| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ABBAS MULANI
|
|
|
|
KARAN CONPRO PVT.LTD.
PAN:AADCK0504B
|
|
ALLEGED IRREGULARITIES IN THE MATTER OF BANK OF RAJASTHAN LTD.
|
SHOW CAUSE NOTICE ISSUED
22-JUN-2012
|
|
| 2 |
|
|
AJAY K.KAKKAD
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER REGULATIONS, 1997 IN MATTER OF WHITE DIAMONDS INDUSTRIES LTD.
|
SHOW CAUSE NOTICE ISSUED
15-APR-2013
|
|
| 3 |
|
|
ALLEN JAMES MCMILLAN
|
|
|
AIDED AND ABETTED PROMOTERS/DIRECTORS OF HOME TRADE LTD. IN MANIPULATE TRANSACTIONS IN MATTER OF OFFER OF SALE OF HOME TRADE LTD.
|
SHOW CAUSE NOTICE ISSUED
01-APR-2004
|
|
| 4 |
|
|
AMUL PRAVINCHANDRA SHETH
(PAN:AUNPS2417E)
|
|
|
ALLEGED INDULGENCE IN AIDING AND ABETTING COMPANY AND ITS PROMOTERS IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF E.STAR INFOTECH LTD.
ALLEGED FAILURE IN APPEARING PERSONALLY AND/OR PROVIDING NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF E.STAR INFOTECH LTD.
|
SHOW CAUSE NOTICE ISSUED
27-NOV-2009
|
|
| 5 |
|
|
ANIL KHANNA
|
|
|
|
VATSA CORP.LTD.
|
|
ALLEGED FAILURE IN REDRESSAL OF INVESTOR GRIEVANCE
ALLEGED FAILURE IN FURNISHING OF ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
SHOW CAUSE NOTICE ISSUED
06-NOV-2009
|
|
| 6 |
|
|
ANIL KUMAR DUBEY
(PAN:AIBPD9829P)
|
|
|
ALLEGED IRREGULARITIES IN THE MATTER OF BANK OF RAJASTHAN LTD.
|
SHOW CAUSE NOTICE ISSUED
27-JUN-2012
|
|
| 7 |
|
|
ANIL PATEL
(PAN:AAMPP3264F)
|
|
|
|
ADITYA INFO-SOFT LTD.
|
|
NOT AVAILABLE
|
SHOW CAUSE NOTICE ISSUED
13-AUG-2009
|
|
| 8 |
|
|
ARVIND PANDEY
|
|
|
ALLEGED IRREGULARITIES IN THE MATTER OF KIRLOSKAR INVESTMENT & FINANCE LTD.
|
SHOW CAUSE NOTICE ISSUED
28-FEB-2005
|
|
| 9 |
|
|
ASHOK KUMAR SINGH
|
|
|
|
ENNORE ENGINEERING PVT.LTD.
PAN:AABCE7493H
|
|
INDULGED IN OFF-MARKET TRANSACTIONS IN SCRIP OF BANK OF RAJASTHAN LTD.
|
SHOW CAUSE NOTICE ISSUED
27-JUL-2012
|
|
| 10 |
|
|
ASHWIN D.DOSHI
(PAN:AABPD8235D)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ELTROL LTD.
|
SHOW CAUSE NOTICE ISSUED
28-APR-2008
|
|
| 11 |
|
|
ASHWIN PATEL
|
|
|
|
MONARCH PROJECT & FINMARKETS LTD.
PAN:AAACM8214F
|
|
ALLEGED IRREGULARITIES IN PUBLIC ISSUE OF DHANLAXMI LEASE FINANCE LTD. (MULTIPLE AND BENAMI APPLICATIONS, INCOMPLETE APPLICATIONS, APPLICATIONS ACCEPTED AFTER CLOSURE OF THE ISSUE ETC.)
|
SHOW CAUSE NOTICE ISSUED
04-JUL-2007
|
|
| 12 |
|
|
B.BHAT
|
|
|
|
VATSA CORP.LTD.
|
|
ALLEGED FAILURE IN REDRESSAL OF INVESTOR GRIEVANCE
ALLEGED FAILURE IN FURNISHING OF ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
SHOW CAUSE NOTICE ISSUED
06-NOV-2009
|
|
| 13 |
|
|
BALASAHEB JAGANNATH KAMBLE
(PAN:AQUPK2396P)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRANSACTIONS IN SCRIP OF FLAWLESS DIAMOND INDIA LTD.
|
SHOW CAUSE NOTICE ISSUED
30-JUN-2011
|
|
| 14 |
|
|
BALDEV RAJ SHARMA
(PAN:CRGPS3281N)
|
|
|
|
SGI RESEARCH & ANALYSIS LTD.
CIN:U74140DL2010PLC203986
PAN:AAOCS5535R
|
|
ALLEGED INDULGENCE IN ISSUANCE OF PREFERENCE SHARES TO 162 INVESTORS VIOLATING PUBLIC ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES IN MATTER OF SGI RESEARCH & ANALYSIS LTD.
ALLEGED INDULGENCE IN ISSUANCE OF PREFERENCE SHARES BY MAKING FALSE PROMISES IN MATTER OF SGI RESEARCH & ANALYSIS LTD.
|
SHOW CAUSE NOTICE ISSUED
18-MAY-2012
|
|
| 15 |
|
|
BHAYYA D.RATHOD
|
|
|
|
VATSA CORP.LTD.
|
|
ALLEGED FAILURE IN REDRESSAL OF INVESTOR GRIEVANCE
ALLEGED FAILURE IN FURNISHING OF ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
SHOW CAUSE NOTICE ISSUED
06-NOV-2009
|
|
| 16 |
|
|
DATTU ABA SHITOLE
(PAN:AZRPS4603H)
|
|
|
ALLEGED IRREGULARITIES IN THE MATTER OF TODAY’S WRITING PRODUCTS LTD.
|
SHOW CAUSE NOTICE ISSUED
28-AUG-2008
|
|
| 17 |
|
|
DINA CHANDRAVADAN SONI
|
|
|
ALLEGED FAILURE IN APPEARING PERSONALLY AND/OR PROVIDING NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF NETVISION WEB TECHNOLOGIES LTD.
|
SHOW CAUSE NOTICE ISSUED
14-MAR-2011
|
|
| 18 |
|
|
DINESH KUMAR PANDEY
(PAN:AONPP7058J)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRANSACTIONS IN SCRIP OF FLAWLESS DIAMOND INDIA LTD.
|
SHOW CAUSE NOTICE ISSUED
30-JUN-2011
|
|
| 19 |
|
|
DINESH R.JAIN
|
|
|
|
GOODEARTH SYNTHETICS LTD.
|
|
ALLEGED FAILURE IN REDRESSAL OF INVESTOR GRIEVANCE
ALLEGED FAILURE IN FURNISHING OF ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
SHOW CAUSE NOTICE ISSUED
06-NOV-2009
|
|
| 20 |
|
|
G.K.CHAKRAPANI
|
|
|
ALLEGED IRREGULARITIES IN THE MATTER OF KIRLOSKAR INVESTMENT & FINANCE LTD.
|
SHOW CAUSE NOTICE ISSUED
22-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
|
