| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 321 |
|
U.V.KINI
|
|
|
|
CANARA STEEL LTD.
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CC NO. 2943/1997 AGAINST ACCUSED NO.3 STANDS ACQUITTED. CASE AGAINST ACCUSEDNO.1,2,6,7 SPLIT UP AND STILL PENDING. CASE AGAINST ACCUSED NO.5,8 TO 12 QUASHED BY HIGH COURT. A-4 DEAD, HENCE, PROCEEDING AGAINST A-4 ABATED
|
| 322 |
|
|
UMESH MUNJAL
|
|
|
|
SHREE DEWAN STEELS (INDIA) LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACCUSED NO. 4 AND 5 ARE DISCHARGED BY THE TRIAL COURT ON THE GROUND THAT SEBI FAILED TO PROVE THAT THERE WAS ANY AUTHORIZATION BY A4&5 FOR THE PROSPECTUS OR THERE WAS ANY SIGNATURE ON THE PROSPECTUS
|
| 323 |
|
|
URITI SRIKANTH
(DIN:02421186)
|
|
|
|
MIDFIELD INDUSTRIES LTD.
CIN:U27109AP1990PLC011353
PAN:AAACM9490M
|
|
VIOLATED SECTION 207 OF COMPANIES ACT, 1956
VIOLATED SECTION 127 OF COMPANIES ACT, 2013
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 24 (2) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-DEC-2016
|
|
| 324 |
|
|
V.C.RAI
|
|
|
|
INFORMATION TECHNOLOGIES (INDIA) LTD.
CIN:U65910UP1994PLC017049
PAN:AAACI1891E
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
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
|
CASE DISMISSED BY COURT. REVISION PETITION FILED BY SEBI IS PENDING BEFORE THE ADDITIONAL SESSIONS JUDGE, DELHI
|
| 325 |
|
|
V.H.MHATRE
|
|
|
|
BALWANT TEXTILE MILLS LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 326 |
|
|
V.K.SYAMASUNDARAN
|
|
|
|
PREMIER PLANTATIONS LTD.
CIN:U01119KL1990PLC005900
|
|
DID NOT REPAY EXCESS SHARE APPLICATION MONEY WITHIN STIPULATED PERIOD
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CASE DISMISSED BY COURT. APPEAL IS FILED BY SEBI AGAINST THE SAID ORDER WHICH IS PENDING BEFORE THE BOMBAY HIGH COURT
|
| 327 |
|
|
V.S.BHATE
|
|
|
|
BALWANT TEXTILE MILLS LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 328 |
|
|
V.SHANKAR
|
|
|
|
MAHADEV AGRO INDUSTRIES LTD.
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACCUSED NO.1 COMPANY PROCEDED U/S 305 OF CR.P.C. (EX-PARTE) PROCEEDINGS AGAINST ACCUSED NO. 2,4,5 AND 7 WERE DROPPED VIDE ORDER DATED 20/11/2001. ACCUSED NOS 3 AND 6 PLEADED GUILTY AND COURT IMPOSED FINE OF RS.10,000 EACH
|
| 329 |
|
|
V.SHANKAR
(PAN:AAZPS3984J)
|
|
|
|
DECCAN CHRONICLE HOLDINGS LTD.
CIN:L22122TG2002PLC040110
PAN:AABCD6737D
|
|
MADE PUBLIC ANNOUNCEMENT FOR BUY BACK OF ITS EQUITY SHARES WITHOUT HAVING ADEQUATE FREE RESERVES MISLED INVESTORS/SHAREHOLDERS ABOUT PERCEIVED VALUATION/STRONG FINANCIAL POSITION OF COMPANY VIOLATING SECTIONS 68 AND 77A OF COMPANIES ACT, 1956 AND SECTION 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
CARRIED OUT BUYBACK OF ITS EQUITY SHARES MORE THAN 25% OF ITS TOTAL PAID UP CAPITAL LIMIT DURING FY.2011-12 VIOLATING SECTIONS 68 AND 77A OF COMPANIES ACT, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
|
IMPOSED PENALTY RS.10,00,000
22-MAR-2022
|
SAT: SAT VIDE ITS ORDER DATED 16/06/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. STAYED THE EFFECT AND OPERATION OF IMPUGNED ORDER
SAT: SAT VIDE ITS ORDER DATED 01/08/2022 ALLOWED APPELLANT THREE WEEKS TO FILE
|
| 330 |
|
|
VAIDYASHWARAN C.NARAYAN
|
|
|
|
AASHI PHARMACHEM LTD.
|
|
DID NOT REPAY EXCESS SHARE APPLICATION MONEY WITHIN STIPULATED PERIOD
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 331 |
|
|
VAMAN RAJ SAXENA
|
|
|
|
V.R.MATHUR MASS COMMUNICATIONS LTD.
|
|
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
MIS-STATEMENTS IN THE PROSPECTUS
|
PROSECUTION LAUNCHED
15-MAY-2006
|
IN C.C.144/01 ACCUSED NO.2 WAS CONVICTED WITH IMPRISONMENT OF 3 MONTH AND FINE OF RS.15000 ACCUSED NO. 1 & 3 WERE CONVICTED AND SENTENCED TO FINE OF RS.15,000 ONLY. ON APPEAL BEFORE SESSIONS COURT THE CASE WAS COMPOUNDED UPON RECOMMENDATION OF COMPANY LAW BOARD ON PAYMENT OF RS.15,000 EACH BY ACCUSED NO.1 TO 3. IN CC NO. 11/2002 (SPLIT UP FROM CC NO 144/2001), THE COURT VIDE ITS ORDER DATED 21.08.2006 CONVICTED ACCUSED NO.4 AND 5 WITH A FINE OF RS.3000 EACH AND ON DEFAULT IMPRISONMENT FOR 3 MONTHS. CASE IS PENDING AGAINST ACCUSED NO.6, SYED MEHDI AS CC NO.90/2001 (SPLIT UP FROM CC NO.144/2001)
|
| 332 |
|
|
VARUN RAI
|
|
|
|
INFORMATION TECHNOLOGIES (INDIA) LTD.
CIN:U65910UP1994PLC017049
PAN:AAACI1891E
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CASE DISMISSED BY COURT. REVISION PETITION FILED BY SEBI IS PENDING BEFORE THE ADDITIONAL SESSIONS JUDGE, DELHI
|
| 333 |
|
|
VASANTHAKUMAR AYYARU PALANICHAMI
|
|
|
VIOLATED SECTION 207 OF COMPANIES ACT, 1956
VIOLATED SECTION 127 OF COMPANIES ACT, 2013
|
PROSECUTION LAUNCHED
15-DEC-2016
|
|
| 334 |
|
|
VIDYA MURKUMBI
(PAN:AGXPM4054H)
|
|
|
|
RAVINDRA ENERGY LTD.
PAN:AAACR2065D
|
|
ALLEGED ISSUANCE AND ALLOTMENT OF EQUITY SHARES TO MORE THAN 49 PERSONS ON 5 OCCASIONS VIOLATING SECTIONS 73, 2(36) READ WITH 60 AND SECTIONS 56 READ WITH 67 OF THE COMPANIES ACT, 1956 IN MATTER OF RAVINDRA ENERGY LTD.
ALLEGED ISSUANCE AND ALLOTMENT OF EQUITY SHARES TO MORE THAN 49 PERSONS ON 5 OCCASIONS VIOLATING REGULATIONS 4(2) (D) & (E), 5(1),(2), (5) & (7), 6(1), 7, 26(1),(2) & (6), 32(1), 36, 37, 46, 47, 49, 57, 58 AND 63 OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF RAVINDRA ENERGY LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.99,60,938 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-APR-2020
|
|
| 335 |
|
|
VIDYA SAGAR DEWAN
|
|
|
|
DEWAN RUBBER INDUSTRIES LTD.
|
|
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ALL ACCUSED CONVICTED AND SENTENCED TO FINE OF RS.2000 ON EACH OF THE ACCUSED AND ON DEFAULT OF PAYMENT OF FINE, SIMPLE IMPRISONMENT FOR 15 DAYS. ADDITIONALLY ACCUSED NO.1 TO 3 WERE ALSO SENTENCED TO SIMPLE IMPRISONMENT TILL RISING OF THE COURT
|
| 336 |
|
|
VIMAL RAJ MATHUR
(PAN:AIDPM9858P)
|
|
|
|
V.R.MATHUR MASS COMMUNICATIONS LTD.
|
|
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
FAILED TO PAY PENALTY
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
MIS-STATEMENTS IN THE PROSPECTUS
VIOLATED SECTION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ENTIRE PENALTY AMOUNT ALONG WITH INTEREST AND OTHER CHARGES HAS BEEN PAID BY THE ACCUSED AND THEREFORE, THE MATTER IS COMPOUNDED
IN C.C.144/01 ACCUSED NO.2 WAS CONVICTED WITH IMPRISONMENT OF 3 MONTH AND FINE OF RS.15000 ACCUSED NO. 1 & 3 WERE CONVICTED AND SENTENCED TO FINE OF RS.15,000 ONLY. ON APPEAL BEFORE SESSIONS COURT THE CASE WAS COMPOUNDED UPON RECOMMENDATION OF COMPANY LAW BOARD ON PAYMENT OF RS.15,000 EACH BY ACCUSED NO.1 TO 3. IN CC NO. 11/2002 (SPLIT UP FROM CC NO 144/2001), THE COURT VIDE ITS ORDER DATED 21.08.2006 CONVICTED ACCUSED NO.4 AND 5 WITH A FINE OF RS.3000 EACH AND ON DEFAULT IMPRISONMENT FOR 3 MONTHS. CASE IS PENDING AGAINST ACCUSED NO.6, SYED MEHDI AS CC NO.90/2001 (SPLIT UP FROM CC NO.144/2001)
|
| 337 |
|
|
VINAY K.RAMANI
|
|
|
VIOLATED SECTION 207 OF COMPANIES ACT, 1956
VIOLATED SECTION 127 OF COMPANIES ACT, 2013
|
PROSECUTION LAUNCHED
15-DEC-2016
|
|
| 338 |
|
|
VINAY RAI
|
|
|
|
INFORMATION TECHNOLOGIES (INDIA) LTD.
CIN:U65910UP1994PLC017049
PAN:AAACI1891E
|
|
|
PUKHRAJ HOLDINGS PVT.LTD.
|
|
|
RKKR AGENCIES PVT.LTD.
|
|
|
UTILITY TRADE LINKS PVT.LTD.
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
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
|
CASE DISMISSED BY COURT. REVISION PETITION FILED BY SEBI IS PENDING BEFORE THE ADDITIONAL SESSIONS JUDGE, DELHI
|
| 339 |
|
|
VINOD BAID
|
|
|
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CONVICTION
|
| 340 |
|
|
VINOD KANTI SHUKLA
|
|
|
|
OJAS TECHNOCHEM PRODUCTS LTD.
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
FAILED TO PAY PENALTY
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 17 of 18
|
