| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
BHAVANA R.BBAROT
|
|
|
|
ATLANTA LTD.
|
|
|
ATLANTA LTD.
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
|
AD-INTERIM ORDER DATED 22/02/2007 AMENDED TO THE EXTENT THAT CREDIT OF SHARES MAY BE EFFECTED, EXCHANGES AND DEPOSITORIES DIRECTED TO NOTE AND GIVE EFFECT TO THE SAME
SAT: DIRECTED APPLICANT TO APPROACH SEBI TO ALLOW THEM TO FILE THEIR OBJECTION, AS THEY CAN NOT AFFORD A PERSONAL HEARING
|
| 22 |
|
|
BHAVANA RAJESH SHAH
(PAN:AABPS8414R)
|
|
|
|
VASHI CONSTRUCTIONS PVT.LTD.
PAN:AACCV0861H
|
|
AIDED AND ABETTED COMPANY AND ALLOTTEES OF PREFERENTIAL ALLOTMENT OF 290 LACS SHARES THROUGH CIRCULAR BANKING TRANSACTIONS WITHOUT REAL INFLOW OF FUNDS IN MATTER OF PLATINUM CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-AUG-2016 TO 11-AUG-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-AUG-2016 TO 11-AUG-2021
12-AUG-2016
|
SEBI VIDE ITS ORDER DATED 08/12/2016 ALLOWED TO SELL THE SHARES LYING IN DEMAT ACCOUNTS TO THE EXTENT OF MAKING PAYMENTS TOWARDS DISGORGEMENT AMOUNT ALONG WITH INTEREST IMPOSED BY SEBI. FURTHER, THE SALE HAS TO BE DONE THROUGH SEBI REGISTERED BROKER, WHO INTURN SHALL ENSURE THAT THE ENTIRE ILLEGAL GAIN OF RS.23,89,873 ALONG WITH SIMPLE INTEREST @ 12% P.A. FROM FEBRUARY 2007 TILL THE DATE OF PAYMENT, IS RECOVERED AND SENT TO SEBI
SAT: SAT VIDE ITS ORDER DATED 14/11/2017 PERMITTED APPELLANTS TO WITHDRAW THE APPEAL AND MISC.APPLICATIONS WITH LIBERTY TO FILE FRESH APPEAL WITHIN SIX WEEKS FROM THE DATE OF THIS ORDER. INTERIM RELIEF GRANTED ON 07/10/2016 SHALL CONTINUE FOR A PERIOD OF SIX WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
|
| 23 |
|
|
BIJAY KUMAR KISHOREPURIA
|
|
|
|
CONTESSA COMMERCIAL CO.PVT.LTD.
|
|
INDULGED IN MARKET/PRICE MANIPULATION IN SCRIP OF PADMINI TECHNOLOGIES LTD.
IRREGULARITIES IN ALLOTMENT OF SHARES OF PADMINI TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2007 TO 30-MAR-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2007 TO 30-MAR-2012
31-MAR-2007
|
|
| 24 |
|
|
BIPIN RATILAL SHAH
|
|
|
AIDED AND ABETTED COMPANY AND ALLOTTEES OF PREFERENTIAL ALLOTMENT OF 290 LACS SHARES THROUGH CIRCULAR BANKING TRANSACTIONS WITHOUT REAL INFLOW OF FUNDS IN MATTER OF PLATINUM CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-AUG-2016 TO 11-AUG-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-AUG-2016 TO 11-AUG-2021
12-AUG-2016
|
SAT: SAT VIDE ITS ORDER DATED 14/11/2017 PERMITTED APPELLANTS TO WITHDRAW THE APPEAL AND MISC.APPLICATIONS WITH LIBERTY TO FILE FRESH APPEAL WITHIN SIX WEEKS FROM THE DATE OF THIS ORDER. INTERIM RELIEF GRANTED ON 07/10/2016 SHALL CONTINUE FOR A PERIOD OF SIX WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
SAT: APPEAL DISMISSED. NO COSTS
|
| 25 |
|
|
CHAITANYA MARKANDRAY BUCH
(PAN:AAFPB6610A)
|
|
|
|
DATASOFT APPLICATION SOFTWARE (INDIA) LTD.
PAN:AAACD7939A
|
|
ALLEGED IRREGULARITIES IN ALLOTMENT OF PREFERENTIAL SHARES VIOLATING DIRECTIVES/INSTRUCTIONS/GUIDELINES FRAMED BY THE COMPANY
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
13-APR-2012
|
|
| 26 |
|
|
CHANDAN MEGRAJ PARMAR
(PAN:AABPP1116F)
|
|
|
|
DATASOFT APPLICATION SOFTWARE (INDIA) LTD.
PAN:AAACD7939A
|
|
ALLEGED IRREGULARITIES IN ALLOTMENT OF PREFERENTIAL SHARES VIOLATING DIRECTIVES/INSTRUCTIONS/GUIDELINES FRAMED BY THE COMPANY
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
13-APR-2012
|
|
| 27 |
|
|
D.K.GUPTA
|
|
|
|
D.K.G.BUILDCON PVT.LTD.
PAN:AAACD6821F
|
|
INDULGED IN MARKET/PRICE MANIPULATION IN SCRIP OF PADMINI TECHNOLOGIES LTD.
IRREGULARITIES IN ALLOTMENT OF SHARES OF PADMINI TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2007 TO 30-MAR-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2007 TO 30-MAR-2012
31-MAR-2007
|
|
| 28 |
|
|
DHARMENDRA BAROT
|
|
|
INDULGED IN ALLOTMENT OF EQUITY SHARES UNDER PREFERENTIAL ISSUE WITHOUT RECEIPT OF FULL CONSIDERATION/ALLOTMENT MONEY IN MATTER OF SOMPLAST LEATHER INDUSTRIES LTD.
|
PROHIBITED FROM RAISING MONEY FROM PUBLIC FROM 25-JAN-2016 TO 24-JAN-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-JAN-2016 TO 24-JAN-2017
DIRECTED TO FREEZE ALL DEMAT ACCOUNTS WHEREIN EQUITY SHARES ALLOTTED UNDER PREFERENTIAL OFFER WERE LYING
RESTRAINED PREFERENTIAL ALLOTTEES FROM EXERCISING ANY VOTING RIGHTS (THROUGH NOMINEE OR PROXY) OR OTHER RIGHTS ATTACHED TO SHARES ACQUIRED AND HELD IN PREFERENTIAL ALLOTMENT
25-JAN-2016
|
|
| 29 |
|
|
DHARMENDRA D.OZA
|
|
|
ACTED AS CONDUIT FOR TRANSFER OF SHARES AND AIDED AND ABETTED NORRIS MEDICINES LTD. AND ITS PROMOTERS, DIRECTORS AND PHC HOLDINGS LTD. IN MATTER OF PREFERENTIAL ALLOTMENT OF 90,00,000 EQUITY SHARES OF NORRIS MEDICINES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-DEC-2009 TO 30-DEC-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2009 TO 30-DEC-2012
31-DEC-2009
|
SEBI VIDE ORDER DATED 06/01/2010 PERMITTED CONCERNED STOCK EXCHANGES TO ALLOW SQUARE OFF EXISTING OPEN POSITIONS IN F&O SEGMENT,IF ANY, IMMEDIATELY AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
|
| 30 |
|
|
DHRUMAL KISHOR VAIDYA
|
|
|
|
PLATINUM CORP.LTD.
CIN:L72200GJ1992PLC018005
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PLATINUM CORP.LTD.
AIDED AND ABETTED CONNECTED ENTITIES IN OFFLOADING SHARES AND FACILITATING THEM TO MAKE ILLEGAL PROFIT/GAIN THROUGH ISSUANCE OF FALSE AND MISLEADING CORPORATE ANNOUNCEMENTS IN MATTER OF PLATINUM CORP.LTD.
MISLED INVESTING PUBLIC ON PROMOTER’S HOLDING AND NON REPORTING OF ACQUISITION OF SHARES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PLATINUM CORP.LTD.
AIDED AND ABETTED COMPANY AND ALLOTTEES OF PREFERENTIAL ALLOTMENT OF 290 LACS SHARES THROUGH CIRCULAR BANKING TRANSACTIONS WITHOUT REAL INFLOW OF FUNDS IN MATTER OF PLATINUM CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-AUG-2016 TO 11-AUG-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-AUG-2016 TO 11-AUG-2021
12-AUG-2016
|
|
| 31 |
|
|
DILIP NABERA
|
|
|
|
ATLANTA LTD.
|
|
|
ATLANTA LTD.
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
|
|
| 32 |
|
|
DINKAR BHANUPRASAD SHREEMALI
|
|
|
AIDED AND ABETTED COMPANY AND ALLOTTEES OF PREFERENTIAL ALLOTMENT OF 290 LACS SHARES THROUGH CIRCULAR BANKING TRANSACTIONS WITHOUT REAL INFLOW OF FUNDS IN MATTER OF PLATINUM CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-AUG-2016 TO 11-AUG-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-AUG-2016 TO 11-AUG-2021
12-AUG-2016
|
|
| 33 |
|
|
DRUMA VAGHELA
|
|
|
|
BONANZA BIOTECH LTD.
|
|
MASSIVE IRREGULARITIES IN THE TRADING OF SHARES OF DESIGN AUTO SYSTEMS LTD.
VIOLATED SEBI PREFERENTIAL ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES IN MATTER OF DESIGN AUTO SYSTEMS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-MAR-2007 TO 05-MAR-2014
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-MAR-2007 TO 05-MAR-2014
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
06-MAR-2007
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
|
| 34 |
|
|
FALGUN C.SHAH
|
|
|
ACTED AS CONDUIT FOR TRANSFER OF SHARES AND AIDED AND ABETTED NORRIS MEDICINES LTD. AND ITS PROMOTERS, DIRECTORS AND PHC HOLDINGS LTD. IN MATTER OF PREFERENTIAL ALLOTMENT OF 90,00,000 EQUITY SHARES OF NORRIS MEDICINES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-DEC-2009 TO 30-DEC-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2009 TO 30-DEC-2012
31-DEC-2009
|
SEBI VIDE ORDER DATED 06/01/2010 PERMITTED CONCERNED STOCK EXCHANGES TO ALLOW SQUARE OFF EXISTING OPEN POSITIONS IN F&O SEGMENT,IF ANY, IMMEDIATELY AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
|
| 35 |
|
|
GAURANG JOSHI
(PAN:AEGPJ5170G)
|
|
|
INDULGED IN ALLOTMENT OF EQUITY SHARES UNDER PREFERENTIAL ISSUE WITHOUT RECEIPT OF FULL CONSIDERATION/ALLOTMENT MONEY IN MATTER OF SOMPLAST LEATHER INDUSTRIES LTD.
|
PROHIBITED FROM RAISING MONEY FROM PUBLIC FROM 25-JAN-2016 TO 24-JAN-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-JAN-2016 TO 24-JAN-2017
DIRECTED TO FREEZE ALL DEMAT ACCOUNTS WHEREIN EQUITY SHARES ALLOTTED UNDER PREFERENTIAL OFFER WERE LYING
RESTRAINED PREFERENTIAL ALLOTTEES FROM EXERCISING ANY VOTING RIGHTS (THROUGH NOMINEE OR PROXY) OR OTHER RIGHTS ATTACHED TO SHARES ACQUIRED AND HELD IN PREFERENTIAL ALLOTMENT
25-JAN-2016
|
|
| 36 |
|
|
GIRISH SHAH
|
|
|
|
SOMPLAST LEATHER INDUSTRIES LTD.
PAN:AADCS0254L
|
|
INDULGED IN ALLOTMENT OF EQUITY SHARES UNDER PREFERENTIAL ISSUE WITHOUT RECEIPT OF FULL CONSIDERATION/ALLOTMENT MONEY IN MATTER OF SOMPLAST LEATHER INDUSTRIES LTD.
|
PROHIBITED FROM RAISING MONEY FROM PUBLIC FROM 25-JAN-2016 TO 24-JAN-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-JAN-2016 TO 24-JAN-2019
DIRECTED TO FREEZE ALL DEMAT ACCOUNTS WHEREIN EQUITY SHARES ALLOTTED UNDER PREFERENTIAL OFFER WERE LYING
RESTRAINED PREFERENTIAL ALLOTTEES FROM EXERCISING ANY VOTING RIGHTS (THROUGH NOMINEE OR PROXY) OR OTHER RIGHTS ATTACHED TO SHARES ACQUIRED AND HELD IN PREFERENTIAL ALLOTMENT
25-JAN-2016
|
SAT: SAT VIDE ITS ORDER DATED 12/03/2025 DISMISSED THE APPEAL
|
| 37 |
|
|
GIRISHBHAI GATUBHAI DOSHI
(PAN:AFZPD2380J)
|
|
|
|
DHANLAXMI LEASE FINANCE LTD.
CIN:U67120GJ1995PLC024788
PAN:AABCD6189R
|
|
AIDED AND ABETTED COMPANY AND ALLOTTEES OF PREFERENTIAL ALLOTMENT OF 290 LACS SHARES THROUGH CIRCULAR BANKING TRANSACTIONS WITHOUT REAL INFLOW OF FUNDS IN MATTER OF PLATINUM CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-AUG-2016 TO 11-AUG-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-AUG-2016 TO 11-AUG-2021
12-AUG-2016
|
SEBI VIDE ITS ORDER DATED 08/12/2016 ALLOWED TO SELL THE SHARES LYING IN DEMAT ACCOUNTS TO THE EXTENT OF MAKING PAYMENTS TOWARDS DISGORGEMENT AMOUNT ALONG WITH INTEREST IMPOSED BY SEBI. FURTHER, SALE HAS TO BE DONE THROUGH SEBI REGISTERED BROKER, WHO INTURN SHALL ENSURE THAT THE ENTIRE ILLEGAL GAIN OF RS.86,92,786 AND RS.4,71,897 MADY BY APPLICANTS MR.BHARAT RATILAL SHAH AND MR.GIRISH GATURBHAI DOSHI RESPECTIVELY ALONG WITH SIMPLE INTEREST @ 12% P.A. FROM FEBRUARY 2007 TILL DATE OF PAYMENT, IS RECOVERED AND SENT TO SEBI
SAT: SAT VIDE ITS ORDER DATED 14/11/2017 PERMITTED APPELLANTS TO WITHDRAW THE APPEAL AND MISC.APPLICATIONS WITH LIBERTY TO FILE FRESH APPEAL WITHIN SIX WEEKS FROM THE DATE OF THIS ORDER. INTERIM RELIEF GRANTED ON 07/10/2016 SHALL CONTINUE FOR A PERIOD OF SIX WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
|
| 38 |
|
|
GOPAL POTTEDAR
|
|
|
INDULGED IN ALLOTMENT OF EQUITY SHARES UNDER PREFERENTIAL ISSUE WITHOUT RECEIPT OF FULL CONSIDERATION/ALLOTMENT MONEY IN MATTER OF SOMPLAST LEATHER INDUSTRIES LTD.
|
PROHIBITED FROM RAISING MONEY FROM PUBLIC FROM 25-JAN-2016 TO 24-JAN-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-JAN-2016 TO 24-JAN-2017
DIRECTED TO FREEZE ALL DEMAT ACCOUNTS WHEREIN EQUITY SHARES ALLOTTED UNDER PREFERENTIAL OFFER WERE LYING
RESTRAINED PREFERENTIAL ALLOTTEES FROM EXERCISING ANY VOTING RIGHTS (THROUGH NOMINEE OR PROXY) OR OTHER RIGHTS ATTACHED TO SHARES ACQUIRED AND HELD IN PREFERENTIAL ALLOTMENT
25-JAN-2016
|
|
| 39 |
|
|
HARSHA M.SHAH (AKA.HARSHABEN JHAVERI)
(PAN:AAUPJ8953B)
|
|
|
DID NOT FURNISH REQUISITE INFORMATION DURING INVESTIGATION
ALLOTTED 600000 SHARES OF OJAS TECHNOCHEM PRODUCTS LTD. WITHOUT ACTUAL RECEIPT OF CONSIDERATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-NOV-2007 TO 12-NOV-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-NOV-2007 TO 12-NOV-2009
13-NOV-2007
D TO DISGORGE RS.1,36,03,111
25-JAN-2012~
|
SAT: ALLOWED TO WITHDRAW THE APPEAL
SEBI VIDE ITS ORDER DATED 25/01/2012 DIRECTED NOTICEE TO DISGORGE RS.1,36,03,111.00 (UNLAWFUL GAIN RS.75,31,111.00 AND INTEREST @12% PER ANNUM RS.60,72,000.00). IN CASE OF NON PAYMENT OF THIS AMOUNT IN SPECIFIED TIME, NOTICEE WILL BE RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OF ACCESSING SECURITIES MARKET, DIRECTLY OR INDIRECTLY
|
| 40 |
|
|
HASMUKH JAMNADAS SHAH
(PAN:AAVPS3943H)
|
|
|
|
DATASOFT APPLICATION SOFTWARE (INDIA) LTD.
PAN:AAACD7939A
|
|
ALLEGED IRREGULARITIES IN ALLOTMENT OF PREFERENTIAL SHARES VIOLATING DIRECTIVES/INSTRUCTIONS/GUIDELINES FRAMED BY THE COMPANY
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
13-APR-2012
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 2 of 7
|
