| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 321 |
|
VISHAL PARE
(PAN:AOVPP9130K)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, STRUCTURED TRANSACTIONS, WASH TRADES AND OFF-MARKET DEALS IN SCRIPS OF SPECTACLE INFOTEK LTD. (EARLIER KNOWN AS SPECTACLE INDUSTRIES LTD.), GOLDSTONE TECHNOLOGIES LTD., GEMSTONE INVESTMENTS LTD., LGS GLOBAL LTD., WELL PACK PAPERS & CONTAINERS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-FEB-2011 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-FEB-2011 TILL FURTHER ORDERS
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
02-FEB-2011
|
SEBI VIDE ITS ORDER DATED 08/07/2011, CONFIRMED INTERIM EX-PARTE DIRECTIONS ISSUED VIDE ORDER DATED 02/02/2011 AND DIRECTED TO CONCLUDE INVESTIGATIONS NOT LATER THAN 31/12/2011
SEBI VIDE ITS ORDER DATED 25/01/2012 EXTENDED THE TIME LIMIT FOR COMPLETION OF INVESTIGATION TILL 31/12/2012 FROM 31/12/2011
|
| 322 |
|
|
VIVEK JAIN
(PAN:AFKPJ0712M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PG ELECTROPLAST LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 31/10/2012 REVOKED INTERIM DIRECTIONS ISSUED
VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 323 |
|
|
VIVEK JAIN
|
|
|
|
ADVIK LABORATORIES LTD.
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF ADVIK LABORATORIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1)A AND 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ADVIK LABORATORIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-OCT-2010 TO 26-OCT-2011
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-OCT-2010 TO 26-OCT-2011
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
27-OCT-2010
|
|
| 324 |
|
|
VIVEK KISHANPAL SAMANT
(PAN:BRSPS0294N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, STRUCTURED TRANSACTIONS, WASH TRADES AND OFF-MARKET DEALS IN SCRIPS OF SPECTACLE INFOTEK LTD. (EARLIER KNOWN AS SPECTACLE INDUSTRIES LTD.), GOLDSTONE TECHNOLOGIES LTD., GEMSTONE INVESTMENTS LTD., LGS GLOBAL LTD., WELL PACK PAPERS & CONTAINERS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-FEB-2011 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-FEB-2011 TILL FURTHER ORDERS
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
02-FEB-2011
|
SEBI VIDE ITS ORDER DATED 08/07/2011 DIRECTED TO CONCLUDE INVESTIGATIONS NOT LATER THAN 31/12/2011
SEBI VIDE ITS ORDER DATED 25/01/2012 EXTENDED THE TIME LIMIT FOR COMPLETION OF INVESTIGATION TILL 31/12/2012 FROM 31/12/2011
|
| 325 |
|
|
VIVEK SHARMA
(PAN:ABFPS9096N)
|
|
|
|
BROOKS LABORATORIES LTD.
PAN:AACCB5316P
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-DEC-2011 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 16/10/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 326 |
|
|
YAMINIBEN MAHESHBHAI PANDYA
(PAN:APGPP6166F)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, STRUCTURED TRANSACTIONS, WASH TRADES AND OFF-MARKET DEALS IN SCRIPS OF SPECTACLE INFOTEK LTD. (EARLIER KNOWN AS SPECTACLE INDUSTRIES LTD.), GOLDSTONE TECHNOLOGIES LTD., GEMSTONE INVESTMENTS LTD., LGS GLOBAL LTD., WELL PACK PAPERS & CONTAINERS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-FEB-2011 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-FEB-2011 TILL FURTHER ORDERS
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
02-FEB-2011
|
SEBI VIDE ITS ORDER DATED 08/07/2011 DIRECTED TO CONCLUDE INVESTIGATIONS NOT LATER THAN 31/12/2011
SEBI VIDE ITS ORDER DATED 25/01/2012 EXTENDED THE TIME LIMIT FOR COMPLETION OF INVESTIGATION TILL 31/12/2012 FROM 31/12/2011
|
| 327 |
|
|
YOGESH B.PAREKH
|
|
|
ACTED IN UNISON AND AIDED & ABETTED ISSUER IN MAKING IPO OF CONSORTEX KARL DOELTZSCH (INDIA) LTD. SUCCESSFUL
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-MAY-2010 TO 09-MAY-2011
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-MAY-2010 TO 09-MAY-2011
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
10-MAY-2010
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO 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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| Page 17 of 17
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