
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| 1976 |
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SURESH VENKATACHARI
(PAN:ATNPS3289H)
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SECUREKLOUD TECHNOLOGIES LTD.
PAN:AABCP6266D
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INDULGED IN MANIPULATION OF BOOKS OF ACCOUNTS OR FINANCIAL STATEMENTS AND SIPHONING OF FUNDS RS.3.83 CRORE VIOLATING SECTIONS 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(D), 4(1), 4(2)(F, 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATION, 2003 IN MATTER OF SECUREKLOUD TECHNOLOGIES LTD. (FORMERLY KNOWN AS 8K MILES SOFTWARE SERVICES LTD.)
DID NOT FURNISH NECESSARY INFORMATION/DOCUMENTS SOUGHT BY FORENSIC AUDITOR IN MATTER OF SECUREKLOUD TECHNOLOGIES LTD. (FORMERLY KNOWN AS 8K MILES SOFTWARE SERVICES LTD.)
INDULGED IN PREPARING AND SUBMITTING AND PUBLISHING FALSE & MANIPULATED CONSOLIDATED AND STANDALONE FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), (G), (H), (J), 4(2)(F)(I)(2), 4(2)(F)(II)(2), (6),(7), 4(2)(F)(III) (1)(3), (6) AND (12) READ WITH REGULATION 33(1)(A), (C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF SECUREKLOUD TECHNOLOGIES LTD. (FORMERLY KNOWN AS 8K MILES SOFTWARE SERVICES LTD.)
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES REGARDING FACT OF INITIATION OF FORENSIC AUDIT BY SEBI VIOLATING REGULATION 30(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SECUREKLOUD TECHNOLOGIES LTD. (FORMERLY KNOWN AS 8K MILES SOFTWARE SERVICES LTD.)
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 SECUREKLOUD TECHNOLOGIES LTD. (FORMERLY KNOWN AS 8K MILES SOFTWARE SERVICES LTD.)
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-DEC-2022 TO 15-DEC-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-DEC-2022 TO 15-DEC-2025
IMPOSED PENALTY RS.3,00,00,000
16-DEC-2022
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SAT: SAT VIDE ITS ORDER DATED 19/01/2023 RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER MAY BE FILE WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 23/03/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 03/05/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 28/06/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 04/08/2023 CONDONED THE DELAY IN FILING OF APPEAL
SEBI VIDE ITS NOTICE DATED 23/04/2025 DIRECTED TO PAY RS.3,87,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 29/04/2025 STAYED RECOVERY PROCEEDINGS SUBJECT TO DEPOSIT 50% PENALTY AMOUNT WITHIN SIX WEEKS FROM DATE OF THIS ORDER
SAT VIDE ITS ORDER DATED 09/06/2025 EXTENDED TIME TO COMPLY WITH ORDER DATED 29/04/2025
SAT: SAT VIDE ITS ORDER DATED 06/03/2026 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS ORDER DATED 10/03/2026 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
SEBI VIDE ITS NOTICE DATED 21/04/2026 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,06,51,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS ORDER DATED 15/10/2026 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTER AND CHARGES, IF ANY, ALONG WITH ORIGINAL TITLE DEEDS PERTAINING TO IMMOVABLE PROPERTIES, WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, SOUTHERN REGIONAL OFFICE, CHENNAI D) DEFAULTERS AND THE INSPECTOR GENERAL OF REGISTRATION IN THE STATE OF TAMIL NADU AND CONCERNED DISTRICT REGISTRARS AND SUB-REGISTRARS OF THE RESPECTIVE AREAS WHERE THE PROPERTIES ARE LOCATED E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED / HELD BY THE DEFAULTER, INCLUDING THE SAID PROPERTIES, IF PRESENTED FOR REGISTRATION
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| 1977 |
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SURESH VENKATACHARI
(PAN:ATNPS3289H)
(Along with : R.S.RAMANI)
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PREPARED AND SUBMITTED TO THE STOCK EXCHANGES AND PUBLISHED FALSE AND MANIPULATED CONSOLIDATED AND STANDALONE FINANCIAL RESULT VIOLATING 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 SECUREKLOUD TECHNOLOGIES LTD. (FORMERLY KNOWN AS 8K MILES SOFTWARE SERVICES LTD.)
INDULGED IN PREPARING AND SUBMITTING AND PUBLISHING FALSE & MANIPULATED CONSOLIDATED AND STANDALONE FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), (G), (H), (J), 4(2)(F)(I)(2), 4(2)(F)(II)(2), (6),(7), 4(2)(F)(III) (1)(3), (6) AND (12) READ WITH REGULATION 33(1)(A), (C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF SECUREKLOUD TECHNOLOGIES LTD. (FORMERLY KNOWN AS 8K MILES SOFTWARE SERVICES LTD.)
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES REGARDING FACT OF INITIATION OF FORENSIC AUDIT BY SEBI VIOLATING REGULATION 30(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SECUREKLOUD TECHNOLOGIES LTD. (FORMERLY KNOWN AS 8K MILES SOFTWARE SERVICES LTD.)
DID NOT MAKE CORRECT DISCLOSURE IN QUARTERLY FINANCIAL STATEMENTS VIOLATING REGULATION 4(1)(C) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SECUREKLOUD TECHNOLOGIES LTD. (FORMERLY KNOWN AS 8K MILES SOFTWARE SERVICES LTD.)
DID NOT DISCLOSE INCORPORATION OF FOREIGN SUBSIDIARIES VIOLATING REGULATION 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SECUREKLOUD TECHNOLOGIES LTD. (FORMERLY KNOWN AS 8K MILES SOFTWARE SERVICES LTD.)
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 SECUREKLOUD TECHNOLOGIES LTD. (FORMERLY KNOWN AS 8K MILES SOFTWARE SERVICES LTD.)
SUBMITTED FALSE INFORMATION TO SEBI VIOLATING SECTION 11(2)(IA) OF SEBI ACT, 1992 IN MATTER OF SECUREKLOUD TECHNOLOGIES LTD. (FORMERLY KNOWN AS 8K MILES SOFTWARE SERVICES LTD.)
MADE FALSE STATEMENTS TO SEBI VIOLATING SECTIONS 11C(3) AND 11C(5) OF SEBI ACT, 1992 IN MATTER OF SECUREKLOUD TECHNOLOGIES LTD. (FORMERLY KNOWN AS 8K MILES SOFTWARE SERVICES 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 31-JUL-2026 TO 30-JUL-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 31-JUL-2026 TO 30-JUL-2028
04-AUG-2022
IMPOSED PENALTY RS.10,00,000
31-JUL-2026
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SAT: SAT VIDE ITS ORDER DATED 07/09/2022 DIRECTED (A) RESPONDENTS TO PROVIDE INSPECTION OF DOCUMENTS WITHIN A WEEK FROM DATE OF THIS ORDER AND APPELLANTS TO FILE REPLY TO SHOW CAUSE NOTICE WITHIN THREE WEEKS THEREAFTER (B) RESPONDENT TO FIXED A DATE FOR HEARING WITHIN TWO WEEKS THEREAFTER AND WILL PASS APPROPRIATE ORDER WITHIN TWO MONTHS FROM DATE OF CONCLUSION OF HEARING (C) ALLOWED APPELLANT TO ENTER SECURITIES MARKET FOR LIMITED PURPOSE OF CONVERTING WARRANTS INTO SHARES SUBJECT TO THE CONDITION THAT THE SHARES NOT BE SOLD BY HIM DURING PENDENCY OF PROCEEDINGS BEFORE THE WTM AND (D) ALLOWED APPELLANT TO CONTINUE AS CHIEF EXECUTIVE OFFICER OF THE COMPANY
SEBI VIDE ITS ORDER DATED 31/07/2026 DIRECTED TO A) PROHIBITED AND RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBIT 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, FOR TWO YEARS B) IMPOSED PENALTY OF RS.10 LAC U/S 15HA OF SEBI ACT.
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| 1978 |
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SURINDER KAUR KALRA
(PAN:AFMPK2461E)
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FIVE CORE ELECTRONICS LTD.
CIN:U32109DL2002PLC148250
PAN:AAACF6709Q
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MISUTILIZED AND MIS-APPROPRIATED IPO PROCEEDS OF RS.46.66 CRORES VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 READ WITH REGULATION 3(D) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF FIVE CORE ELECTRONICES 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 31-MAY-2023 TO 30-MAY-2028
DIRECTED TO EXTEND NECESSARY CO–OPERATION TO INDEPENDENT AUDITOR/AUDIT FIRMS APPOINTED AND FURNISH ALL INFORMATION/DOCUMENTS
RESTRAINED FROM ASSOCIATING WITH ANY INTERMEDIARY REGISTERED WITH SEBI OR ANY LISTED ENTITY OR ITS MATERIAL UNLISTED SUBSIDIARY FROM 31-MAY-2023 TO 30-MAY-2028
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM INVESTORS
DIRECTED NSE TO APPOINT INDEPENDENT AUDITOR/AUDIT FIRM TO CONDUCT DETAILED FORENSIC AUDIT OF BOOKS OF ACCOUNTS OF COMPANY TO CONFIRM MIS-UTILIZATION OF IPO PROCEEDS
23-JUL-2020
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SEBI VIDE ITS ORDER DATED 08/07/2021 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 23/07/2020
SEBI VIDE ITS ORDER DATED 31/05/2023 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
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| 1979 |
|
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SURINDER KUMAR BHOAN
(PAN:AAKPB0324N)
|
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INDULGED IN ISSUANCE OF GDRS FRAUDULENTLY AND EXECUTED PLEDGE AGREEMENT ON BEHALF OF NAKODA LTD. 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 GDR ISSUE OF NAKODA LTD.
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IMPOSED PENALTY RS.5,00,000
29-SEP-2022
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SAT: SAT VIDE ITS ORDER DATED 09/01/2023 DISMISSED THE APPEAL AS WITHDRAWN
|
| 1980 |
|
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SURINDER KUMAR BHOAN
(PAN:AAKPB0324N)
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NAKODA LTD.
PAN:AAACN7282L
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INDULGED IN ISSUANCE OF GDRS FRAUDULENTLY AND EXECUTED PLEDGE AGREEMENT ON BEHALF OF NAKODA LTD. 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 GDR ISSUE OF NAKODA LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-OCT-2021 TO 13-OCT-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-OCT-2021 TO 13-OCT-2024
RESTRAINED AND FURTHER PROHIBITED FROM HOLDING AND OCCUPYING ANY MANAGERIAL POST OR BEING ASSOCIATED DIRECTLY OR INDIRECTLY WITH ANY LISTED PUBLIC COMPANY AND/OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 14-OCT-2021 TO 13-OCT-2024
14-OCT-2021
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SAT: SAT VIDE ITS ORDER DATED 05/08/2022 GRANTED APPELLANTS TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 01/09/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 14/10/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 01/12/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 09/01/2023 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND REJOINDER TO BE FILED TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 15/02/2023 ALLOWED APPELLANT TWO WEEKS TO SUBMIT REJOINDER
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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 99 of 109
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