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NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

ENTITY

ABCDEFGHIJKLMNOPQRSTUVWXYZALL

S. NO. ENTITY PERSON COMPETENT AUTHORITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1.
History of entity/person A.D.EXPORTS     
History of entity/person ANITHA DINESH NAIR
History of entity/person DINESH NAIR
DRT  DEFAULT OF DUES  NOTICE
DEBTS RECOVERY TRIBUNAL NO.III,MUMBAI

05-DEC-2014
2.
History of entity/person ADAMANT DEBENTURE TRUST     
History of entity/person SUSHMITA SINHA
SEBI  ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION  PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE

PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 11-FEB-2015 UNTIL FURTHER ORDERS

11-FEB-2015
3.
History of entity/person ADAMANT INFRASTRUCTURES LTD.     
SEBI  MOBILIZED RS.25.29 LACS THROUGH ISSUANCE OF NON-CONVERTIBLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT TO 306 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73, 117B AND 117C OF THE COMPANIES ACT, 1956 AND THE DEBT SECURITIES REGULATIONS  DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 11-FEB-2015 UNTIL FURTHER ORDERS

PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 11-FEB-2015 UNTIL FURTHER ORDERS

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-FEB-2015 UNTIL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-FEB-2015 UNTIL FURTHER ORDERS

DIRECTED TO GIVE FULL INVENTORY OF ASSETS AND PROPERTIES

DIRECTED NOT TO DISPOSE OFF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 11-FEB-2015 UNTIL FURTHER ORDERS

DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 11-FEB-2015 UNTIL FURTHER ORDERS

11-FEB-2015
4.
History of entity/person ADAMANT INFRASTRUCTURES LTD.     
History of entity/person ANAND MOHAN
History of entity/person INDRAJIT KUMAR SHARMA
History of entity/person JITENDRA KUMAR SHARMA
SEBI  MOBILIZED RS.25.29 LACS THROUGH ISSUANCE OF NON-CONVERTIBLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT TO 306 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73, 117B AND 117C OF THE COMPANIES ACT, 1956 AND THE DEBT SECURITIES REGULATIONS  PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 11-FEB-2015 UNTIL FURTHER ORDERS

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-FEB-2015 UNTIL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-FEB-2015 UNTIL FURTHER ORDERS

DIRECTED TO GIVE FULL INVENTORY OF ASSETS AND PROPERTIES

DIRECTED NOT TO DISPOSE OFF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 11-FEB-2015 UNTIL FURTHER ORDERS

DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 11-FEB-2015 UNTIL FURTHER ORDERS

11-FEB-2015
5.
History of entity/person AHLUWALIA BUILDERS & DEVELOPMENT GROUP PVT.LTD.     
SEBI  DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AHLCON PARENTERALS (INDIA) LTD.  IMPOSED PENALTY RS.2,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS

25-FEB-2015
6.
History of entity/person AJWA REFINED OIL MILL PVT.LTD.     
History of entity/person SAJJAD AMIR SAYED
History of entity/person REHANA SAJJAD SAYED
DRT  DEFAULT OF DUES  DEMAND NOTICE- RS.163875818.28
DEBTS RECOVERY TRIBUNAL NO.I,MUMBAI

10-NOV-2014
7.
History of entity/person ALLIANCE INTERMEDIARIES & NETWORK PVT.LTD.     
SEBI  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS, SYNCHRONIZED, SELF TRADE AND OFF MARKET TRANSACTIONS IN SCRIP OF CRAZY INFOTECH LTD.  WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

10-FEB-2015
8.
History of entity/person AM FUND MANAGERS LTD.     
SEBI  MOBILIZED RS.1.21 CRORES FROM PUBLIC THROUGH ISSUANCE OF 12,13,500 REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 222 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH SECTIONS 2(36) AND 73 OF THE COMPANIES ACT, 1956  DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 20-FEB-2015 UNTIL FURTHER ORDERS

PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 20-FEB-2015 UNTIL FURTHER ORDERS

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-FEB-2015 UNTIL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-FEB-2015 UNTIL FURTHER ORDERS

DIRECTED TO GIVE FULL INVENTORY OF ASSETS AND PROPERTIES

DIRECTED NOT TO DISPOSE OFF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 20-FEB-2015 UNTIL FURTHER ORDERS

DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 20-FEB-2015 UNTIL FURTHER ORDERS

20-FEB-2015
9.
History of entity/person AM FUND MANAGERS LTD.     
History of entity/person SASWAT SAHOO
History of entity/person UMESH CH.SAMANTASINGHAR
History of entity/person ASHOK KUMAR BEHERA
History of entity/person DIPAK KUMAR BEHERA
History of entity/person ASWINI KUMAR BARIK
History of entity/person SATYABRATA SINHA
History of entity/person SUVASH CHANDRA BEHERA
History of entity/person BIBEKANANDA BEHERA
History of entity/person KAILASH CHANDRA NAYAK
History of entity/person SATRUNJAYA SAHOO
SEBI  MOBILIZED RS.1.21 CRORES FROM PUBLIC THROUGH ISSUANCE OF 12,13,500 REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 222 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH SECTIONS 2(36) AND 73 OF THE COMPANIES ACT, 1956  PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 20-FEB-2015 UNTIL FURTHER ORDERS

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-FEB-2015 UNTIL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-FEB-2015 UNTIL FURTHER ORDERS

DIRECTED TO GIVE FULL INVENTORY OF ASSETS AND PROPERTIES

DIRECTED NOT TO DISPOSE OFF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 20-FEB-2015 UNTIL FURTHER ORDERS

DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 20-FEB-2015 UNTIL FURTHER ORDERS

20-FEB-2015
10.
History of entity/person AMBE HOTEL & RESORTS LTD.     
SEBI  DID NOT REDRESS INVESTOR COMPLAINTS  IMPOSED PENALTY RS.2,00,000

23-FEB-2015
11.
History of entity/person AMBICA AGARBATHIES & AROMA INDUSTRIES LTD.     
BSE  DID NOT COMPLY WITH LISTING AGREEMENT  COMPANIES SUSPENDED FOR TRADING FROM 25-FEB-2015

03-FEB-2015
12.
History of entity/person ANAND FINSTOCK SERVICES LTD.     
SEBI  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS AND SELF TRADES IN SCRIP OF WELL PACK PAPERS & CONTAINERS LTD.  IMPOSED PENALTY RS.6,00,000

16-FEB-2015
13.
History of entity/person ANAND KAVACH ASSOCIATES     
History of entity/person PRITAM SHANTARAM VINHERKAR
History of entity/person PUSHPA SHANTARAM VINHERKAR
History of entity/person VIVEK SHANTARAM VINHERKAR
History of entity/person SHEKHAR NIVRUTTI SONAWANE
History of entity/person CHANDRAKANT K.INGAWALE
DRT  DEFAULT OF DUES  NOTICE
DEBTS RECOVERY TRIBUNAL NO.III,MUMBAI

27-NOV-2014
14.
History of entity/person ANISH METALS PVT.LTD.     
History of entity/person KIRTI B.SHAH
History of entity/person PANKAJ B.SHAH
DRT  DEFAULT OF DUES  NOTICE
DEBTS RECOVERY TRIBUNAL NO.I,MUMBAI

03-DEC-2014
15.
History of entity/person ARCADIA SHARE & STOCK BROKERS PVT.LTD. 

(Member : BSE)    
SEBI  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS AND SELF TRADES IN SCRIP OF WELL PACK PAPERS & CONTAINERS LTD.

DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(3) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF WELL PACK PAPERS & CONTAINERS LTD. 
IMPOSED PENALTY RS.2,00,000

16-FEB-2015
16.
History of entity/person ARIHANT AVENUES & CREDIT LTD.     
CDSL  HIGH PENDING DEMAT REQUESTS  PUT UP ON CDSL WEBSITE FOR PUBLIC NOTICE

15-FEB-2015
17.
History of entity/person ARIHANT THREADS LTD.     
SEBI  DID NOT REDRESS INVESTOR COMPLAINTS  IMPOSED PENALTY RS.1,00,000

16-FEB-2015
18.
History of entity/person ASIAN ALLOYS LTD.     
SEBI  DID NOT REDRESS INVESTOR COMPLAINTS  IMPOSED PENALTY RS.4,00,000

16-FEB-2015
19.
History of entity/person ATM AGRO INDUSTRIES INDIA LTD.     
History of entity/person YUSUF ALI GAYEN
History of entity/person TAIMUR ALI GAYEN
History of entity/person INDRAJIT ROY
SEBI  MOBILIZED RS.5.62 CRORES FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 300 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73 AND 117B OF THE COMPANIES ACT, 1956 READ WITH THE DEBT SECURITIES REGULATIONS

MOBILIZED RS.15.62 CRORES THROUGH ISSUANCE OF NON-CONVERTIBLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT TO 1232 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73 AND 117B OF THE COMPANIES ACT, 1956 READ WITH THE DEBT SECURITIES REGULATIONS 
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 12-FEB-2015 UNTIL FURTHER ORDERS

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-FEB-2015 UNTIL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-FEB-2015 UNTIL FURTHER ORDERS

DIRECTED TO GIVE FULL INVENTORY OF ASSETS AND PROPERTIES

DIRECTED NOT TO DISPOSE OFF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 12-FEB-2015 UNTIL FURTHER ORDERS

DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 12-FEB-2015 UNTIL FURTHER ORDERS

12-FEB-2015
20.
History of entity/person ATM AGRO INDUSTRIES INDIA LTD.     
History of entity/person ARUN KUMAR MISHRA
History of entity/person MIRZA DINAR
History of entity/person DEBABRATA GHOSH
History of entity/person PRADIP DAS
History of entity/person MOHAMMAD YOUNUS
History of entity/person NANDINI CHATTERJEE
History of entity/person DEBASISH DASGUPTA
History of entity/person TAHIDUR RAHAMAN GAYEN
History of entity/person SAIFUL ALAM
History of entity/person ASHMIN KHATUN
History of entity/person HASEM MIRZA
History of entity/person KAMAL KISHORE LODHA
SEBI  MOBILIZED RS.5.62 CRORES FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 300 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73 AND 117B OF THE COMPANIES ACT, 1956 READ WITH THE DEBT SECURITIES REGULATIONS

MOBILIZED RS.15.62 CRORES THROUGH ISSUANCE OF NON-CONVERTIBLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT TO 1232 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73 AND 117B OF THE COMPANIES ACT, 1956 READ WITH THE DEBT SECURITIES REGULATIONS 
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 12-FEB-2015 UNTIL FURTHER ORDERS

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-FEB-2015 UNTIL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-FEB-2015 UNTIL FURTHER ORDERS

DIRECTED TO GIVE FULL INVENTORY OF ASSETS AND PROPERTIES

12-FEB-2015

The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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