| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
ANIK SHIP BREAKING INDUSTRIES LTD.
|
|
|
|
A.B.LAKHANI
|
|
|
C.P.BHUTA
|
|
|
I.B.LAKHANI
|
|
|
P.P.BHUTA
|
|
|
R.K.IRANI
|
|
VIOLATED SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
VIOLATED SECTION 11 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 22 |
|
|
ANKUR CULTIVATORS PVT.LTD.
|
|
|
|
MAHESH MALHOTRA
|
|
|
RAVI KRISHNAMURTHY
|
|
VIOLATED SEBI ACT, 1992
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 23 |
|
|
ARAVALI HOUSING & FINANCE PVT.LTD.
|
|
|
|
ASHOK RAMSWAROOP BHANWARLAL PANCHARIYA
PAN:AEVPP6124P
|
|
|
ASPI B.BHESANIA
|
|
|
HIRALAL YADAV
|
|
|
JANBA CHOUGLE
|
|
|
MAHESH RAMDAS ADSUL
PAN:AGGPA2537E
|
|
|
MARUTI GUDULKAR
|
|
|
NARENDRA D.TIWARI
|
|
|
NITIN SAWANT
|
|
|
OMPRAKASH BAGRECHA
|
|
|
R.K.MAHESHWARI
|
|
|
RAJESH SAKHARIE
|
|
|
RAJKUMAR CHAINRAI BASANTANI
PAN:AESPB2834F
|
|
|
RAMESH L.SHARMA
|
|
|
SHANTABAI CHOUGLE
|
|
|
UMESH R.KHARIWALA
|
|
|
UPENDRA V.MODI
|
|
|
VIKAS SETH
|
|
|
VILAS CHOWGLE
|
|
|
VINOD R.HINGORANI
|
|
|
VITHAL PATIL
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 24 |
|
|
ARIHANT COTSYN LTD.
|
|
|
|
KIMTI LAL JAIN
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
FAILED TO PAY PENALTY
VIOLATED SEBI DEPOSITORIES ACT, 1996
VIOLATED SECTION 27 OF SEBI ACT, 1992
VIOLATED SECTION 11 B OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ALL ACCUSED DECLARED AS PROCLAIMED OFFENDERS AND KEPT IN DORMANT FILE
|
| 25 |
|
|
ASHOK AMAR & ASSOCIATES
|
|
|
|
KAILASH CHANDRA AGRAWAL
|
|
VIOLATED SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 26 |
|
|
AUTO INVESTMENT PVT.LTD.
|
|
|
|
KISHORE GURBUX MOTWANI
DIN:02417178
PAN:AAJPM2980N
|
|
|
SURESH GURBUX MOTWANI
|
|
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 27 |
|
|
BHAGYAUDAY INVESTMENTS PVT.LTD.
|
|
|
|
PANKAJ GOEL
|
|
|
RAM NIWAS GOEL
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 28 |
|
|
BHUTRA FINANCIAL SERVICES PVT.LTD.
|
|
|
|
AJYA MAHESHWARI
|
|
|
DEEPAK MAHESHWARI
|
|
|
O.P.MAHESHWARI
|
|
|
RAKESH MAHESHWARI
|
|
|
SUDHIR MAHESHWARI
|
|
VIOLATED SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.2,30,000 BY THE ACCUSED TO SEBI
|
| 29 |
|
|
BLUE INFORMATION TECHNOLOGY LTD.
(PAN:AABCB8718J)
|
|
|
|
DHAVAL A.JHAVERI
|
|
|
K.C.GUPTA
|
|
|
MILAN A.TRIVEDI
|
|
|
R.S.JHAVERI
|
|
|
SEEMA D.JHAVERI
|
|
|
SEEMA D.JHAVERI
|
|
|
V.K.GUPTA
|
|
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 30 |
|
|
BLUE INFORMATION TECHNOLOGY LTD.
(PAN:AABCB8718J)
|
|
|
|
DHAVAL A.JHAVERI
|
|
|
K.C.GUPTA
|
|
|
MILAN A.TRIVEDI
|
|
|
R.S.JHAVERI
|
|
|
SEEMA D.JHAVERI
|
|
|
SEEMA D.JHAVERI
|
|
|
V.K.GUPTA
|
|
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 31 |
|
|
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
|
|
| 32 |
|
|
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
|
| 33 |
|
|
BPL LTD.
|
|
|
|
AJIT NAMBIAR
|
|
|
R.MURALI
|
|
|
RAJEEV CHANDRASEKHAR
|
|
|
T.C.CHAUHAN
|
|
|
T.P.G.NAMBIAR
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 27 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ALL THE ACCUSED WERE DISCHARGED BY COURT. REVISION APPLICATIONS FILED BY SEBI IN THE ADDL.SESSIONS COURT, MUMBAI WHICH IS PENDING
|
| 34 |
|
|
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
|
|
| 35 |
|
|
C.D.P.FINCAP & LEASING PVT.LTD.
|
|
|
|
ANIL D.DOSHI
|
|
|
DILIP N.SHAH
|
|
|
DINESH D.DOSHI
|
|
|
VINOD C.SHAH
|
|
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SECTION 27 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 36 |
|
|
CARDINAL CAPITAL PARTNERS LTD.
|
|
|
VIOLATED SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(A) TO 3(D) & 4(1), 4(2)(A), 4(2)(C) AND 4(2)(E) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUE OF ASAHI INFRASTRUCTURE & PROJECTS LTD., AVON CORP.LTD., CAT TECHNOLOGIES LTD., IKF TECHNOLOGIES LTD., K SERA SERA LTD. AND MAARS SOFTWARE INTERNATIONAL LTD.
VIOLATED REGULATION 13A(1) OF FII REGULATIONS READ WITH CLAUSES 1,2,8 AND 10 OF CODE OF CONDUCT SPECIFIED UNDER REGULATION 7A OF FII REGULATIONS IN MATTER OF GDR ISSUES IN ASAHI INFRASTRUCTURE & PROJECTS LTD., AVON CORP.LTD., CAT TECHNOLOGIES LTD., IKF TECHNOLOGIES LTD., K SERA SERA LTD. AND MAARS SOFTWARE INTERNATIONAL LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-SEP-2017
|
|
| 37 |
|
|
CAVALIER SECURITIES LIMITED
(PAN:AAACC6370Q)
|
|
|
|
ASHOK RAMSWAROOP BHANWARLAL PANCHARIYA
PAN:AEVPP6124P
|
|
|
ASPI B.BHESANIA
|
|
|
HIRALAL YADAV
|
|
|
JANBA CHOUGLE
|
|
|
MAHESH RAMDAS ADSUL
PAN:AGGPA2537E
|
|
|
MARUTI GUDULKAR
|
|
|
NARENDRA D.TIWARI
|
|
|
NITIN SAWANT
|
|
|
OMPRAKASH BAGRECHA
|
|
|
R.K.MAHESHWARI
|
|
|
RAJESH SAKHARIE
|
|
|
RAJKUMAR CHAINRAI BASANTANI
PAN:AESPB2834F
|
|
|
RAMESH L.SHARMA
|
|
|
SHANTABAI CHOUGLE
|
|
|
UMESH R.KHARIWALA
|
|
|
UPENDRA V.MODI
|
|
|
VIKAS SETH
|
|
|
VILAS CHOWGLE
|
|
|
VINOD R.HINGORANI
|
|
|
VITHAL PATIL
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 38 |
|
|
CAVALIER SECURITIES LIMITED
(PAN:AAACC6370Q)
|
|
|
|
ASHOK RAMSWAROOP BHANWARLAL PANCHARIYA
PAN:AEVPP6124P
|
|
FILED INCORRECT SHAREHOLDING PATTERN AND DID NOT ENSURE 100% OF ITS PROMOTERS’ SHAREHOLDING IN DEMAT FORM VIOLATING SECTION 12A(F) OF SEBI ACT, 1992 IN MATTER OF ALKA INDIA LTD.
DELAY IN MAKING PUBLIC ANNOUNCEMENT VIOLATING REGULATION 10 READ WITH REGULATION 14(1) OF SAST REGULATIONS, 2011 IN MATTER OF ALKA INDIA LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-SEP-2024
|
|
| 39 |
|
|
CDP FINCAP PVT.LTD.
|
|
|
|
ANIL D.DOSHI
|
|
|
DINESH D.DOSHI
|
|
|
VINOD C.SHAH
|
|
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACQUITTED
|
| 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 14
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