| 17581900 | Section 11AA Collective investment scheme - Directors sought directions to SEBI to liquidate attached assets for purpose of refund of monies - Illegal mobilization of funds by company - Allowability -- Company and its directors collected money from investors through collective investment scheme in vio ...
2024 TaxPub(CL) 936 (SC)
Balasaheb Keshawrao Bhapkar v. SEBI , SC, , Writ Petition (Crl.) No. 546 of 2023, 2024-07-15
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| 17656600 | Section 11C Investigation - Shareholders failed to comply with terms of settlement order - All decisions in respect to settlement order took place at Mumbai - Jurisdiction of Delhi High Court to entertain petition against issuance of SCN -- SEBI found that certain shareholders of company violated Minimum Public Shareholding Norms and discl ...
2024 TaxPub(CL) 1046 (Del-HC)
Ashoka Marketing Ltd. v. SEBI , Del-HC, , LPA Nos. 47 to 49 of 2024, CAV Nos. 14 to 16 of 2024, CM. Appeal Nos. 2400 of 2024 and Oths., 2024-01-15
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| 17657100 | Sections 12A & 15HA Appeal to Securities Appellate Tribunal - Appellant and other persons involved in synchronized trades in respect of increase of traded price - Meeting of mind between parties proved with trading pattern - Maintainability of appeal against imposition of penalty -- Adjudicating officer found that appellant along with other persons was involved in synchronized trad ...
2024 TaxPub(CL) 1051 (SAT- Mum)
Nilesh Kishanbhai Pandya v. SEBI , SAT- Mum, , Misc. Application Nos. 1680 to 1685 of 2022, Appeal Nos. 56 to 58 of 2023, 2023-12-18
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| 16664400 | Sections 15HA & 15HB Penalty for fraudulent and unfair trade practices - Providing of investment advisory services without getting registered with SEBI - Violation of Investment Advisors Regulations - Whether order of refund of amount, restraining app -- Appellant applied for registration as a Research Analyst. While the application was under process SE ...
2024 TaxPub(CL) 64 (SAT- Mum) Restock Research v. SEBI Against the appellant, SAT- Mum, Appeal No. 877 of 2023, 11-Dec-2023
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| 17085600 | Section 11B Section 203 Power to issue directions - Petition against rejection of application under section 203 of Cr.P.C. - Similar relief already dealt with by Court - Maintainability of petition -- Petitioner filed an application under section 203 of Cr.P.C. for dismissal of complaint, but the sam ...
2024 TaxPub(CL) 498 (Del-HC)
Subhash Nagpal v. SEBI , Del-HC, , Crl. M.C. No. 4418 of 2023, Crl. MA. No. 16891 of 2023, 2023-12-11
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| 17656800 | Sections 15HB & 11 Penalty for contravention where no separate penalty has been provided - Appellants resigned from company prior to issuance of order of WTM - No willful failure on part of appellants to comply with order of refund of money - Maintainability of appeal against imposition of penalty -- Whole Time Member (WTM) of SEBI found that debentures were issued in violation of Companies Act. The ...
2024 TaxPub(CL) 1048 (SAT- Mum)
Bakil Singh v. SEBI , SAT- Mum, , Misc. Application No. 1323 of 2023, Appeal No. 913 of 2023, 2023-12-04
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| 17656700 | Section 11C Investigation - Petition against non-supply of documents regarding Investigation Report and settlement order - Initial order of supply of document not complied with by SEBI on ground of subsequent development - Allowability -- Minority shareholders made various complaints to SEBI alleging violation of minimum public sharing n ...
2024 TaxPub(CL) 1047 (Bom-HC)
Ashok Dayabhai Shah v. SEBI , Bom-HC, , Writ Petition Nos. 530 & 447 of 2023, 2023-12-01
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| 16810200 | Section 12A Prohibition of manipulative and deceptive devices, insider trading and substantial acquisition of securities or control - Appeal against imposition of penalty - Non-possession of UPSI during trade in scrips of company - Applicability of mi -- SEBI found that managing director traded in scrips of the company during possession of unpublished p ...
2024 TaxPub(CL) 178 (SAT-Mum) Prakash C. Kanugo v. SEBI Partly in favour of appellant, SAT-Mum, Misc. Application Nos. 1638 and 1639 of 2022, Appeal Nos. 709 and 710 of 2022, 06-Nov-2023
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