| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 3641 |
|
VITAL COMMUNICATIONS LTD.
(CIN:L74899DL1995PLC065076
PAN:AAACV2016L)
|
|
|
|
SHUBHA JHINDAL
PAN:AAGPJ0051N
|
|
|
VIJAY JHINDAL
PAN:AADPJ9438J
|
|
USED OWN FUNDS INDIRECTLY FOR SUBSCRIPTION OF ITS OWN EQUITY SHARES IN PREFERENTIAL ALLOTMENT
MISLED PUBLIC AND STOCK EXCHANGES BY PROVIDING WRONG INFORMATION OF NUMBER AND IDENTITIES OF PREFERENTIAL ALLOTTEES
MISLED INVESTORS BY MAKING FALSE ANNOUNCEMENT OF BUY BACK OF SHARES
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF VITAL COMMUNICATIONS LTD.
DID NOT MAKE OPEN OFFER TO ACQUIRE SHARES FROM PUBLIC VIOLATING REGULATIONS 10 AND 11 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF VITAL COMMUNICATIONS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-NOV-2018 TO 12-NOV-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-NOV-2018 TO 12-NOV-2023
DIRECTED TO FREEZE ALL DEMAT ACCOUNTS WHEREIN EQUITY SHARES ALLOTTED UNDER PREFERENTIAL OFFER WERE LYING
DIRECTED NOT TO GIVE EFFECT TO TRANSFER OF ANY SHARES ACQUIRED AND HELD BY PREFERENTIAL ALLOTTEES IN PREFERENTIAL ALLOTMENT
RESTRAINED PREFERENTIAL ALLOTTEES FROM EXERCISING ANY VOTING RIGHTS (THROUGH NOMINEE OR PROXY) OR OTHER RIGHTS ATTACHED TO SHARES ACQUIRED AND HELD IN PREFERENTIAL ALLOTMENT
31-JUL-2014
D TO DISGORGE RS.4,55,91,232 ALONG WITH OTHER ENTITIES/PERSONS
28-SEP-2048~
|
SAT: APPEAL AND MISC.APPLICATION DISMISSED AS INFRUCTUOUS. NO COSTS
SEBI VIDE ITS ORDER DATED 28/09/2018 DIRECTED TO 1) DISGORGE WRONGFUL GAIN OF RS.4,55,91,232.00 ALONG WITH INTEREST @ 10% P.A. FROM 01/08/2002 TILL DATE OF PAYMENT WITHIN 45 DAYS FROM DATE OF RECEIPT OF THIS ORDER 2) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESSING THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR A PERIOD OF FIVE YEARS FROM END OF THE TIME OF 45 DAYS
|
| 3642 |
|
|
VITAL CONNECTIONS PVT.LTD.
(PAN:AABCV4134G)
|
|
|
PARTICIPATED IN FRAUDULENT DEVICE, SCHEME OR ARTIFICIAL AT VARIOUS STAGES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D), 4(1) AND 4(2)(A) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RIDDHI SIDDHI GLUCO BIOLS LTD.
FRAUDULENTLY TRADED TO MAKE DELISTING OFFER SUCCESSFUL VIOLATING REGULATIONS 4(5)(A) TO 4(5)(C) OF SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 IN MATTER RIDDHI SIDDHI GLUCO BIOLS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-AUG-2021 TO 10-AUG-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-AUG-2021 TO 10-AUG-2023
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 11-AUG-2021 TO 10-AUG-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
11-AUG-2021
|
SAT: SAT VIDE ITS ORDER DATED 28/10/2021 DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER. EFFECT AND OPERATION OF THE IMPUGNED ORDER STAYED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 07/04/2022 GRANTED APPELLANT THREE WEEKS & NO MORE TIME TO FILE REJOINDER
|
| 3643 |
|
|
VITHAL S.PATEL (HUF)
(PAN:AAEHP1689J)
|
|
|
MOBILIZED RS.29.84 CRORE THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 284 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60 AND 73 OF THE COMPANIES ACT, 1956 IN MATTER OF AAKRUTI NIRMITI LTD.
MOBILIZED RS.29.84 CRORE THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 284 INVESTORS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2,4.11, 4.14, 5.3.1, 5.4.1, 5.6.2, 8.8.1, 5.6A AND 6.0 TO 6.15 OF SEBI (DIP) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 READ WITH SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF AAKRUTI NIRMITI LTD.
|
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-MAY-2021 TO 02-NOV-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-MAY-2021 TO 02-NOV-2021
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 03-MAY-2021 TO 02-NOV-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-MAY-2021
|
SAT: SAT VIDE ITS ORDER DATED 29/09/2021 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/11/2021 CONDONED THE DELAY OF 80 DAYS IN FILING OF APPEAL
|
| 3644 |
|
|
VIVAN EQUITIES
(PAN:BUWPP1801K)
|
|
|
|
ANKUSH PATIDAR
PAN:BUWPP1801K
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO ACCEPT REFUND CLAIMS/REQUESTS FROM THE PUBLIC
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-JUL-2023 TO 18-JUL-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUL-2023 TO 18-JUL-2025
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 19-JUL-2023 TO 18-JUL-2025
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-JUL-2023
|
SEBI VIDE ITS NOTICE DATED 28/03/2024 DIRECTED TO PAY RS.1,40,64,883.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 28/03/2024 DIRECTED TO PAY RS.2,19,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 3645 |
|
|
VIVENASRI FINANCIAL SERVICES LTD.
(CIN:U65921TG1994PLC018806)
|
|
|
INDULGED IN CREATING FALSE AND MISLEADING APPEARANCE OF TRADING IN SHARES OF ELECTROLUX KELVINATOR LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-AUG-2008 TO 19-FEB-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-AUG-2008 TO 19-FEB-2009
20-AUG-2008
|
|
| 3646 |
|
|
VIVENASRI FINANCIAL SERVICES LTD.
(CIN:U65921TG1994PLC018806)
|
|
|
|
K.SATYAJIT RAY
|
|
|
P.V.MURALIKRISHNA
PAN:AHNPP6355K
|
|
|
RAJENDRA PRASAD ADIRAJU
PAN:ABLPA2819H
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS AND SELF TRADES IN SCRIP OF DATASOFT APPLICATION SOFTWARE (INDIA) LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-JAN-2012 TO 24-JUL-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-JAN-2012 TO 24-JUL-2012
25-JAN-2012
|
|
| 3647 |
|
|
VOLTAIRE LEASING & FINANCE LTD.
(PAN:AAACV1794R)
|
|
|
|
AMLESH SADHU
PAN:BEZPS8956R
|
|
|
DILIP RAJKUMAR PATODIA
PAN:AAAPP9584A
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET & PRICE MANIPULATION IN SCRIP OF VOLTAIRE LEASING & FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-APR-2020 TO 12-APR-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-APR-2020 TO 12-APR-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
13-APR-2020
|
SAT: SAT VIDE ITS ORDER DATED 05/11/2020 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED THE MISC.APPLICATION. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM THE DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER AND LIST THE MATTER FOR ADMISSION AND FINAL DISPOSAL ON 17/12/2020
SAT: SAT VIDE ITS ORDER DATED 15/03/2021 DISMISSED THE APPEAL
|
| 3648 |
|
|
VOLTAIRE LEASING & FINANCE LTD.
(PAN:AAACV1794R)
|
|
|
|
HARIVALLABH MUNDRA
PAN:AAAPM8378D
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET & PRICE MANIPULATION IN SCRIP OF VOLTAIRE LEASING & FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-FEB-2021 TO 14-FEB-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-FEB-2021 TO 14-FEB-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
13-APR-2020
|
|
| 3649 |
|
|
VRP CAPITAL & DERIVATIVE MARKET SERVICES
(PAN:BAYPP4608L)
|
|
|
|
VAIBHAV RAMACHANDRA PATIL
PAN:BAYPP4608L
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 30-MAR-2022 TO 29-SEP-2022
DIRECTED TO CEASE & DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR RESEARCH ANALYST AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 30-MAR-2022 TO 29-SEP-2022
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 30-MAR-2022 TO 29-SEP-2022
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 30-MAR-2022 TO 29-SEP-2022
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-MAR-2022 TO 29-SEP-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-MAR-2022 TO 29-SEP-2022
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO SUBMIT NUMBER AND DETAILS OF CLIENTS WHO HAVE AVAILED THEIR INVESTMENT ADVISORY SERVICES
DIRECTED TO SUBMIT LIST OF CLIENTS AND FEE COLLECTED FROM THEM
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 30-MAR-2022 TO 29-SEP-2022
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 30-MAR-2022 TO 29-SEP-2022
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO DEACTIVATE ACCOUNT WITH PAYMENT GATEWAY PAYUMONEY/PHONEPE/PAYTM ETC.
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
15-DEC-2020
|
SEBI VIDE ITS ORDER DATED 30/03/2022 DIRECTED TO A) REFUND THE MONEY RECEIVED FROM COMPLAINTS/INVESTORS, AS FEES OR CONSIDERATION OR IN ANY OTHER FORM, IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES WITHIN THREE MONTHS FROM DATE OF THIS ORDER B) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING MODALITIES FOR REFUND INCLUDING DETAILS OF CONTACT PERSON NAMES, ADDRESSES AND CONTACT DETAILS WITHIN 15 DAYS OF COMING FORCE OF THIS ORDER C) REPAYMENTS TO COMPLAINTS/INVESTORS TO BE EFFECTED ONLY IN CASH THROUGH BANK DEMAND DRAFT OR PAY ORDER OR ELECTRONICS FUND TRANSFER D) PREVENTED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED. FURTHER, DIRECTED BANK TO ALLOW DEBIT ONLY FOR THE PURPOSE OF MAKING REFUNDS TO THE CLIENTS/INVESTORS/COMPLAINTS WHO WERE AVAILING THE INVESTMENT ADVISORY SERVICES E) FILE REPORT OF SUCH COMPLETION WITH SEBI DULY CERTIFIED FROM INDEPENDENT CHARTERED ACCOUNTANTS F) DEBARRED FROM ACCESSING SECURITIES MARKET DIRECTLY OR INDIRECTLY AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR SIX MONTHS FROM DATE OF COMPLETION OF REFUNDS TO COMPLAINTS/INVESTORS G) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, INVESTMENT ADVISORY SERVICES OR ANY OTHER ACTIVITY IN THE SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
| 3650 |
|
|
VRUDDHI SECURITIES LTD.
|
|
|
INDULGED IN MANIPULATION IN SCRIP OF LADAM FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-DEC-1999
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-DEC-1999
15-DEC-1999
|
|
| 3651 |
|
|
VRUSHTI FINANCIAL SERVICES PVT.LTD.
|
|
|
|
SHAILESH THAKKAR
|
|
AIDED AND ABETTED D.K.DALAL AND PROMOTERS OF NATURAL EXPO INDUSTRIES LTD. IN PRICE MANIPULATION IN SCRIP OF NATURAL EXPO INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-SEP-2003 TO 04-SEP-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-SEP-2003 TO 04-SEP-2008
05-SEP-2003
|
|
| 3652 |
|
|
VRUSHTI FINANCIAL SERVICES PVT.LTD.
|
|
|
|
KEYOOR M.BAKSHI
|
|
|
SHAILESH THAKKAR
|
|
VIOLATED REGULATIONS 4(A), 4(B), 4(C) AND 4(D) OF SEBI (PFUTP) REGULATIONS, 1995
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-OCT-2004
15-OCT-2004
|
|
| 3653 |
|
|
VS INVESTMENT SOLUTIONS
(PAN:AUEPN8510C)
|
|
|
|
VIPUL NAMDEV
PAN:AUEPN8510C
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-FEB-2023 TO 16-FEB-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-FEB-2023 TO 16-FEB-2025
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
17-FEB-2023
|
SEBI VIDE ITS NOTICE DATED 18/06/2024 DIRECTED TO PAY RS.40,75,609.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 18/06/2024 DIRECTED TO PAY RS.2,35,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 3654 |
|
|
VU TECHNOLOGIES PVT.LTD.
(PAN:AACCV1663P)
(Along with : ZENITH INFOTECH LTD.)
|
|
|
DID NOT DISCLOSE PENDING LITIGATION BETWEEN ZENITH INFOTECH LTD.AND TRUSTEE FOR FCCB HOLDERS AS REQUIRED UNDER CLAUSE 36(5) OF LISTING AGREEMENT
ATTEMPTED TO TAKE AWAY ASSETS OF COMPANY DIRECTLY OR INDIRECTLY FOR OWN BENEFITS OR FOR BENEFIT OF ENTITIES OWNED & CONTROLLED BY THEM IN MATTER OF ZENITH INFOTECH LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAR-2013
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAR-2013
DIRECTED TO FURNISH BANK GUARANTEE OF A MINIMUM TENOR OF ONE YEAR FOR USD 33.93 MILLION IN NAME OF SEBI WITHOUT USING FUNDS OF ZENITH INFOTECH LTD. OR CREATING CHARGE ON ASSETS OF ZENITH INFOTECH LTD.
25-MAR-2013
|
SAT: SAT VIDE ITS ORDER DATED 23/07/2013 REMANDED THE MATTER TO SEBI FOR FRESH CONSIDERATION EXPEDITIOUSLY AND PREFERABLY WITHIN A PERIOD OF SIX WEEKS FROM RECEIVING A COPY OF THIS ORDER. NO COSTS
SEBI VIDE ITS ORDER DATED 11/04/2014 CONFIRMED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 25/03/2013
|
| 3655 |
|
|
VYNEX CHEMICAL ENGINEERING (BOMBAY) PVT.LTD.
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ROOFIT INDUSTRIES LTD.
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
DID NOT FURNISH REQUISITE INFORMATION DURING INVESTIGATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-JAN-2007 TO 08-JUL-2007
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-JAN-2007 TO 08-JUL-2007
09-JAN-2007
|
|
| 3656 |
|
|
W GAIN RESEARCH & DEVELOPMENT.COM
(PAN:AWVPN0180D)
|
|
|
|
CHANDRAPRATAP SINGH NARUKA
PAN:AWVPN0180D
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO REFUND MONEY RECEIVED FROM CLIENTS/INVESTORS/COMPLAINANT AS FEES OR CONSIDERATION OR IN ANY OTHER FORM IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO OPEN ESCROW ACCOUNT WITH A SCHEDULED BANK AND DEPOSIT THE AMOUNT AND USE ONLY FOR THE PURPOSE OF REFUND TO CLIENTS/INVESTORS
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-DEC-2023 TO 04-DEC-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-DEC-2023 TO 04-DEC-2025
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 05-DEC-2023 TO 04-DEC-2025
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
05-DEC-2023
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SEBI VIDE ITS NOTICE DATED 06/09/2024 DIRECTED TO PAY RS.90,78,882.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 3657 |
|
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WADHAWAN CONSOLIDATED HOLDINGS PVT.LTD.
(PAN:AACCD2944F)
|
|
|
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ANU S.WADHAWAN
PAN:AAQPW2792P
|
|
|
ARUNA RAJESHKUMAR WADHAWAN
PAN:AAHPW9334L
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|
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DHEERAJ RAJESHKUMAR WADHAWAN
PAN:AAOPW4517G
|
|
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KAPIL KUMAR WADHAWAN
PAN:AAOPW6145L
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|
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MALTI RAKESH KUMAR WADHAWAN
PAN:AAGPW8042G
|
|
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POOJA D.WADHAWAN
PAN:AAJPB9268Q
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|
|
RAKESH KUMAR WADHAWAN
PAN:AAEPW7656G
|
|
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SARANG WADHAWAN
PAN:AAAPW2530R
|
|
INDULGED IN MANIPULATION/FALSIFICATION IN BOOKS OF ACCOUNTS VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO (D), 4(1) & 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DEWAN HOUSING FINANCE CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-SEP-2020 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-SEP-2020 TILL FURTHER ORDERS
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 22-SEP-2020 TILL FURTHER ORDERS
22-SEP-2020
|
SEBI VIDE ITS ORDER DATED 22/10/2021 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 22/09/2020
SAT: SAT VIDE ITS ORDER DATED 13/09/2021 DISMISSED THE APPEAL
|
| 3658 |
|
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WADHAWAN GLOBAL CAPITAL PVT.LTD.
(PAN:AAACW9811G)
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ANU S.WADHAWAN
PAN:AAQPW2792P
|
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ARUNA RAJESHKUMAR WADHAWAN
PAN:AAHPW9334L
|
|
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DHEERAJ RAJESHKUMAR WADHAWAN
PAN:AAOPW4517G
|
|
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KAPIL KUMAR WADHAWAN
PAN:AAOPW6145L
|
|
|
MALTI RAKESH KUMAR WADHAWAN
PAN:AAGPW8042G
|
|
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POOJA D.WADHAWAN
PAN:AAJPB9268Q
|
|
|
RAKESH KUMAR WADHAWAN
PAN:AAEPW7656G
|
|
|
SARANG WADHAWAN
PAN:AAAPW2530R
|
|
INDULGED IN MANIPULATION/FALSIFICATION IN BOOKS OF ACCOUNTS VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO (D), 4(1) & 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DEWAN HOUSING FINANCE CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-SEP-2020 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-SEP-2020 TILL FURTHER ORDERS
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 22-SEP-2020 TILL FURTHER ORDERS
22-SEP-2020
|
SEBI VIDE ITS ORDER DATED 22/10/2021 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 22/09/2020
SAT: SAT VIDE ITS ORDER DATED 30/09/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 3659 |
|
|
WADHAWAN HOLDINGS PVT.LTD.
(CIN:U74999MH2002PTC135601
PAN:AAACW5001G)
|
|
|
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ANU S.WADHAWAN
PAN:AAQPW2792P
|
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ARUNA RAJESHKUMAR WADHAWAN
PAN:AAHPW9334L
|
|
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DHEERAJ RAJESHKUMAR WADHAWAN
PAN:AAOPW4517G
|
|
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KAPIL KUMAR WADHAWAN
PAN:AAOPW6145L
|
|
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MALTI RAKESH KUMAR WADHAWAN
PAN:AAGPW8042G
|
|
|
POOJA D.WADHAWAN
PAN:AAJPB9268Q
|
|
|
RAKESH KUMAR WADHAWAN
PAN:AAEPW7656G
|
|
|
SARANG WADHAWAN
PAN:AAAPW2530R
|
|
INDULGED IN MANIPULATION/FALSIFICATION IN BOOKS OF ACCOUNTS VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO (D), 4(1) & 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DEWAN HOUSING FINANCE CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-SEP-2020 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-SEP-2020 TILL FURTHER ORDERS
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 22-SEP-2020 TILL FURTHER ORDERS
22-SEP-2020
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SEBI VIDE ITS ORDER DATED 22/10/2021 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 22/09/2020
SEBI VIDE ITS ORDER DATED 10/03/2023 VACATED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 22/09/2020 READ WITH CONFIRMATORY ORDER DATED 22/10/2021
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| 3660 |
|
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WADHAWAN RETAIL VENTURES PVT.LTD.
(PAN:AAACW6632R)
|
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ANU S.WADHAWAN
PAN:AAQPW2792P
|
|
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ARUNA RAJESHKUMAR WADHAWAN
PAN:AAHPW9334L
|
|
|
DHEERAJ RAJESHKUMAR WADHAWAN
PAN:AAOPW4517G
|
|
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KAPIL KUMAR WADHAWAN
PAN:AAOPW6145L
|
|
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MALTI RAKESH KUMAR WADHAWAN
PAN:AAGPW8042G
|
|
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POOJA D.WADHAWAN
PAN:AAJPB9268Q
|
|
|
RAKESH KUMAR WADHAWAN
PAN:AAEPW7656G
|
|
|
SARANG WADHAWAN
PAN:AAAPW2530R
|
|
INDULGED IN MANIPULATION/FALSIFICATION IN BOOKS OF ACCOUNTS VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO (D), 4(1) & 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DEWAN HOUSING FINANCE CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-SEP-2020 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-SEP-2020 TILL FURTHER ORDERS
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 22-SEP-2020 TILL FURTHER ORDERS
22-SEP-2020
|
SEBI VIDE ITS ORDER DATED 22/10/2021 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 22/09/2020
SEBI VIDE ITS ORDER DATED 10/03/2023 VACATED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 22/09/2020 READ WITH CONFIRMATORY ORDER DATED 22/10/2021
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| 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 183 of 188
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