| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
DATE OF ACTION |
FURTHER DEVELOPMENTS |
| 61 |
|
P.C.SONI
|
|
|
|
MITHILA STEEL INDUSTRIES LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
06-APR-1998
|
|
| 62 |
|
|
P.K.JAIN
|
|
|
|
XEDD TELECOM LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
06-APR-1998
|
|
| 63 |
|
|
PANNALAL TATIA
|
|
|
|
TATIA LEASING & FINANCE LTD.
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PARO LEASING & FINANCE LTD.
|
LAUNCHED CRIMINAL PROSECUTION
12-JUN-1998
|
12-JUN-1998
|
|
| 64 |
|
|
PRADEEP M.VAKIL
|
|
|
|
VATSA CORP.LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS REGARDING DELAY IN TRANSFER OF SHARES
FAILED TO PAY DIVIDENDS TO SHAREHOLDERS
|
LAUNCHED CRIMINAL PROSECUTION
19-JUN-1998
|
19-JUN-1998
|
|
| 65 |
|
|
PUSHPA DEVI
|
|
|
|
SHREE DEWAN STEELS (INDIA) LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
06-APR-1998
|
|
| 66 |
|
|
R.C.ARORA
|
|
|
|
AEE BEE STOCKS PVT.LTD.
|
|
|
OM SECURITIES
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE RIGGING IN SCRIP OF NAPA PAPERS LTD.
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
06-APR-1998
|
|
| 67 |
|
|
R.K.NARENDER
|
|
|
|
XEDD TELECOM LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
06-APR-1998
|
|
| 68 |
|
|
R.R.KUMAR
|
|
|
|
RICHIMEN SILKS LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
06-APR-1998
|
|
| 69 |
|
|
R.T.ZALA
|
|
|
|
GUJARAT DEHYD FOODS LTD.
|
|
DID NOT TRANSFER SHARE CERTIFICATES WITHIN STIPULATED TIME
FAILED TO PAY DIVIDENDS TO SHAREHOLDERS
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
27-SEP-2001
|
27-SEP-2001
|
|
| 70 |
|
|
R.V.KULKARNI
|
|
|
|
RADHIKA SPINNING MILLS LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
06-APR-1998
|
|
| 71 |
|
|
RAHUL H.BAJAJ
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF AMARA RAJA BATTERIES LTD.
|
LAUNCHED CRIMINAL PROSECUTION
27-JUL-2001
|
27-JUL-2001
|
|
| 72 |
|
|
RAJAN MEHTA
|
|
|
|
INDO-AMERICAN CREDIT CORP.LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS REGARDING DELAY IN TRANSFER OF SHARES
FAILED TO PAY DIVIDENDS TO SHAREHOLDERS
|
LAUNCHED CRIMINAL PROSECUTION
20-NOV-1998
|
20-NOV-1998
|
|
| 73 |
|
|
RAJBIR SINGH HOODA
|
|
|
|
MAHADEV AGRO INDUSTRIES LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
06-APR-1998
|
|
| 74 |
|
|
RAJEEV KAPOOR
|
|
|
|
IMAX EQUITY RESEARCH
|
|
LURED LARGE NUMBER OF UNSUSPECTING INVESTORS OF EASTERN REGION BY ASSURING THEM HIGH RETURNS
|
LAUNCHED CRIMINAL PROSECUTION
11-JUL-2008
|
11-JUL-2008
|
FILED CRIMINAL COMPLAINT ON 11/07/2008 AND PUBLIC CAUTIONED AND ADVISED NOT TO DEAL WITH RAJEEV KAPOOR
|
| 75 |
|
|
RAJENDRASINH D.ZALA
|
|
|
|
GUJARAT FUN N WATER PARK LTD.
|
|
DID NOT TRANSFER SHARE CERTIFICATES WITHIN STIPULATED TIME
FAILED TO PAY DIVIDENDS TO SHAREHOLDERS
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
27-SEP-2001
|
27-SEP-2001
|
|
| 76 |
|
|
RAKESH AGARWAL
|
|
|
|
ABS INDUSTRIES LTD.
|
|
INSIDER TRADING PRIOR TO ANNOUNCEMENT OF TAKEOVER OF ABS INDUSTRIES LTD. BY BAYER INDUSTRIES
|
DIRECTED TO DEPOSIT MONEY WITH INVESTOR PROTECTION FUND TO COMPENSATE INVESTORS
LAUNCHED CRIMINAL PROSECUTION
19-JUN-2001
REACHED SETTLEMENT (LEGAL EXPENSES RS.5,10,000 VIDE CONSENT ORDER)
23-JAN-2008
|
19-JUN-2001
|
SAT: PART OF ORDER SET ASIDE AND APPEAL ALLOWED
APPLICANT AGREED TO PAY A SUM OF RS.48,00,000.00 AS PER CONSENT ORDER DATED 23/01/2008 UNDER CIVIL APPEAL NO.2 OF 2004 IN SUPREME COURT (RS.34,00,000 ALREADY PAID TOWARDS INVESTOR PROTECTION FUND AND RS.4,00,000 TOWARDS AO PENALTY SHALL BE FORFEITED), RS.4,00,000 TOWARDS COMPOUNDING CHARGES AND RS.6,00,000 TOWARDS LEGAL EXPENSES (RS.90,000 CRIMINAL COMPLAINT AND RS.5,10,000 TOWARDS CIVIL MATTERS).MATTER ACCORDINGLY DISPOSED OFF
|
| 77 |
|
|
RAVI PRAKASH KHEMKA
|
|
|
|
NEPC-MICON LTD.
|
|
|
NEPC TEA GARDEN LTD.
|
|
|
SKYLINE NEPC LTD.
|
|
|
NEPC AGRO FOODS LTD.
|
|
|
NEPC AIRLINES LTD.
|
|
DELAYED PAYMENT TO SHAREHOLDERS AS REQUIRED SEBI TAKEOVER CODE, 1997 IN MATTER OF DAMANIA-NEPC LTD.
|
DEBARRED FROM OPERATING IN THE SECURITIES MARKET FROM 06-MAR-1997 TO 05-MAR-2002
LAUNCHED CRIMINAL PROSECUTION
06-MAR-1997
|
06-MAR-1997
|
|
| 78 |
|
|
REENA A.MAJUMDAR
|
|
|
|
MANNA GLASS-TECH INDUSTRIES LTD.
|
|
DID NOT TRANSFER SHARE CERTIFICATES WITHIN STIPULATED TIME
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
03-APR-2001
|
03-APR-2001
|
|
| 79 |
|
|
RIPJIT SINGH BRAR
|
|
|
|
CHANDIGARH PACKAGING PRODUCTS LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
06-APR-1998
|
|
| 80 |
|
|
S.I.BAKSHI
|
|
|
|
GUJARAT DEHYD FOODS LTD.
|
|
DID NOT TRANSFER SHARE CERTIFICATES WITHIN STIPULATED TIME
FAILED TO PAY DIVIDENDS TO SHAREHOLDERS
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
27-SEP-2001
|
27-SEP-2001
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
| |
| Page 4 of 6
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