| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
APTECH LTD.
(PAN:AADCA0602L)
|
|
|
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
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-APR-2020 TO 30-SEP-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-APR-2020 TO 30-SEP-2020
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 01-APR-2020 TO 30-SEP-2020
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
01-APR-2020
|
|
| 22 |
|
|
AQUARIUS STEELS PVT.LTD.
|
|
|
|
ANUPAM KUMAR AGARWAL
|
|
|
GOPAL VIJAY
|
|
|
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
|
|
| 23 |
|
|
ARCHANA TRADING & INVESTMENT CO.PVT.LTD.
(PAN:AADCA5235F)
|
|
|
REPORTED INFLATED SHAREHOLDING OF PROMOTERS IN MATTER OF GHCL LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GHCL LTD.
|
IMPOSED PENALTY RS.56,00,000 ALONG WITH OTHER ENTITIES/PERSONS
25-OCT-2013
|
SAT: SAT VIDE ITS ORDER DATED 31/07/2014 QUASHED AND SET ASIDED PENALTY OF RS.2 LACS IMPOSED ON EACH OF THE APPELLANTS FOR VIOLATION OF REGULATION 7(1A) OF SAST REGULATIONS
|
| 24 |
|
|
ARUN POLYMERS PVT.LTD.
|
|
|
|
MAHAVIR JALAN
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 25 |
|
|
ARUNODAY VINIMAY PVT.LTD.
|
|
|
|
JUGAL KISHOR
|
|
|
P.K.RAO
|
|
|
R.P.SHARMA
|
|
|
RADHA BALLAB
|
|
|
V.K.AGARWAL
|
|
|
VIJAY KUMAR GUPTA
|
|
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
|
|
| 26 |
|
|
ASAHI INFRASTRUCTURE & PROJECTS LTD.
(PAN:AAACA8777F)
|
|
|
|
LAXMINARAYAN JAINARAYAN RATHI
PAN:ABDPR9730L
|
|
INDULGED IN FINANCING OF OWN GDR ISSUE AND MISLED INVESTORS BY MAKING FALSE DISCLOSURES TO SEBI VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(B) TO 3(D) & 4(2)(C), 4(2)(F), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES OF ASAHI INFRASTRUCTURE & PROJECTS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING PATTERN AND DETAILS OF OUTSTANDING GDRS TO STOCK EXCHANGES VIOLATING CLAUSE 35 OF LISTING AGREEMENT
|
IMPOSED PENALTY RS.10,15,00,000
26-MAY-2020
|
SEBI VIDE ITS NOTICE DATED 31/12/2021 DIRECTED TO PAY A RS.12,09,89,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 11/04/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS 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
|
| 27 |
|
|
ASAHI INFRASTRUCTURE & PROJECTS LTD.
(PAN:AAACA8777F)
|
|
|
INDULGED IN FINANCING OF OWN GDR ISSUE AND MISLED INVESTORS BY MAKING FALSE DISCLOSURES TO SEBI VIOLATING SECTION 77(2) READ WITH 77(4) OF THE COMPANIES ACT, 1956
INDULGED IN FINANCING OF OWN GDR ISSUE AND MISLED INVESTORS BY MAKING FALSE DISCLOSURES TO SEBI VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(B) TO 3(D) & 4(2)(C), 4(2)(F), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES OF ASAHI INFRASTRUCTURE & PROJECTS LTD.
DID NOT PROVIDE CORRECT INFORMATION AND CONCEALED MATERIAL INFORMATION FROM SEBI IN MATTER OF GDR ISSUES OF ASAHI INFRASTRUCTURE & PROJECTS LTD.
|
DIRECTED NOT TO ISSUE EQUITY SHARES OR ANY OTHER INSTRUMENT CONVERTIBLE INTO EQUITY SHARE OR ANY OTHER SECURITY FROM 05-SEP-2017 TO 20-SEP-2021
05-SEP-2017
|
|
| 28 |
|
|
ASPOLIGHT BARTER PVT.LTD.
|
|
|
|
RAJ KUMAR SHAW
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 29 |
|
|
AWAITA PROPERTIES LTD.
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3(A) TO (D), 4 (1) AND 4 (2) (A) & (G) OF SEBI (PFUTP) REGULATIONS, 2003 READ WITH SECTION 12A (A) TO (C) OF SEBI ACT, 1992 IN THE MATTER OF HORIZON INFRASTRUCTURE LTD. (NOW KNOWN AS SKIL INFRASTRUCTURE LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,32,74,000, INTEREST RS.5,10,595 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAY-2017
|
|
| 30 |
|
|
BELLARY STEELS & ALLOYS LTD.
|
|
|
|
PARVATHI S.MADHAVA
|
|
|
RAM NARAIN PANDEY
|
|
|
S.MADHAVA
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 31 |
|
|
BHORUKA ALUMINIUM LTD.
(PAN:AAACB8073D)
|
|
|
|
AJAY KUMAR DALMIA
PAN:AAIPD2539D
|
|
|
MEDA KASTURI RANGA PANDURANGA SETTY
PAN:ACIPP7049J
|
|
|
RAJAT AGARWAL
PAN:AEYPA0496E
|
|
|
RAJKUMAR AGGARWAL
PAN:AAPPA8159F
|
|
INDULGED IN FACILITATING SUBSCRIPTION OF GDRS BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY (BHORUKA) PLEDGED GDR WITH EURAM BANK VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1) OF PFUTP REGULATIONS, 2003 IN MATTER OF BHORUKA ALUMINIUM LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAR-2019 TO 21-MAR-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAR-2019 TO 21-MAR-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
22-MAR-2019
|
|
| 32 |
|
|
BOKHARIA INVESTMENTS
|
|
|
|
PRABHA BOKARIA
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 12 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 33 |
|
|
BONANZA BIOTECH LTD.
|
|
|
|
AMIT PATEL
|
|
|
ARVIND VASWANI
|
|
|
B.K.BAJAJ
|
|
|
DRUMA VAGHELA
|
|
|
INDRAJEET SINGH
|
|
|
KINAL ZAVERI
|
|
|
MANISH GANERIWALA
|
|
|
RAKESH PANDYA
|
|
|
SHARAD GUJRATHI
|
|
|
SUNIL BAJAJ
|
|
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
FAILED TO PAY PENALTY
VIOLATED REGULATION 3 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATIONS 4 (A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CASE DISMISSED BY COURT. IN REVISION FILED BY SEBI, THE CASE AGAINST ACCUSED NO. 1, 2 AND OTHER DIRECTORS OF ACCUSED NO. 1 WERE COMPOUNDED ON PAYMENT OF RS. 7,75,000/- AND CASE AGAINST ACCUSED NO. 3 TO 9 PENDING IN SESSION COURT
CLUBBED WITH CONSENT FOR RS.7,75,000
|
| 34 |
|
|
BRG ENERGY LTD.
(PAN:AACCB9138M)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A (D) & (E) OF SEBI ACT, 1992 AND REGULATIONS 3,3A AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ICSA (INDIA) LTD.
VIOLATED REGULATION 3(C) AND (D) OF SEBI (PFUTP) REGULATIONS READ WITH SECTION 12A (B) AND (C) OF SEBI ACT, 1992
|
IMPOSED PENALTY RS.40,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
15-OCT-2015
|
SAT: SAT VIDE ITS ORDER DATED 12/07/2019 AFFIRMED PENALTY OF RS.40 CRORES U/S 15G & 15HA OF SEBI ACT FOR INDSIDER TRADING
SEBI VIDE ITS NOTICE DATED 24/12/2021 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
|
| 35 |
|
|
BRILLIANT INVESTMENTS LTD.
|
|
|
|
MANOHAR JAIN
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 12 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 36 |
|
|
CARDIOID SECURITIES PVT.LTD.
|
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CASE DISMISSED BY COURT. REVISION PETITION FILED BY SEBI IS PENDING BEFORE BOMBAY HIGH COURT
|
| 37 |
|
|
CARISSA INVESTMENTS PVT.LTD.
(PAN:AAACC3277A)
|
|
|
REPORTED INFLATED SHAREHOLDING OF PROMOTERS IN MATTER OF GHCL LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GHCL LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(3) AND 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GHCL LTD.
|
IMPOSED PENALTY RS.9,00,000
25-OCT-2013
|
SAT: SAT VIDE ITS ORDER DATED 31/07/2014 QUASHED AND SET ASIDED PENALTY OF RS.2 LACS IMPOSED ON EACH OF THE APPELLANTS FOR VIOLATION OF REGULATION 7(1A) OF SAST REGULATIONS
|
| 38 |
|
|
CAVALIER SECURITIES LIMITED
(PAN:AAACC6370Q)
|
|
|
|
MAHESH RAMDAS ADSUL
PAN:AGGPA2537E
|
|
|
NITIN SAWANT
|
|
|
RAJESH SAKHARIE
|
|
|
RAJKUMAR CHAINRAI BASANTANI
PAN:AESPB2834F
|
|
|
UMESH R.KHARIWALA
|
|
|
VIKAS SETH
|
|
|
VILAS CHOWGLE
|
|
|
VINOD R.HINGORANI
|
|
|
VITHAL PATIL
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
30-SEP-2011
|
|
| 39 |
|
|
CELESTIAL BIOLABS LTD.
(CIN:L72200TG1997PLC028374
PAN:AABCC4698Q)
|
|
|
|
ADITYA NARAYAN SINGH
DIN:01756827
PAN:AITPS2152A
|
|
|
PADMA SINGH
PAN:BQIPS8097A
DIN:01448915
|
|
INDULGED IN MIS-STATEMENT OF ACCOUNTS, ADOPTED DUBIOUS AND INCONSISTENT PRACTICES VIOLATING REGULATIONS 3(C), 4(1),(2)(A), (E), (F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CELESTIAL BIOLABS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-OCT-2018 TO 04-OCT-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-OCT-2018 TO 04-OCT-2023
05-OCT-2018
|
SEBI VIDE ITS ORDER DATED 10/07/2019 A) DIRECTED NOT TO BUY, SELL OR OTHERWISE DEAL IN SECURITIES MARKET IN ANY MANNER OR ACCESS SECURITIES MARKET, DIRECTLY OR INDIRECTLY, FOR 5 YEARS FROM DATE OF THIS ORDER B) PERMITTED TO RAISE THE MONEY FOR ON-GOING PROJECT / EXPANSION PLANS AT GENOME VALLEY, HYDERABAD COVERED IN BROCHURE/INFORMATION MEMORANDUM SUBMITTED TO SEBI BY WAY OF PREFERENTIAL ALLOTMENT TO QIB / AIF C) PROHIBITED TO RAISE MONEY FROM ANY OTHER INVESTORS IN ANY OTHER MANNER D) FILE A REPORT OF SUCH RAISING OF MONEY FROM QIB / AIF THE STOCK EXCHANGES WHERE THE SHARES ARE LISTED
|
| 40 |
|
|
CENTURY CONSULTANTS LTD.
|
|
|
|
ANAND KRISHAN JOHARI
|
|
|
ARVIND MOHAN JOHARI
|
|
|
GYANNENDRA NATH JOHARI
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 11 (3) 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. |
| |
|
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| Page 2 of 12
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