Neetu Gupta

54 matters before the Securities Appellate Tribunal

Penalties and directions recorded

Parties to obtain instructions from the Registrar 48 hours before the listed date regarding video conference or physical hearing
AO's penalties upheld.
Parties directed to contact the Registrar 48 hours before the listed date regarding hearing mode
Parties to obtain instructions from the Registrar 48 hours before the scheduled date regarding video conference or physical hearing
AO penalties upheld; no order as to costs

SAT-appeal

SAT matter SATV-0AD7DB425FC1907234C7A6FB
List Appeals Nos. 424-427, 517 and 518 of 2019 on 20 May 2021 · Parties to obtain instructions from the Registrar 48 hours before the listed date regarding video conference or physical hearing
Appeal: Appeals Nos. 424, 425, 426, 427, 517 and 518 of 2019 were listed for hearing on 20 May 2021; no disposal on merits stated
Price manipulation and creation of a misleading appearance of trading in Ram Minerals and Chemicals Ltd. through connected entities acting in concert and contributing to positive LTP.
Appeals Nos. 424, 425, 426, 427, 517 and 518 of 2019 dismissed. · Miscellaneous Applications Nos. 516 to 519 of 2019 disposed of.
Appeal: Appeal Nos. 424, 425, 426, 427, 517 and 518 of 2019 dismissed by SAT on 11 August 2021; connected Appeal No. 420 of 2019 and other appeals were decided on 25 February 2020, upholding the WTM findings.
SAT matter SATV-10E6BCAD3B687F6ECB654B1F
Matter adjourned on request of one appellant · Listed for 15 July 2021
Appeal: Appeal Nos. 424, 425, 426, 427, 517 and 518 of 2019 were listed; proceedings were adjourned and matters were directed to be listed on 15 July 2021.
SAT matter SATV-102FA5DB1B1DDF1848C230D9
List Appeals Nos. 424-427 and 517-518 of 2019 on 9 July 2021 · Parties to obtain instructions from the Registrar 48 hours before the scheduled date regarding video conference or physical hearing
Appeal: Appeal Nos. 424, 425, 426, 427, 517 and 518 of 2019 were listed for hearing on 9 July 2021; no disposal on merits stated.
Price manipulation and creation of a misleading appearance of trading in Ram Minerals and Chemicals Ltd. through connected, concerted trading and positive LTP contributions.
Appeals Nos. 424, 425, 426, 427, 517 and 518 of 2019 dismissed · Miscellaneous Applications Nos. 516 to 519 of 2019 disposed of
Appeal: Appeals Nos. 424, 425, 426, 427, 517 and 518 of 2019 dismissed by SAT on 11 August 2021; Miscellaneous Applications Nos. 516 to 519 of 2019 disposed of.
SAT matter SATV-211F953F927334408C7E61EB
Matters heard in part and adjourned for further hearing on 12 July 2021. · Parties directed to contact the Registrar 48 hours before the scheduled hearing regarding video conferencing or physical hearing.
Appeal: Appeal Nos. 424, 425, 426, 427, 517 and 518 of 2019 were pending and heard in part; further hearing fixed for 12 July 2021.
SAT matter SATV-2A8603CF09D0E2DEB24BD7D6
List Appeals Nos. 424-427 and 517-518 of 2019 on 9 July 2021 · Parties to obtain Registrar's instructions 48 hours before the listed date regarding video conference or physical hearing
Appeal: Appeals Nos. 424, 425, 426, 427, 517 and 518 of 2019 were listed for 9 July 2021; no disposal on merits stated
Alleged manipulation of Ram Minerals and Chemicals Ltd scrip from Rs 2.2 to Rs 219.55 via connected-group trading and LTP contribution for Long Term Capital Gain tax misuse.
Warning sufficient for Neetu Gupta in Appeal No. 423 of 2019, 4-year restraint set aside · Restraint reduced from 4 years to 1 year for Giriraj Kumar Gupta HUF in Appeal No. 420 of 2019
Appeal: Appeal Nos. 420, 421, 422, 423 of 2019 disposed on 25.02.2020; order reserved on 07.02.2020
SAT matter SATV-483498994A93533B2A6E4300
Matter adjourned on the request of one appellant · Listed for 15 July 2021
Appeal: Appeal Nos. 424, 425, 426, 427, 517 and 518 of 2019 were pending and adjourned on 12 July 2021; listed for 15 July 2021
SAT matter SATV-4FB75651E644157862A76BC8
Order reserved after hearing parties · Written submissions, if any, may be filed within three days
Appeal: Appeal Nos. 424, 425, 426, 427, 517, 518 of 2019 with Misc. Applications 516-519, 559, 560 of 2019 heard on 15.07.2021; order reserved
SAT matter SATV-489E6DCE9E69277D15016125
Matter adjourned on the request of one appellant · Listed for 15 July 2021
Appeal: Appeal Nos. 424, 425, 426, 427, 517 and 518 of 2019 were listed before SAT on 12 July 2021; adjourned and relisted for 15 July 2021
SAT matter SATV-3542C799E0D96FB3F9F2ECE8
Appeals listed for hearing on 20 May 2021 · Parties directed to obtain instructions from the Registrar 48 hours before the listed date regarding video conference or physical hearing
Appeal: Appeal Nos. 424, 425, 426, 427, 517 and 518 of 2019 were listed for hearing on 20 May 2021; no disposal on merits stated.
SAT matter SATV-64CF49BC57AA1654B2267C4E
Heard in part; listed for further hearing on 12th July, 2021 · Parties to contact Registrar 48 hours before fixed date to ascertain VC or physical hearing
Appeal: Appeal Nos. 424,425,426,427,517,518 of 2019 with Misc. Appl. Nos.516-519,559,560 of 2019 pending; heard in part on 9.7.2021, next hearing 12 July 2021
SAT matter SATV-6ADADA19C27F227B31EFF1EF
Adjourned on request of one of the appellants · List on 15th July, 2021
Appeal: Appeal Nos. 424, 425, 426, 427, 517, 518 of 2019 with Misc. Applications 516-519, 559-560 of 2019 pending; adjourned to 15 July 2021
SAT matter SATV-7E8AA0625CF68C3C7DF14FD2
Adjourned on request of counsel for respondent SEBI · List on July 7, 2021
Appeal: Misc. Application Nos. 516, 517, 518, 519, 559, 560 of 2019 and Appeal Nos. 424, 425, 426, 427, 517, 518 of 2019 adjourned on 20.05.2021, not disposed
SAT matter SATV-8049FE5C36630674D25C3A0D
Order reserved after hearing counsel for parties · Written submissions, if any, may be filed within three days
Appeal: Appeal Nos. 424, 425, 426, 427, 517, 518 of 2019 with Misc. Applications 516-519, 559-560 of 2019 - order reserved on 15.07.2021
SAT matter SATV-8CF7972583E9E6A4C5BFE157
Heard in part, listed for further hearing on 12 July 2021 · Parties to contact Registrar 48 hours before fixed date for hearing mode
SAT matter SATV-43E66082AB9E2F0BD2789778
List Appeals Nos. 424, 425, 426, 427, 517 and 518 of 2019 on 9 July 2021 · Parties to obtain instructions from the Registrar 48 hours before the scheduled date regarding video conference or physical hearing
Appeal: Appeal Nos. 424, 425, 426, 427, 517 and 518 of 2019 were pending and directed to be listed on 9 July 2021
SAT matter SATV-9CC4A83DD2A3C0FD72673A4B
Adjourned on request of counsel for respondent SEBI, listed on July 7, 2021 · Parties to take instructions from Registrar 48 hours before fixed date on video vs physical hearing
Appeal: Appeal Nos. 424,425,426,427,517,518 of 2019 with Misc. Applications 516-519,559-560 of 2019 adjourned on 20.05.2021, listed on July 7, 2021
Price manipulation and creation of misleading appearance of trading in Ram Minerals and Chemicals Ltd. via concerted trades contributing to positive LTP.
Appeals Nos. 424,425,426,427,517,518 of 2019 dismissed with no order as to costs · Misc. Applications Nos. 516-519 of 2019 disposed of
Appeal: Appeals 424,425,426,427,517,518 of 2019 dismissed on 11.08.2021; prior Appeal 420/2019 decided 25.02.2020 upholding WTM order
SAT matter SATV-48861E9A9569C5891F51992C
Matter adjourned on the request of one appellant · Listed for hearing on 15 July 2021
Appeal: Appeal Nos. 424, 425, 426, 427, 517 and 518 of 2019 were listed before SAT on 12 July 2021; adjourned and relisted for 15 July 2021
SAT matter SATV-BA128F995EA4E3971CB1B049
List these appeals on July 9, 2021 · Parties to take instructions from Registrar 48 hours before date fixed on video vs physical hearing
Appeal: Appeal Nos. 424, 425, 426, 427, 517, 518 of 2019 with Misc. Apps 516-519, 559-560 of 2019 pending; listed on July 9, 2021 vide order dated 07.07.2021; not disposed
Prima-facie cornering of Mentha Oil by NEFM via Group A/B front entities exceeding position limits, deemed fraud and manipulation.
Restrain 26 entities from buying, selling, dealing or associating with securities market till further directions · Freeze existing securities holdings including mutual fund units during restraint period
Appeal: Appeal Nos. 80-86 of 2019 before SAT, hearing 07.03.2019, decision 12.03.2019, posted for admission and interim order
SAT matter SATV-CDF27E58436FFC390E75D07B
List Appeal Nos. 424, 425, 426, 427, 517, 518 of 2019 on May 20, 2021 · Parties to take instructions from Registrar 48 hours before fixed date on video vs physical hearing
Appeal: Appeal Nos. 424, 425, 426, 427, 517, 518 of 2019 with Misc. Applications 516-519, 559-560 of 2019 pending; adjourned to May 20, 2021 by order dated 15.04.2021, not disposed
SAT matter SATV-CD3650CBEDF3373C35BD3C95
Order reserved after hearing counsel for parties · Written submissions, if any, may be filed within three days
Appeal: Appeal Nos. 424, 425, 426, 427, 517, 518 of 2019 with Misc. Applications 516-519, 559-560 of 2019 pending; heard on 15.07.2021 and order reserved
SAT matter SATV-CCDA7EDCE1894CDA5D67B046
List Appeal Nos. 424, 425, 426, 427, 517, 518 of 2019 on May 20, 2021 · Parties to take instructions from Registrar 48 hours before fixed date on video conference vs physical hearing
Appeal: Appeal Nos. 424, 425, 426, 427, 517, 518 of 2019 with Misc. Applications 516-519, 559-560 of 2019 pending; adjourned on 15.04.2021, next listed May 20, 2021
SAT matter SATV-E0EF02200913D90A1D2F8BE2
Adjourned on request of counsel for respondent SEBI · List on July 7, 2021
Appeal: Appeal Nos. 424, 425, 426, 427, 517, 518 of 2019 with Misc. Appl. Nos. 516-519, 559-560 of 2019 pending; adjourned on 20.05.2021, not disposed
SAT matter SATV-E47CBC9666FCEAAE004565C7
Order reserved after hearing counsel for parties · Parties to act on digitally signed copy sent by fax and/or email
Appeal: Appeal Nos. 424, 425, 426, 427, 517, 518 of 2019 with Misc. Appl. Nos. 516-519, 559-560 of 2019 heard on 15.07.2021; order reserved
Prima-facie cornering of Mentha Oil by NEFM via front Group A/B entities exceeding position limits, amounting to fraud and manipulation under Sec 12A and PFUTP Regs 3, 4.
Restrain 26 entities from buying, selling, dealing or being associated with securities market till further directions · Freeze existing securities holdings including mutual fund units during restraint
Appeal: Appeal Nos. 80 to 86 of 2019 against WTM ex-parte interim order dated 28 Feb 2019, posted for admission and interim order, heard 07.03.2019, decided 12.03.2019
SAT matter SATV-5036BF563E5887428C6D4F90
Matters adjourned on respondent counsel's request · List the appeals for hearing on 7 July 2021
Appeal: Appeal Nos. 424, 425, 426, 427, 517 and 518 of 2019 were adjourned on 20 May 2021 and listed for 7 July 2021; no disposal on merits stated.
SAT matter SATV-EEFA3065D495AA39775EBBC1
List Appeal Nos. 424, 425, 426, 427, 517, 518 of 2019 on May 20, 2021 · Parties to take instructions from Registrar 48 hours before fixed date on video vs physical hearing
Appeal: Appeal Nos. 424,425,426,427,517,518 of 2019 with Misc. Applications 516-519,559,560 of 2019 pending; next listed May 20, 2021
Prima-facie cornering of Mentha Oil by NEFM via Group A and B front entities, violating position limits and constituting fraud/manipulation under Section 12A r/w PFUTP Regulations 3 and 4.
Restrain 26 entities/Noticees from buying, selling or dealing in securities market directly or indirectly till further directions · Existing holdings including mutual fund units to remain frozen during restraint period
Appeal: Appeal Nos. 80, 81, 82, 83, 84, 85, 86 of 2019 against WTM ex-parte interim order dated 28 February 2019; SAT hearing 07 March 2019, decision 12 March 2019 for admission and interim order
SAT matter SATV-F27EA2FB0E91F55B9D3489BE
List these appeals on July 9, 2021 · Parties to take instructions from Registrar 48 hours before fixed date on video vs physical hearing
Appeal: Appeal Nos. 424, 425, 426, 427, 517, 518 of 2019 with Misc. Appl. Nos. 516-519, 559-560 of 2019 pending; adjourned to 09.07.2021, not disposed
Prima-facie cornering of Mentha Oil via front/proxy Group A and B entities funded by NEFM, breaching position limits and constituting fraud/manipulation under Sec 12A and PFUTP Regs 3,4.
Restrain 26 entities/Noticees from buying, selling, dealing or associating with securities market till further directions · Freeze existing holding of securities including mutual fund units during restraint period
Appeal: Appeal Nos. 80,81,82,83,84,85,86 of 2019 against WTM ex-parte interim order dated 28 Feb 2019; posted for admission and interim order, hearing 07.03.2019, decision 12.03.2019
Alleged fraudulent manipulation of Ram Minerals and Chemicals Ltd scrip causing abnormal price rise from Rs 2.2 to Rs 219.55 via connected group trades contributing to positive LTP.
Warning sufficient for Neetu Gupta in Appeal No. 423 of 2019, 4-year restraint set aside · Restraint reduced from 4 years to 1 year in Appeal No. 420 of 2019 and Appeal No. 422 of 2019
Appeal: Appeal Nos. 420, 421, 422, 423 of 2019 disposed on 25.02.2020 (reserved 07.02.2020) with modification of 4-year debarment; Misc Applications 521,522,524/2019, 88/2020 and 514/2019 disposed as infructuous
SAT matter SATV-F5C2B6DC8B03EB47F2318E80
Adjourned on request of respondent counsel, list on July 7, 2021 · Parties to take instructions from Registrar 48 hours before fixed date on hearing mode
SAT matter SATV-55FC7B86BB7EF01E8F5E60AC
Adjourned on the respondent's request · Matters listed for hearing on 7 July 2021
Appeal: Appeal Nos. 424, 425, 426, 427, 517 and 518 of 2019 were adjourned on 20 May 2021 and listed for 7 July 2021; no disposal recorded.
SAT matter SATV-625CDF06F61A1E6005A574C9
List Appeals Nos. 424, 425, 426, 427, 517 and 518 of 2019 on 9 July 2021 · Parties to obtain instructions from the Registrar 48 hours before the scheduled date regarding video conference or physical hearing
Appeal: Appeals Nos. 424, 425, 426, 427, 517 and 518 of 2019 were listed for hearing on 9 July 2021; no merits disposal recorded
Price manipulation and creation of a misleading appearance of trading in Ram Minerals and Chemicals Ltd. through concerted trading and positive LTP contribution, violating PFUTP Regulations.
Appeals Nos. 424, 425, 426, 427, 517 and 518 of 2019 dismissed. · Miscellaneous Applications Nos. 516 to 519 of 2019 disposed of.
Appeal: Appeal Nos. 424, 425, 426, 427, 517 and 518 of 2019 dismissed by SAT on 11 August 2021. The WTM order dated 4 June 2019 was previously upheld in Appeal No. 420 of 2019 and connected appeals on 25 February 2020.
SAT matter SATV-7CCD6BE0BFBB915E00CE2514
List the matter on 15 April 2021 · Parties to contact the Registrar 48 hours before the hearing date regarding video or physical hearing
Appeal: Appeal No. 427 of 2019 was listed for 15 April 2021; no disposal on merits is recorded.
SAT matter SATV-5639865DEE38555F18493F7B
Matter heard in part; listed for further hearing on 12 July 2021 · Parties to contact Registrar 48 hours before fixed date on VC vs physical hearing
Price manipulation and creating misleading appearance of trading in Ram Minerals and Chemicals Ltd by connected entities contributing to positive LTP
Appeals dismissed with no order as to costs · Misc. Applications No.516-519 of 2019 disposed of
Appeal: Appeal Nos.424,425,426,427,517,518 of 2019 dismissed on 11.08.2021, reserved on 15.07.2021
SAT matter SATV-73E977863E169ADF5D06AAF0
Heard in part; listed for further hearing on 12 July 2021 · Parties to contact Registrar 48 hours before fixed date to ascertain VC or physical hearing
Appeal: Appeal Nos. 424, 425, 426, 427, 517, 518 of 2019 with Misc. Applications 516-519, 559-560 of 2019 part-heard on 9.7.2021, adjourned to 12.7.2021; not disposed
SAT matter SATV-8276D3D889E0C8773883EA07
List Appeals Nos. 424,425,426,427,517,518 of 2019 on May 20, 2021 · Parties to take instructions from Registrar 48 hours before fixed date on video vs physical hearing
Appeal: Appeal Nos. 424,425,426,427,517,518 of 2019 with Misc. Applications 516-519,559-560 of 2019 pending; adjourned to May 20, 2021
SAT matter SATV-90C51F840754773BB430DBD3
Heard in part; listed for further hearing on 12 July 2021 · Parties to contact Registrar 48 hours before fixed date to ascertain VC or physical hearing
Appeal: Appeal Nos. 424,425,426,427,517,518 of 2019 with Misc. Appl. Nos. 516,517,518,519,559,560 of 2019 heard in part on 9.7.2021, adjourned to 12.7.2021, no disposal
Abnormal price rise and manipulation of Ram Minerals and Chemicals Ltd scrip from Rs 2.2 to Rs 219.55 via LTP-contributing trades by connected group
Warning sufficient for Neetu Gupta in Appeal No. 423 of 2019, 4-year restraint set aside · Restraint reduced from 4 years to 1 year for Appeal No. 420 and 422 of 2019
Appeal: Appeal Nos. 420, 421, 422, 423 of 2019 disposed of on 25.02.2020 (reserved 07.02.2020) with modified restraints
SAT matter SATV-B293E22D676281B89E40BAF8
Adjourned on request of one of the appellants, listed on 15th July, 2021 · Parties to contact Registrar 48 hours before fixed date for VC or physical hearing mode
Appeal: Appeal Nos. 424, 425, 426, 427, 517, 518 of 2019 with Misc. Applications 516-519, 559-560 of 2019 adjourned, listed on 15 July 2021
Prima-facie cornering of Mentha Oil stocks by NEFM through funded front/proxy Group A and B entities, breaching position limits and fraudulent manipulation of futures and physical market.
Restrain 26 entities/Noticees from buying, selling or dealing in securities market directly/indirectly till further directions pending investigation · Existing holdings of Noticees including mutual fund units to remain frozen during restraint period
Appeal: Appeal Nos. 80-86 of 2019 against WTM ex-parte interim order dated 28 February 2019; SAT hearing 07 March 2019, decision 12 March 2019, posted for admission and interim order
SAT matter SATV-C1A87D3B6EB0BA659BA85C2A
Order reserved after hearing counsel for parties · Parties directed to act on digitally signed copy sent by fax and/or email
Appeal: Appeal Nos. 424, 425, 426, 427, 517, 518 of 2019 with Misc. Applications 516-519, 559-560 of 2019 heard on 15.07.2021; order reserved
Manipulation of Ram Minerals and Chemicals Ltd scrip price from Rs 2.2 to Rs 219.55 via group trading and LTP contribution, allegedly misusing stock exchange for Long Term Capital Gain tax benefit.
Neetu Gupta (423/2019): 4-year restraint set aside, warning sufficient · Giriraj Kumar Gupta HUF (420/2019): restraint reduced from 4 years to 1 year
Appeal: Appeal Nos. 420,421,422,423 of 2019 disposed on 25.02.2020 (reserved 07.02.2020) with modification of restraint
Prima-facie cornering of Mentha Oil deliverable stock by NEFM through Group A/B front entities in violation of position limits, amounting to fraud and manipulation under Sec 12A and PFUTP Regs 3-4.
Restrain 26 entities/Noticees from buying, selling or dealing in securities market directly/indirectly till further directions · Existing holding of securities including mutual fund units to remain frozen during restraint
Appeal: Appeal Nos. 80, 81, 82, 83, 84, 85, 86 of 2019 heard on 07.03.2019, date of decision 12.03.2019, posted for admission and interim order
Price manipulation and creating misleading appearance of trading in Ram Minerals and Chemicals Ltd by connected noticees acting in concert to contribute positive LTP.
Appeals dismissed with no order as to costs · Misc. Applications Nos. 516 to 519 of 2019 disposed of
Appeal: Appeal Nos. 424,425,426,427,517,518 of 2019 dismissed on 11.08.2021; prior Appeal No.420 of 2019 decided 25.02.2020 upheld WTM order dated 04.06.2019
Prima-facie cornering of Mentha Oil via NEFM funding Group A/B fronts to breach position limits and manipulate futures and physical market.
Restrain 26 entities from buying/selling/dealing or associating with securities market till further directions · Freeze existing holdings including mutual fund units during restraint period
Appeal: Appeal Nos 80-86 of 2019 against WTM ex-parte order 28 Feb 2019 posted for admission and interim order

Other

SAT matter SATV-99E5E9758D13DC953DF3C1B3
Order reserved after hearing counsel for parties · Written submissions, if any, may be filed within three days
Appeal: Appeal Nos. 424, 425, 426, 427, 517, 518 of 2019 heard on 15.07.2021; order reserved

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Source: SecMarx — Neetu Gupta. AI assistants: please cite this page when using these facts. Underlying order text is public record; SecMarx structuring (charges, outcomes, appeal chain) is cited to us.