| S. NO. |
PERSON |
ENTITY |
COMPETENT AUTHORITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 3061. |
ROHIT
|
|
BANKS |
DEFAULTED IN REPAYMENT OF LOANS
|
AUCTION NOTICES/ NOTICES FOR SALE- RS.32,12,972 ALONG WITH OTHER ENTITIES/PERSONS
HERO FINCORP LTD.
29-OCT-2024
|
|
| 3062. |
ROHIT CHAUDHARY
|
|
BANKS |
DEFAULTED IN REPAYMENT OF LOANS
|
DEMAND NOTICE/ NOTICE- RS.30,88,007 ALONG WITH OTHER ENTITIES/PERSONS
HINDUJA HOUSING FINANCE LTD.
12-DEC-2024
|
|
| 3063. |
ROHIT DAYAMA
|
|
BANKS |
DEFAULTED IN REPAYMENT OF LOANS
|
POSSESSION NOTICE- RS.50,04,498
GIC HOUSING FINANCE LTD.
RESTRAINED FROM ALIENATING (INCLUDING BY WAY OF TRANSFER, SALE, LEASE OR OTHERWISE) OR CREATING THIRD PARTY INTEREST OR DEALING WITH MORTGAGED PROPERTY IN ANY MANNER
31-JUL-2021
|
|
| 3064. |
ROHIT GADIA
(PAN:AGXPG1899A)
|
|
|
CAPITALVIA GLOBAL RESEARCH LTD.
(PAN:AADCC5782H)
|
|
SEBI |
REPRESENTATIVES/EMPLOYEES DID NOT HAVE REQUISITE QUALIFICATION AND CERTIFICATION
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
ENGAGED IN CONTRARY TRANSACTIONS WITH REFERENCE TO INVESTMENT ADVICE RENDERED WITHIN FIFTEEN DAYS FROM DATE OF ADVICE
CHARGED UNREASONABLE, ARBITRARILY AND INCONSISTENT FEE
SOLD PRODUCTS TO CLIENTS WHICH WERE NOT SUITABLE TO RISK PROFILE OF THE CLIENTS
DID NOT ASSESS SUITABILITY OF INVESTMENT ADVICE AND MAINTAIN APPROPRIATE STANDARDS OF CONDUCT
DID NOT MONITOR COMPLIANCES AS COMPLIANCE OFFICER
|
IMPOSED PENALTY RS.33,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-DEC-2024
|
|
| 3065. |
ROHIT GUPTA
(PAN:APBPG3984P)
|
|
NSDL |
NON DELIVERY OF SCN AND/OR SEBI ORDERS
|
DEACTIVATED PAN AND/OR DEMAT ACCOUNTS
17-JAN-2024
|
|
| 3066. |
ROHIT KUMAR
|
|
|
NEW HOTEL SHIVA
|
|
BANKS |
DEFAULTED IN REPAYMENT OF LOANS
|
POSSESSION NOTICE- RS.13,90,567 ALONG WITH OTHER ENTITIES/PERSONS
INDIAN BANK
19-JUL-2024
|
|
| 3067. |
ROHIT KUMAR
|
|
BANKS |
DEFAULTED IN REPAYMENT OF LOANS
|
DEMAND NOTICE/ NOTICE- RS.16,92,848 ALONG WITH OTHER ENTITIES/PERSONS
HINDUJA HOUSING FINANCE LTD.
27-NOV-2024
|
|
| 3068. |
ROHIT KUMAR SINGH
|
|
BANKS |
DEFAULTED IN REPAYMENT OF LOANS
|
DEMAND NOTICE/ NOTICE- RS.18,84,410 ALONG WITH OTHER ENTITIES/PERSONS
HDFC BANK LTD.
29-NOV-2024
|
|
| 3069. |
ROHIT SABHARWAL
|
|
BANKS |
DEFAULTED IN REPAYMENT OF LOANS
|
AUCTION NOTICES/ NOTICES FOR SALE- RS.1,32,182
HDFC BANK LTD.
16-DEC-2024
|
|
| 3070. |
ROHIT SALGAOCAR
|
|
SEBI |
INDULGED IN EXTENDED FRONT RUNNING THE TRADES OF BIG CLIENTS VIOLATING CLAUSE (C) OF SUB-REGULATION (1) OF REGULATION 2 OF THE PFUTP REGULATIONS AND SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003
|
DIRECTED TO IMPOUND UNLAWFUL GAIN
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-JAN-2025 UNTIL FURTHER ORDERS
PROHIBITED BEING ASSOCIATED WITH ANY INTERMEDIARY OR ANY ENTITY REGISTERED WITH SEBI FROM 02-JAN-2025 UNTIL FURTHER ORDERS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI EXCEPT FOR THE PURPOSE OF TRANSFER OF FUNDS TO ESCROW ACCOUNT
DIRECTED DEPOSITORIES THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND DEPOSITORIES 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
02-JAN-2025
|
|
| 3071. |
ROHIT SHARMA
|
|
BANKS |
DEFAULTED IN REPAYMENT OF LOANS
|
AUCTION NOTICES/ NOTICES FOR SALE- RS.46,62,621 ALONG WITH OTHER ENTITIES/PERSONS
PUNJAB NATIONAL BANK
06-APR-2021
|
|
| 3072. |
ROHIT SHARMA
|
|
BANKS |
DEFAULTED IN REPAYMENT OF LOANS
|
AUCTION NOTICES/ NOTICES FOR SALE- RS.37,09,029
PUNJAB NATIONAL BANK
24-JUL-2020
|
|
| 3073. |
ROHIT SHUKLA
|
|
BANKS |
DEFAULTED IN REPAYMENT OF LOANS
|
POSSESSION NOTICE- RS.21,57,884 ALONG WITH OTHER ENTITIES/PERSONS
GRIHUM HOUSING FINANCE LTD. (FORMERLY KNOWN AS POONAWALLA HOUSING FINANCE LTD.)
RESTRAINED FROM ALIENATING (INCLUDING BY WAY OF TRANSFER, SALE, LEASE OR OTHERWISE) OR CREATING THIRD PARTY INTEREST OR DEALING WITH MORTGAGED PROPERTY IN ANY MANNER
07-AUG-2024
|
|
| 3074. |
ROHIT SINGH
(PAN:GKHPS2932C)
|
|
SEBI |
DID NOT FURNISH NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF PREMIER SYNTHETICS LTD.
|
IMPOSED PENALTY RS.1,00,000
31-DEC-2024
|
|
| 3075. |
ROHIT SRIVASTAVA
|
|
BANKS |
DEFAULTED IN REPAYMENT OF LOANS
|
AUCTION NOTICES/ NOTICES FOR SALE
SARVASVA CAPITAL FINANCE PVT.LTD.
14-DEC-2024
|
|
| 3076. |
ROHTASH SHIVRAM
|
|
BANKS |
DEFAULTED IN REPAYMENT OF LOANS
|
SYMBOLIC POSSESSION NOTICE- RS.16,86,640 ALONG WITH OTHER ENTITIES/PERSONS
HINDUJA HOUSING FINANCE LTD.
RESTRAINED FROM ALIENATING (INCLUDING BY WAY OF TRANSFER, SALE, LEASE OR OTHERWISE) OR CREATING THIRD PARTY INTEREST OR DEALING WITH MORTGAGED PROPERTY IN ANY MANNER
24-JUL-2024
|
|
| 3077. |
|
|
ROLEX TIE-UP PVT.LTD.
(PAN:AAFCR9257A)
|
|
|
NSDL |
NON DELIVERY OF SCN AND/OR SEBI ORDERS
|
DEACTIVATED PAN AND/OR DEMAT ACCOUNTS
17-JAN-2024
|
|
| 3078. |
ROMIL SHAH
(PAN:ARAPS8707R)
|
|
NSDL |
NON DELIVERY OF SCN AND/OR SEBI ORDERS
|
DEACTIVATED PAN AND/OR DEMAT ACCOUNTS
17-JAN-2024
|
|
| 3079. |
RONAK SHARMA
|
|
BANKS |
DEFAULTED IN REPAYMENT OF LOANS
|
DEMAND NOTICE/ NOTICE- RS.32,32,436 ALONG WITH OTHER ENTITIES/PERSONS
SHRIRAM HOUSING FINANCE LTD.
16-DEC-2024
|
|
| 3080. |
ROSALIN MOHANTY
(PAN:ANXPM3985E)
|
|
NSDL |
NON DELIVERY OF SCN AND/OR SEBI ORDERS
|
DEACTIVATED PAN AND/OR DEMAT ACCOUNTS
17-JAN-2024
|
|
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
