| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AMADHI INVESTMENTS LTD.
(CIN:U65990GJ1988PLC054935
PAN:AAACA7300E)
|
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FACILITATED IN MANIPULATING IPO OF INFRASTRUCTURE DEVELOPMENT FINANCE CO.LTD. BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS AND LATER ON SELL THEM IN MARKET AT HIGHER PRICE FOR UNJUST ENRICHMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-JAN-2006 UNTIL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 12-JAN-2006 UNTIL FURTHER ORDERS
12-JAN-2006
|
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| 2 |
|
|
AMADHI INVESTMENTS LTD.
(CIN:U65990GJ1988PLC054935
PAN:AAACA7300E)
|
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|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
D TO DISGORGE RS.98,77,166
06-APR-2010~
|
AD INTERIM EX-PARTE ORDER DATED 27/04/2006 CONFIRMED AND DIRECTED THE NOTICEE NOT TO BUY, SELL OR DEAL IN SECURITIES INCLUDING IPOS, UNTIL FURTHER ORDERS.FURTHER DIRECTED TO ISSUE SHOW CAUSE NOTICE IF ANY, ARISING FROM THE INVESTIGATIONS AT THE EARLIEST, BUT NOT LATER THAN 15 DAYS FROM THE DATE OF THIS ORDER
DIRECTED VIDE ORDER DATED 06/04/2010 TO (I) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESSING SECURITIES MARKET, DIRECTLY OR INDIRECTLY, FOR A PERIOD OF ONE YEAR FROM DATE OF THIS ORDER AND (II) DISGORGE UNLAWFUL GAIN OF RS.77,77,296 ALONGWITH INTEREST OF RS.20,99,870 WITH 45 DAYS FROM THE DATE OF THIS ORDER
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| 3 |
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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
|
| 4 |
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|
ANAND NETANAND CHOUDHARY (HUF)
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
IMPOSED PENALTY RS.6,00,000
27-APR-2006
D TO DISGORGE RS.2,15,142
07-MAY-2009~
|
AD INTERIM EX-PARTE ORDER DATED 27/04/2006 DISPOSED OFF AND DIRECTED TO BE RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESSING SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 1 YEAR FROM DATE OF ORDER I.E. 07/05/2009 AND DISGORGE UNLAWFUL GAIN OF RS.2,15,150.00 ALONGWITH INTEREST @10% FROM DATE OF LISTING OF IPO OF NANDAN EXIM LTD.
PENALTY IMPOSED RS.6,00,000 VIDE ORDER DATED 30/09/2009
|
| 5 |
|
|
ASHMI FINANCIAL CONSULTANCY PVT.LTD.
(PAN:AAECA8167F)
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
D TO DISGORGE RS.1,23,55,840
07-APR-2011~
|
CONFIRMED INTERIM ORDER DATED 27/04/2006
SEBI VIDE ITS ORDER DATED 07/04/2011 DIRECTED 1.NOT TO BUY, SELL OR DEAL IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESS SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR THREE MONTHS FROM DATE OF ORDER AND 2.DISGORGE RS.1,23,55,840.00 (UNLAWFUL GAIN OF RS.79,71,510.00 AND INTEREST RS.43,84,330.00) WITHIN 45 DAYS FROM DATE OF ORDER OTHERWISE PERIOD OF RESTRAINT WILL BE FURTHER PERIOD OF SEVEN YEARS
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| 6 |
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|
BARGHAV PANCHAL (HUF)
|
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FACILITATED IN MANIPULATING IPO OF YES BANK LTD. BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS AND LATER ON SELL THEM IN MARKET AT HIGHER PRICE FOR UNJUST ENRICHMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-DEC-2005 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 15-DEC-2005 TILL FURTHER ORDERS
15-DEC-2005
|
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| 7 |
|
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DADIA FINVEST LTD.
|
|
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FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.11,50,000 VIDE CONSENT ORDER)
05-JUN-2008~
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.1150000 AGAINST NOTIONAL UNDUE GAIN AND RS.100000 AGAINST SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 05/06/2008
|
| 8 |
|
|
DATAMATICS TECHNOLOGIES LTD.
|
|
|
FACILITATED IN MANIPULATING IPO OF INFRASTRUCTURE DEVELOPMENT FINANCE CO.LTD. BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS AND LATER ON SELL THEM IN MARKET AT HIGHER PRICE FOR UNJUST ENRICHMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-JAN-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 12-JAN-2006 TILL FURTHER ORDERS
12-JAN-2006
|
DIRECTED NO NEED TO CONTINUE WITH THE DIRECTION ISSUED VIDE AD INTERIM EX-PARTE ORDER DATED 12/01/2006
ADJUDICATION PROCEEDINGS DISPOSED OFF. AS VIOLATIONS ALLEGED TO HAVE BEEN COMMITTED ARE NOT ESTABLISHED
|
| 9 |
|
|
EXCELL MULTITECH LTD.
|
|
|
FACILITATED IN MANIPULATING IPO OF YES BANK LTD. BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS AND LATER ON SELL THEM IN MARKET AT HIGHER PRICE FOR UNJUST ENRICHMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-DEC-2005 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 15-DEC-2005 TILL FURTHER ORDERS
15-DEC-2005
|
|
| 10 |
|
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EXCELL MULTITECH LTD.
|
|
|
|
DUSHYANT NATWARLAL DALAL
PAN:AAAPD5859Q
|
|
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PULOMA DUSHYANT DALAL
PAN:AAEPD2909B
|
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FACILITATED IN MANIPULATING IPO OF INFRASTRUCTURE DEVELOPMENT FINANCE CO.LTD. BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS AND LATER ON SELL THEM IN MARKET AT HIGHER PRICE FOR UNJUST ENRICHMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-JAN-2006 UNTIL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 12-JAN-2006 UNTIL FURTHER ORDERS
12-JAN-2006
|
|
| 11 |
|
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EXCELL MULTITECH LTD.
|
|
|
|
DUSHYANT NATWARLAL DALAL
PAN:AAAPD5859Q
|
|
|
PULOMA DUSHYANT DALAL
PAN:AAEPD2909B
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
|
|
| 12 |
|
|
JAYESH P.KHANDWALA (HUF)
(PAN:AAAHJ4784N)
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 26-OCT-2010 TO 25-JAN-2011
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-OCT-2010 TO 25-JAN-2011
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 26-OCT-2010 TO 25-JAN-2011
27-APR-2006
D TO DISGORGE RS.5,25,46,855 ALONG WITH OTHER ENTITIES/PERSONS
26-OCT-2010~
|
DIRECTED 1.NOT TO BUY,SELL OR DEAL IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESS SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR A PERIOD OF THREE MONTHS FROM DATE OF THIS ORDER 2.DISGORGE RS.5,25,46,855 (UNLAWFUL GAIN RS.4,04,20, 658 ALONGWITH INTERST @6% RS.1,21,26,197) WITHIN 45 DAYS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 03/04/2012 SET ASIDE IMPUGNED ORDER DATED 26/10/2010 AND REMANDED THE MATTER TO SEBI FOR HOLDING FRESH PROCEEDINGS WITH NO ORDER AS TO COSTS
|
| 13 |
|
|
JAYESH P.KHANDWALA (HUF)
(PAN:AAAHJ4784N)
|
|
|
FACILITATED IN MANIPULATING IPO OF INFRASTRUCTURE DEVELOPMENT FINANCE CO.LTD. BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS AND LATER ON SELL THEM IN MARKET AT HIGHER PRICE FOR UNJUST ENRICHMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-JAN-2006 UNTIL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 12-JAN-2006 UNTIL FURTHER ORDERS
12-JAN-2006
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| 14 |
|
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L.L.PHULWANI (HUF)
|
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FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.4,000, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.24,000 VIDE CONSENT ORDER)
22-JUL-2008~
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.4000 AGAINST SETTLEMENT CHARGES AND RS.24000 AGAINST AMOUNT DISGORGED AS PER CONSENT ORDER DATED 22/07/2008
|
| 15 |
|
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LOK PRAKASHAN LTD.
(PAN:AAACL2742F)
|
|
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FACILITATED IN MANIPULATING IPO OF INFRASTRUCTURE DEVELOPMENT FINANCE CO.LTD. BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS AND LATER ON SELL THEM IN MARKET AT HIGHER PRICE FOR UNJUST ENRICHMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-JAN-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 12-JAN-2006 TILL FURTHER ORDERS
12-JAN-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,29,306, DISGORGEMENT AMOUNT RS.1,43,27,580 VIDE CONSENT ORDER)
01-NOV-2012~
|
EX-PARTE AD-INTERIM ORDER DATED 12/01/2006 REVOKED AS APPLICANT DEPOSITED RS.100,29,306.00 TOWARDS SETTLEMENT CHARGES AND RS.1,43,27,580.00 TOWARDS DISGORGEMENT, AS PER TERMS SETTLED VIDE CONSENT ORDER DATED 01/11/2012
|
| 16 |
|
|
MASAT TEXTURISING & TWISTING PVT.LTD.
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.17,52,201, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.58,40,671 VIDE CONSENT ORDER)
03-DEC-2009~
|
SAT: CONFIRMED AD INTERIM EX-PARTE ORDER DATED 27/04/2006 WHICH SHALL CONTINUE TILL DISPOSAL OF SHOW CAUSE NOTICE DATED 07/01/2009
APPLICANT AGREED TO PAY RS.58,40,671 TOWARDS DISGORGEMENT (PAYABLE TO INVESTORS) AND RS.17,52,201 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATE 03/12/2009
|
| 17 |
|
|
NETANAND SURAJRAM BHAMBU (HUF)
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
IMPOSED PENALTY RS.5,50,000
27-APR-2006
D TO DISGORGE RS.1,97,261
07-MAY-2009~
|
AD INTERIM EX-PARTE ORDER DATED 27/04/2006 DISPOSED OFF AND DIRECTED TO BE RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESSING SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 1 YEAR FROM DATE OF ORDER I.E. 07/05/2009 AND DISGORGE UNLAWFUL GAIN OF RS.78900.00 ALONGWITH INTEREST @10% FROM DATE OF LISTING OF IPO OF NANDAN EXIM LTD.
PENALTY IMPOSED RS.5,50,000 VIDE ORDER DATED 30/09/2009
|
| 18 |
|
|
OPEE STOCK LINK LTD.
(PAN:AAACO4774G)
|
|
|
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 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
IMPOSED PENALTY RS.25,00,000
27-APR-2006
D TO DISGORGE RS.12,02,302
31-DEC-2008~
|
CONFIRMED INTERIM ORDER DATED APR. 27,2006
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO COMPLETE ENQUIRIES BEFORE 31/10/2008.ADJUDICATION PROCEEDINGS SHOULD ALSO BE DISPOSED OF BEFORE END OF OCTOBER THIS YEAR
|
| 19 |
|
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PRATIK PULP PVT.LTD.
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.18,00,000 VIDE CONSENT ORDER)
05-JUN-2008~
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.1800000 AGAINST NOTIONAL UNDUE GAIN AND RS.100000 AGAINST SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 05/06/2008
|
| 20 |
|
|
SANJAY RAMESHCHANDRA SHAH (HUF)
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.61,680, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.4,18,320 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
13-AUG-2008~
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.418320 AGAINST NOTIONAL UNDUE GAIN AND SETTLEMENT CHARGES OF RS.61680 JOINTLY WITH RAMESH CHIMANLAL SHAH AND SANJAY R.SHAH AS PER CONSENT ORDER DATED 13/08/2008
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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