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The new records added to the website are listed in an alphabetical order.

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.
 
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S.
No.
 ENTITY  PERSON COMPETENT AUTHORITY  REGULATORY CHARGES  REGULATORY ACTION(S) / DATE OF ORDER  FURTHER DEVELOPMENTS
History of entity/person 5S LTD.     
  SEBI  DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)

DID NOT REDRESS INVESTOR COMPLAINTS 
IMPOSED PENALTY RS.3,00,000

17-SEP-2014
 
History of entity/person ACME CRAFT PVT.LTD.     
  SEBI  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRADES, SYNCHRONIZED TRADES AND OFF-MARKET TRANSACTIONS IN SCRIPS OF CALS REFINERIES LTD.,CONFIDENCE PETROLEUM INDIA LTD.,BANG OVERSEAS LTD.,SHREE PRECOATED STEELS LTD. AND TEMPTATION FOODS LTD.  DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-JUN-2009 TO 03-JUN-2017

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-JUN-2009 TO 03-JUN-2017

DIRECTED BSE TO EXAMINE DEALINGS OF CHIMANLAL MANEKLAL SECURITIES PVT.LTD. IN SCRIP OF CALS REFINERIES LTD.

DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE

MATTER REFERRED TO INCOME TAX DEPARTMENT TO LOOK INTO POSSIBLE ALTERNATIVE PAY-OFFS OUTSIDE SECURITES MARKET

04-JUN-2009
AD-INTERIM EX-PARTE ORDER DATED 04/06/2009 CONFIRMED, VIDE ORDER DATED 30/09/2009

DIRECTED STOCK EXCHANGES TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING POSITIONS IN F&O SEGMENT AND NOT TO CREATE FRESH POSITIONS FOR CONNECTED CLIENTS. FURTHER DIRECTED NSE TO WITHHOLD PROFIT ARISING OUT OF SQUARING OFF THESE POSITIONS VIDE ORDER DATED 05/06/2009

SEBI VIDE ITS ORDER DATED 24/09/2014 PROHIBITED NOTICEE FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, FOR A PERIOD OF EIGHT YEARS  
History of entity/person ACME CRAFT PVT.LTD.     
History of entity/person JIGAR JAGDISH PANDYA

History of entity/person AKASH GANACHARI
 
SEBI  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIPS OF TEMPTATION FOODS LTD., BANG OVERSEAS LTD., CONFIDENCE PETROLEUM INDIA LTD. AND CALS REFINERIES LTD.  DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-SEP-2014 TO 23-SEP-2017

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-SEP-2014 TO 23-SEP-2017

24-SEP-2014
 
History of entity/person ALAN SCOTT INDUSTRIES LTD. 

(Old Name : SUKETU FASHIONS LTD.)    
  NSDL  LONG PENDING DEMAT REQUESTS AND NOT RESPONDING/SERVICES STOPPED BY THE REGISTRAR  PUT UP ON NSDL WEBSITE FOR PUBLIC NOTICE

19-SEP-2014
NOT APPEARING IN THE LIST DATED 26/09/2014  
History of entity/person ALKA INDIA LTD. 

(Old Name : ALKA SPINNERS LTD.)    
  SEBI  INDULGED IN CANCELLATION OF GDRS FOR CONVERTING THEM INTO NORMAL SHARES TO SELL IN INDIAN MARKET  DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT WITH INDIAN SECURITIES AS UNDERLYING, IN ANY MANNER WHATSOEVER

DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES

DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-SEP-2011 TO 20-SEP-2016

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-SEP-2011 TO 20-SEP-2016

21-SEP-2011
SAT: SAT VIDE ITS ORDER DATED 21/01/2014 DIRECTED SEBI TO PASS APPROPRIATE ORDER WITHIN A PERIOD OF FOUR MONTHS FROM THE DATE OF THIS ORDER

SEBI VIDE ITS ORDER DATED 25/04/2012 MODIFIED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 21/09/2011 TO THE LIMITED EXTENT BY ALLOWING TO SELL SECURITIES HELD IN ITS DEPOSITORY ACCOUNTS AND DEPOSIT THE SALE PROCEEDS IN BANK FIXED DEPOSIT EARNING INTEREST. FURTHER IT SHALL NOT BE ALLOWED TO WITHDRAW ANY MONIES INCLUDING INTEREST THEREON WITHOUT PRIOR PERMISSION OF SEBI

SEBI VIDE ITS ORDER DATED 19/09/2014 PROHIBITED NOTICEES FROM ACCESSING THE CAPITAL MARKET DIRECTLY OR INDIRECTLY, AND DEALING IN SECURITIES OR INSTRUMENTS WITH INDIAN SECURITIES AS UNDERLYING, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF FIVE YEARS  
History of entity/person AMS FINANCE & SECURITIES LTD.     
  SEBI  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR AND STRUCTURED TRANSACTIONS IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD.  WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

15-SEP-2014
 
History of entity/person ANGELS ENTERPRISES LTD.     
  NSDL  HIGH PENDING DEMAT REQUESTS  PUT UP ON NSDL WEBSITE FOR PUBLIC NOTICE

19-SEP-2014
NOT APPEARING IN THE LIST DATED 26/09/2014  
History of entity/person ARCADIA SHARE & STOCK BROKERS PVT.LTD. 

(Member : BSE)    
  SEBI  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 BROKER) REGULATIONS, 1992 IN MATTER OF LGS GLOBAL LTD. (NOW KNOWN AS YBRANT DIGITAL LTD.)  IMPOSED PENALTY RS.2,00,000

23-SEP-2014
 
History of entity/person ARCADIA SHARE & STOCK BROKERS PVT.LTD. 

(Member : NSE)    
  SEBI  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 BROKER) REGULATIONS, 1992 IN MATTER OF LGS GLOBAL LTD. (NOW KNOWN AS YBRANT DIGITAL LTD.)  IMPOSED PENALTY RS.2,00,000

23-SEP-2014
 
10 
History of entity/person ARIHANT SPINNING MILLS LTD.     
History of entity/person DIRECTORS
 
MCA  DEFAULT IN FILING ANNUAL RETURNS (SECTION 159)

DEFAULT IN FILING OF COPIES OF BALANCE SHEET, ETC. WITH THE REGISTRAR (SECTION 220) 
PROSECUTION UNDER SECTION 162 & SECTION 220(3) OF COMPANIES ACT: PENALTY IMPOSED RS.11000

11-AUG-2014
CONVICTED  
11 
History of entity/person ARUNODAYA DEVELOPERS PVT.LTD.     
History of entity/person DIRECTORS
 
MCA  DEFAULT IN FILING ANNUAL RETURNS (SECTION 159)

DEFAULT IN FILING OF COPIES OF BALANCE SHEET, ETC. WITH THE REGISTRAR (SECTION 220) 
PROSECUTION UNDER SECTION 162 & SECTION 220(3) OF COMPANIES ACT: PENALTY IMPOSED RS.3000

14-AUG-2014
CONVICTED  
12 
History of entity/person ASIA PACIFIC FINANCIAL SERVICES LTD.     
  SEBI  DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)

DID NOT REDRESS INVESTOR COMPLAINTS 
IMPOSED PENALTY RS.3,00,000

17-SEP-2014
 
13 
History of entity/person B.K.DUPLEX BOARD LTD.     
  NSDL  LONG PENDING DEMAT REQUESTS AND NOT RESPONDING/SERVICES STOPPED BY THE REGISTRAR  PUT UP ON NSDL WEBSITE FOR PUBLIC NOTICE

26-SEP-2014
 
14 
History of entity/person BASMATI SECURITIES PVT.LTD.     
  SEBI  INDULGED IN CANCELLATION OF GDRS FOR CONVERTING THEM INTO NORMAL SHARES TO SELL IN INDIAN MARKET  DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT WITH INDIAN SECURITIES AS UNDERLYING, IN ANY MANNER WHATSOEVER

DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES

DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-SEP-2011 TO 20-SEP-2016

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-SEP-2011 TO 20-SEP-2016

21-SEP-2011
SAT: 1) SAT VIDE ITS ORDER DATED 09/05/2014 CONDONED THE DELAY OF 725 DAYS IN FILING OF APPEAL. 2) SAT VIDE ITS ORDER DATED 09/05/2014 DIRECTED BASMATI SECURITIES PVT.LTD. TO FILE REPLY ON OR BEFORE 25/06/2014 AND DIRECTED SEBI TO PASS FINAL ORDER ON OR BEFORE 20/09/2014. NO COSTS

SEBI VIDE ITS ORDER DATED 25/04/2012 MODIFIED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 21/09/2011 TO THE LIMITED EXTENT BY ALLOWING TO SELL SECURITIES HELD IN ITS DEPOSITORY ACCOUNTS AND DEPOSIT THE SALE PROCEEDS IN BANK FIXED DEPOSIT EARNING INTEREST. FURTHER IT SHALL NOT BE ALLOWED TO WITHDRAW ANY MONIES INCLUDING INTEREST THEREON WITHOUT PRIOR PERMISSION OF SEBI

SEBI VIDE ITS ORDER DATED 19/09/2014 PROHIBITED NOTICEES FROM ACCESSING THE CAPITAL MARKET DIRECTLY OR INDIRECTLY, AND DEALING IN SECURITIES OR INSTRUMENTS WITH INDIAN SECURITIES AS UNDERLYING, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF FIVE YEARS  
15 
History of entity/person BHARAT KRISHI SAMRIDHI INDUSTRIES LTD.     
  SEBI  ENGAGED IN FUND MOBILISING ACTIVITY FROM PUBLIC THROUGH ISSUANCE OF NON-CONVERTIBLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73, 117B, 117C READ WITH SECTION 465 OF COMPANIES ACT, 2013 AND DEBT SECURITIES REGULATIONS

ENGAGED IN FUND MOBILISING ACTIVITY FROM PUBLIC THROUGH ISSUANCE OF PREFERENCE SHARES BY WAY OF PRIVATE PLACEMENT VIOLATING SECTIONS 56, 60 READ WITH 2(36) AND 73 READ WITH SECTION 465 OF THE COMPANIES ACT, 2013 
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 05-SEP-2014 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 05-SEP-2014 UNTIL FURTHER ORDERS

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-SEP-2014 UNTIL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-SEP-2014 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 05-SEP-2014 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 05-SEP-2014 UNTIL FURTHER ORDERS

05-SEP-2014
 
16 
History of entity/person BHARAT KRISHI SAMRIDHI INDUSTRIES LTD.     
History of entity/person GULZAR AHMED

History of entity/person PRADIP KUMAR DAS

History of entity/person PRABIR KUMAR CHATTOPADHYAY
 
SEBI  ENGAGED IN FUND MOBILISING ACTIVITY FROM PUBLIC THROUGH ISSUANCE OF NON-CONVERTIBLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73, 117B, 117C READ WITH SECTION 465 OF COMPANIES ACT, 2013 AND DEBT SECURITIES REGULATIONS

ENGAGED IN FUND MOBILISING ACTIVITY FROM PUBLIC THROUGH ISSUANCE OF PREFERENCE SHARES BY WAY OF PRIVATE PLACEMENT VIOLATING SECTIONS 56, 60 READ WITH 2(36) AND 73 READ WITH SECTION 465 OF THE COMPANIES ACT, 2013 
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 05-SEP-2014 UNTIL FURTHER ORDERS

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-SEP-2014 UNTIL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-SEP-2014 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 05-SEP-2014 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 05-SEP-2014 UNTIL FURTHER ORDERS

05-SEP-2014
 
17 
History of entity/person BHARAT KRISHI SAMRIDHI INDUSTRIES LTD.     
History of entity/person FIROZ HOSSAIN
 
SEBI  ENGAGED IN FUND MOBILISING ACTIVITY FROM PUBLIC THROUGH ISSUANCE OF NON-CONVERTIBLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73, 117B, 117C READ WITH SECTION 465 OF COMPANIES ACT, 2013 AND DEBT SECURITIES REGULATIONS

ENGAGED IN FUND MOBILISING ACTIVITY FROM PUBLIC THROUGH ISSUANCE OF PREFERENCE SHARES BY WAY OF PRIVATE PLACEMENT VIOLATING SECTIONS 56, 60 READ WITH 2(36) AND 73 READ WITH SECTION 465 OF THE COMPANIES ACT, 2013 
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 05-SEP-2014 UNTIL FURTHER ORDERS

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-SEP-2014 UNTIL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-SEP-2014 UNTIL FURTHER ORDERS

DIRECTED TO GIVE FULL INVENTORY OF ASSETS AND PROPERTIES

05-SEP-2014
 
18 
History of entity/person BHARAT KRISHI SECURED DEBENTURE DEVELOPMENT TRUST     
History of entity/person JAGDISH CHANDRA NAG

History of entity/person AMIT SAMANTA
 
SEBI  ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION  DEBARRED FROM UNDERTAKING FRESH BUSINESS AS DEBENTURE TRUSTEE FROM 05-SEP-2014 UNTIL FURTHER ORDERS

PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 05-SEP-2014 UNTIL FURTHER ORDERS

05-SEP-2014
 
19 
History of entity/person BHARAT KRISHI SECURED DEBENTURE TRUST     
History of entity/person SWADESH BANERJEE
 
SEBI  ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION  DEBARRED FROM UNDERTAKING FRESH BUSINESS AS DEBENTURE TRUSTEE FROM 05-SEP-2014 UNTIL FURTHER ORDERS

PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 05-SEP-2014 UNTIL FURTHER ORDERS

05-SEP-2014
 
20 
History of entity/person BHARATPUR NUTRITIONAL PRODUCTS LTD. 

(Old Name : BHARATPUR NUTRITIONAL LTD.)

(Old Name : DALMIA INDUSTRIES LTD.)    
  SEBI  DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)

DID NOT REDRESS INVESTOR COMPLAINTS 
IMPOSED PENALTY RS.1,50,000

18-SEP-2014
 

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

 
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