| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A ONE FURNITURE
(PAN:AIJPD7329J)
|
|
|
|
MADHUKAR DUBEY
PAN:AIJPD7329J
|
|
MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSPECTUS VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF ECO FRIENDLY FOOD PROCESSING PARK LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-JUL-2022
|
SAT: SAT VIDE ITS ORDER DATED 23/03/2023 ALLOWED RESPONDENT FURTHER TWO WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 17/09/2024 DIRECTED TO PAY RS.7,63,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 16/07/2025 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS NOTICE DATED 10/09/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.8,35,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 2 |
|
|
A ONE FURNITURE
(PAN:AIJPD7329J)
|
|
|
|
MADHUKAR DUBEY
PAN:AIJPD7329J
|
|
INDULGED IN DIVERSION OF IPO PROCEEDS VIOLATING SECTIONS 12(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 ESTEEM BIO FOOD PROCESSING LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-APR-2022
|
SEBI VIDE ITS NOTICE DATED 16/08/2023 DIRECTED TO PAY RS.5,85,000.00 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 12/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.5,96,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 3 |
|
|
A ONE FURNITURE
(PAN:AIJPD7329J)
|
|
|
|
MADHUKAR DUBEY
PAN:AIJPD7329J
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF ECO FRIENDLY FOOD PROCESSING PARK LTD., ESTEEM BIO ORGANIC FOOD PROCESSING LTD., CHANNEL NINE ENTERTAINMENT LTD. AND HPC BIOSCIENCES LTD.
MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSPECTUS VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF ECO FRIENDLY FOOD PROCESSING PARK LTD.
MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSECTUS VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF ESTEEM BIO ORGANIC FOOD PROCEESING LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-JUN-2015 TO 22-DEC-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JUN-2015 TO 22-DEC-2020
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
29-JUN-2015
|
SEBI VIDE ITS ORDER DATED 14/06/2016 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 29/06/2015
SEBI VIDE ITS ORDER DATED 17/02/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 29/06/2015
SAT: SAT VIDE ITS ORDER DATED 15/06/2023 REJOINDER TO BE FILE WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATED 22/12/2020 DIRECTED TO A) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER MANNER FOR TILL THE DATE OF THIS ORDER B) EXISTING HOLDING OF SECURITIES INCLUDING UNITS OF MUTUAL FUNDS TO REMAIN FREEZE
SEBI VIDE ITS ORDER DATED 22/12/2020 DIRECTED TO A) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER MANNER FOR TILL THE DATE OF THIS ORDER B) RESTRAINT THE EXISTING HOLDING OF SECURITIES INCLUDING THE UNITS OF MUTUAL FUNDS REMAIN UNDER FREEZE
|
| 4 |
|
|
A R ENTERPRISES
(PAN:AWWPK8525E)
(Along with : VIJAY BHAGWANDAS & CO.,
MAGNUM INDUSTRIAL CORP.,
GOLD LINE INTERNATIONAL FINVEST LTD.,
LMR GREEN REALTY PVT.LTD.,
NIKKY PRINTING PRESS PVT.LTD.,
AVISHA CREDIT CAPITAL LTD.)
|
|
|
|
MADHUKAR DUBEY
PAN:AIJPD7329J
|
|
|
NEM SINGH
PAN:CKIPS6770D
|
|
|
SATENDRA KUMAR
PAN:AWWPK8525E
|
|
|
SUMIT KUMAR
PAN:ARUPK1589P
|
|
ACTED FRAUDULENTLY TO GOT IPO SUBSCRIBED BY DIRECTLY/INDIRECTLY FUNDING VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF CHANNEL NINE ENTERTAINMENT LTD.
|
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2022
|
SAT: SAT VIDE ITS ORDER DATED 28/06/2022 CONDONED THE DELAY IN FILING OF REPLY AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 24/12/2024 DIRECTED TO PAY RS.10,81,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 5 |
|
|
A R ENTERPRISES
(PAN:AWWPK8525E)
|
|
|
|
SATENDRA KUMAR
DIN:02151566
PAN:AWWPK8525E
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF ECO FRIENDLY FOOD PROCESSING PARK LTD., ESTEEM BIO ORGANIC FOOD PROCESSING LTD., CHANNEL NINE ENTERTAINMENT LTD. AND HPC BIOSCIENCES LTD.
MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSPECTUS VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF ECO FRIENDLY FOOD PROCESSING PARK LTD.
MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSECTUS VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D), 4(1), 4(2)(A) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF CHANNEL NINE ENTERTAINMENT LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-JUN-2015 TO 22-DEC-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JUN-2015 TO 22-DEC-2020
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
29-JUN-2015
|
SEBI VIDE ITS ORDER DATED 14/06/2016 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 29/06/2015
SEBI VIDE ITS ORDER DATED 17/02/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 29/06/2015
SAT: SAT VIDE ITS ORDER DATED 15/06/2023 REJOINDER TO BE FILE WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATED 22/12/2020 DIRECTED TO A) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER MANNER FOR TILL THE DATE OF THIS ORDER B) EXISTING HOLDING OF SECURITIES INCLUDING UNITS OF MUTUAL FUNDS TO REMAIN FREEZE
SEBI VIDE ITS ORDER DATED 22/12/2020 DIRECTED TO A) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER MANNER FOR TILL THE DATE OF THIS ORDER B) RESTRAINT THE EXISTING HOLDING OF SECURITIES INCLUDING THE UNITS OF MUTUAL FUNDS REMAIN UNDER FREEZE
|
| 6 |
|
|
A R ENTERPRISES
(PAN:AWWPK8525E)
|
|
|
|
SATENDRA KUMAR
DIN:02151566
PAN:AWWPK8525E
|
|
MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSPECTUS VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF ECO FRIENDLY FOOD PROCESSING PARK LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-JUL-2022
|
SAT: SAT VIDE ITS ORDER DATED 23/03/2023 ALLOWED RESPONDENT FURTHER TWO WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 17/09/2024 DIRECTED TO PAY RS.7,63,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 20/05/2025 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS NOTICE DATED 01/07/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.8,23,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 7 |
|
|
A&A CAPITAL FINANCIAL SERVICES LTD.
(PAN:AABCA1051H)
|
|
|
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.55,00,000
31-OCT-2022
|
SAT: SAT VIDE ITS ORDER DATED 08/02/2023 CONDONED THE DELAY IN FILING OF APPEAL. IN THE MEANWHILE, DIRECTED RESPONDENT FILE REPLY WITHIN TWO WEEKS AND REJOINDER TO BE FILED TWO WEEKS THEREAFTER. DIRECTED TO DEPOSIT 10% OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. IF THE AMOUNT DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL
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
|
| 8 |
|
|
A.G.AGRI MART PVT.LTD.
(PAN:AAJCA9398M)
|
|
|
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 08/04/2019 ALLOWED THE APPEAL AND DIRECTED RESPONDENT TO PROVIDE THE APPELLANT OPPORTUNITY OF HEARING AND PASS SUCH ORDERS
SEBI VIDE ITS ORDER DATED 06/12/2019 REVOKED ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 28/02/2019
SAT: SAT VIDE ITS ORDER DATED 09/08/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 9 |
|
|
A.G.AGRI MART PVT.LTD.
(PAN:AAJCA9398M)
|
|
|
DID NOT MAKE DISCLOSURE OF INTER-SE CONNECTION AMONGST THEM WHILE TRADING ON MENTHA OIL FUTURES ON EXCHANGE 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 READ WITH SEBI CIRCULAR NO.CDMRD.DMP/CIR/2016/96 DATED 27/09/2016 AND SEBI/HO/DCDMRD/DMP/CIR/P/2017/84 DATED 25/07/2017
|
IMPOSED PENALTY RS.6,00,000
31-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 17/07/2023 DIRECTED TO FILE REPLY WITHIN TWO WEEKS AND REJOINDER TO BE FILED WITHIN A WEEK THEREAFTER
SEBI VIDE ITS NOTICE DATED 14/07/2023 DIRECTED TO PAY RS.6,31,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 29/08/2023 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
SAT: SAT VIDE ITS ORDER DATED 08/09/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 05/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.6,49,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 10 |
|
|
A.K.CAPITAL FINANCE PVT.LTD.
(PAN:AACCG5929R)
|
|
|
ALLEGED TO DEVISED A SCHEME WHEREIN AK GROUP BY USING THE POWERS OF ATTORNEY (POA) SUBMITTED BID APPLICATIONS FOR 1,408,015 NCDS ON BEHALF OF 911 APPLICANTS IN PUBLIC ISSUE OF NCD VIOLATING CLAUSES 2, 3, 9, 19, 27 AND 32 SPECIFIED IN SCHEDULE III OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 READ WITH SEBI CIRCULAR NO.CIR. /IMD/DF/22/2011 DATED 26/12/2011 IN MATTER OF ISSUANCE OF NCDS BY DEWAN HOUSING CORP.LTD.
ALLEGED PURSUANT TO ALLOTMENT OF NCDS, AK CAPITAL GROUP, BY USING THE POWER OF ATTORNEY SOLD OF THE NCDS ALLOTTED TO 911 APPLICANTS TO EASPL AND RSDPL THROUGH OFF-MARKET TRANSACTIONS IN MATTER OF ISSUANCE OF NCDS BY DEWAN HOUSING CORP.LTD.
ALLEGED NBFC ARM OF AK CAPITAL GROUP PROVIDED LOANS TO 911 APPLICANTS AT 11% AND 10.5% TO APPLY FOR NCDS COUPON RATE OF 8.90% AND 9.00% IN MATTER OF ISSUANCE OF NCDS BY DEWAN HOUSING CORP.LTD.
ALLEGED INDULGENCE IN UNFAIR TRADE PRACTICE, ACTED TO PROVIDE GUARANTEED EXITS AT A PROFIT TO 911 APPLICANTS ON THE DAY OF LISTING OR ON NEXT DAY BY SHARING PART OF COMMISSION/ BROKERAGE/ INCENTIVES RECEIVED BY THEM VIOLATING REGULATIONS 4(1) AND/OR 4(2) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ISSUANCE OF NCDS BY DEWAN HOUSING CORP.LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.96,00,000, DISGORGEMENT AMOUNT RS.9,76,647, INTEREST RS.7,59,376 VIDE CONSENT ORDER)
16-OCT-2025
|
|
| 11 |
|
|
A-1 BOOK CO.PVT.LTD.
(PAN:AACCA6193R)
|
|
|
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.
|
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
|
SEBI VIDE ITS NOTICE DATED 29/08/2024 DIRECTED TO PAY RS.6,30,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 23/09/2024 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS NOTICE DATED 23/10/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.6,40,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 12 |
|
|
AADHAAR VENTURES INDIA LTD.
(CIN:L67120GJ1995PLC024449
PAN:AABCP4155F)
|
|
|
|
JILS RAICHAND MADAN
PAN:AGKPM3175A
|
|
|
JYOTI MUNVER
PAN:ALSPM2060P
|
|
|
OMPRAKASH ANANDILAL KHANDELWAL
PAN:ABGPK4008D
|
|
ENGAGED IN FRAUDULENT SCHEME OF FUND RAISING VIOLATING REGULATION 77(1) OF CHAPTER VII OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF AADHAAR VENTURES INDIA LTD.
ENGAGED IN FRAUDULENT SCHEME OF FUND RAISING VIOLATING SECTIONS
12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF AADHAAR VENTURES INDIA LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-FEB-2023
|
SEBI VIDE ITS NOTICE DATED 04/05/2023 DIRECTED TO PAY RS.6,25,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 18/08/2023 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 18/09/2023 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 18/08/2023
SEBI VIDE ITS NOTICE DATED 20/09/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.6,49,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS NOTICE DATED 05/04/2024 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 18/08/2023
|
| 13 |
|
|
AADYA COMMODITIES PVT.LTD.
(PAN:AAHCA2094C)
(Along with : AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD.)
|
|
|
|
AMITA SINHA
PAN:AOIPS2038G
|
|
|
SANJEEV KUMAR SINHA
PAN:ALEPS6005L
|
|
|
VANDANA SINHA
PAN:ASUPS6193E
|
|
DID NOT SUBMIT INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MISUSED PLEDGING OF CLIENT’S SECURITIES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
DID NOT REDRESS INVESTOR COMPLAINTS
FALSIFIED TRIAL BALANCE, BANK BOOKS AND CONCEALED THE INFORMATION RELATED TO PLEDGING OF SECURITIES, CASH WITHDRAWAL AND FUND MOVEMENT RELATED TO ENTITIES VIOLATING SECTIONS 12(A) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2) (P) OF SEBI (PFUTP) REGULATIONS, 2003
|
IMPOSED PENALTY RS.25,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-APR-2022
|
SAT: SAT VIDE ITS ORDER DATED 12/10/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 17/11/2022 ALLOWED THREE WEEKS TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 06/01/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT VIDE ITS ORDER DATED 09/02/2023 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
|
| 14 |
|
|
AANSAL SECURITIES SERVICES PVT.LTD.
(PAN:AAFCA3926K)
|
|
|
RECEIVED WARRANTS/SHARES ON BASIS OF PREFERENTIAL ALLOTMENT FROM COMPANY WITHOUT MAKING PAYMENT OF FULL CONSIDERATION VIOLATING SECTION 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 SECUNDERABAD HEALTHCARE LTD.
RECEIVED WARRANTS/SHARES ON BASIS OF PREFERENTIAL ALLOTMENT FROM COMPANY WITHOUT MAKING PAYMENT OF FULL CONSIDERATION VIOLATING REGULATIONS 77(1) AND 77(3) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF SECUNDERABAD HEALTHCARE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-APR-2021 TO 29-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-APR-2021 TO 29-APR-2023
DIRECTED TO PAY BALANCE CONSIDERATION TO SECUNDERABAD HEALTHCARE LTD.
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-APR-2021
|
SAT: SAT VIDE ITS ORDER DATED 14/07/2021 ALLOWED RESPONDENT TO FILE REPLY TO THE MEMO OF APPEALS WITHIN THREE WEEKS FROM DATE OF THIS ORDER. REJOINDER MAY BE FILED ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 01/10/2021 ALLOWED THE APPEAL AND SET ASIDE MATTER AND REMITTED APPEALS TO WTM FOR RECONSIDERATION OF THE ISSUE AFTER CONSIDERING THE ANNUAL REPORTS AND SUCH OTHER EVIDENCE
SEBI VIDE ITS ORDER DATED 23/09/2022 DISPOSED OFF SCN DATED 19/06/2019 WITHOUT ANY DIRECTION
|
| 15 |
|
|
AARM FINSER INDIA LTD.
(PAN:AABCP0367K)
|
|
|
INDULGED IN DIVERSION OF IPO MONEY AND DID NOT DEPLOY IPO PROCEEDS FOR STATED OBJECTS OF ISSUE AS DISCLOSED IN PROSPECTUS 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 ACROPETAL TECHNOLOGY LTD.
|
IMPOSED PENALTY RS.2,00,000
31-MAR-2022
|
|
| 16 |
|
|
AARM FINSER INDIA LTD.
(PAN:AABCP0367K)
|
|
|
MISUTILIZED OF IPO PROCEEDS AND MADE FALSE & MISLEADING DISCLOSURES IN PROSECTUS VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO (D), 4(1), 4(2)(F) AND (K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ACROPETAL TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-SEP-2019 TO 26-SEP-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-SEP-2019 TO 26-SEP-2026
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
27-SEP-2019
|
|
| 17 |
|
|
AAVIA SOFTECH PVT.LTD.
(CIN:U72200DL2012PTC233674
PAN:AAKCA4089N)
|
|
|
MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSECTUS VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF ESTEEM BIO ORGANIC FOOD PROCEESING LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-DEC-2020 TO 21-DEC-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-DEC-2020 TO 21-DEC-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
22-DEC-2020
|
|
| 18 |
|
|
ABG RESOURCES PVT.LTD.
(CIN:165088
PAN:AAKCS2326Q)
|
|
|
|
KAMLESH KUMAR AGARWAL
DIN:00162612
PAN:ABUPA9340A
|
|
|
RISHI KAMLESH AGARWAL
CIN:00162615
DIN:00162615
PAN:ADNPA1610Q
|
|
INDULGED IN DIVERSION OF FUNDS OF RS.100.02 CRORES THROUGH BOGUS PURCHASES FOR MAKING INVESTMENT FROM ABG SHIPYARD LTD. TO PROMOTERS AND THEIR RELATED ENTITIES VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A), 3(C), 3(D), 4(1), 4(2)(E), (K) AND 4(2) (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ABG SHIPYARD LTD.
|
DIRECTED TO MAKE REFUND RS.1,01,04,54,392.00 ALONG WITH INTEREST @ 8% P.A. FROM 25/08/2009 TILL DATE OF PAYMENT, WITHIN THREE MONTHS TO ABG SHIPYARD 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-2020 TO 23-MAR-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
24-MAR-2020
|
SAT: SAT VIDE ITS ORDER DATED 26/03/2021 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
SAT: SAT VIDE ITS ORDER DATED 14/06/2021 ALLOWED REVIEW APPLICATION AND RESTORED THE APPEAL. RECALLED THE ORDER DATED 26/03/2021
SAT: SAT VIDE ITS ORDER DATED 13/11/2024 ALLOWED AMENDMENT APPLICATION AND NECESSARY AMENDMENT IN THE MEMORANDUM OF APPEAL TO BE CARRIED OUT WITHIN A WEEK
SAT: SAT VIDE ITS ORDER DATED 28/11/2025 DISMISSED THE APPEAL FOR NON-PROSECUTION
|
| 19 |
|
|
ABHISHEK CHEMICALS PVT.LTD.
(PAN:AAECA1091N)
|
|
|
INDULGED IN CREATION OF FALSE OR MISLEADING APPEARANCE OF TRADING VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D), 4(1), 4(2)(A) AND (E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ECE INDUSTRIES LTD.
INDULGED IN CREATION OF FALSE OR MISLEADING APPEARANCE OF TRADING TO MAKE DELISTING OFFER SUCCESSFUL VIOLATING REGULATIONS 4(5)(A) TO 4(5)(C) OF SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 IN MATTER OF ECE 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 28-MAY-2021 TO 27-MAY-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-MAY-2021
|
|
| 20 |
|
|
ABHISHEK INFRAVENTURES LTD.
(PAN:AAACE2100L)
|
|
|
|
A.SRINIVAS
PAN:AHZPA1708R
|
|
|
ABHISHEK ARORA
PAN:ANPPA8729A
|
|
|
AKSHAY SHAH
PAN:DQFPS9637K
|
|
|
ANIL KUMAR
PAN:AWZPK8103H
|
|
|
BALRAM AERROLLA
PAN:AETPA9424R
|
|
|
GOPAL D.MUDAVATI
PAN:BNJPM0036K
|
|
|
JITENDRA SINGH
PAN:AQIPJ9645C
|
|
|
JOSPEH POLISETTY
PAN:APQPP2850L
|
|
|
LATA BEJGAM
PAN:BSMPB3068C
|
|
|
MAHESH OMPRAKASH KHANDELWAL
PAN:AACPK8137A
|
|
|
MEGHA MAHESH KHANDELWAL
PAN:AACPK8139Q
|
|
|
PERRAJU PERICHARLA
PAN:AHPPP4933M
|
|
|
RAJENDRA PRASAD ADIRAJU
PAN:ABLPA2819H
|
|
|
RAMACHANDRA MURTHY ADIRAJU
PAN:ACVPA4343H
|
|
|
SAINATH GOUD KASULA
PAN:BHSPK5828G
|
|
|
SHIVA KUMAR KOMARAVELLI
PAN:AAYPK8925A
|
|
|
VEERRAJU PERICHARLA
PAN:AMMPP9024D
|
|
|
YADAIAH PASUPULA
PAN:AALPP6088N
|
|
MISUSED THE FUNDS RAISED THROUGH PREFERENTIAL ALLOTMENT VIOLATING SECTIONS 12(A) TO 12A(B) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ABHISHEK INFRAVENTURES LTD.
|
IMPOSED PENALTY RS.20,00,000
16-SEP-2022
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 1 of 57
|
