| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AJAY SHEKHAR SHARMA
(PAN:BBJPS0729P)
|
|
|
|
ONE 97 COMMUNICATIONS LTD.
PAN:AAACO4007A
|
|
ALLEGED VIOLATION OF REGULATION REGULATION 2(1)(I)(III) OF SEBI (SBEB) REGULATIONS, 2021 IN MATTER OF EMPLOYEES STOCK OPTIONS (ESOPS) OF ONE97 COMMUNICATIONS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.57,11,425, DISGORGEMENT AMOUNT RS.35,86,452 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED TO CANCEL 2,22,862 ESOPS GRANTED/VESTED UPON BUT NOT EXERCISED)
REACHED SETTLEMENT (DIRECTED TO DISGORGE) (SETTLEMENT CHARGES RS.57,11,425, DISGORGEMENT AMOUNT RS.35,86,452 VIDE CONSENT ORDER)
08-MAY-2025
|
|
| 2 |
|
|
AJAYKUMAR RAMAKANT SHARMA
(PAN:AZJPS8694Q)
|
|
|
ALLEGED AIDING AND ABETTING MR.NIRMAL KUMAR SONI TO EXECUTE TRADES IN HIS ACCOUNT AND IN THE ACCOUNTS OF SAAR COMMODITIES PVT.LTD., MANAN SHARECOM PVT.LTD. AND KANHYA TRADING CO.
|
REACHED SETTLEMENT (DIRECTED TO DISGORGE) (SETTLEMENT CHARGES RS.7,41,29,648 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-JAN-2025
|
|
| 3 |
|
|
ASHISH KELKAR
(PAN:ACAPK0708P)
|
|
|
ALLEGED PROVIDING NON-PUBLIC INFORMATION TO CERTAIN ENTITIES (PROFIT MAKERS) PRIOR TO BROADCASTING OF THEIR RECOMMENDATIONS
|
REACHED SETTLEMENT (DIRECTED TO DISGORGE) (SETTLEMENT CHARGES RS.7,41,29,648 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-JAN-2025
|
|
| 4 |
|
|
ATISH SHAH
(PAN:AAKHV6605C)
(Along with : BHAVIN PANKAJ DOSHI,
NITESH KUMAR JAIN)
|
|
|
|
MAXGROW FINTRADE PVT.LTD.
PAN:AAJCM8974D
|
|
ALLEGED ACTED AS AN INFORMATION CARRIER VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) READ WITH 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ADITYA BIRLA MUTUAL FUND
|
REACHED SETTLEMENT (DIRECTED TO DISGORGE) (DISGORGEMENT AMOUNT RS.85,11,774 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
26-APR-2024
|
|
| 5 |
|
|
BENAIFER JIJINA
(PAN:AADPJ5472G)
(Along with : KHUSHRU BURJOR JIJINA)
|
|
|
|
GREATDEAL FINCONSULT ADVISORS LLP
PAN:AAJFG7532J
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) READ WITH SECTION 27 OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PIRAMAL ENTERPRISES LTD.
|
REACHED SETTLEMENT (DIRECTED TO DISGORGE) (DISGORGEMENT AMOUNT RS.15,32,95,440, INTEREST RS.9,41,94,798 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
25-JUL-2024
|
|
| 6 |
|
|
BHAVIN PANKAJ DOSHI
(PAN:AFQPD4025D)
(Along with : NITESH KUMAR JAIN,
ATISH SHAH)
|
|
|
|
MAXGROW FINTRADE PVT.LTD.
PAN:AAJCM8974D
|
|
ALLEGED INDULGENCE IN FRONT RUNNING ACTIVITIES 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) READ WITH 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ADITYA BIRLA MUTUAL FUND
|
REACHED SETTLEMENT (DIRECTED TO DISGORGE) (DISGORGEMENT AMOUNT RS.85,11,774 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
26-APR-2024
|
|
| 7 |
|
|
KHUSHRU BURJOR JIJINA
(PAN:AADPJ5821D)
(Along with : BENAIFER JIJINA)
|
|
|
|
GREATDEAL FINCONSULT ADVISORS LLP
PAN:AAJFG7532J
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION AND COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) READ WITH SECTION 27 OF SEBI ACT, 1992 AND REGULATIONS 3(1) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PIRAMAL ENTERPRISES LTD.
|
REACHED SETTLEMENT (DIRECTED TO DISGORGE) (DISGORGEMENT AMOUNT RS.15,32,95,440, INTEREST RS.9,41,94,798 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
25-JUL-2024
|
|
| 8 |
|
|
KIRAN JADHAV
(PAN:ACBPJ4456A)
|
|
|
ALLEGED PROVIDING NON-PUBLIC INFORMATION TO CERTAIN ENTITIES (PROFIT MAKERS) PRIOR TO BROADCASTING OF THEIR RECOMMENDATIONS
|
REACHED SETTLEMENT (DIRECTED TO DISGORGE) (SETTLEMENT CHARGES RS.7,41,29,648 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-JAN-2025
|
|
| 9 |
|
|
MUDIT GOYAL
(PAN:AMLPG9294K)
|
|
|
ALLEGED PROVIDING NON-PUBLIC INFORMATION TO CERTAIN ENTITIES (PROFIT MAKERS) PRIOR TO BROADCASTING OF THEIR RECOMMENDATIONS
|
REACHED SETTLEMENT (DIRECTED TO DISGORGE) (SETTLEMENT CHARGES RS.7,41,29,648 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-JAN-2025
|
|
| 10 |
|
|
NIRMAL KUMAR SONI
(PAN:BCHPS4866G)
|
|
|
ALLEGEDLY INDULGENCE IN EXECUTION OF TRADES BASED ON ADVANCE INFORMATION OF STOCK RECOMMENDATIONS GIVEN BY GUEST EXPERTS
|
REACHED SETTLEMENT (DIRECTED TO DISGORGE) (SETTLEMENT CHARGES RS.7,41,29,648 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-JAN-2025
|
|
| 11 |
|
|
NITESH KUMAR JAIN
(PAN:AFOPJ2850C)
(Along with : BHAVIN PANKAJ DOSHI,
ATISH SHAH)
|
|
|
|
MAXGROW FINTRADE PVT.LTD.
PAN:AAJCM8974D
|
|
ALLEGED ACTED AS A TIPPER VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) READ WITH 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ADITYA BIRLA MUTUAL FUND
|
REACHED SETTLEMENT (DIRECTED TO DISGORGE) (DISGORGEMENT AMOUNT RS.85,11,774 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
26-APR-2024
|
|
| 12 |
|
|
NITIN CHHALANI
(PAN:CDLPC3829F)
|
|
|
ALLEGED AIDING AND ABETTING MR.NIRMAL KUMAR SONI TO EXECUTE TRADES IN HIS ACCOUNT AND IN THE ACCOUNTS OF SAAR COMMODITIES PVT.LTD., MANAN SHARECOM PVT.LTD. AND KANHYA TRADING CO.
|
REACHED SETTLEMENT (DIRECTED TO DISGORGE) (SETTLEMENT CHARGES RS.7,41,29,648 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-JAN-2025
|
|
| 13 |
|
|
RAMAWATAR LALCHAND CHOTIA
(PAN:ADIPC7123K)
|
|
|
ALLEGED AIDING AND ABETTING MR.NIRMAL KUMAR SONI TO EXECUTE TRADES IN HIS ACCOUNT AND IN THE ACCOUNTS OF SAAR COMMODITIES PVT.LTD., MANAN SHARECOM PVT.LTD. AND KANHYA TRADING CO.
|
REACHED SETTLEMENT (DIRECTED TO DISGORGE) (SETTLEMENT CHARGES RS.7,41,29,648 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-JAN-2025
|
|
| 14 |
|
|
RUPESH KUMAR MATOLIYA
(PAN:AFRPM8024J)
|
|
|
ALLEGED AIDING AND ABETTING MR.NIRMAL KUMAR SONI TO EXECUTE TRADES IN HIS ACCOUNT AND IN THE ACCOUNTS OF SAAR COMMODITIES PVT.LTD., MANAN SHARECOM PVT.LTD. AND KANHYA TRADING CO.
|
REACHED SETTLEMENT (DIRECTED TO DISGORGE) (SETTLEMENT CHARGES RS.7,41,29,648 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-JAN-2025
|
|
| 15 |
|
|
SIMI BHAUMIK
(PAN:AHPPB7419L)
|
|
|
ALLEGED PROVIDING NON-PUBLIC INFORMATION TO CERTAIN ENTITIES (PROFIT MAKERS) PRIOR TO BROADCASTING OF THEIR RECOMMENDATIONS
|
REACHED SETTLEMENT (DIRECTED TO DISGORGE) (SETTLEMENT CHARGES RS.7,41,29,648 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-JAN-2025
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
