| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
A.V.SINGH
|
|
|
|
ASSURED AGRO PARK LTD.
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JUL-2001 TO 02-JUL-2006
REFERRED TO POLICE AUTHORITIES TO FILE FIR
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
LAUNCHED PROSECUTION AGAINST THE ENTITY AND ITS DIRECTORS U/S 24 AND 27 OF THE SEBI ACT
02-JUL-2001
|
A2 AND A4 DECLARED PO. A3 AND A5 ARE ACQUITTED. FILE CONSIGNED TO RECORD ROOM
|
| 42 |
|
|
AAKAR PLANTATIONS CO.LTD.
|
|
|
|
ADYA SHANKER TIWARI
|
|
|
AVINASH PATEL
|
|
|
DEVI LAL TIWARI
|
|
|
HARIHAR NATH MISHRA
|
|
|
OM PRAKASH SINGH
|
|
|
PREM CHANDRA
|
|
|
SAMBHU NATH MISHRA
|
|
|
SHAKUNTALA SINGH
|
|
|
SHARAD SINGH
|
|
|
SHASHI MISHRA
|
|
|
SUDHA SINGH
|
|
|
SUNITA SINGH
|
|
|
VIMLA DEVI SINGH
|
|
|
VINOD KUMAR SINGH
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-OCT-2002 TO 21-OCT-2007
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
21-OCT-2002
|
A1 TO A6 CONVICTED
|
| 43 |
|
|
AARADHYA FORESTS LTD.
|
|
|
|
DEEPAK NAGARIYA
|
|
|
RAMESH CHANDRA SOHANEY
|
|
|
SHAYAM KUMAR SOHANEY
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JUL-2001 TO 02-JUL-2006
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
02-JUL-2001
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.85,000 BY THE ACCUSED TO SEBI
|
| 44 |
|
|
AARAYA PLANTATIONS & FARM DEVELOPERS LTD.
|
|
|
|
A.K.CHAND
|
|
|
AHMAD IMRAN
|
|
|
ALOK CHAND
|
|
|
ANIL KUMAR SINGH
|
|
|
ANJU CHAND
|
|
|
ARAYA KUMAR CHAND
|
|
|
INDIRA CHAND
|
|
|
INDRA CHAND
|
|
|
K.K.SINGH
|
|
|
MANJU SRIVASTAVA
|
|
|
RAJNI SINGH
|
|
|
SANTOSH KUMAR SINGH
|
|
|
SUKUMAR SRIVASTAVA
|
|
|
UDAI VEER SINGH
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JUL-2001 TO 02-JUL-2006
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
LAUNCHED PROSECUTION AGAINST THE ENTITY AND ITS DIRECTORS U/S 24 AND 27 OF THE SEBI ACT
OFFICIAL LIQUIDATOR/ADMINISTRATOR APPOINTED SUBSEQUENT TO THE INITIATION OF ACTION BY SEBI
02-JUL-2001
|
|
| 45 |
|
|
AARAYA PLANTATIONS & FARM DEVELOPERS LTD.
|
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
LAUNCHED PROSECUTION AGAINST THE ENTITY AND ITS DIRECTORS U/S 24 AND 27 OF THE SEBI ACT
15-OCT-2001
|
|
| 46 |
|
|
AARTI
|
|
|
|
GOLDEN GREEN FORESTS & INVESTMENTS (I) LTD.
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JUL-2001 TO 02-JUL-2006
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
LAUNCHED PROSECUTION AGAINST THE ENTITY AND ITS DIRECTORS U/S 24 AND 27 OF THE SEBI ACT
02-JUL-2001
|
|
| 47 |
|
|
AARTI JAIN
|
|
|
|
GLITTER GOLD PLANTATIONS LTD.
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JUL-2001 TO 02-JUL-2006
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
02-JUL-2001
|
ACCUSED NO.2,3,5,7 & 8 CONVICTED AND SENTENCED TO RIGOROUS IMPRISONMENT FOR 3 MONTHS. IN ADDITION ACCUSED NO.1 COMPANY AND ACCUSED NO.2, 3,5,7 8 SHALL PAY A FINE OF RS.100000 EACH AND ON DEFAULT OF PAYMENT OF FINE, ACCUSED 2,3,5,7,& 8 SHALL GO SIMPLE IMPRISONMENT FOR 3 MONTHS EACH. ACCUSED 4 & 6 CONVICTED AND SENTENCED TO PAY OF RS.50000 EACH AND ON DEFAULT, SIMPLE
IMPRISONMENT FOR 3 MONTHS EACH
|
| 48 |
|
|
AASHIYANA PLANTATIONS PVT.LTD.
|
|
|
|
AZEEZA
|
|
|
MOHD.SHAHABUDDIN
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JUL-2001 TO 02-JUL-2006
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
LAUNCHED PROSECUTION AGAINST THE ENTITY AND ITS DIRECTORS U/S 24 AND 27 OF THE SEBI ACT
02-JUL-2001
|
|
| 49 |
|
|
AASTHA RESORTS & PLANTATIONS INDIA LTD.
|
|
|
|
ARUN KUMAR JAISWAL
|
|
|
HUKUM SINGH
|
|
|
N.L.PRAJAPATI
|
|
|
OM PRAKASH CHOUDHARY
|
|
|
P.N.SHUKLA
|
|
|
PARVEEN SRIVASTAVA
|
|
|
RATAN SINGH
|
|
|
SANJAY CHOURDHARY
|
|
|
SHIV PUJAN MADHUKAR
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-OCT-2001 TO 05-OCT-2006
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
05-OCT-2001
|
ALL ACCUSED CONVICTED AND SENTENCED A FINE OF RS.10,000 EACH AND ON DEFAULT SIMPLE IMPRISONMENT FOR ONE MONTH. FURTHER AWARD OF RS.30,000 TO SEBI AS EXPENSES INCURRED
|
| 50 |
|
|
ABA KRISHNARAO BHOGE
|
|
|
|
SHIVAJI ESTATES LIVE STOCK & FARM PVT.LTD.
|
|
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
DIRECTED TO WIND UP CIS AND REFUND MONEY TO THE INVESTORS FROM 06-JAN-2003 TO 06-JAN-2008
REJECTED APPLICATION FOR REGISTRATION OF CIS
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
REFERRED TO POLICE AUTHORITIES TO FILE FIR
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
LAUNCHED PROSECUTION AGAINST THE ENTITY AND ITS DIRECTORS U/S 24 AND 27 OF THE SEBI ACT
06-JAN-2003
|
|
| 51 |
|
|
ABBAL SINGH BHARAT
|
|
|
|
HELP (INDIA) PLANTATION & DEVELOPMENT
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JUL-2001 TO 02-JUL-2006
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
02-JUL-2001
|
ACCUSED MOBILIZED RS.0.9 LAKH. ALL ACCUSED CONVICTED AND SENTENCED TO FINE OF
RS.5000 EACH AND ON DEFAULT SIMPLE IMPRISONMENT FOR 2 MONTHS
|
| 52 |
|
|
ABC PLANTATIONS LTD.
|
|
|
|
BHAGWATI PRASAD SINGH
|
|
|
HARIDAYA KUMAR MAHAKUL
|
|
|
KAMAL KISHORE RAJU
|
|
|
MOHAN CHANDER FULARA
|
|
|
RAVI
|
|
|
SATYA PRAKASH GUPTA
|
|
|
TARA DUTT FULARA
|
|
|
UMAKANT SHARMA
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
02-JUL-2001
|
COURT CONVICTED ACCUSED NO.1 COMPANY,3,4 AND 6 AND SENTENCED TO PAY A FINE OF RS.20000 EACH, IN DEFAULT ACCUSED 3,4,6 SHALL UNDERGO 3 MONTHS SIMPLE IMPRISONMENTS. ACCUSED NO.2,5,8,AND 9 WERE DECLARED AS PROCLAIMED OFFENDERS
|
| 53 |
|
|
ABDUL AHAD
|
|
|
|
SUPERGOLD FORESTS LTD.
|
|
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
DIRECTED TO WIND UP CIS AND REFUND MONEY TO THE INVESTORS FROM 29-JUL-2002 TO 29-JUL-2007
REJECTED APPLICATION FOR REGISTRATION OF CIS
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-JUL-2002 TO 29-JUL-2007
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
LAUNCHED PROSECUTION AGAINST THE ENTITY AND ITS DIRECTORS U/S 24 AND 27 OF THE SEBI ACT
29-JUL-2002
|
|
| 54 |
|
|
ABDUL GANI PARREY
|
|
|
|
GREEN ENDOWMENT PLANTATIONS (I) LTD.
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JUL-2001 TO 02-JUL-2006
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
LAUNCHED PROSECUTION AGAINST THE ENTITY AND ITS DIRECTORS U/S 24 AND 27 OF THE SEBI ACT
02-JUL-2001
|
CONVICT NO.2 TO 4 SENTENCED RIGOROUS IMPRISONMENT FOR SIX MONTHS AND BURDENED WITH THE FINE OF 2LAC EACH IN DEFAULT FURTHER THREE MONTHS SIMPLE IMPRISONMENT FOR THE OFFENCE PUNISHABLE UNDER SECTION 24(1) OF SEBI ACT. CONVICT NO.1 IS BURDENED WITH A FINE OF 5 LAC FOR THE OFFENCE PUNISHABLE UNDER SECTION 24(1) OF SEBI ACT FINE AMOUNT NOT PAID
|
| 55 |
|
|
ABDUL GUFFAR
|
|
|
|
AIM PLANTATION (INDIA) LTD.
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 07-FEB-2001 TO 07-FEB-2006
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
LAUNCHED PROSECUTION AGAINST THE ENTITY AND ITS DIRECTORS U/S 24 AND 27 OF THE SEBI ACT
07-FEB-2001
|
ALL ACCUSED DECLARED PO
|
| 56 |
|
|
ABDUL HAQUE
|
|
|
|
TENERA PLANTATIONS & RESEARCH CENTRE LTD.
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JUL-2001 TO 02-JUL-2006
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
02-JUL-2001
|
|
| 57 |
|
|
ABDUL KHALIQUE
|
|
|
|
AL-HILAL ORCHARDS LTD.
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JUL-2001 TO 02-JUL-2006
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
02-JUL-2001
|
|
| 58 |
|
|
ABDUL MAJEED BHAT
|
|
|
|
GREEN ENDOWMENT PLANTATIONS (I) LTD.
|
|
|
ZAFFRON FORESTS INDIA LTD.
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JUL-2001 TO 02-JUL-2006
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
LAUNCHED PROSECUTION AGAINST THE ENTITY AND ITS DIRECTORS U/S 24 AND 27 OF THE SEBI ACT
02-JUL-2001
|
CONVICT NO.2 TO 4 SENTENCED RIGOROUS IMPRISONMENT FOR SIX MONTHS AND BURDENED WITH THE FINE OF 2LAC EACH IN DEFAULT FURTHER THREE MONTHS SIMPLE IMPRISONMENT FOR THE OFFENCE PUNISHABLE UNDER SECTION 24(1) OF SEBI ACT. CONVICT NO.1 IS BURDENED WITH A FINE OF 5 LAC FOR THE OFFENCE PUNISHABLE UNDER SECTION 24(1) OF SEBI ACT FINE AMOUNT NOT PAID
ACCUSED MOBILIZED RS.34 LAKH. FINE OF RS.6,000 IMPOSED ON EACH OF ACCUSED PERSON WITH DIRECTION TO FILE THE WINDING UP REPORT WITHIN A PERIOD OF TWO MONTHS. FURTHER AWARD OF RS.20,000 TO SEBI AS EXPENSES
|
| 59 |
|
|
ABDUL NASEER MANSOORI
|
|
|
|
SAMAGRA AGRO TECH LTD.
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JUL-2001 TO 02-JUL-2006
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
02-JUL-2001
|
ACCUSED MOBILIZED RS.0.6 LAKH. ALL ACCUSED CONVICTED AND SENTENCED TO FINE OF
RS.5000 EACH AND ON DEFAULT SIMPLE IMPRISONMENT FOR 3 MONTHS
|
| 60 |
|
|
ABDUL QUOYUM KARIMA
|
|
|
|
UNITED CAPITAL SERVICES (I) LTD.
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-JUL-2002 TO 29-JUL-2007
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
LAUNCHED PROSECUTION AGAINST THE ENTITY AND ITS DIRECTORS U/S 24 AND 27 OF THE SEBI ACT
29-JUL-2002
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 3 of 262
|
