S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
181 |
|
SANRAA MEDIA LTD.
(PAN:AAACS9093A)
|
|
|
ANNASWAMI VENKATRAMANI
PAN:AABPV3960F
|
|
KRISHNAN RAJAGOPAL
PAN:AEHPR7931J
|
|
RAJEEV AGARWAL
DIN:00232816 PAN:AAJPA6719K
|
|
RAJENDRAN SIVASHANKARAN
PAN:AVAPS0218D
|
|
SUKUMAR SUBRAMANIAN
DIN:01835134 PAN:AOUPS4543L
|
|
UMA KARTHIKEYAN
DIN:00092543 PAN:AKPPK3166J
|
|
MISLED INVESTORS INTO BELIEVING ABOUT SUCCESS OF GDR ISSUE VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) AND 4 (2) (F), (K) & (R) OF SEBI (PFUTP) REGULATIONS, 2003
DID NOT MAKE DISCLOSURE OF PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES VIOLATING CLAUSES 36(7) AND 50 OF LISTING AGREEMENT
DID NOT ADHERE TO ACCOUNTING STANDARD (AS-1) VIOLATING SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.10,20,00,000
29-NOV-2019
|
SEBI VIDE ITS NOTICE DATED 17/08/2020 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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 09/11/2020 DIRECTED ALL THE BANKS TO REMIT RS.11,36,03,849.00 TO THE EXTENT LYING IN THE ACCOUNT OF SANRAA MEDIA LTD. BY WAY OF EFT/NEFT/RTGS
|
182 |
|
SARLEE FABRIC EXPORTS LTD.
|
|
|
DHIREN SHAH
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6 SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
183 |
|
SAWACA BUSINESS MACHINES LTD.
|
|
|
HITESH J.SANGHVI
|
|
JALAS BATRA
|
|
JYOTSNA S.SHAH
PAN:AKAPS1175J
|
|
MAHENDRA A.SHAH
|
|
SATISH R.SHAH
PAN:ACBPS8940G
|
|
SHEETAL S.SHAH
PAN:ANYPS3796C
|
|
VISHAL S.SHAH
PAN:AJWPS2689A
|
|
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
|
184 |
|
SAWACA COMMUNICATION LTD.
(CIN:L64201GJ1995PLC024912)
|
|
|
JELAL I.BATRA
|
|
JYOTSNA S.SHAH
PAN:AKAPS1175J
|
|
KALPESH L.TRIVEDI
|
|
KAUSHIK C.RAMANIY
|
|
MAHENDRA A.SHAH
|
|
MAHESH KUMAR HARIBHAI HADVANI PATEL
|
|
MAKUL H.SHAH
|
|
PINAKIN R.PATEL
|
|
RAJU B.SHAH
|
|
SATISH R.SHAH
PAN:ACBPS8940G
|
|
SHEETAL S.SHAH
PAN:ANYPS3796C
|
|
VISHAL S.SHAH
PAN:AJWPS2689A
|
|
FAILED TO PAY PENALTY
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.6,15,955.00
|
185 |
|
SCALLOP INVESTMENT & LEASING PVT.LTD.
|
|
|
AMRISH VALIA
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACQUITTED
|
186 |
|
SEER FINLEASE PVT.LTD.
|
|
|
BHUPENDRA T.JOSHI
|
|
COMANDUR PARTHASARATHY
PAN:AAFPC7617L
|
|
GAUTAMBHAI KARSANBHAI PATEL
|
|
HEMLATABEN VINUBHAI PATEL
|
|
JAGDISHBHAI GOVINDLAL SHETH
|
|
KIRITBEN RAJESH PATEL
|
|
M.S.RAMAKRISHNA
|
|
M.YAGUANDHAR
|
|
MANHARLAL KANTALILAL KOTADIA
|
|
NILESH RAMANLAL SHAH
|
|
RAJESH KUMAR VITHABHAI PATEL
|
|
RAKESH SURESHCHANDRA SHAH
|
|
SOAYUBEN H.VORA
|
|
VIPINCHANDRA GORDHANBHAI PATEL
|
|
FILED APPLICATION FOR SUBSCRIPTION AND/OR ACQUISITION OF SHARES IN FICTITIOUS NAME
VIOLATED SECTION 12A OF SEBI ACT.,1992
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SEBI DEPOSITORIES ACT, 1996
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
187 |
|
SHALIN RESORTS LTD.
|
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6 SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
188 |
|
SHREE CORP.
|
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6 SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
189 |
|
SHRI GOPAL FINANCE LTD.
|
|
|
RAJESH RAMANLAL SHAH
|
|
SARITA CHOWDHURI
|
|
VIOLATED REGULATION 3 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CHIEF METROPOLITAN MAGISTRATE ESPLANADE COURT MUMBAI VIDE ITS ORDER DATED 12/02/2014 DISPOSED OFF THE CASE
|
190 |
|
SOCRUS BIO SCIENCES LTD.
(PAN:AABCS1373A)
|
|
|
DID NOT MAKE CORRECT DISCLOSURE OF SHAREHOLDING OF TWO OF ITS PROMOTERS TO BSE FOR FIRST THREE QUARTERS OF YEAR 2004 AS REQUIRED UNDER REGULATION 4(1) OF SEBI PFUTP REGULATIONS, 2003
|
IMPOSED PENALTY RS.1,00,000
31-MAY-2010
|
|
191 |
|
SOFITEL & FINSTOCK
|
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6 SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
192 |
|
SOFTRAK TECHNOLOGY EXPORTS LTD.
|
|
|
SUNIL GAGLANI
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
193 |
|
SOUNDCRAFT INDUSTRIES LTD.
|
|
|
RAJKUMAR CHAINRAI BASANTANI
PAN:AESPB2834F
|
|
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
VIOLATED REGULATIONS 4 (A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CASE DISMISSED BY COURT. APPLICATION FOR RESTORATION FILED BY SEBI IS PENDING
CASE DISMISSED BY COURT. REVISION PETITION FILED BY SEBI IS PENDING BEFORE BOMBAY HIGH COURT
|
194 |
|
STERLITE INDUSTRIES (INDIA) LTD.
|
|
|
ANIL AGGARWAL
|
|
SHASHIKANT
|
|
TARUN JAIN
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 27 OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
195 |
|
STI FINANCE LTD.
|
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACCUSED NO.1 TO 5 WERE ACQUITTED BY COURT
|
196 |
|
SUCCESS MERCHANTS PVT.LTD.
|
|
|
VIOLATED REGULATION 4(A) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 4(B) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
197 |
|
SUMAC IRON & STEEL PVT.LTD.
|
|
|
D.B.SHARMA
|
|
P.K.RAO
|
|
R.P.SHARMA
|
|
V.K.AGARWAL
|
|
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
|
|
198 |
|
SUN EARTH CERAMICS LTD.
|
|
|
JOY MANGLANI
|
|
KISHORE GURBUX MOTWANI
DIN:02417178 PAN:AAJPM2980N
|
|
MADAN RELWANI
|
|
SURESH GURBUX MOTWANI
|
|
VINOD GURBUX MOTWANI
DIN:00632268 PAN:AEXPM6414P
|
|
VIOLATED SECTION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
199 |
|
SUNGOLD CAPITAL LTD.
(PAN:AAJCS0998M)
|
|
|
ASHOK MODI
PAN:ACAPM5833H
|
|
RAJIV R.KOTIA
PAN:AEJPK0347C
|
|
SHARAD GANDHI
PAN:ADBPH9278J
|
|
DID NOT SUBMIT CORRECT SHAREHOLDING PATTERN TO STOCK EXCHANGES BY CLASSIFYING SHAREHOLDING OF PROMOTER GROUP AS PUBLIC HOLDING VIOLATION REGULATION 3 (D) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SUNGOLD CAPITAL LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUN-2017
|
SAT: SAT VIDE ITS ORDER DATED 12/06/2019 CONDONED THE DELAY OF 5 DAYS IN FILING OF APPEAL. APPEAL DISMISSED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 03/03/2020 REJECTED THE REVIEW APPLICATION
|
200 |
|
SURANA MALOO & CO.
|
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
30-JUN-2010
|
|
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
|
|
Page 10 of 12
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