| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 181 |
|
VIPIN GUPTA (HUF)
(PAN:AAFHV2498L)
|
|
|
DID NOT SETTLE TRANSACTIONS OF 11,300 SHARES VIOLATING SECTIONS 13, 16 AND 18 OF SC(R)A READ WITH SEBI NOTIFICATION G.S.R.219(E) DATED 02/03/2000 & SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2010 IN MATTER OF DELTA LEASING & FINANCE LTD.
|
IMPOSED PENALTY RS.1,00,000
29-JUL-2021
|
|
| 182 |
|
|
W H BRADY & CO.LTD.
(Along with : BRADY & MORRIS ENGINEERING CO.LTD.)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF RULE 19A(1) OF SCRR READ WITH CLAUSE 40A OF LISTING AGREEMENT BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
ALLEGED VIOLATION OF SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,80,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
02-DEC-2014
|
|
| 183 |
|
|
WOCKHARDT LTD.
(PAN:AAACW2472M)
|
|
|
|
HABIL KHORAKIWALA
PAN:AABPK4415C
|
|
|
HUZAIFA KHORAKIWALA
PAN:ABLPK6715C
|
|
|
MURTAZA KHORAKIWALA
PAN:AAZPK7040H
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE TO STOCK EXCHANGES REGARDING FORM 483 ISSUED BY USFDA TO WALUJ FACTORY VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
ALLEGED FAILURE IN MAKING DISCLOSURE TO STOCK EXCHANGES VIOLATING REGULATION 12(2) READ WITH CLAUSE 2.0 OF SCHEDULE II OF SEBI REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015
ALLEGED FAILURE IN ENFORCING CODE OF CONDUCT OF INTERNAL PROCEDURES AND CONDUCT OF INSIDER TRADING AND DID NOT ENSURE COMPLIANCE OF THE SAME VIOLATING REGULATIONS 12(1) AND 12(3) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.36,70,875 VIDE CONSENT ORDER)
22-MAY-2023
|
|
| 184 |
|
|
YARD SECURITIES PVT.LTD.
(CIN:U67120MP1994PTC008606
PAN:AAACY2812P)
|
|
|
INDULGED IN OFF MARKET TRANSACTIONS OF SHARES WITHOUT SALE CONSIDERATION VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.G.S.R.219 (E) DATED 02/03/2000 AND SECTIONS 13 AND 18 OF SCRA READ WITH SECTIONS 2(I) OF SCRA ACT, 1956 IN MATTER OF PITHAMPUR STEELS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PITHAMPUR STEELS LTD.
|
IMPOSED PENALTY RS.6,00,000
27-SEP-2018
|
SAT: APPEAL FAILED AND DISMISSED. NO COSTS
|
| 185 |
|
|
YELLOW CONSULTANTS PVT.LTD.
(PAN:AAACY2813N)
|
|
|
INDULGED IN OFF MARKET TRANSACTIONS OF SHARES WITHOUT SALE CONSIDERATION VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.G.S.R.219 (E) DATED 02/03/2000 AND SECTIONS 13 AND 18 OF SCRA READ WITH SECTIONS 2(I) OF SCRA ACT, 1956 IN MATTER OF VERTEX SPINNING LTD.
|
IMPOSED PENALTY RS.5,00,000
26-SEP-2018
|
SAT: APPEAL FAILED AND DISMISSED. NO COSTS
|
| 186 |
|
|
YOGESHKUMAR PANNALAL SHAH (HUF)
(PAN:AAVHS3887A)
|
|
|
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION SAME DAY OR NEXT DAY VIOLATING SECTION 2(I) READ WITH SECTIONS 13, 16 AND 18 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF L&T FINANCE HOLDINGS LTD.
|
IMPOSED PENALTY RS.25,000
31-JAN-2020
|
|
| 187 |
|
|
ZENET SOFTWARE LTD.
(PAN:AAACZ0978K)
|
|
|
|
BHANUPRASAD DIPAKKUMAR TRIVEDI
|
|
|
BHUPENDRA T.JOSHI
|
|
|
COMANDUR PARTHASARATHY
PAN:AAFPC7617L
|
|
|
DIPAKBHAI JASWANTLAL PANCHAL
|
|
|
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
|
|
|
SAUMIL A.BHAVNAGARI
PAN:ABMPB3581C
|
|
|
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
|
|
| 188 |
|
|
ZF STEERING GEAR (INDIA) LTD.
(PAN:AAACZ0549G)
|
|
|
|
SATISH MEHTA
PAN:AAXPM5948G
|
|
DID NOT MAKE DISCLOSURE OF INCOME TAX DEMAND OF RS.18.55 CRORES VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATIONS) ACT, 1956
|
IMPOSED PENALTY RS.5,00,000
22-SEP-2017
|
|
| 189 |
|
|
ZOOM COLONIZERS PVT.LTD.
(CIN:U45201MP1994PTC008603
PAN:AAACZ1608G)
|
|
|
INDULGED IN OFF MARKET TRANSACTIONS OF SHARES WITHOUT SALE CONSIDERATION VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.G.S.R.219 (E) DATED 02/03/2000 AND SECTIONS 13 AND 18 OF SCRA READ WITH SECTIONS 2(I) OF SCRA ACT, 1956 IN MATTER OF VERTEX SPINNING LTD.
|
IMPOSED PENALTY RS.5,00,000
26-SEP-2018
|
SAT: APPEAL FAILED AND DISMISSED. NO COSTS
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
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