| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ADINATH BIO-LABS LTD.
(PAN:AAECA5539M
CIN:L24230WB1982PLC034492)
|
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ABHISHEK KUMAR JAIN
|
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ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ADINATH BIO-LABS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 07-SEP-2009 TO 06-NOV-2009
01-SEP-2009
|
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| 2 |
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ADINATH BIO-LABS LTD.
(PAN:AAECA5539M
CIN:L24230WB1982PLC034492)
|
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ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ADINATH BIO-LABS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 07-SEP-2009 TO 06-NOV-2009
01-SEP-2009
|
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| 3 |
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ADINATH BIO-LABS LTD.
(PAN:AAECA5539M
CIN:L24230WB1982PLC034492)
|
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MANOJ KUMAR BOTHRA
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ADINATH BIO-LABS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 07-SEP-2009 TO 06-NOV-2009
01-SEP-2009
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| 4 |
|
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ADINATH BIO-LABS LTD.
(PAN:AAECA5539M
CIN:L24230WB1982PLC034492)
|
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|
|
FATEH CHAND JAIN
|
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ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ADINATH BIO-LABS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 07-SEP-2009 TO 06-NOV-2009
01-SEP-2009
|
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| 5 |
|
|
AMBUJA ESTATE & HOLDINGS PVT.LTD.
|
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MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPOS OF VARIOUS COMPANIES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-MAR-2009 TO 28-FEB-2012
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 01-MAR-2009 TO 28-FEB-2012
27-APR-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.1,80,00,000, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.24,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 01-MAR-2009 TO 28-FEB-2012
10-FEB-2009~
|
DIRECTED TO DISGORGE UNLAWFUL GAIN OF RS.24 LACS AND RS.180.00 LACS TOWARDS SETTLEMENT CHARGES AND UNDERGO VOLUNTARY DEBARMENT FOR 3 YEARS FROM 01/03/2009.DIRECTED NSDL TO PERMIT OPERATION OF DEMAT ACCOUNT FOR LIMITED PURPOSE OF SALE OF SPECIFIED SHARES. INSTRUCTED KARVY STOCKBROKING LTD. (DP) AND KHANDWALA INTEGRATED FINANCIAL SERVICES PVT.LTD. (STOCK BROKER) TO TAKE PRIOR CLEARANCE FROM NSDL AND AMOUNT OF SHARES SOLD SHOULD NOT EXCEED RS.2.04 CRORES.DIRECTED NSE TO PAY ENTIRE SALE PROCEEDS DIRECTLY TO SEBI WITHIN 7 DAYS. FURTHER DIRECTED TO COMPLETE SALE OF SHARES LATEST BY 20/02/2009
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| 6 |
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ASHOKA REFINERIES LTD.
|
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ASHOK KUMAR AGRAWAL
|
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HARISH VERMA
|
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KAILASH CHANDRA AGRAWAL
|
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SHABIR MENON
|
|
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SUDHIR DIXIT
|
|
ALLEGED DELAY IN TRANSFER OF SHARES OF ASHOKA REFINERIES LTD.
ALLEGED INDULGENCE IN PRICE RIGGING IN SCRIP OF ASHOKA REFINERIES LTD.
|
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 22-JUL-2009 TO 21-JUL-2011
22-JUL-2009
|
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| 7 |
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ATLANTA LTD.
|
|
|
|
SACHIN JAIN
|
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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
|
| 8 |
|
|
ATN INTERNATIONAL LTD.
(CIN:L65993WB1983PLC080793
PAN:AACCA5744Q)
|
|
|
|
SANTOSH KUMAR JAIN
PAN:ACQPJ7823E
|
|
ALLEGED INDULGENCE IN ISSUANCE OF MIS-LEADING ADVERTISEMENTS IN MATTER OF ATN INTERNATIONAL LTD.
ALLEGED INDULGENCE IN VIOLATION OF MODEL CODE OF CONDUCT IN SCHEDULE I UNDER REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ATN INTERNATIONAL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 20-JUN-2011 TO 19-JUN-2013
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 20-JUN-2011 TO 19-JUN-2013
20-JUN-2011
|
|
| 9 |
|
|
BALAXI OVERSEAS PVT.LTD.
(PAN:AAECA0526G)
|
|
|
ALLEGED FAILURE TO MAKE DISCLOSURE THAT MR.ASHISH MAHESHWARI, PROMOTER AND DIRECTOR OF THE COMPANY WAS CATEGORIZED AS A WILFULL DEFAULTER VIOLATING REGULATION 6(A) OF SAST REGULATIONS, 2011 IN MATTER OF ANANDAM RUBBER CO.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.8,40,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 08-DEC-2023 TO 07-DEC-2024
08-DEC-2023
|
|
| 10 |
|
|
COCHIN MALABAR ESTATES & INDUSTRIES LTD.
|
|
|
|
JIMMY JAL GAZDAR
|
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ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 8.608% SHARES OF COCHIN MALABAR ESTATE & INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 31-OCT-2009 TO 30-OCT-2010
28-OCT-2009
|
|
| 11 |
|
|
DATASOFT APPLICATION SOFTWARE (INDIA) LTD.
(PAN:AAACD7939A)
|
|
|
ALLEGED IRREGULARITIES IN ALLOTMENT OF PREFERENTIAL SHARES VIOLATING DIRECTIVES/INSTRUCTIONS/GUIDELINES FRAMED BY THE COMPANY
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 13-APR-2012 TO 12-APR-2013
13-APR-2012
|
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| 12 |
|
|
DEEPMALA DEALER LTD.
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF ATN INTERNATIONAL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 19-OCT-2009 TO 18-APR-2010
14-OCT-2009
|
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| 13 |
|
|
DIVINE ENTERTAINMENT LTD.
(PAN:AAACD6670J)
|
|
|
|
AUSHIM KHETRAPAL
PAN:ANZPK1199C
|
|
ALLEGED INDULGENCE IN ISSUANCE OF FALSE/MISLEADING PRESS RELEASES IN MATTER OF DIVINE ENTERTAINMENT LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 23-JUL-2013 TO 22-JUL-2017
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM RAISING FRESH CAPITAL FOR A PERIOD OF ONE YEAR)
23-JUL-2013
|
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| 14 |
|
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G.G.AUTOMOTIVE GEARS LTD.
|
|
|
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KENNEDY R.GAJRA
|
|
|
R.S.GAJRA
|
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ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF G.G.AUTOMOTIVE GEARS LTD.
ALLEGED FAILURE IN APPEARING PERSONALLY AND/OR PROVIDING NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF G.G.AUTOMOTIVE GEARS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 31-MAR-2011 TO 30-MAR-2013
31-MAR-2011
|
COMPANY VIDE DEMAND DRAFT NO.450291 DATED 16/03/2011 DRAWN ON UNION BANK OF INDIA DEPOSITED RS 15 LACS TOWARDS SETTLEMENT CHARGES
|
| 15 |
|
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GRAVITY (INDIA) LTD.
|
|
|
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RASIKLAL D.THAKKAR
|
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ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A),(2) AND (3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GRAVITY (INDIA) LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3),13(5) AND (6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GRAVITY (INDIA) LTD.
ALLEGED INDULGENCE IN MAKING MISLEADING CORPORATE ANNOUNCEMENT AND SALE OF SHARES AFTER SAID ANNOUNCEMENT IN MATTER OF GRAVITY (INDIA) LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 21-APR-2009 TO 20-APR-2011
20-APR-2009
|
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| 16 |
|
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GRAVITY TEXTILES PVT.LTD.
|
|
|
|
RASIKLAL D.THAKKAR
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A),(2) AND (3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GRAVITY (INDIA) LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3),13(5) AND (6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GRAVITY (INDIA) LTD.
ALLEGED INDULGENCE IN MAKING MISLEADING CORPORATE ANNOUNCEMENT AND SALE OF SHARES AFTER SAID ANNOUNCEMENT IN MATTER OF GRAVITY (INDIA) LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 21-APR-2009 TO 20-APR-2011
20-APR-2009
|
|
| 17 |
|
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HAKEEM AUTO LTD.
|
|
|
ALLEGED VIOLATION OF DIRECTIVES/INSTRUCTIONS/GUIDELINES AND ORDER OF SEBI IN MATTER OF VERONICA LABORATORIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 27-JAN-2009 TO 26-JAN-2012
27-JAN-2009
|
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| 18 |
|
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KINETIC CAPITAL SERVICES LTD.
|
|
|
|
DEEPAK KUMAR GUPTA
|
|
|
SANJIV KHURANA
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS THROUGH CIRCULAR TRADING IN SCRIP OF KINETIC CAPITAL SERVICES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 28-OCT-2010 TO 27-APR-2011
22-OCT-2010
|
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| 19 |
|
|
MANSUN CONSULTANCY PVT.LTD.
(PAN:AALCM1703G)
|
|
|
|
MANGAYARKARASI SUNDAR
PAN:AMPPM2461E
|
|
|
P.R.SUNDAR
PAN:ANTPP8886F
|
|
ALLEGED ACTED AS INVESTMENT ADVISOR WITHOUT SEBI REGISTRATION
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.46,80,000, DISGORGEMENT AMOUNT RS.4,59,95,763, INTEREST RS.1,47,74,100 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 25-MAY-2023 TO 24-MAY-2024
25-MAY-2023
|
|
| 20 |
|
|
ORIENT TRADELINK LTD.
(PAN:AAACO5359B)
|
|
|
|
AUSHIM KHETRAPAL
PAN:ANZPK1199C
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 23-JUL-2013 TO 22-JUL-2017
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM RAISING FRESH CAPITAL FOR A PERIOD OF ONE YEAR)
23-JUL-2013
|
SETTLEMENT CHARGES OF RS.10 LACS HAS BEEN PAID BY THE COMPANY BY DEMAND DRAFT NO.219159 DATED 20/05/2013 DRAWN ON ICICI BANK
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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