| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
ARUN SUD
|
|
|
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 22 |
|
|
ARUNKUMAR RAMANLAL CHOKSI
|
|
|
|
BARODA AGRO INDUSTRIES LTD.
|
|
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CASE DISMISSED
|
| 23 |
|
|
ARVIND MATHUR
|
|
|
|
VATSA CORP.LTD.
|
|
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 24 |
|
|
ASEEM GUPTA
|
|
|
|
KALYANI FINANCE LTD.
|
|
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
MIS-STATEMENTS IN THE PROSPECTUS
|
PROSECUTION LAUNCHED
15-MAY-2006
|
OFFENCE STANDS COMPOUNDED QUA ACCUSED NO.3 PURSUANT TO COMPANY LAW BOARD ORDER DATED 16/09/2014. CLB VIDE SAID ORDER ALLOWED COMPOUNDING OF OFFENCES QUA ACCUSED NO.3 U/S. 63 & 68 OF THE COMPANIES ACT BY IMPOSING FEES OF RS.20,000.00 & RS. 40,000.00 RESP. AS PER POLICY, COMPOUNDING BY CLB IS TREATED AS CONVICTION
|
| 25 |
|
|
ASHOK AGGARWAL
|
|
|
|
SRG INFOTECH (INDIA) LTD.
|
|
VIOLATED SEBI ACT, 1992
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 26 |
|
|
ASHOK KUMAR GOPAL RAO
|
|
|
|
ACROPETAL TECHNOLOGIES LTD.
CIN:L72900KA2001PLC028944
PAN:AADCA1623M
|
|
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
25-AUG-2016
|
WITHDRAWN
|
| 27 |
|
|
ASHOK KUMAR KOLLA
|
|
|
|
MIDFIELD INDUSTRIES LTD.
CIN:U27109AP1990PLC011353
PAN:AAACM9490M
|
|
VIOLATED SECTION 207 OF COMPANIES ACT, 1956
VIOLATED SECTION 127 OF COMPANIES ACT, 2013
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 24 (2) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-DEC-2016
|
|
| 28 |
|
|
ASHOK SAGAR MUDUMBA
(DIN:00529436
PAN:ACIPM3400E)
|
|
|
|
MIDFIELD INDUSTRIES LTD.
CIN:U27109AP1990PLC011353
PAN:AAACM9490M
|
|
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-FEB-2021 TO 08-FEB-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-FEB-2021 TO 08-FEB-2023
RESTRAINED AND FURTHER PROHIBITED FROM HOLDING AND OCCUPYING ANY MANAGERIAL POST OR BEING ASSOCIATED DIRECTLY OR INDIRECTLY WITH ANY LISTED PUBLIC COMPANY AND/OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 09-FEB-2021 TO 08-FEB-2023
09-FEB-2021
|
|
| 29 |
|
|
ASIF KHADER
|
|
|
|
CRANES SOFTWARE INTERNATIONAL LTD.
|
|
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 30 |
|
|
ATUL V.SHAH
|
|
|
|
JALTARANG MOTELS LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SECTION 11 OF SEBI ACT, 1992
MIS-STATEMENTS IN THE PROSPECTUS
DID NOT REPAY EXCESS SHARE APPLICATION MONEY WITHIN STIPULATED PERIOD
INDULGED IN CRIMINAL CONSPIRACY TO COMMIT AN OFFENCE (SECTION 120B – IPC)
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 31 |
|
|
AVADESH KUMAR SHARMA
|
|
|
|
MAHADEV AGRO INDUSTRIES LTD.
|
|
|
MAHADEV CORP.(INDIA) LTD.
|
|
|
MAHADEV LEASING CO.LTD.
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
MIS-STATEMENTS IN THE PROSPECTUS
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACCUSED NO.1 COMPANY PROCEDED U/S 305 OF CR.P.C. (EX-PARTE) PROCEEDINGS AGAINST ACCUSED NO. 2,4,5 AND 7 WERE DROPPED VIDE ORDER DATED 20/11/2001. ACCUSED NOS 3 AND 6 PLEADED GUILTY AND COURT IMPOSED FINE OF RS.10,000 EACH
CASE DISMISSED BY COURT
|
| 32 |
|
|
B.BHAT
|
|
|
|
VATSA CORP.LTD.
|
|
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 33 |
|
|
B.D.AGARWAL
|
|
|
|
VIKAS WSP LTD.
CIN:L24139HR1988PLC030300
PAN:AAACV7816Q
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
SECURITIES CONTRACTS (REGULATION) ACT, 1956 SECURITES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SECTION 24 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED
DISMISSED FOR NON PROSECUTION
|
| 34 |
|
|
B.N.ANTIE
|
|
|
|
WEST COAST BREWERS & DISTILLERS LTD.
|
|
DID NOT REPAY EXCESS SHARE APPLICATION MONEY WITHIN STIPULATED PERIOD
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 35 |
|
|
B.N.JAISIMHA
|
|
|
|
RICHIMEN SILKS LTD.
CIN:U18100AP1984PLC005033
|
|
DID NOT REPAY EXCESS SHARE APPLICATION MONEY WITHIN STIPULATED PERIOD
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 36 |
|
|
B.S.NAYAK
|
|
|
|
CANARA STEEL LTD.
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CC NO. 2943/1997 AGAINST ACCUSED NO.3 STANDS ACQUITTED. CASE AGAINST ACCUSEDNO.1,2,6,7 SPLIT UP AND STILL PENDING. CASE AGAINST ACCUSED NO.5,8 TO 12 QUASHED BY HIGH COURT. A-4 DEAD, HENCE, PROCEEDING AGAINST A-4 ABATED
|
| 37 |
|
|
B.S.SHANKARANARAYAN
|
|
|
|
KAVVERI TELECOM PRODUCTS LTD.
PAN:AAACK7399F
CIN:L85110KA1996PLC019627
|
|
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 38 |
|
|
BALCHAND CHAURASIYA
(PAN:AEFPC8555B
DIN:03129523)
|
|
|
|
INDUS WEIR INDUSTRIES LTD.
PAN:AACCI4265N
CIN:U15410DL2010PLC207057
|
|
MOBILIZED FUNDS OF RS.33.40 CRORE THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 32,454 INVESTORS VIOLATING SECTIONS 67(3), 73(2), 73(3), 56(1), 56(3) AND 60 READ WITH SECTION 2(36) OF THE COMPANIES ACT, 1956
MOBILIZED FUNDS OF RS.33.40 CRORE THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 32,454 INVESTORS VIOLATING REGULATION 16(1) OF SEBI (ISSUE AND LISTING OF NCRPS) REGULATIONS, 2013
DID NOT MAKE APPLICATION FOR LISTING UNDER SECTION 73(1) OF COMPANIES ACT, 1956
DID NOT PROVIDE CORRECT STATUS OF REFUND DONE TO INVESTORS
|
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 25-MAY-2023 TILL FURTHER ORDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2023 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2023 TILL FURTHER ORDERS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 25-MAY-2023 TILL FURTHER ORDERS
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 25-MAY-2023 TILL FURTHER ORDERS
DIRECTED TO PROVIDE COMPLETE DETAILS OF ALL RPS OR ANY OTHER SECURITIES ISSUED BY COMPANY AFTER 31/07/2013
DIRECTED TO PROVIDE COMPLETE DETAILS OF ALL REFUNDS MADE TO INVESTORS IN RESPECT OF OFFER AND ALLOTMENT OF RPS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO PROVIDE CERTIFICATE FROM CHARTERED ACCOUNTANT IN PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION
25-MAY-2023
|
SEBI VIDE ITS ORDER DATED 08/05/2024 DIRECTED TO A) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND B) FILE REPORT OF SUCH COMPLETION WITH SEBI DULY CERTIFIED FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION C) DURING PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING MUTUAL FUNDS UNITS TO REMAIN FROZEN
|
| 39 |
|
|
BEENA N.SHAH
|
|
|
|
ZILLION PHARMA CHEM LTD.
CIN:L24231GJ1992PLC017496
|
|
DID NOT REPAY EXCESS SHARE APPLICATION MONEY WITHIN STIPULATED PERIOD
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 40 |
|
|
BHANUPRASAD DIPAKKUMAR TRIVEDI
|
|
|
|
ZENET SOFTWARE LTD.
PAN:AAACZ0978K
|
|
FILED APPLICATION FOR SUBSCRIPTION AND/OR ACQUISITION OF SHARES IN FICTITIOUS NAME
VIOLATED SECTION 12A OF SEBI ACT.,1992
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SEBI DEPOSITORIES ACT, 1996
|
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. |
| |
|
|
| Page 2 of 18
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