| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
S.HARIKRISHNA
|
|
|
|
S.N.FINANCE LTD.
|
|
ACTED IN CONCERT TO ISSUE FAKE SHARE CERTIFICATES AND TRANSFER/DEMATERIALISE TO CHEAT KARNATAKA STATE FINANCIAL CORP.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-FEB-2006 TILL FURTHER ORDERS
01-FEB-2006
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM ASSOCIATING WITH SECURITIES MARKET TO BUY, SELL OR DEAL IN SECURITIES EITHER DIRECTLY OR INDIRECTLY FROM 01/02/2006 TO 31/01/2011
|
| 22 |
|
|
S.MADHAVA
|
|
|
|
BELLARY STEELS & ALLOYS LTD.
|
|
ACTED IN CONCERT TO ISSUE FAKE SHARE CERTIFICATES AND TRANSFER/DEMATERIALISE TO CHEAT KARNATAKA STATE FINANCIAL CORP.
|
DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 01-JAN-2006 TILL FURTHER ORDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-JAN-2006 TILL FURTHER ORDERS
01-JAN-2006
|
SAT: DIRECTED SEBI TO CONCLUDE INVESTIGATIONS BEFORE END OF MARCH 2008
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM ASSOCIATING WITH SECURITIES MARKET TO BUY, SELL OR DEAL IN SECURITIES EITHER DIRECTLY OR INDIRECTLY FROM 01/02/2006 TO 31/01/2011
|
| 23 |
|
|
S.MADHAVA
|
|
|
|
PANCHALOHA HOTEL PVT.LTD.
CIN:U55101KA1997PTC021707
|
|
|
S.N.FINANCE LTD.
|
|
ACTED IN CONCERT TO ISSUE FAKE SHARE CERTIFICATES AND TRANSFER/DEMATERIALISE TO CHEAT KARNATAKA STATE FINANCIAL CORP.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-FEB-2006 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
01-FEB-2006
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM ASSOCIATING WITH SECURITIES MARKET TO BUY, SELL OR DEAL IN SECURITIES EITHER DIRECTLY OR INDIRECTLY FROM 01/02/2006 TO 31/01/2011
SAT: APPEAL FAILED AND DISMISSED
|
| 24 |
|
|
S.RAMANI
|
|
|
|
PENTAMEDIA GRAPHICS LTD.
CIN:L74210TN1976PLC007142
PAN:AAACP1647B
|
|
APPARENT NON-GENUINENESS OF SHARE CERTIFICATES OF PENTAMEDIA GRAPHICS LTD.
|
DIRECTED NOT TO ISSUE FURTHER SHARES OR ALTER ITS SHARE CAPITAL IN ANY MANNER FROM 03-OCT-2005
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-OCT-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-OCT-2005
03-OCT-2005
|
|
| 25 |
|
|
S.SURYA PRAKASA RAO
|
|
|
|
CONSORTEX KARL DOELITZSCH (INDIA) LTD.
CIN:L31909AP1984PLC004953
|
|
INTRODUCED FAKE SHARES
FAILED TO RECONCILE RECORDS OF DEMATERIALISED SECURITIES WITH THE SECURITIES ISSUED ON DAILY BASIS
FILED FALSE AND MISLEADING REPORT ON SHAREHOLDING PATTERN WITH THE STOCK EXCHANGES
|
DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 29-SEP-2005 TILL FURTHER ORDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-SEP-2005 TILL FURTHER ORDERS
DIRECTED TO SUBMIT CERTIFIED REPORT ON THE RECORDS OF DEMATERIALISED SECURITIES WITH THE SECURITIES ISSUED
29-SEP-2005
|
CONFIRMED INTERIM ORDER DATED 29/09/2005
|
| 26 |
|
|
SIDDHARTHA SRIVASTAVA
|
|
|
ISSUED FAKE SHARE CERTIFICATES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-DEC-2009 TO 01-DEC-2011
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-DEC-2009 TO 01-DEC-2011
02-DEC-2009
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 02/12/2009 SET ASIDE AND CASE REMANDED TO SEBI, WITH DIRECTION TO PASS AN APPROPRIATE ORDER. FURTHER, DIRECTED THAT TILL SUCH TIME WHOLETIME MEMBER PASS FINAL ORDER, APPELLANT SHALL NOT BUY, SELL OR DEAL IN SECURITIES IN ANY MANNER OR ACCESS SECURITIES MARKET DIRECTLY OR INDIRECTLY. NO ORDER AS TO COSTS
PROHIBITED FROM BUYING, SELLING OR DEALING IN SECURITIES IN ANY MANNER OR ACCESSING THE SECURITIES MARKET DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR A PERIOD OF TWO YEARS, VIDE ORDER DATED 24/08/2010
|
| 27 |
|
|
T.V.KRISHNAMURTY
|
|
|
|
PENTAMEDIA GRAPHICS LTD.
CIN:L74210TN1976PLC007142
PAN:AAACP1647B
|
|
APPARENT NON-GENUINENESS OF SHARE CERTIFICATES OF PENTAMEDIA GRAPHICS LTD.
|
DIRECTED NOT TO ISSUE FURTHER SHARES OR ALTER ITS SHARE CAPITAL IN ANY MANNER FROM 03-OCT-2005
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-OCT-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-OCT-2005
03-OCT-2005
|
|
| 28 |
|
|
USHA GANESARAJAH
|
|
|
|
PENTAMEDIA GRAPHICS LTD.
CIN:L74210TN1976PLC007142
PAN:AAACP1647B
|
|
APPARENT NON-GENUINENESS OF SHARE CERTIFICATES OF PENTAMEDIA GRAPHICS LTD.
|
DIRECTED NOT TO ISSUE FURTHER SHARES OR ALTER ITS SHARE CAPITAL IN ANY MANNER FROM 03-OCT-2005
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-OCT-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-OCT-2005
03-OCT-2005
|
|
| 29 |
|
|
UVES MOHAMMED YUNUS SARESHWALA
(DIN:00123493
PAN:AOFPS5856M)
|
|
|
|
PARSOLI CORP.LTD.
PAN:AABCP9030F
|
|
INTRODUCED, TRANSFERRED AND DEMATERIALISED 80,800 FAKE SHARES OF PARSOLI CORP.LTD. IN FAVOUR OF PROMOTERS/FRONT ENTITIES
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN MATTER OF ISSUANCE OF 80,800 FAKE SHARES OF PARSOLI CORP.LTD. TO PROMOTERS/FRONT ENTITIES
DID NOT HANDLE AND MAINTAIN SHARE TRANSFER WORK AT SINGLE POINT AS REQUIRED UNDER REGULATION 53A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996 IN MATTER OF PARSOLI CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-JUL-2010 TO 26-JUL-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-JUL-2010 TO 26-JUL-2017
DIRECTED NOT TO HOLD POSITION OF DIRECTOR IN BOARD OF ANY LISTED COMPANY FROM 27-JUL-2010 TO 26-JUL-2017
DIRECTED TO MAKE PUBLIC OFFER THROUGH MERCHANT BANKER TO ACQUIRE SHARES FROM PUBLIC SHAREHOLDERS BY PAYING VALUE AS PER REGULATION 23 OF SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 WITHIN THREE MONTHS FROM DATE OF ORDER
DIRECTED BSE TO FACILITATE VALUATION OF SHARES TO BE PURCHASED AND COMPULSORILY DELIST COMPANY, IF PUBLIC SHAREHOLDING REDUCES BELOW MINIMUM LEVEL
DIRECTED TO CREDIT AMOUNTS TO ESCROW ACCOUNT IN NATIONALISED BANK
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS WITHOUT PERMISSION OF SEBI
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
27-JUL-2010
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
SAT: APPEAL DISMISSED
|
| 30 |
|
|
V.CHANDRASEKARAN
|
|
|
|
PENTAMEDIA GRAPHICS LTD.
CIN:L74210TN1976PLC007142
PAN:AAACP1647B
|
|
APPARENT NON-GENUINENESS OF SHARE CERTIFICATES OF PENTAMEDIA GRAPHICS LTD.
|
DIRECTED NOT TO ISSUE FURTHER SHARES OR ALTER ITS SHARE CAPITAL IN ANY MANNER FROM 03-OCT-2005
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-OCT-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-OCT-2005
03-OCT-2005
|
|
| 31 |
|
|
V.MANOHAR
|
|
|
|
CONSORTEX KARL DOELITZSCH (INDIA) LTD.
CIN:L31909AP1984PLC004953
|
|
INTRODUCED FAKE SHARES
FAILED TO RECONCILE RECORDS OF DEMATERIALISED SECURITIES WITH THE SECURITIES ISSUED ON DAILY BASIS
FILED FALSE AND MISLEADING REPORT ON SHAREHOLDING PATTERN WITH THE STOCK EXCHANGES
|
DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 29-SEP-2005 TILL FURTHER ORDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-SEP-2005 TILL FURTHER ORDERS
DIRECTED TO SUBMIT CERTIFIED REPORT ON THE RECORDS OF DEMATERIALISED SECURITIES WITH THE SECURITIES ISSUED
29-SEP-2005
|
CONFIRMED INTERIM ORDER DATED 29/09/2005
SEBI VIDE ITS ORDER DATED 19/07/2011 RESTRAINED DIRECTORS OF THE COMPANY FROM DEALING IN SECURITIES FOR SIX YEARS (PERIOD OF DEBARMENT ALREADY UNDERGONE VIDE ITS ORDER DATED 29/09/2005 AND 01/02/2006 IS TO BE CONSIDERED
|
| 32 |
|
|
V.R.GUNDANNAVAR
|
|
|
|
S.N.FINANCE LTD.
|
|
ACTED IN CONCERT TO ISSUE FAKE SHARE CERTIFICATES AND TRANSFER/DEMATERIALISE TO CHEAT KARNATAKA STATE FINANCIAL CORP.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-FEB-2006 TILL FURTHER ORDERS
01-FEB-2006
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM ASSOCIATING WITH SECURITIES MARKET TO BUY, SELL OR DEAL IN SECURITIES EITHER DIRECTLY OR INDIRECTLY FROM 01/02/2006 TO 31/01/2011
|
| 33 |
|
|
ZAFAR YUNUS SARESHWALA
(DIN:00123536
PAN:ANYPS8494D)
|
|
|
|
PARSOLI CORP.LTD.
PAN:AABCP9030F
|
|
INTRODUCED, TRANSFERRED AND DEMATERIALISED 80,800 FAKE SHARES OF PARSOLI CORP.LTD. IN FAVOUR OF PROMOTERS/FRONT ENTITIES
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN MATTER OF ISSUANCE OF 80,800 FAKE SHARES OF PARSOLI CORP.LTD. TO PROMOTERS/FRONT ENTITIES
DID NOT HANDLE AND MAINTAIN SHARE TRANSFER WORK AT SINGLE POINT AS REQUIRED UNDER REGULATION 53A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996 IN MATTER OF PARSOLI CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-JUL-2010 TO 26-JUL-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-JUL-2010 TO 26-JUL-2017
DIRECTED NOT TO HOLD POSITION OF DIRECTOR IN BOARD OF ANY LISTED COMPANY FROM 27-JUL-2010 TO 26-JUL-2017
DIRECTED TO MAKE PUBLIC OFFER THROUGH MERCHANT BANKER TO ACQUIRE SHARES FROM PUBLIC SHAREHOLDERS BY PAYING VALUE AS PER REGULATION 23 OF SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 WITHIN THREE MONTHS FROM DATE OF ORDER
DIRECTED BSE TO FACILITATE VALUATION OF SHARES TO BE PURCHASED AND COMPULSORILY DELIST COMPANY, IF PUBLIC SHAREHOLDING REDUCES BELOW MINIMUM LEVEL
DIRECTED TO CREDIT AMOUNTS TO ESCROW ACCOUNT IN NATIONALISED BANK
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS WITHOUT PERMISSION OF SEBI
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
27-JUL-2010
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
SAT: APPEAL DISMISSED
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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