| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AASTHA BROADCASTING NETWORK LTD.
(CIN:L67120MH1981PLC025111)
|
|
|
|
NEENA MEHTA
|
|
DID NOT DISCLOSE DETAILS OF MONIES UTILIZED OUT OF THE PREFERENTIAL ISSUE
DID NOT COMMUNICATE LOCK-IN DETAILS OF PROMOTERS' STAKE TO THE REGISTRAR
ACTED IN CONCERT WITH GROUP ENTITIES TO GIVE MISLEADING IMPRESSION OF SUCCESSFUL SUBSCRIPTION OF PREFERENTIAL ALLOTMENT THROUGH RECIRCULATING MONEY AMONG THEMSELVES IN CASE OF AASTHA BROADCASTING NETWORK LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-JAN-2004 TO 14-JAN-2007
06-SEP-2005
|
SAT: APPEAL FAILED AND DISMISSED
|
| 2 |
|
|
ADHUNIK FINANCE PVT.LTD.
(PAN:AACCA3263G)
(Along with : ATLANTA LTD.)
|
|
|
|
SADHANA DILIP NABERA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
|
|
| 3 |
|
|
ADVANCE HOVERCRAFT & COMPOSITES (INDIA) LTD.
|
|
|
|
PRASHANT KUMAR
|
|
DEMATERIALISED AND SOLD CERTAIN SHARES OF SHONKH TECHNOLOGIES INTERNATIONAL LTD. DURING LOCK-IN PERIOD
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
20-NOV-2015
|
|
| 4 |
|
|
ALL SEASONS HOTELS PVT.LTD.
|
|
|
INDULGED IN MARKET/PRICE MANIPULATION IN SCRIP OF PADMINI TECHNOLOGIES LTD.
IRREGULARITIES IN ALLOTMENT OF SHARES OF PADMINI TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2007 TO 30-MAR-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2007 TO 30-MAR-2012
31-MAR-2007
|
|
| 5 |
|
|
AMBALAL P.BAROT (HUF)
(Along with : ATLANTA LTD.)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
|
AD INTERIM ORDER DATED 22/02/2007 AMENDED TO THE EXTENT THAT CREDIT OF SHARES MAY BE EFFECTED, EXCHANGES AND DEPOSITORIES DIRECTED TO NOTE AND GIVE EFFECT TO THE SAME
SAT: DIRECTED APPLICANT TO APPROACH SEBI TO ALLOW THEM TO FILE THEIR OBJECTION, AS THEY CAN NOT AFFORD A PERSONAL HEARING
|
| 6 |
|
|
ATLANTA LTD.
|
|
|
|
SACHIN JAIN
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2008 TO 29-SEP-2009
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 30-SEP-2008 TO 29-SEP-2009
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 30-SEP-2008 TO 29-SEP-2009
30-SEP-2008~
|
AD-INTERIM ORDER DATED 22/02/2007 AMENDED TO THE EXTENT THAT THE COMPANY MAY GO AHEAD WITH ANY RESTRUCTURING OF ITS CAPITAL.EXCHANGES AND DEPOSITORIES ARE DIRECTED TO NOTE AND GIVE EFFECT TO THESE
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO PASS FINAL ORDER ON OR BEFORE 22/09/2008 TILL SUCH TIME DIRECTIONS ISSUED BY IMPUGNED ORDER WILL CONTINUE TO OPERATE WITH NO ORDER AS TO COSTS
|
| 7 |
|
|
ATLANTA LTD.
(Along with : ADHUNIK FINANCE PVT.LTD.,
AMBALAL P.BAROT (HUF),
EDEN REALTY PVT.LTD.,
ELLIS EQUITY ADVISORS PVT.LTD.,
EMERGING CAPITAL ADVISORS LTD.,
HEM-KANAK MERCANTILE PVT.LTD.,
HIM REALTY PVT.LTD.,
MAYROSE CAPFIN PVT.LTD.,
NEOL EQUITY RESEARCH PVT.LTD.,
RAJENDRA A.BAROT (HUF),
SAMRADHA FINSTOCK PVT.LTD.,
SPARKLINE MERCANTILE CO.PVT.LTD.,
SPOT LIGHT SECURITIES PVT.LTD.,
STRATEGIC RESEARCH INTELLIGENCE LTD.,
WINSTAR E-COM PVT.LTD.)
|
|
|
|
BHAVANA R.BBAROT
|
|
|
DILIP NABERA
|
|
|
JAY THAKURAL
|
|
|
KISHORE THAKURAL
|
|
|
MANISH MARWAH
|
|
|
MITUL M.DOSHI
|
|
|
MUKUND C.DOSHI
|
|
|
PRAKASH J.MODI
|
|
|
RAJHOO BBAROT
|
|
|
RIDHIMA M.DOSHI
|
|
|
RIKIN R.BBAROT
|
|
|
SADHANA DILIP NABERA
|
|
|
SHADILAL CHOPRA
PAN:AAAPC6067F
|
|
|
SMITA M.DOSHI
|
|
|
VIKRAMKUMAR DEVICHAND JAIN
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.4,22,338, ADMINISTRATION CHARGES RS.27,065 VIDE CONSENT ORDER)
26-JUN-2009~
|
AD INTERIM ORDER DATED 22/02/2007 AMENDED TO THE EXTENT THAT THE COMPANY MAY GO AHEAD WITH ANY RESTRUCTURING OF ITS CAPITAL.EXCHANGES AND DEPOSITORIES ARE DIRECTED TO NOTE AND GIVE EFFECT TO THESE
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO PASS FINAL ORDER ON OR BEFORE 22/09/2008 TILL SUCH TIME DIRECTIONS ISSUED BY IMPUGNED ORDER WILL CONTINUE TO OPERATE WITH NO ORDER AS TO COSTS
|
| 8 |
|
|
ATLANTA LTD.
(Along with : ADHUNIK FINANCE PVT.LTD.,
AMBALAL P.BAROT (HUF),
EDEN REALTY PVT.LTD.,
ELLIS EQUITY ADVISORS PVT.LTD.,
EMERGING CAPITAL ADVISORS LTD.,
HEM-KANAK MERCANTILE PVT.LTD.,
HIM REALTY PVT.LTD.,
MAYROSE CAPFIN PVT.LTD.,
NEOL EQUITY RESEARCH PVT.LTD.,
RAJENDRA A.BAROT (HUF),
SAMRADHA FINSTOCK PVT.LTD.,
SPARKLINE MERCANTILE CO.PVT.LTD.,
SPOT LIGHT SECURITIES PVT.LTD.,
STRATEGIC RESEARCH INTELLIGENCE LTD.,
WINSTAR E-COM PVT.LTD.)
|
|
|
|
BHAVANA R.BBAROT
|
|
|
DILIP NABERA
|
|
|
JAY THAKURAL
|
|
|
KISHORE THAKURAL
|
|
|
MANISH MARWAH
|
|
|
MITUL M.DOSHI
|
|
|
MUKUND C.DOSHI
|
|
|
PRAKASH J.MODI
|
|
|
RAJHOO BBAROT
|
|
|
RIDHIMA M.DOSHI
|
|
|
RIKIN R.BBAROT
|
|
|
SADHANA DILIP NABERA
|
|
|
SHADILAL CHOPRA
PAN:AAAPC6067F
|
|
|
SMITA M.DOSHI
|
|
|
VIKRAMKUMAR DEVICHAND JAIN
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 22-FEB-2007 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
|
AD-INTERIM ORDER DATED 22/02/2007 AMENDED TO THE EXTENT THAT THE COMPANY MAY GO AHEAD WITH ANY RESTRUCTURING OF ITS CAPITAL.EXCHANGES AND DEPOSITORIES ARE DIRECTED TO NOTE AND GIVE EFFECT TO THESE
AD INTERIM ORDER DATED 22/02/2007 AMENDED TO THE EXTENT THAT THE COMPANY MAY GO AHEAD WITH ANY RESTRUCTURING OF ITS CAPITAL.EXCHANGES AND DEPOSITORIES ARE DIRECTED TO NOTE AND GIVE EFFECT TO THESE
|
| 9 |
|
|
ATLANTA LTD.
(Along with : ADHUNIK FINANCE PVT.LTD.,
AMBALAL P.BAROT (HUF),
EDEN REALTY PVT.LTD.,
ELLIS EQUITY ADVISORS PVT.LTD.,
EMERGING CAPITAL ADVISORS LTD.,
HEM-KANAK MERCANTILE PVT.LTD.,
HIM REALTY PVT.LTD.,
MAYROSE CAPFIN PVT.LTD.,
NEOL EQUITY RESEARCH PVT.LTD.,
RAJENDRA A.BAROT (HUF),
SAMRADHA FINSTOCK PVT.LTD.,
SPARKLINE MERCANTILE CO.PVT.LTD.,
SPOT LIGHT SECURITIES PVT.LTD.,
STRATEGIC RESEARCH INTELLIGENCE LTD.,
WINSTAR E-COM PVT.LTD.)
|
|
|
|
BHAVANA R.BBAROT
|
|
|
DILIP NABERA
|
|
|
JAY THAKURAL
|
|
|
KISHORE THAKURAL
|
|
|
MANISH MARWAH
|
|
|
MITUL M.DOSHI
|
|
|
MUKUND C.DOSHI
|
|
|
PRAKASH J.MODI
|
|
|
RAJHOO BBAROT
|
|
|
RIDHIMA M.DOSHI
|
|
|
RIKIN R.BBAROT
|
|
|
SADHANA DILIP NABERA
|
|
|
SHADILAL CHOPRA
PAN:AAAPC6067F
|
|
|
SMITA M.DOSHI
|
|
|
VIKRAMKUMAR DEVICHAND JAIN
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.1,91,850, ADMINISTRATION CHARGES RS.12,294 VIDE CONSENT ORDER)
26-JUN-2009~
|
AD INTERIM ORDER DATED 22/02/2007 AMENDED TO THE EXTENT THAT THE COMPANY MAY GO AHEAD WITH ANY RESTRUCTURING OF ITS CAPITAL.EXCHANGES AND DEPOSITORIES ARE DIRECTED TO NOTE AND GIVE EFFECT TO THESE
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO PASS FINAL ORDER ON OR BEFORE 22/09/2008 TILL SUCH TIME DIRECTIONS ISSUED BY IMPUGNED ORDER WILL CONTINUE TO OPERATE WITH NO ORDER AS TO COSTS
|
| 10 |
|
|
ATLANTA LTD.
(Along with : ADHUNIK FINANCE PVT.LTD.,
AMBALAL P.BAROT (HUF),
EDEN REALTY PVT.LTD.,
ELLIS EQUITY ADVISORS PVT.LTD.,
EMERGING CAPITAL ADVISORS LTD.,
HEM-KANAK MERCANTILE PVT.LTD.,
HIM REALTY PVT.LTD.,
MAYROSE CAPFIN PVT.LTD.,
NEOL EQUITY RESEARCH PVT.LTD.,
RAJENDRA A.BAROT (HUF),
SAMRADHA FINSTOCK PVT.LTD.,
SPARKLINE MERCANTILE CO.PVT.LTD.,
SPOT LIGHT SECURITIES PVT.LTD.,
STRATEGIC RESEARCH INTELLIGENCE LTD.,
WINSTAR E-COM PVT.LTD.)
|
|
|
|
BHAVANA R.BBAROT
|
|
|
DILIP NABERA
|
|
|
JAY THAKURAL
|
|
|
KISHORE THAKURAL
|
|
|
MANISH MARWAH
|
|
|
MITUL M.DOSHI
|
|
|
MUKUND C.DOSHI
|
|
|
PRAKASH J.MODI
|
|
|
RAJHOO BBAROT
|
|
|
RIDHIMA M.DOSHI
|
|
|
RIKIN R.BBAROT
|
|
|
SADHANA DILIP NABERA
|
|
|
SHADILAL CHOPRA
PAN:AAAPC6067F
|
|
|
SMITA M.DOSHI
|
|
|
VIKRAMKUMAR DEVICHAND JAIN
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.12,89,114 VIDE CONSENT ORDER)
08-JAN-2010~
|
AD INTERIM ORDER DATED 22/02/2007 AMENDED TO THE EXTENT THAT THE COMPANY MAY GO AHEAD WITH ANY RESTRUCTURING OF ITS CAPITAL.EXCHANGES AND DEPOSITORIES ARE DIRECTED TO NOTE AND GIVE EFFECT TO THESE
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO PASS FINAL ORDER ON OR BEFORE 22/09/2008 TILL SUCH TIME DIRECTIONS ISSUED BY IMPUGNED ORDER WILL CONTINUE TO OPERATE WITH NO ORDER AS TO COSTS
|
| 11 |
|
|
ATLANTA LTD.
(Along with : ADHUNIK FINANCE PVT.LTD.,
AMBALAL P.BAROT (HUF),
EDEN REALTY PVT.LTD.,
ELLIS EQUITY ADVISORS PVT.LTD.,
EMERGING CAPITAL ADVISORS LTD.,
HEM-KANAK MERCANTILE PVT.LTD.,
HIM REALTY PVT.LTD.,
MAYROSE CAPFIN PVT.LTD.,
NEOL EQUITY RESEARCH PVT.LTD.,
RAJENDRA A.BAROT (HUF),
SAMRADHA FINSTOCK PVT.LTD.,
SPARKLINE MERCANTILE CO.PVT.LTD.,
SPOT LIGHT SECURITIES PVT.LTD.,
STRATEGIC RESEARCH INTELLIGENCE LTD.,
WINSTAR E-COM PVT.LTD.)
|
|
|
|
BHAVANA R.BBAROT
|
|
|
DILIP NABERA
|
|
|
JAY THAKURAL
|
|
|
KISHORE THAKURAL
|
|
|
MANISH MARWAH
|
|
|
MITUL M.DOSHI
|
|
|
MUKUND C.DOSHI
|
|
|
PRAKASH J.MODI
|
|
|
RAJHOO BBAROT
|
|
|
RIDHIMA M.DOSHI
|
|
|
RIKIN R.BBAROT
|
|
|
SADHANA DILIP NABERA
|
|
|
SHADILAL CHOPRA
PAN:AAAPC6067F
|
|
|
SMITA M.DOSHI
|
|
|
VIKRAMKUMAR DEVICHAND JAIN
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
SETTLEMENT ( CONSENT ORDER)
26-JUN-2009~
|
AD INTERIM ORDER DATED 22/02/2007 AMENDED TO THE EXTENT THAT THE COMPANY MAY GO AHEAD WITH ANY RESTRUCTURING OF ITS CAPITAL.EXCHANGES AND DEPOSITORIES ARE DIRECTED TO NOTE AND GIVE EFFECT TO THESE
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO PASS FINAL ORDER ON OR BEFORE 22/09/2008 TILL SUCH TIME DIRECTIONS ISSUED BY IMPUGNED ORDER WILL CONTINUE TO OPERATE WITH NO ORDER AS TO COSTS
|
| 12 |
|
|
ATLANTA THAKURAL CONSTRUCTIONS
|
|
|
|
JAY THAKURAL
|
|
|
KISHORE THAKURAL
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
SETTLEMENT ( CONSENT ORDER)
22-SEP-2008~
|
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO PASS FINAL ORDER ON OR BEFORE 22/09/2008 TILL SUCH TIME DIRECTIONS ISSUED BY IMPUGNED ORDER WILL CONTINUE TO OPERATE WITH NO ORDER AS TO COSTS
|
| 13 |
|
|
BHAGWANDAS SAGARMAL,M/S
|
|
|
|
ANIL KISHOREPURIA
|
|
|
SAJJAN KUMAR KISHOREPURIA
|
|
INDULGED IN MARKET/PRICE MANIPULATION IN SCRIP OF PADMINI TECHNOLOGIES LTD.
IRREGULARITIES IN ALLOTMENT OF SHARES OF PADMINI TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2007 TO 30-MAR-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2007 TO 30-MAR-2012
31-MAR-2007
|
|
| 14 |
|
|
BLLUMENFIELD LTD.
|
|
|
|
ANIL KISHOREPURIA
|
|
|
SUNIL KUMAR KISHOREPURIA
|
|
INDULGED IN MARKET/PRICE MANIPULATION IN SCRIP OF PADMINI TECHNOLOGIES LTD.
IRREGULARITIES IN ALLOTMENT OF SHARES OF PADMINI TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2007 TO 30-MAR-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2007 TO 30-MAR-2012
31-MAR-2007
|
|
| 15 |
|
|
BONANZA BIOTECH LTD.
|
|
|
|
AMIT PATEL
|
|
|
ARVIND VASWANI
|
|
|
DRUMA VAGHELA
|
|
|
MANISH GANERIWALA
|
|
|
RAKESH PANDYA
|
|
|
SHARAD GUJRATHI
|
|
MASSIVE IRREGULARITIES IN THE TRADING OF SHARES OF DESIGN AUTO SYSTEMS LTD.
VIOLATED SEBI PREFERENTIAL ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES IN MATTER OF DESIGN AUTO SYSTEMS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-MAR-2007 TO 05-MAR-2014
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-MAR-2007 TO 05-MAR-2014
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
06-MAR-2007
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
|
| 16 |
|
|
CAMA ENTERPRISES LTD.
|
|
|
|
ARUN GOENKA
|
|
|
ASHOK SOOD
|
|
|
UMESH GOENKA
|
|
INDULGED IN MARKET/PRICE MANIPULATION IN SCRIP OF PADMINI TECHNOLOGIES LTD.
IRREGULARITIES IN ALLOTMENT OF SHARES OF PADMINI TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2007 TO 30-MAR-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2007 TO 30-MAR-2012
31-MAR-2007
|
|
| 17 |
|
|
CELLULOSE & CHEMICALS PVT.LTD.
(Along with : M.N.SARDHARA (HUF))
|
|
|
|
BALUBHAI MULJIBHAI SARDHARA
|
|
|
BIPINCHANDRA N.PATEL
|
|
|
KOONJANBEN BALUBHAI SARDHARA
|
|
|
NAVNIT N.PATEL
|
|
|
RAVINDRA PARAB
|
|
|
SADHANABEN BALUBHAI SARDHARA
|
|
|
SEJALBEN BALUBHAI SARDHARA
|
|
|
SMITA B.PATEL
|
|
ALLOTTED SHARES ON PREFERENTIAL BASIS AT AN ARTIFICIALLY DEPRESSED PRICE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-FEB-2006 TO 01-FEB-2009
02-FEB-2006
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE, WITH NO ORDER AS TO COSTS
|
| 18 |
|
|
CHERRY MARKETING LTD.
|
|
|
|
ARUN GOENKA
|
|
|
ASHOK SOOD
|
|
|
UMESH GOENKA
|
|
INDULGED IN MARKET/PRICE MANIPULATION IN SCRIP OF PADMINI TECHNOLOGIES LTD.
IRREGULARITIES IN ALLOTMENT OF SHARES OF PADMINI TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2007 TO 30-MAR-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2007 TO 30-MAR-2012
31-MAR-2007
|
|
| 19 |
|
|
CHURUWALA EXPORTS PVT.LTD.
|
|
|
|
KIRAN DEVI AGARWAL
|
|
|
SANDEEP KUMAR GUPTA
|
|
INDULGED IN MARKET/PRICE MANIPULATION IN SCRIP OF PADMINI TECHNOLOGIES LTD.
IRREGULARITIES IN ALLOTMENT OF SHARES OF PADMINI TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2007 TO 30-MAR-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2007 TO 30-MAR-2012
31-MAR-2007
|
|
| 20 |
|
|
CONTESSA COMMERCIAL CO.PVT.LTD.
|
|
|
|
BIJAY KUMAR KISHOREPURIA
|
|
|
SAJJAN KUMAR KISHOREPURIA
|
|
|
SUNIL KUMAR KISHOREPURIA
|
|
INDULGED IN MARKET/PRICE MANIPULATION IN SCRIP OF PADMINI TECHNOLOGIES LTD.
IRREGULARITIES IN ALLOTMENT OF SHARES OF PADMINI TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2007 TO 30-MAR-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2007 TO 30-MAR-2012
31-MAR-2007
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 1 of 5
|
