| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
J.SATYA SURYANARAYANA
|
|
|
|
IQMS SOFTWARE LTD.
|
|
INDULGED IN USING COMPANY’S FUNDS TO GET PUBLIC ISSUE SUBSCRIBED VIOLATING CLAUSE 8.6.2 OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 IN MATTER OF IQMS SOFTWARE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-JAN-2016 TO 14-JAN-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-JAN-2016 TO 14-JAN-2019
15-JAN-2016
|
|
| 22 |
|
|
K.J.PATIL
(PAN:ABPPP7855C)
|
|
|
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2, 4.11, 4.14, 5.3.1, 5.4.1, 5.6A, 5.6.2, 6 TO 6.15 AND 8.8.1 OF SEBI (DISCLOSURE & INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2, 4.11, 4.14, 5.3.1, 5.4.1, 5.6A, 5.6.2, 6 TO 6.15 AND 8.8.1 OF SEBI (DISCLOSURE & INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING SEBI (ISSUE OF CAPITAL & DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING SEBI (ISSUE OF CAPITAL & DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.47,60,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-MAY-2016
|
|
| 23 |
|
|
K.J.V.NAGESWAR
|
|
|
|
IQMS SOFTWARE LTD.
|
|
INDULGED IN USING COMPANY’S FUNDS TO GET PUBLIC ISSUE SUBSCRIBED VIOLATING CLAUSE 8.6.2 OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 IN MATTER OF IQMS SOFTWARE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-JAN-2016 TO 14-JAN-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-JAN-2016 TO 14-JAN-2019
15-JAN-2016
|
|
| 24 |
|
|
K.K.DAWAN
|
|
|
|
YOGI PHARMACY LTD.
|
|
VIOLATED SEBI (DIP) DIRECTIVES/INSTRUCTIONS/GUIDELINES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-DEC-1998 TO 30-NOV-2003
04-DEC-1998
|
|
| 25 |
|
|
K.P.SINGH
(PAN:ABIPS6464P)
|
|
|
|
DLF LTD.
PAN:AAACD3494N
|
|
DID NOT MAKE DISCLOSURES OF RELATED PARTY TRANSACTIONS, FINANCIAL DETAILS OF SUBSIDIARIES AND OUTSTANDING LITIGATION/FIR AGAINST SUBSIDIARIES IN OFFER DOCUMENTS (RED HEARING PROSPECTUS (RHP) AND PROSPECTUS) IN MATTER OF IPO OF DLF LTD.
|
IMPOSED PENALTY RS.26,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-FEB-2015
|
|
| 26 |
|
|
K.P.SINGH
(PAN:ABIPS6464P)
|
|
|
|
DLF LTD.
PAN:AAACD3494N
|
|
DID NOT MAKE DISCLOSURES OF RELATED PARTY TRANSACTIONS, FINANCIAL DETAILS OF SUBSIDIARIES AND OUTSTANDING LITIGATION/FIR AGAINST SUBSIDIARIES IN OFFER DOCUMENTS (RED HEARING PROSPECTUS (RHP) AND PROSPECTUS) IN MATTER OF IPO OF DLF LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-OCT-2014 TO 09-OCT-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-OCT-2014 TO 09-OCT-2017
10-OCT-2014
|
SAT: APPEAL REJECTED
SAT: SAT VIDE ITS ORDER DATED 13/03/2015 QUASHED AND SET ASIDED IMUGNED ORDER DATED 10/10/2014 WITH NO ORDER AS TO COSTS. IN VIEW OF THE CONFLICTING VIEWS IN THE MATTER, OPERATION OF THE ORDER PASSED BY TRIBUNAL STAYED FOR A PERIOD OF FOUR WEEKS
|
| 27 |
|
|
K.V.N.VIJAYA SIMHA
|
|
|
|
IQMS SOFTWARE LTD.
|
|
INDULGED IN USING COMPANY’S FUNDS TO GET PUBLIC ISSUE SUBSCRIBED VIOLATING CLAUSE 8.6.2 OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 IN MATTER OF IQMS SOFTWARE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-JAN-2016 TO 14-JAN-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-JAN-2016 TO 14-JAN-2019
15-JAN-2016
|
|
| 28 |
|
|
K.VIJAYA KUMAR
|
|
|
|
IQMS SOFTWARE LTD.
|
|
INDULGED IN USING COMPANY’S FUNDS TO GET PUBLIC ISSUE SUBSCRIBED VIOLATING CLAUSE 8.6.2 OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 IN MATTER OF IQMS SOFTWARE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-JAN-2016 TO 14-JAN-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-JAN-2016 TO 14-JAN-2019
15-JAN-2016
|
|
| 29 |
|
|
KAMESHWAR SWARUP
(PAN:ABQPS1072H)
|
|
|
|
DLF LTD.
PAN:AAACD3494N
|
|
DID NOT MAKE DISCLOSURES OF RELATED PARTY TRANSACTIONS, FINANCIAL DETAILS OF SUBSIDIARIES AND OUTSTANDING LITIGATION/FIR AGAINST SUBSIDIARIES IN OFFER DOCUMENTS (RED HEARING PROSPECTUS (RHP) AND PROSPECTUS) IN MATTER OF IPO OF DLF LTD.
|
IMPOSED PENALTY RS.26,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-FEB-2015
|
|
| 30 |
|
|
KAMESHWAR SWARUP
(PAN:ABQPS1072H)
|
|
|
|
DLF LTD.
PAN:AAACD3494N
|
|
DID NOT MAKE DISCLOSURES OF RELATED PARTY TRANSACTIONS, FINANCIAL DETAILS OF SUBSIDIARIES AND OUTSTANDING LITIGATION/FIR AGAINST SUBSIDIARIES IN OFFER DOCUMENTS (RED HEARING PROSPECTUS (RHP) AND PROSPECTUS) IN MATTER OF IPO OF DLF LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-OCT-2014 TO 09-OCT-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-OCT-2014 TO 09-OCT-2017
10-OCT-2014
|
SAT: APPEAL REJECTED
SAT: SAT VIDE ITS ORDER DATED 13/03/2015 QUASHED AND SET ASIDED IMUGNED ORDER DATED 10/10/2014 WITH NO ORDER AS TO COSTS. IN VIEW OF THE CONFLICTING VIEWS IN THE MATTER, OPERATION OF THE ORDER PASSED BY TRIBUNAL STAYED FOR A PERIOD OF FOUR WEEKS
|
| 31 |
|
|
KAMINENI SHRIDHAR
|
|
|
|
IQMS SOFTWARE LTD.
|
|
INDULGED IN USING COMPANY’S FUNDS TO GET PUBLIC ISSUE SUBSCRIBED VIOLATING CLAUSE 8.6.2 OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 IN MATTER OF IQMS SOFTWARE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-JAN-2016 TO 14-JAN-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-JAN-2016 TO 14-JAN-2019
15-JAN-2016
|
|
| 32 |
|
|
KANIKA MAITI
(DIN:02029931
PAN:AOTPM3722N)
|
|
|
|
ICORE-E-SERVICES LTD.
CIN:U72400WB2007PLC115309
|
|
MOBILIZED RS.54.75 CRORES FROM PUBLIC THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 5,239 INVESTORS VIOLATING SECTIONS 60 READ WITH 2(36), 56(1), 56(3) AND 73 OF COMPANIES ACT, 1956 IN MATTER OF ICORE-E-SERVICES LTD.
VIOLATED SEBI (DIP) DIRECTIVES/INSTRUCTIONS/GUIDELINES
DID NOT ADHERE TO ICDR DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2009
|
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 11-DEC-2017 TO 10-DEC-2021
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 11-DEC-2017 TO 10-DEC-2021
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 11-DEC-2017 TO 10-DEC-2021
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-DEC-2017 TO 10-DEC-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-DEC-2017 TO 10-DEC-2021
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 11-DEC-2017 TO 10-DEC-2021
25-JUL-2014
|
SEBI VIDE ITS ORDER DATED 05/03/2015 CONFIRMED ALL THE DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 25/07/2014 AND DIRECTED NOTICEES TO PROVIDE FULL INVENTORY OF ALL ASSETS AND PROPERTIES AND DETAILS OF THEIR ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECRUTIES, IF HELD IN PHYSICAL FORM
SEBI VIDE ITS ORDER DATED 11/12/2017 DIRECTED TO A) REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF EQUITY SHARES WITH INTEREST @ 15% P.A. FROM WITHIN A PERIOD OF 90 DAYS FROM THE DATE OF RECEIPT OF THIS ORDER THROUGH BANK DEMAND DRAFT OR ELECTRONIC MODE OF TRANSFER B) FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI FROM TWO INDEPENDENT CHARTERED ACCOUNTANTS AFTER PROPER VERIFICATION C) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN ANY MANNER WHATSOEVER, DIRECTLY OR INDIRECTLY AND RESTRAINED FROM ASSOCIATING THEMSELVES, WITH ANY LISTED PUBLIC COMPANY OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC FOR A PERIOD OF FOUR YEARS FROM THE DATE OF COMPLETION OF REFUNDS TO INVESTORS
|
| 33 |
|
|
KOLLIPARA KOTESWARA RAO
(PAN:AHOPK5487E)
|
|
|
|
TRANSGENE BIOTEK LTD.
PAN:AABCT3840P
|
|
VIOLATED SEBI (DIP) DIRECTIVES/INSTRUCTIONS/GUIDELINES
|
REFUSED LISTING OF EQUITY SHARES
27-NOV-2003
|
SAT: IMPUGNED ORDER SET ASIDE WITH NO ORDER AS TO COSTS
|
| 34 |
|
|
M.A.KALMANI
(PAN:ABLPK3133E)
|
|
|
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2, 4.11, 4.14, 5.3.1, 5.4.1, 5.6A, 5.6.2, 6 TO 6.15 AND 8.8.1 OF SEBI (DISCLOSURE & INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2, 4.11, 4.14, 5.3.1, 5.4.1, 5.6A, 5.6.2, 6 TO 6.15 AND 8.8.1 OF SEBI (DISCLOSURE & INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING SEBI (ISSUE OF CAPITAL & DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING SEBI (ISSUE OF CAPITAL & DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.47,60,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-MAY-2016
|
|
| 35 |
|
|
M.GOPALA KRISHNA CHOWDARY
|
|
|
|
IQMS SOFTWARE LTD.
|
|
INDULGED IN USING COMPANY’S FUNDS TO GET PUBLIC ISSUE SUBSCRIBED VIOLATING CLAUSE 8.6.2 OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 IN MATTER OF IQMS SOFTWARE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-JAN-2016 TO 14-JAN-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-JAN-2016 TO 14-JAN-2019
15-JAN-2016
|
|
| 36 |
|
|
MAHADEB SEN
(DIN:01396620)
|
|
|
|
ICORE-E-SERVICES LTD.
CIN:U72400WB2007PLC115309
|
|
MOBILIZED RS.54.75 CRORES FROM PUBLIC THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 5,239 INVESTORS VIOLATING SECTIONS 60 READ WITH 2(36), 56(1), 56(3) AND 73 OF COMPANIES ACT, 1956 IN MATTER OF ICORE-E-SERVICES LTD.
VIOLATED SEBI (DIP) DIRECTIVES/INSTRUCTIONS/GUIDELINES
DID NOT ADHERE TO ICDR DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2009
|
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 11-DEC-2017 TO 10-DEC-2021
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 11-DEC-2017 TO 10-DEC-2021
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 11-DEC-2017 TO 10-DEC-2021
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-DEC-2017 TO 10-DEC-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-DEC-2017 TO 10-DEC-2021
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 11-DEC-2017 TO 10-DEC-2021
25-JUL-2014
|
SEBI VIDE ITS ORDER DATED 05/03/2015 CONFIRMED ALL THE DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 25/07/2014 AND DIRECTED NOTICEES TO PROVIDE FULL INVENTORY OF ALL ASSETS AND PROPERTIES AND DETAILS OF THEIR ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECRUTIES, IF HELD IN PHYSICAL FORM
SEBI VIDE ITS ORDER DATED 11/12/2017 DIRECTED TO A) REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF EQUITY SHARES WITH INTEREST @ 15% P.A. FROM WITHIN A PERIOD OF 90 DAYS FROM THE DATE OF RECEIPT OF THIS ORDER THROUGH BANK DEMAND DRAFT OR ELECTRONIC MODE OF TRANSFER B) FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI FROM TWO INDEPENDENT CHARTERED ACCOUNTANTS AFTER PROPER VERIFICATION C) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN ANY MANNER WHATSOEVER, DIRECTLY OR INDIRECTLY AND RESTRAINED FROM ASSOCIATING THEMSELVES, WITH ANY LISTED PUBLIC COMPANY OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC FOR A PERIOD OF FOUR YEARS FROM THE DATE OF COMPLETION OF REFUNDS TO INVESTORS
|
| 37 |
|
|
NARAYAN RAMACHANDRAN
(PAN:AJWPR4625B)
|
|
|
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2, 4.11, 4.14, 5.3.1, 5.4.1, 5.6A, 5.6.2, 6 TO 6.15 AND 8.8.1 OF SEBI (DISCLOSURE & INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2, 4.11, 4.14, 5.3.1, 5.4.1, 5.6A, 5.6.2, 6 TO 6.15 AND 8.8.1 OF SEBI (DISCLOSURE & INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING SEBI (ISSUE OF CAPITAL & DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING SEBI (ISSUE OF CAPITAL & DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.47,60,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-MAY-2016
|
|
| 38 |
|
|
P.G.KOKODHAR
(PAN:AAIPK3667M)
|
|
|
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2, 4.11, 4.14, 5.3.1, 5.4.1, 5.6A, 5.6.2, 6 TO 6.15 AND 8.8.1 OF SEBI (DISCLOSURE & INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2, 4.11, 4.14, 5.3.1, 5.4.1, 5.6A, 5.6.2, 6 TO 6.15 AND 8.8.1 OF SEBI (DISCLOSURE & INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING SEBI (ISSUE OF CAPITAL & DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING SEBI (ISSUE OF CAPITAL & DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.47,60,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-MAY-2016
|
|
| 39 |
|
|
P.P.BHUTA
|
|
|
|
ANIK SHIP BREAKING INDUSTRIES LTD.
|
|
VIOLATED SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
VIOLATED SECTION 11 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 40 |
|
|
P.S.SAMINATHAN
(PAN:ABHPS7396D)
|
|
|
|
PYRAMID SAIMIRA THEATRE LTD.
|
|
INDULGED IN ISSUANCE OF MISLEADING PUBLIC ANNOUNCEMENTS TO CREATE PUBLIC INTEREST IN SCRIP OF PYRAMID SAIMIRA THEATRE LTD.
ALLOTTED CONVERTIBLE WARRANTS BY PYRAMID SAIMIRA THEATRE LTD.ON PREFERENTIAL BASIS WITHOUT RECEIVING ANY CONSIDERATION VIOLATING CLAUSE 13.1.2.3 (A) AND CLAUSE 13.1.2.3 (B) OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 READ WITH REGULATIONS 77(2) AND 77(3) OF SEBI (ICDR) REGULATIONS, 2009
|
IMPOSED PENALTY RS.1,10,00,000
27-JUL-2011
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 09/10/2013 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 2 of 4
|
