| 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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| 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company - Applicability of mi -- SEBI found that managing director traded in scrips of the company during possession of unpublished p ...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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| 16495200 |
2023 TaxPub(CL) 1874 (Bom-HC)
Gaurang Ajit Sheth v. Arcadia Shares & Stock Brokers (P) Ltd. Bom-HC, Interim Application (L) No. 19877 of 2023 Alongwith Interim Application (L) No. 4782 Of 2023 In Suit (L) No
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| 16810300 | Section 15T Appeal to Securities Appellate Tribunal - Issuance of Optionally Convertible Debentures in violation of SEBI Act and Companies Act - Appellant never held directorship in company - Whether order of restraining appellant from accessing secur -- SEBI found that company received funds through Optionally Convertible debentures (OCDs) without comp ...
2024 TaxPub(CL) 179 (SAT- Mum) Sanjeet Kumar Sharma v. SEBI In favour of appellant, SAT- Mum, Appeal No. 596 of 2022, 09-Oct-2023
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| 16375900 | Section 12A Prohibition of manipulative and deceptive devices, insider trading and substantial acquisition of securities or control - Appeal against imposition of penalty - No decision of change in policies, plans or operations of company taken by Boar -- WTM found appellants to be guilty of insider trading and consequently directed them to disgorge amou ...
2023 TaxPub(CL) 1684 (SAT-Mum)
Prannoy Roy v. SEBI In favour of appellant., SAT-Mum, Appeal No. 557 of 2020, 05-Oct-2023
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| 16810400 |
2024 TaxPub(CL) 180 (SAT- Mum) SEBI v. Arshad Warsi SAT- Mum, Misc. Application Nos. 1229, 1256 and 1230 of 2023, Appeal Nos. 284 and 285 of 2023, 04-Oct-2023
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| 16495000 | Section 15T Appeal to the Securities Appellate Tribunal - Imposition of penalty for violation of buy back of shares - Sale of shares upheld by Supreme Court - Inordinate delay in initiation of proceedings -- Maintainability of appeal -- Aftermath of Harshad Mehta scam, a Special Court was enacted, who attached entire shareholding of th ...
2023 TaxPub(CL) 1872 (SAT- Mum)
Apollo Tyres Ltd. v. SEBI In favour of appellant, SAT- Mum, Appeal No. 23 of 2019, 27-Sep-2023
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| 16436900 | Section 15Z Appeal to the Securities Appellate Tribunal - Imposition of penalty in respect issuance of fraudulent scheme of GDR - Appellant not involved in day to day affairs of company - Whether merely because appellant being Chairman of Audit Commit -- Company issued Global Depository Receipts (GDRs), which was subscribed by one entity. SEBI found tha ...
2023 TaxPub(CL) 1758 (SAT- Mum)
V. Manikandan v. AO Against the appellant, SAT- Mum, Appeal Nos. 452 & 453 of 2022, 06-Sep-2023
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