| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 181 |
|
JALAS BATRA
|
|
|
|
SAWACA BUSINESS MACHINES LTD.
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.4,64,954.00
|
| 182 |
|
|
JAMBUNATHAN SRINIVASA IYER
(PAN:AAAPI3724P)
|
|
|
|
INVENTURE GROWTH & SECURITIES LTD.
PAN:AAACI2044K
|
|
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) & 4(1) AND 4(2)(K) & (R) OF PFUTP REGULATIONS, 2003 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING REGULATION 57(1) AND 57(2) READ WITH CLAUSE 2(VII)(G) AND (XVI)(B)(2) OF PART A OF SCHEDULE VIII OF SEBI ICDR REGULATIONS, 2009 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
|
IMPOSED PENALTY RS.5,00,000
30-AUG-2019
|
|
| 183 |
|
|
JAMBUNATHAN SRINIVASA IYER
(PAN:AAAPI3724P)
|
|
|
|
INVENTURE GROWTH & SECURITIES LTD.
PAN:AAACI2044K
|
|
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING REGULATION 57(1) AND 57(2) READ WITH CLAUSE 2(VII)(G) AND (XVI)(B)(2) OF PART A OF SCHEDULE VIII OF SEBI ICDR REGULATIONS, 2009 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) & 4(1) AND 4(2)(K) & (R) OF PFUTP REGULATIONS, 2003 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
|
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 01-JAN-2019 TO 31-DEC-2022
06-AUG-2018
|
SAT: SAT VIDE ITS ORDER DATED 10/10/2019 ALLOWED THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 26/02/2020 ALLOWED THE APPEALS AND QUASHED IMPUGNED ORDER 10/10/2019 AND MATTER REMITTED TO AO TO DECIDE AFRESH
|
| 184 |
|
|
JATIN MANUBHAI SHAH
|
|
|
|
OASIS MEDIA MATRIX LTD.
CIN:L27100GJ1995PLC027638
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
30-JUN-2010
|
|
| 185 |
|
|
JAYESH KANTILAL SETH
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3(A) TO (D), 4 (1) AND 4 (2) (A) & (G) OF SEBI (PFUTP) REGULATIONS, 2003 READ WITH SECTION 12A (A) TO (C) OF SEBI ACT, 1992 IN THE MATTER OF HORIZON INFRASTRUCTURE LTD. (NOW KNOWN AS SKIL INFRASTRUCTURE LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,32,74,000, INTEREST RS.5,10,595 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAY-2017
|
|
| 186 |
|
|
JELLY RAJESH TOLIA
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3(A) TO (D), 4 (1) AND 4 (2) (A) & (G) OF SEBI (PFUTP) REGULATIONS, 2003 READ WITH SECTION 12A (A) TO (C) OF SEBI ACT, 1992 IN THE MATTER OF HORIZON INFRASTRUCTURE LTD. (NOW KNOWN AS SKIL INFRASTRUCTURE LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,32,74,000, INTEREST RS.5,10,595 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAY-2017
|
|
| 187 |
|
|
JUGAL KISHOR
|
|
|
|
ARUNODAY VINIMAY PVT.LTD.
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 188 |
|
|
JYOTI BANKDA
(PAN:ADHPB2855N)
|
|
|
|
SYNCOM HEALTHCARE LTD.
PAN:AAKCS3247G
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION WITHOUT MENTIONING GDR ISSUE VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SYNCOM HEALTHCARE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-JAN-2019 TO 14-JAN-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-JAN-2019 TO 14-JAN-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
15-JAN-2019
|
SAT: SAT VIDE ITS ORDER DATED 30/04/2021 DISMISSED THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 01/07/2021 APPEAL DISMISSED. NO COSTS
|
| 189 |
|
|
JYOTI BANKDA
(PAN:ADHPB2855N)
(Along with : AJAY SHANKARLAL BANKDA,
J.C.PALIWAL)
|
|
|
DID NOT MAKE DISCLOSURE WITH REGARD TO FAILURE OF ENTERING INTO MOU TO STOCK EXCHANGES VIOLATING CLAUSE 2.0 OF CODE OF CORPORATE DISCLOSURES FOR PREVENTION OF INSIDER TRADING AS SPECIFIED UNDER REGULATION 12(2) OF SCHEDULE II OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SYNCOM HEALTHCARE LTD.
DID NOT MAKE CORRECT CORPORATE ANNOUNCEMENT VIOLATING SECTION 12A(C) READ WITH REGULATIONS 3(D), 4(1), 4(2) (F) AND 4(2) (R) OF SEBI PFUTP REGULATIONS, 2003 IN MATTER OF SYNCOM HEALTHCARE LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-NOV-2017
|
SAT: SAT VIDE ITS ORDER DATED 18/05/2018 CONDONED THE DELAY OF 33 DAYS IN FILING OF APPEAL. FURTHER, SET ASIDED IMPUGNED ORDER DATED 30/11/2017 AND RESTORED THE MATTER FOR FRESH DECISION. NO COSTS
SEBI VIDE ITS ORDER DATED 30/11/2018 IMPOSED PENALTY OF RS.10 LACS ON NOTICEES SYNCOM HEALTHCARE LTD., MR.AJAY BANKDA, MR.JYOTI BANKDA AND MR.J.C.PALIWAL UNDER SECTTION 15HB
SEBI VIDE ITS NOTICE DATED 31/07/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS ORDER DATED 08/08/2019 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS,DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 31/07/2019
|
| 190 |
|
|
JYOTI HITESH SHAH
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3(A) TO (D), 4 (1) AND 4 (2) (A), (E) & (G) OF SEBI (PFUTP) REGULATIONS, 2003 READ WITH SECTION 12A (A) TO (C) OF SEBI ACT, 1992 IN THE MATTER OF HORIZON INFRASTRUCTURE LTD. (NOW KNOWN AS SKIL INFRASTRUCTURE LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,32,74,000, INTEREST RS.5,10,595 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAY-2017
|
|
| 191 |
|
|
JYOTI TRIVEDI
|
|
|
|
TOP MEDIA ENTERTAINMENT LTD.
|
|
VIOLATED REGULATIONS 4 (A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY/STOCK CHANGES AS REQUIRED UNDER REGULATION 6 OF SEBI TAKEOVER CODE, 1997
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY/STOCK CHANGES AS REQUIRED UNDER REGULATION 7 OF SEBI TAKEOVER CODE, 1997
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY/STOCK CHANGES AS REQUIRED UNDER REGULATION 8 OF SEBI TAKEOVER CODE, 1997
VIOLATED SECTION 11 OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
RS.15,60,000.00 PENALY PAID TOWARDS INTEREST WHICH INCLUDED LEGAL COSTS
|
| 192 |
|
|
JYOTSNA S.SHAH
(PAN:AKAPS1175J)
|
|
|
|
SAWACA BUSINESS MACHINES LTD.
|
|
|
SAWACA COMMUNICATION LTD.
CIN:L64201GJ1995PLC024912
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.4,64,954.00
|
| 193 |
|
|
K.C.KONDAIAH
|
|
|
|
KODIGANTI INVESTMENTS LTD.
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 194 |
|
|
K.E.DEVARAJAN
(PAN:AAGPE3474J
DIN:07228715)
|
|
|
INDULGED IN MIS-STATEMENT OR MANIPULATION IN BOOKS OF ACCOUNTS VIOLATING OF REGULATIONS 3(A) TO (D), 4(1), 4(2) (E) (K) & (R) OF SEBI (PFUTP) REGULATIONS, 2003 READ WITH SECTION 12A (A) TO (C) OF SEBI ACT, 1992 WHILE GOLD PURCHASE AND SALES IN SCRIP OF SURANA CORP.LTD.
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 07-SEP-2018 TO 06-SEP-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 07-SEP-2018 TO 06-SEP-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-SEP-2018 TO 06-SEP-2023
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 07-SEP-2018 TO 06-SEP-2023
DIRECTED TO ENSURE REFLECTION OF CORRECT DATA IN RESPECT OF INTERNAL RECORDS OF SURANA CORP.LTD. IN RESPECT OF TRANSACTIONS COVERED IN THIS ORDER AND CONSEQUENTIAL CHANGES THEREOF, AND PUBLISH FORTHCOMING QUARTERLY FILINGS BEFORE STOCK EXCHANGES
07-SEP-2018
|
|
| 195 |
|
|
K.GANESH BABU
|
|
|
|
PENTAMEDIA GRAPHICS LTD.
CIN:L74210TN1976PLC007142
PAN:AAACP1647B
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 196 |
|
|
K.M.VENKATESHWARAN
|
|
|
|
DSQ SOFTWARE LTD.
PAN:AAACS5071J
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 5 SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6 SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 197 |
|
|
K.MEENAKSHI
|
|
|
|
KODIGANTI INVESTMENTS LTD.
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 198 |
|
|
K.R.ARVINDAKSHAN
|
|
|
|
HULDA PROPERTIES & TRADES LTD.
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 199 |
|
|
KAILASH PRASAD PUROHIT
|
|
|
|
WARNER MULTIMEDIA LTD.
CIN:L92100WB1983PLC036338
PAN:AABCC0225H
|
|
VIOLATED REGULATION 4(A) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 4(B) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 200 |
|
|
KAMAL KUMAR KOTHARI
(PAN:AKYPK8782D)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3(A) TO (D), 4(1) AND 4(2) (A), (D) & (G) OF SEBI (PFUTP) REGULATIONS, 2003 READ WITH SECTION 12A(A) TO (C) OF SEBI ACT, 1992 IN MATTER OF LE WATERINA RESORTS & HOTELS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,09,687 VIDE CONSENT ORDER)
28-MAR-2018
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
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| Page 10 of 25
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