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S. No.
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DATE OF ORDER
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PERSON
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ENTITY
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COMPETENT AUTHORITY
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REGULATORY CHARGES
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REGULATORY ACTION(S) / DATE OF ORDER
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FURTHER DEVELOPMENTS
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1
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23-APR-2024
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ADWEALTH STOCK BROKING PVT.LTD.
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MSEI
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RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
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CANCELLED REGISTRATION AS TRADING MEMBERSHIP
23-APR-2024
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2
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23-APR-2024
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KONARK URBAN CO-OPERATIVE BANK LTD.,THE
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|
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RBI
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DID NOT ADHERE TO PROVISIONS OF RBI ACT, 1949
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RESTRAINED FROM GRANTING OR RENEWING ANY LOAN /ADVANCES, MAKE ANY INVESTMENT, INCUR ANY LIABILITIES INCLUDING BORROWAL OF FUNDS AND ACCEPTANCE OF FRESH DEPOSITS, DISBURSE OR AGREE TO DISBURSE ANY PAYMENT WHETHER IN DISCHARGE OF ITS LIABILITIES AND OBLIGATIONS OR OTHERWISE, ENTER INTO ANY COMPROMISE OR ARRANGEMENT AND SELL, TRANSFER OR OTHERWISE DISPOSE OF ANY OF ITS PROPERTIES OR ASSETS FROM 23-APR-2024 TO 22-OCT-2024
23-APR-2024
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3
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22-APR-2024
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TIPSONS CONSULTANCY SERVICES PVT.LTD.
(PAN:AADCT6508J)
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|
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SEBI
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ASSOCIATED WITH ISSUE OF U GRO CAPITAL LTD. PRIOR TO ITS APPOINTMENT AS MERCHANT BANKER
DELAY IN FILING OF DRAFT OFFER DOCUMENT WITH STOCK EXCHANGES
DID NOT CHECK WHETHER ANY FINES/PENALTIES WERE LEVIED BY STOCK EXCHANGES ON WATCHOUT INVESTORS WEBSITE
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IMPOSED PENALTY RS.3,00,000
22-APR-2024
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4
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19-APR-2024
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|
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AMBE SECURITIES PVT.LTD.
(PAN:AAACA7950L)
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|
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SEBI
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DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND COMPANY AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER JUMP NETWORKS LTD. (PRESENTLY KNOWN AS WINPRO INDUSTRIES LTD.)
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IMPOSED PENALTY RS.4,00,000
19-APR-2024
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|
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5
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19-APR-2024
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ANUPAM NARAIN GUPTA
(PAN:AIQPG8113N)
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SEBI
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DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND COMPANY AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER JUMP NETWORKS LTD. (PRESENTLY KNOWN AS WINPRO INDUSTRIES LTD.)
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IMPOSED PENALTY RS.4,00,000
19-APR-2024
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|
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6
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19-APR-2024
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|
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L N POLYESTERS LTD.
(PAN:AAACL4102B)
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|
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SEBI
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DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND COMPANY AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER JUMP NETWORKS LTD. (PRESENTLY KNOWN AS WINPRO INDUSTRIES LTD.)
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IMPOSED PENALTY RS.4,00,000
19-APR-2024
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7
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19-APR-2024
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|
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MID-CITY SUPERSTRUCTURES PVT.LTD.
(CIN:U45400MH2015PTC267260)
|
|
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NCLT
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DEFAULTED IN MAKING PAYMENT OF DUES
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APPLICATION ADMITTED- RS.2,57,52,97,623
19-APR-2024
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|
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8
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19-APR-2024
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|
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RED RIBBON STOCK BROKING PVT.LTD.
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|
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BSE
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RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
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CANCELLED STOCK BROKER MEMBERSHIP
19-APR-2024
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BSE VIDE ITS NOTICE DATED 19/04/2024 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
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9
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19-APR-2024
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|
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REGENCY COMMOSALES PVT.LTD.
(CIN:U51909WB2009PTC138643
PAN:AAECR5458C)
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|
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SEBI
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DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND COMPANY AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER JUMP NETWORKS LTD. (PRESENTLY KNOWN AS WINPRO INDUSTRIES LTD.)
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IMPOSED PENALTY RS.4,00,000
19-APR-2024
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|
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10
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19-APR-2024
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VICTORY FINANCIAL SERVICES LTD.
(PAN:AAACV3362P)
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|
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NSE
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RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
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CANCELLED REGISTRATION AS STOCK BROKER
19-APR-2024
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NSE VIDE ITS CIRCULAR DATED 19/04/2024 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
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11
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18-APR-2024
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ACHIN KUMAR ROY
(PAN:AACPR6406K)
|
|
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LEEL ELECTRICALS LTD.
(PAN:AAACL0484G)
|
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SEBI
|
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(F)(I)(2), 4(2)(F)(II)(2),(6)(7), 4(2)(F)(III)(7), 23(4) READ WITH 23(1) AND 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING CLAUSE 41(1)(A) OF ERSTWHILE LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF LEEL ELECTRICAL LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 18-APR-2024 TO 17-APR-2029
18-APR-2024
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12
|
18-APR-2024
|
ACHIN KUMAR ROY
(PAN:AACPR6406K)
|
|
|
LEEL ELECTRICALS LTD.
(PAN:AAACL0484G)
|
|
SEBI
|
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(F)(I)(2), 4(2)(F)(II)(2),(6)(7), 4(2)(F)(III)(7), 23(4) READ WITH 23(1) AND 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING CLAUSE 41(1)(A) OF ERSTWHILE LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF LEEL ELECTRICAL LTD.
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RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 18-APR-2024 TO 17-APR-2027
18-APR-2024
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|
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13
|
18-APR-2024
|
|
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AMBRO ASIA PVT.LTD.
(CIN:U74140DL2007PTC165276)
|
|
|
NCLT
|
DEFAULTED IN MAKING PAYMENT OF DUES
|
APPLICATION ADMITTED- RS.1,27,63,000
18-APR-2024
|
|
|
14
|
18-APR-2024
|
ANITA KAKAR SHARMA
(PAN:ARBPK3057B)
|
|
|
LEEL ELECTRICALS LTD.
(PAN:AAACL0484G)
|
|
SEBI
|
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(F)(I)(2), 4(2)(F)(II)(2),(6)(7), 4(2)(F)(III)(7), 23(4) READ WITH 23(1) AND 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING CLAUSE 41(1)(A) OF ERSTWHILE LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF LEEL ELECTRICAL LTD.
DID NOT ADHERE TO REGULATIONS 6(2)(A) TO 6(2)(C) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LEEL ELECTRICAL LTD.
|
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 18-APR-2024 TO 17-APR-2027
IMPOSED PENALTY RS.30,00,000
18-APR-2024
|
|
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15
|
18-APR-2024
|
BHARAT RAJ PUNJ
(PAN:AAHPP4196K)
|
|
|
LEEL ELECTRICALS LTD.
(PAN:AAACL0484G)
|
|
SEBI
|
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(F)(I)(2), 4(2)(F)(II)(2),(6)(7), 4(2)(F)(III)(7), 23(4) READ WITH 23(1) AND 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING CLAUSE 41(1)(A) OF ERSTWHILE LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF LEEL ELECTRICAL LTD.
|
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 18-APR-2024 TO 17-APR-2027
18-APR-2024
|
|
|
16
|
18-APR-2024
|
BHARAT RAJ PUNJ
(PAN:AAHPP4196K)
|
|
|
LEEL ELECTRICALS LTD.
(PAN:AAACL0484G)
|
|
SEBI
|
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(F)(I)(2), 4(2)(F)(II)(2),(6)(7), 4(2)(F)(III)(7), 23(4) READ WITH 23(1) AND 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING CLAUSE 41(1)(A) OF ERSTWHILE LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF LEEL ELECTRICAL LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 18-APR-2024 TO 17-APR-2029
18-APR-2024
|
|
|
17
|
18-APR-2024
|
GEETA TEKCHAND
(PAN:AAAPT0907H)
|
|
|
LEEL ELECTRICALS LTD.
(PAN:AAACL0484G)
|
|
SEBI
|
DID NOT EXERCISE DUE DILIGENCE AS A MEMBER OF AUDIT COMMITTEE VIOLATING REGULATION 18(3) READ WITH PART A OF PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LEEL ELECTRICAL LTD.
|
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 18-APR-2024 TO 17-APR-2027
IMPOSED PENALTY RS.10,00,000
18-APR-2024
|
|
|
18
|
18-APR-2024
|
|
|
INDIAN OVERSEAS BANK
|
|
|
|
PREETI VIJAY SAHJWANI
|
|
CBI
|
CHEATED INDIAN OVERSEAS BANK FOR RS.2,14,93,940.00 BY WAY OF CREDITING FINAL MATURITY PAYMENT OF FCNR DEPOSITS OF TWO ACCOUNTS INTO TWO FICTITIOUS ACCOUNTS WITHOUT ANY AUTHORITY LETTER FROM THE DEPOSITOR OR FROM POWER OF ATTORNEY (POA) HOLDER THEREBY CAUSING A LOSS TO BANK
SANCTIONED DEMAND LOANS/CASH CREDITS OF RS.1,40,50,000 IN THE NAMES OF FIVE FAKE PERSONS AGAINST SECURITY OF UN-SURRENDERED DEPOSIT RECEIPTS OF FCNR(B) BY MAKING CHANGES IN DEPOSIT AMOUNT, DATE, MATURITY VALUE ETC. THEREBY CAUSING A LOSS OF RS.2 CRORE (APPROX.) TO INDIAN OVERSEAS BANK
|
RIGOROUS IMPRISONMENT FOR SEVEN YEARS
18-APR-2024
|
|
|
19
|
18-APR-2024
|
|
|
LEEL ELECTRICALS LTD.
(PAN:AAACL0484G)
|
|
|
|
ACHIN KUMAR ROY
(PAN:AACPR6406K)
|
|
|
NIPUN SINGHAL
(PAN:AFFPG0064A)
|
|
|
BHARAT RAJ PUNJ
(PAN:AAHPP4196K)
|
|
SEBI
|
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(F)(I)(2), 4(2)(F)(II)(2),(6)(7), 4(2)(F)(III)(7), 23(4) READ WITH 23(1) AND 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LEEL ELECTRICAL LTD.
INDULGED IN DIVERSION OF FUNDS TO RELATED PARTIES AND MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISREPRESENTATION OF PROFITS FROM SALE OF CONSUMER DURABLE (CD) BUSINESS VIOLATING CLAUSE 41(1)(A) OF ERSTWHILE LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF LEEL ELECTRICAL LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 18-APR-2024 TO 17-APR-2029
18-APR-2024
|
|
|
20
|
18-APR-2024
|
|
|
LEEL ELECTRICALS LTD.
(PAN:AAACL0484G)
|
|
|
|
GEETA TEKCHAND
(PAN:AAAPT0907H)
|
|
SEBI
|
DID NOT EXERCISE DUE DILIGENCE AS A MEMBER OF AUDIT COMMITTEE VIOLATING REGULATION 18(3) READ WITH PART A OF PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LEEL ELECTRICAL LTD.
|
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 18-APR-2024 TO 17-APR-2027
IMPOSED PENALTY
18-APR-2024
|
|
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