S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
21 |
|
OCEAN AGRO (INDIA) LTD.
|
|
|
BABUBHAI JAMANDAS PARIKH
|
|
KAUSHIK BABUBHAI PARIKH
|
|
MANHARBHAI DAYALJIBHAI PATEL
|
|
SHANTABEN MANHARBHAI PATEL
|
|
USHABEN K.PARIKH
|
|
ALLEGED DELAY IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT UNDER RULE 19A, PROVISO TO RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH CLAUSE 40A OF LISTING AGREEMENT READ WITH SECTION 21 OF SCR ACT, 1956
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
20-JAN-2017
|
|
22 |
|
OM PESTICIDES NANDESARI PVT.LTD.
|
|
|
ALLEGED DELAY IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT UNDER RULE 19A, PROVISO TO RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH CLAUSE 40A OF LISTING AGREEMENT READ WITH SECTION 21 OF SCR ACT, 1956
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
20-JAN-2017
|
|
23 |
|
PARSHWANATH CORP.LTD.
(PAN:AAACP9020A)
|
|
|
ALLEGED VIOLATION OF RULE 19(2)(B) AND 19A OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
06-DEC-2017
|
|
24 |
|
PNB FINANCE & INDUSTRIES LTD.
(PAN:AAACP0256C)
|
|
|
MEERA JAIN
PAN:AEZPJ3882J
|
|
SAMIR JAIN
PAN:AEHPJ3016Q
|
|
MADE WRONG DISCLOSURE OF SHAREHOLDING PATTERN OF PROMOTERS TO STOCK EXCHANGES VIOLATING CLAUSE 35 OF LISTING AGREEMENT AND REGULATION 31(1)(B) OF SEBI (LODR) REGULATIONS 2015 READ WITH SEBI CIRCULAR NO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 READ WITH REGULATION 2(ZA) OF SEBI (ICDR) REGULATIONS, 2009
DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING RULE 19A(1) OF SCRR, 1957 READ WITH REGULATION 38 OF SEBI (LODR) REGULATIONS, 2015 READ WITH PROVISION OF 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
MADE WRONG DISCLOSURE OF SHAREHOLDING PATTERN OF PROMOTERS TO STOCK EXCHANGES VIOLATING SECTIONS 12(A)(A) TO 12A(B) OF SEBI ACT, 1992 READ WITH REGULATION 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF PNB FINANCE & INDUSTRIES LTD.
|
DIRECTED TO MAKE PROPER AND COMPLETE DISCLOSURE
DIRECTED CALCUTTA STOCK EXCHANGE TO TAKE ACTION AGAINST NOTICEES IN TERMS OF INSTRUCTIONS AS PER SEBI CIRCULAR
IMPOSED PENALTY RS.3,00,00,000
28-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 08/09/2023 CONDONED THE DELAY IN FILING OF APPEAL AND DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS
SAT: SAT VIDE ITS ORDER DATED 07/11/2024 DIRECTED APPELLANTS TO SUBMIT LETTER TO CGM, CORPORATE FINANCE DEPARTMENT, SEBI WITHIN TEN DAYS FROM DATE OF THIS ORDER AND SEBI TO REPLY/RESPOND WITHIN THIRTY DAYS FROM DATE OF SUBMISSION OF THEIR REQUEST BY THE APPELLANTS
|
25 |
|
SAMEER S.JOSHI (HUF)
(PAN:AAPHS5352A)
|
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE TRANSACTIONS VIOLATING REGULATION 15 READ WITH CLAUSES A(1), A(2) AND D(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS & SUB-BROKERS) REGULATIONS, 1992
INDULGED IN FUND BASED ACTIVITIES INVOLVING PERSONAL FINANCIAL LIABILITY VIOLATING RULE 8(3) (F) OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
|
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET
DIRECTED TO REFUND ALL THE MONIES TO INVESTORS ALONG WITH INCOME, PROFITS OR RETURNS PROMISED UNDER THE SCHEMES
PROHIBITED FROM TRANSFERRING FUNDS / DEPOSITS MOBILISED FROM THE CLIENTS OR OTHER INVESTORS OR FROM DISPOSING OF OR ALIENATING ANY ASSET THAT HAS BEEN CREATED FROM THE FUNDS/DEPOSITS RECEIVED FROM THEIR CLIENTS OR OTHER INVESTORS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-JAN-2016 TO 07-JAN-2021
PROHIBITED FROM MOBILIZING OR POOLING FUNDS FROM ITS CLIENTS, OTHER GENERAL INVESTORS OR PUBLIC OR ANY OTHER UNREGISTERED ACTIVITY, IN WHATEVER FORM
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-JAN-2016 TO 07-JAN-2021
20-JAN-2015
|
SEBI VIDE ITS ORDER DATED 08/01/2016 1) PROHIBITED FROM MOBILIZING OR POOLING ANY FRESH FUNDS FROM ITS CLIENTS, OTHER GENERAL INVESTORS OR PUBLIC IN WHATEVER FORM 2) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR A PERIOD OF FIVE YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
|
26 |
|
SAYAJI HOTELS LTD.
(PAN:AADCS2086A)
|
|
|
DELAY IN COMPLYING WITH MINIMUM PUBLIC SHAREHOLDING REQUIREMENTS AS REQUIRED UNDER RULE 19A OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH SECTION 21 OF SCRA, 1956
DELAY IN COMPLYING WITH MINIMUM PUBLIC SHAREHOLDING REQUIREMENTS AS REQUIRED UNDER CLAUSE 40A OF LISTING AGREEMENT
|
IMPOSED PENALTY RS.12,00,000
29-SEP-2017
|
|
27 |
|
SHREEVATSAA FINANCE & LEASING LTD.
|
|
|
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING CLAUSE 40A OF LISTING AGREEMENT READ WITH RULE 19 OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH SECTION 21 OF SCRA ON OCTOBER 20,2016
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,80,000 VIDE CONSENT ORDER)
16-MAY-2018
|
|
28 |
|
STARCOM INFORMATION TECHNOLOGY LTD.
(CIN:L67120KA1995PLC078846 PAN:AAACJ1380R)
|
|
|
ALLEGED VIOLATION OF CLAUSE 40A OF LISTING AGREEMENT READ WITH RULE 19A OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
ALLEGED VIOLATION OF REGULATION 38 OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATIONS) ACT, 1956
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,80,000 VIDE CONSENT ORDER)
28-MAR-2019
|
|
29 |
|
TEA TIME LTD.
(PAN:AAACT9777A)
|
|
|
DELAY IN COMPLIANCE WITH MINIMUM PUBLIC SHAREHOLDING REQUIREMENT AS REQUIRED UNDER RULE 19(2)(B) AND 19A OF SECURITIES CONTRACTS (REGULATION) RULES, 1957
DELAY IN COMPLIANCE WITH MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING RULE 19(2)(B) AND RULE 19A OF SCR RULES, 1957 AND CLAUSE 40A OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.13,00,000
11-SEP-2017
|
|
30 |
|
VALIANT ORGANICS LTD.
(PAN:AACCV0024A)
|
|
|
ALLEGED FAILURE IN COMPLIANCE OF CLAUSE I (A)(3)(B) OF ANNEXURE – I OF SEBI CIRCULAR NO.CFD/DIL3/CIR/2017/21 DATED 10/03/2017 READ WITH REGULATIONS 11, 37 AND 94 READ WITH REGULATION 101(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF CONVERSION OF OPTIONALLY CONVERTIBLE PREFERENCE SHARES OF AMARJYOT CHEMICAL LTD.
ALLEGED FAILURE IN COMPLIANCE OF RULE 19(7) OF SECURITIES CONTRACTS (REGULATION) RULES, 19572015 IN MATTER OF CONVERSION OF OPTIONALLY CONVERTIBLE PREFERENCE SHARES OF AMARJYOT CHEMICAL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
18-SEP-2023
|
|
31 |
|
WASANKAR INVESTMENTS
(PAN:AAIPW1864A)
|
|
|
ABHIJEET JAYANT CHAUDHARI
PAN:AIUPC8611M
|
|
BHAGYASHREE PRASHANT WASANKAR
PAN:AALPW3274H
|
|
MITHILA VINAY WASANKAR
DIN:02772484 PAN:ANFPM0123J
|
|
VINAY JAIDEV WASANKAR
PAN:AALPW3215A
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
INDULGED IN FUND BASED ACTIVITIES INVOLVING PERSONAL FINANCIAL LIABILITY VIOLATING RULE 8(3) (F) OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
DEALT WITH OTHER STOCK BROKERS FOR PROPRIETARY TRADING WITHOUT OBTAINING PRIOR PERMISSION FROM STOCK EXCHANGES VIOLATING SEBI CIRCULAR NO.SEBI/MIRSD/CIR-06/2004 DATED 13/01/2004
|
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC OR OFFER ANY PORTFOLIO MANAGEMENT SERVICES FROM 21-SEP-2022 TO 20-MAR-2023
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET
DIRECTED TO REFUND ALL THE MONIES TO INVESTORS ALONG WITH INCOME, PROFITS OR RETURNS PROMISED UNDER THE SCHEMES
PROHIBITED FROM TRANSFERRING FUNDS / DEPOSITS MOBILISED FROM THE CLIENTS OR OTHER INVESTORS OR FROM DISPOSING OF OR ALIENATING ANY ASSET THAT HAS BEEN CREATED FROM THE FUNDS/DEPOSITS RECEIVED FROM THEIR CLIENTS OR OTHER INVESTORS
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
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
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 21-SEP-2022 TO 20-MAR-2023
27-AUG-2014
|
|
32 |
|
WASANKAR WEALTH MANAGEMENT LTD.
(PAN:AAACW8073C)
|
|
|
ABHIJEET JAYANT CHAUDHARI
PAN:AIUPC8611M
|
|
BHAGYASHREE PRASHANT WASANKAR
PAN:AALPW3274H
|
|
MITHILA VINAY WASANKAR
DIN:02772484 PAN:ANFPM0123J
|
|
VINAY JAIDEV WASANKAR
PAN:AALPW3215A
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
INDULGED IN FUND BASED ACTIVITIES INVOLVING PERSONAL FINANCIAL LIABILITY VIOLATING RULE 8(3) (F) OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
DEALT WITH OTHER STOCK BROKERS FOR PROPRIETARY TRADING WITHOUT OBTAINING PRIOR PERMISSION FROM STOCK EXCHANGES VIOLATING SEBI CIRCULAR NO.SEBI/MIRSD/CIR-06/2004 DATED 13/01/2004
|
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC OR OFFER ANY PORTFOLIO MANAGEMENT SERVICES FROM 21-SEP-2022 TO 20-MAR-2023
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET
DIRECTED TO REFUND ALL THE MONIES TO INVESTORS ALONG WITH INCOME, PROFITS OR RETURNS PROMISED UNDER THE SCHEMES
PROHIBITED FROM TRANSFERRING FUNDS / DEPOSITS MOBILISED FROM THE CLIENTS OR OTHER INVESTORS OR FROM DISPOSING OF OR ALIENATING ANY ASSET THAT HAS BEEN CREATED FROM THE FUNDS/DEPOSITS RECEIVED FROM THEIR CLIENTS OR OTHER INVESTORS
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
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
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 21-SEP-2022 TO 20-MAR-2023
27-AUG-2014
|
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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 2 of 2
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