| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
DEEPAKKUMAR SHANTILAL JAIN
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPOS OF VARIOUS COMPANIES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
IMPOSED PENALTY RS.10,00,000
27-APR-2006
D TO DISGORGE RS.54,76,653
31-DEC-2008~
|
CONFIRMED INTERIM ORDER DATED APR. 27,2006
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO COMPLETE ENQUIRIES BEFORE 31/10/2008.ADJUDICATION PROCEEDINGS SHOULD ALSO BE DISPOSED OF BEFORE END OF OCTOBER THIS YEAR
|
| 22 |
|
|
DEVANGI DIPAKBHAI PANCHAL
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF YES BANK LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-DEC-2005 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 15-DEC-2005 TILL FURTHER ORDERS
15-DEC-2005
D TO DISGORGE RS.13,51,57,917
25-FEB-2011~
|
SEBI VIDE ITS ORDER DATED 25/02/2011 DIRECTED 1.NOT TO BUY, SELL OR DEAL IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESS SECURITIES MARKET,DIRECTLY OR INDIRECTLY FOR THREE MONTHS FROM DATE OF ORDER 2.TO DISGORGE RS.13,51,57,917 (UNLAWFUL GAIN OF RS.9,01,05,278 AND INTEREST RS.4,50,52,639) WITHIN 45 DAYS FROM DATE OF ORDER OTHERWISE PERIOD OF RESTRAINT WILL BE FURTHER PERIOD OF NINE YEARS (SUPERSEDED ALL DIRECTION ISSUED VIDE INTERIM ORDERS DATED 15/12/2005, 12/01/2006, AND 27/04/2006)
SEBI VIDE ITS ORDER DATED 30/03/2016 DIRECTED NOTICEES TO CO-OPERATE WITH SEBI DURING EXAMINATION AND SUBMIT ALL THE DOCUMENTS IN THEIR POSSESSION THAT MAY BE CALLED FOR BY SEBI
|
| 23 |
|
|
DEVANGI DIPAKBHAI PANCHAL
|
|
|
FACILITATED IN MANIPULATING IPO OF INFRASTRUCTURE DEVELOPMENT FINANCE CO.LTD. BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS AND LATER ON SELL THEM IN MARKET AT HIGHER PRICE FOR UNJUST ENRICHMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-FEB-2011 TO 24-MAY-2011
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 25-FEB-2011 TO 24-MAY-2011
DIRECTED TO DISGORGE RS.13,51,57,917
12-JAN-2006
|
SEBI VIDE ITS ORDER DATED 25/02/2011 DIRECTED 1.NOT TO BUY, SELL OR DEAL IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESS SECURITIES MARKET,DIRECTLY OR INDIRECTLY FOR THREE MONTHS FROM DATE OF ORDER 2.TO DISGORGE RS.13,51,57,917 (UNLAWFUL GAIN OF RS.9,01,05,278 AND INTEREST RS.4,50,52,639) WITHIN 45 DAYS FROM DATE OF ORDER OTHERWISE PERIOD OF RESTRAINT WILL BE FURTHER PERIOD OF NINE YEARS (SUPERSEDED ALL DIRECTION ISSUED VIDE INTERIM ORDERS DATED 15/12/2005, 12/01/2006, AND 27/04/2006)
SEBI VIDE ITS ORDER DATED 30/03/2016 DIRECTED NOTICEES TO CO-OPERATE WITH SEBI DURING EXAMINATION AND SUBMIT ALL THE DOCUMENTS IN THEIR POSSESSION THAT MAY BE CALLED FOR BY SEBI
|
| 24 |
|
|
DEVANGI DIPAKBHAI PANCHAL
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-FEB-2011 TO 24-MAY-2011
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 25-FEB-2011 TO 24-MAY-2011
DIRECTED TO DISGORGE RS.13,51,57,917
27-APR-2006
|
CONFIRMED AD-INTERIM EX-PARTE ORDER DATED 27/04/2006 AND DIRECTED NOT TO BUY, SELL OR DEAL IN THE SECURITIES INCLUDING INITIAL PUBLIC OFFERING UNTIL FURTHER ORDERS
DIRECTED VIDE ORDER DATED 13/08/2010 1.COMPLETE ALL NECESSARY FORMALITIES RELATED TO SALE OF 1,06,450 SHARES OF HSBC INVEST DIRECT INDIA LTD. TO ACQUIRERS WITHIN 15 DAYS FROM DATE OF THIS ORDER 2.NSDL AND KARVY SHALL TRANSFER AFORESAID SHARES TO SPECIAL DEPOSITORY ACCOUNT, MAINTAINED BY MANAGER TO THE OFFER (SBICAP) AND 3.SBICAP SHALL TRANSFER ENTIRE SALE PROCEED TO SPECIAL DEPOSITORY ACCOUNT WHICH WILL BE INVESTED BY SEBI IN FDS AND SHALL USE THE SAME TOWARDS CONTINGENT LIABILITY AGAINST DEVANGI AND ANY TAX LIABILITY WILL BE BORNE BY DEVANGI
|
| 25 |
|
|
DHARMESH BHUPENDRA M. (AKA. D.B.MEHTA)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPOS OF VARIOUS COMPANIES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.33,72,056, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.84,30,140 VIDE CONSENT ORDER)
01-FEB-2010~
|
CONFIRMED INTERIM ORDER DATED APR. 27,2006
AD-INTERIM EX-PARTE ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.33,72,056 TOWARDS SETTLEMENT CHARGES AND RS.84,30,140 TOWARDS DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS), AS PER CONSENT ORDER DATED 01/02/2010
|
| 26 |
|
|
DHARMESH BHUPENDRA M. (AKA. D.B.MEHTA)
|
|
|
FACILITATED IN MANIPULATING IPO OF INFRASTRUCTURE DEVELOPMENT FINANCE CO.LTD. BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS AND LATER ON SELL THEM IN MARKET AT HIGHER PRICE FOR UNJUST ENRICHMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-JAN-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 12-JAN-2006 TILL FURTHER ORDERS
12-JAN-2006
|
|
| 27 |
|
|
DHARMESH K.KATAKIA
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPOS OF VARIOUS COMPANIES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.23,10,738, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.77,02,460 VIDE CONSENT ORDER)
08-JAN-2010~
|
AD-INTERIM EX-PARTE ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY 77,02,460 TOWARDS DISGORGEMENT (PAYABLE TO INVESTORS) AND RS.23,10,738 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 08/01/2010
|
| 28 |
|
|
DHAVAL A.MEHTA
(PAN:ALKPM2611G)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF INFRASTRUCTURE DEVELOPMENT FINANCE CO.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
D TO DISGORGE RS.72,00,000
31-OCT-2008~
|
CONFIRMED INTERIM ORDER DATED APR. 27,2006
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO COMPLETE ENQUIRIES BEFORE 31/10/2008.ADJUDICATION PROCEEDINGS SHOULD ALSO BE DISPOSED OF BEFORE END OF OCTOBER THIS YEAR
|
| 29 |
|
|
DHAVAL K.KATAKIA
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPOS OF VARIOUS COMPANIES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.12,35,720, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.41,19,068 VIDE CONSENT ORDER)
08-JAN-2010~
|
AD-INTERIM EX-PARTE ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY 41,19,068 TOWARDS DISGORGEMENT (PAYABLE TO INVESTORS) AND RS.12,35,720 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 08/01/2010
|
| 30 |
|
|
DHAVAL NARENDRA DADIA
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.1,70,000 VIDE CONSENT ORDER)
05-JUN-2008~
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.170000 AGAINST NOTIONAL UNDUE GAIN AND RS.100000 AGAINST SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 05/06/2008
|
| 31 |
|
|
DIPAKBHAI JASWANTLAL PANCHAL
|
|
|
|
ZENET SOFTWARE LTD.
PAN:AAACZ0978K
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
D TO DISGORGE RS.10,74,97,161
25-FEB-2011~
|
CONFIRMED AD-INTERIM EX-PARTE ORDER DATED 27/04/2006 AND DIRECTED NOT TO BUY, SELL OR DEAL IN THE SECURITIES INCLUDING INITIAL PUBLIC OFFERING UNTIL FURTHER ORDERS
SEBI VIDE ITS ORDER DATED 25/02/2011 DIRECTED 1. NOT TO BUY, SELL OR DEAL IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESS SECURITIES MARKET,DIRECTLY OR INDIRECTLY FOR THREE MONTHS FROM DATE OF ORDER 2.TO DISGORGE RS.10,74,97,161 (UNLAWFUL GAIN OF RS.7,16,64,774 AND INTEREST RS.3,58,32,387) WITHIN 45 DAYS FROM DATE OF ORDER OTHERWISE PERIOD OF RESTRAINT WILL BE FURTHER PERIOD OF NINE YEARS (SUPERSEDED ALL DIRECTION ISSUED VIDE INTERIM ORDERS DATED 12/01/2006 AND 27/04/2006)
|
| 32 |
|
|
DIPAKBHAI JASWANTLAL PANCHAL
|
|
|
FACILITATED IN MANIPULATING IPO OF INFRASTRUCTURE DEVELOPMENT FINANCE CO.LTD. BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS AND LATER ON SELL THEM IN MARKET AT HIGHER PRICE FOR UNJUST ENRICHMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-JAN-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 12-JAN-2006 TILL FURTHER ORDERS
12-JAN-2006
D TO DISGORGE RS.10,74,97,161
25-FEB-2011~
|
SEBI VIDE ITS ORDER DATED 25/02/2011 DIRECTED 1. NOT TO BUY, SELL OR DEAL IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESS SECURITIES MARKET,DIRECTLY OR INDIRECTLY FOR THREE MONTHS FROM DATE OF ORDER 2.TO DISGORGE RS.10,74,97,161 (UNLAWFUL GAIN OF RS.7,16,64,774 AND INTEREST RS.3,58,32,387) WITHIN 45 DAYS FROM DATE OF ORDER OTHERWISE PERIOD OF RESTRAINT WILL BE FURTHER PERIOD OF NINE YEARS (SUPERSEDED ALL DIRECTION ISSUED VIDE INTERIM ORDERS DATED 12/01/2006 AND 27/04/2006)
SAT: SAT VIDE ITS ORDER DATED 21/10/2014 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 25/02/2011 AND REMANDED THE MATTER FOR PASSING FRESH ORDER ON MERITS. NO COSTS
|
| 33 |
|
|
DUSHYANT NATWARLAL DALAL
(PAN:AAAPD5859Q)
|
|
|
|
EXCELL MULTITECH LTD.
|
|
|
SEER FINLEASE PVT.LTD.
|
|
|
TAURAS INFOSYS LTD.
|
|
|
ZENET SOFTWARE LTD.
PAN:AAACZ0978K
|
|
FACILITATED IN MANIPULATING IPO OF INFRASTRUCTURE DEVELOPMENT FINANCE CO.LTD. BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS AND LATER ON SELL THEM IN MARKET AT HIGHER PRICE FOR UNJUST ENRICHMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-JAN-2006 UNTIL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 12-JAN-2006 UNTIL FURTHER ORDERS
12-JAN-2006
|
|
| 34 |
|
|
DUSHYANT NATWARLAL DALAL
(PAN:AAAPD5859Q)
|
|
|
|
EXCELL MULTITECH LTD.
|
|
|
KARVY STOCK BROKING LTD.
PAN:AABCK5190K
(Depository Participants : CDSL)
|
|
|
KARVY STOCK BROKING LTD.
PAN:AABCK5190K
(Depository Participants : NSDL)
|
|
|
SEER FINLEASE PVT.LTD.
|
|
|
SUJAL LEASING & FINANCE PVT.LTD.
|
|
|
TAURAS INFOSYS LTD.
|
|
|
ZENET SOFTWARE LTD.
PAN:AAACZ0978K
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
REFERRED THE MATTER TO "INSTITUTE OF CHARTERED ACCOUNTANTS OF INDIA" FOR NECESSARY ACTIONS
DIRECTED TO ATTACH BANK ACCOUNTS
27-APR-2006
D TO DISGORGE RS.6,00,31,137 ALONG WITH OTHER ENTITIES/PERSONS
21-JUL-2009~
|
CONFIRMED ORDER DATED 27/04/2006. AS RASILA NATWARLAL THAKORDAS AND NATWARLAL THAKORDAS EXPIRED, THEIR DEMAT A/C JOINTLY WITH DUSHYANT NATWARLAL DALAL WOULD FROZEN TILL THE PASSING OF FINAL ORDER
DIRECTED A) NOT TO BUY, SELL OR DEAL IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESS SECURITES MARKET DIRECTLY OR INDIRECTLY FOR A PERIOD OF 45 DAYS FROM DATE OF ORDER I.E. 21/07/2009 B) TO DISGORGE UNLAWFUL GAIN OF RS. 4.05 CRORE ALONGWITH RS.1.95 CRORE BEING SIMPLE INTEREST AT THE RATE OF 12% PER ANNUM FOR 4 YEARS (2005-09) ON UNLAWFUL GAIN OF RS.4.05 CRORE WITHIN 45 DAYS FROM DATE OF THIS ORDER C) IN CASE AFORESAID AMOUNT IS NOT PAID WITHIN SPECIFIED TIME, SHALL BE RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESSING SECURITIES MARKET, DIRECTLY OR INDIRECTLY, FOR A FURTHER PERIOD OF SEVEN YEARS, WITHOUT PREJUDICE TO SEBI’S RIGHT TO ENFORCE DISGORGEMENT
|
| 35 |
|
|
GAUTAM N.JHAVERI
|
|
|
FACILITATED IN MANIPULATING IPO OF INFRASTRUCTURE DEVELOPMENT FINANCE CO.LTD. BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS AND LATER ON SELL THEM IN MARKET AT HIGHER PRICE FOR UNJUST ENRICHMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-JAN-2006 UNTIL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 12-JAN-2006 UNTIL FURTHER ORDERS
12-JAN-2006
|
|
| 36 |
|
|
GURMUKHDAS RAMESHKUMAR GIYAMALANI
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
|
SEBI VIDE ITS ORDER DATED 18/08/2016 RECALLED THE RESTRAINT ORDER PASSED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 12/01/2006 AND CONFIRMEND VIDE ITS ORDER DATED 27/04/2016
|
| 37 |
|
|
HASMUKHLAL N.VORA
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.22,23,158, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.2,20,76,842 VIDE CONSENT ORDER)
24-NOV-2008~
|
CONFIRMED INTERIM ORDER DATED APRIL 27, 2006
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO COMPLETE ENQUIRIES BEFORE 31/10/2008.ADJUDICATION PROCEEDINGS SHOULD ALSO BE DISPOSED OF BEFORE END OF OCTOBER THIS YEAR
|
| 38 |
|
|
HASMUKHLAL N.VORA
|
|
|
FACILITATED IN MANIPULATING IPO OF INFRASTRUCTURE DEVELOPMENT FINANCE CO.LTD. BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS AND LATER ON SELL THEM IN MARKET AT HIGHER PRICE FOR UNJUST ENRICHMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-JAN-2006 UNTIL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 12-JAN-2006 UNTIL FURTHER ORDERS
12-JAN-2006
|
|
| 39 |
|
|
HEMLATA DESAI
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.12,540, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.77,460 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
12-AUG-2008~
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.77460 AGAINST NOTIONAL UNDUE GAIN AND SETTLEMENT CHARGES OF RS.12540 JOINTLY WITH BAKUL DESAI AND CHIRAG DESAI AS PER CONSENT ORDER DATED 12/08/2008
|
| 40 |
|
|
HIMANI N.PATEL
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF INFRASTRUCTURE DEVELOPMENT FINANCE CO.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
D TO DISGORGE RS.33,52,636
31-OCT-2008~
|
CONFIRMED INTERIM ORDER DATED APR. 27,2006
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO COMPLETE ENQUIRIES BEFORE 31/10/2008.ADJUDICATION PROCEEDINGS SHOULD ALSO BE DISPOSED OF BEFORE END OF OCTOBER THIS YEAR
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 2 of 6
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