| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
DATE OF ACTION |
FURTHER DEVELOPMENTS |
| 1 |
|
ABS INDUSTRIES LTD.
|
|
|
|
RAKESH AGARWAL
|
|
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
|
| 2 |
|
|
AEE BEE INVESTMENTS
|
|
|
|
LAXMANDAS ARORA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE RIGGING IN SCRIP OF NAPA PAPERS LTD.
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
06-APR-1998
|
|
| 3 |
|
|
AEE BEE STOCKS PVT.LTD.
|
|
|
|
R.C.ARORA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE RIGGING IN SCRIP OF NAPA PAPERS LTD.
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
06-APR-1998
|
|
| 4 |
|
|
AGARWAL ENTERPRISES
|
|
|
|
SAURABH VORA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE RIGGING IN SCRIP OF NAPA PAPERS LTD.
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
06-APR-1998
|
|
| 5 |
|
|
ANKURITA TRADEFIN PVT.LTD.
|
|
|
|
ANIL SHROFF
|
|
|
DHARMENDRA PANDYA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE RIGGING IN SCRIP OF NAPA PAPERS LTD.
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
06-APR-1998
|
|
| 6 |
|
|
APCO PHARMA LTD.
|
|
|
|
SAURABH VORA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE RIGGING IN SCRIP OF NAPA PAPERS LTD.
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
06-APR-1998
|
|
| 7 |
|
|
BOKHARIA INVESTMENTS
|
|
|
|
BOKHARIA
|
|
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
|
|
| 8 |
|
|
BRILLIANT INVESTMENTS LTD.
|
|
|
|
MANOHAR JAIN
|
|
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
|
|
| 9 |
|
|
CHANDIGARH PACKAGING PRODUCTS LTD.
|
|
|
|
GURPREET KAUR DHILLON
|
|
|
HARMAL SINGH
|
|
|
HARPREET SINGH SANDHU
|
|
|
M.S.JAGANNATHAN
|
|
|
RIPJIT SINGH BRAR
|
|
|
SUKHDEV SINGH DHILLON
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
06-APR-1998
|
|
| 10 |
|
|
D.PANDYA INVESTMENTS
|
|
|
|
DHARMENDRA PANDYA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE RIGGING IN SCRIP OF NAPA PAPERS LTD.
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
06-APR-1998
|
|
| 11 |
|
|
EXPERT TECHNOLOGIES PVT.LTD.
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE RIGGING IN SCRIP OF NAPA PAPERS LTD.
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
06-APR-1998
|
|
| 12 |
|
|
GANGOTRI CEMENT LTD.
|
|
|
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME
|
LAUNCHED CRIMINAL PROSECUTION
17-APR-1998
|
17-APR-1998
|
|
| 13 |
|
|
GUJARAT DEHYD FOODS LTD.
|
|
|
|
B.S.DHOLAKIA
|
|
|
H.S.MARU
|
|
|
K.I.BAKSHI
|
|
|
M.K.BAKSHI
|
|
|
R.T.ZALA
|
|
|
S.I.BAKSHI
|
|
|
T.N.ZALA
|
|
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
|
|
| 14 |
|
|
GUJARAT FUN N WATER PARK LTD.
|
|
|
|
DIPTIBEN SHAH
|
|
|
GIRISH SHAH
|
|
|
HEMLATA P.BAROT
|
|
|
NIRMALSINH D.RANA
|
|
|
RAJENDRASINH D.ZALA
|
|
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
|
|
| 15 |
|
|
HI TECH SECURITIES
|
|
|
|
TUSHAR SHAH
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE RIGGING IN SCRIP OF NAPA PAPERS LTD.
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
06-APR-1998
|
|
| 16 |
|
|
IMAX EQUITY RESEARCH
|
|
|
|
RAJEEV KAPOOR
|
|
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
|
| 17 |
|
|
INDO-AMERICAN CREDIT CORP.LTD.
|
|
|
|
AKBARKHAN NUSURULLAHKHAN PATHAN
|
|
|
AMIT NAGINBHAI SHAH
|
|
|
DIPAK WALJIBHAI CHOUDHARY
|
|
|
DIPTI SHAH
|
|
|
LALITABEN SHAH
|
|
|
MAHESHBHAI SHANTILAL PATEL
|
|
|
RAJAN MEHTA
|
|
|
Y.D.DESAI
|
|
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
|
|
| 18 |
|
|
LAXMI INVESTMENTS
|
|
|
|
ANIL SHROFF
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE RIGGING IN SCRIP OF NAPA PAPERS LTD.
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
06-APR-1998
|
|
| 19 |
|
|
MAHADEV AGRO INDUSTRIES LTD.
|
|
|
|
AVADESH KUMAR SHARMA
|
|
|
DIPESH P.SETH
|
|
|
H.C.CHUGH
|
|
|
OM PRAKASH TUSHIR
|
|
|
RAJBIR SINGH HOODA
|
|
|
V.SHANKAR
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
06-APR-1998
|
|
| 20 |
|
|
MAHADEV BIO-ENGINEERS
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE RIGGING IN SCRIP OF NAPA PAPERS LTD.
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
06-APR-1998
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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