| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
HEM-KANAK MERCANTILE PVT.LTD.
(Along with : 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
|
|
| 22 |
|
|
HIM REALTY PVT.LTD.
(Along with : 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
|
|
| 23 |
|
|
KALPANA AGENCIES PVT.LTD.
(Along with : 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
SETTLEMENT ( SETTLEMENT CHARGES RS.27,860, ADMINISTRATION CHARGES RS.1,785 VIDE CONSENT ORDER)
26-JUN-2009~
|
AD-INTERIM EX-PARTE ORDER DATED 22/02/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.27,860 TOWARDS SETTLEMENT CHARGES AND RS.1,785 TOWARDS ADMINISTRATIVE CHARGES, AS PER CONSENT ORDER DATED 26/06/2009
|
| 24 |
|
|
KUBER CAPITAL SERVICES PVT.LTD.
(Along with : 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
SETTLEMENT ( SETTLEMENT CHARGES RS.1,91,850, ADMINISTRATION CHARGES RS.12,294 VIDE CONSENT ORDER)
26-JUN-2009~
|
AD-INTERIM EX-PARTE ORDER DATED 22/02/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.1,91,850 TOWARDS SETTLEMENT CHARGES AND RS.12,294 TOWARDS ADMINISTRATIVE CHARGES, AS PER CONSENT ORDER DATED 26/06/2009
|
| 25 |
|
|
MAHADEV IMPEXS
|
|
|
AIDED AND ABETTED EDSERV SOFTSYSTEMS LTD. IN DIVERTING RS.2 CRORE FROM ITS ISSUE PROCEEDS
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF EDSERV SOFTSYSTEMS LTD.
|
IMPOSED PENALTY RS.2,41,00,000
30-DEC-2011
|
SEBI VIDE ITS NOTICE DATED 12/06/2014 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 26 |
|
|
MAYROSE CAPFIN PVT.LTD.
(PAN:AACCM4957H)
(Along with : 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
|
|
| 27 |
|
|
MIDVALLEY ENTERTAINMENT LTD.
(PAN:AABCC3634J)
|
|
|
|
M.PANDIYAN
PAN:ARYPP5030A
|
|
|
S.MADHAVAN
|
|
DID NOT MAKE DISCLOSURE OF DIRECTORSHIPS IN IPO PROSPECTUS IN MATTER OF MIDVALLEY ENTERTAINMENT LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 18-FEB-2020 TO 17-FEB-2022
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 18-FEB-2020 TO 17-FEB-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
18-FEB-2020
|
|
| 28 |
|
|
MIDVALLEY ENTERTAINMENT LTD.
(PAN:AABCC3634J)
|
|
|
|
DATUK K.KETHEESWARAN
PAN:AUZPK2273Q
|
|
|
R.CHANDRASEGARAN
PAN:AHUPC1432D
|
|
DID NOT MAKE DISCLOSURE OF DIRECTORSHIPS IN IPO PROSPECTUS IN MATTER OF MIDVALLEY ENTERTAINMENT LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 18-FEB-2020 TO 17-FEB-2025
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 18-FEB-2020 TO 17-FEB-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
18-FEB-2020
|
|
| 29 |
|
|
MIDVALLEY ENTERTAINMENT LTD.
(PAN:AABCC3634J)
|
|
|
|
K.MURUGAVEL
PAN:AKIPN9312K
|
|
|
K.RAMDASAN
PAN:AKTPR9734M
|
|
|
SUDHIR KUMAR JENA
PAN:AASPS2187G
|
|
|
VASAN CHIDAMBARAM
PAN:ACEPV8596L
|
|
MISUTILIZED IPO PROCEEDS FOR THE PURPOSES OTHER THAN THE OBJECTS STATED IN THE RHP/PROSPECTUS
DID NOT MAKE DISCLOSURE OF DIRECTORSHIPS IN IPO PROSPECTUS IN MATTER OF MIDVALLEY ENTERTAINMENT LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 18-FEB-2020 TO 17-FEB-2027
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
18-FEB-2020
|
|
| 30 |
|
|
MUKUND C.DOSHI (HUF)
(Along with : 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
SETTLEMENT ( SETTLEMENT CHARGES RS.4,22,338, ADMINISTRATION CHARGES RS.27,065 VIDE CONSENT ORDER)
26-JUN-2009~
|
AD-INTERIM EX-PARTE ORDER DATED 22/02/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.4,22,338 TOWARDS SETTLEMENT CHARGES AND RS.27,065 TOWARDS ADMINISTRATIVE CHARGES, AS PER CONSENT ORDER DATED 26/06/2009
|
| 31 |
|
|
NEOL EQUITY RESEARCH PVT.LTD.
(Along with : 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 |
|
|
PG ELECTROPLAST LTD.
(PAN:AACCP9321Q)
|
|
|
|
ANURAG GUPTA
PAN:AAHPG5647E
|
|
|
KAUSHAL CHAND SINGHAL
PAN:AECPS1626L
|
|
|
PRAMOD GUPTA
PAN:AAHPG5646F
|
|
|
PRAMOD KUMAR MITRA
PAN:ACMPM1421D
|
|
|
PREM PAL MALHOTRA
PAN:AAEPM8187A
|
|
|
SURESH CHANDRA GUPTA
PAN:AACPG1306P
|
|
|
VIKAS GUPTA
PAN:AAHPG5644H
|
|
|
VISHAL GUPTA
PAN:AAHPG5643A
|
|
MISUTILIZED ISSUE PROCEEDS
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PG ELECTROPLAST LTD.
|
PROHIBITED FROM RAISING ANY FURTHER CAPITAL IN ANY MANNER, DIRECTLY OR INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED COMPANY TO CALL BACK ICDS AND/OR OTHER AMOUNTS AND DEPOSIT THE SAME IN AN INTEREST BEARING ESCROW ACCOUNT
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
INTERIM DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011 SHALL CONTINUE TILL FURTHER DIRECTIONS AS PER SEBI ORDER DATED 31/10/2012
SEBI VIDE ITS ORDER DATED 11/03/ 2014 DIRECTED PG ELECTROPLAST LTD. TO TAKE URGENT AND EFFECTIVE MEASURES TO RECOVER ALL THE MONEYS RECOVERABLE ON ACCOUNT OF INVESTMENTS IN ICDS, CONTRACTS FOR PURCHASE OF LAND WHICH HAVE NOT FRUCTIFIED TILL NOW, ETC. PROGRESS IN THIS REGARD SHALL BE REPORTED TO SEBI ON OR BEFORE MAY 10, 2014, ON THE BASIS OF WHICH FURTHER DIRECTIONS SHALL BE CONSIDERED
|
| 33 |
|
|
PINE TREE CONSULTANTS PVT.LTD.
(Along with : 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
SETTLEMENT ( SETTLEMENT CHARGES RS.12,89,114 VIDE CONSENT ORDER)
08-JAN-2010~
|
AD-INTERIM EX-PARTE ORDER DATED 22/04/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.9,91,626 TOWARDS DISGORGEMENT (PAYABLE TO INVESTORS) AND RS.2,97,488 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 08/01/2010
|
| 34 |
|
|
RAJENDRA A.BAROT (HUF)
(Along with : 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
|
| 35 |
|
|
RDB RASAYANS LTD.
(CIN:007878
PAN:AABCR2313M)
|
|
|
|
MAHENDRA PRATAP SINGH
PAN:AIGPS3833B
|
|
|
SACHIN SHRIDHAR
PAN:AQGPS1313N
|
|
|
SANDEEP BAID
PAN:ADEPB3749A
|
|
|
SHANTI LAL BAID
PAN:AECPB8148Q
|
|
|
SUNDER LAL DUGAR
PAN:ADRPD6905F
|
|
|
SWETA PUNJABI
PAN:AWIPP1581H
|
|
MISUTILIZED ISSUE PROCEEDS
UTILIZED IPO PROCEEDS TO FUND CLIENTS WHO HAD INCURRED LOSSES IN IPO OF RDB RASAYANS LTD.
|
PROHIBITED FROM RAISING ANY FURTHER CAPITAL IN ANY MANNER, DIRECTLY OR INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED COMPANY TO CALL BACK ICDS AND/OR OTHER AMOUNTS AND DEPOSIT THE SAME IN AN INTEREST BEARING ESCROW ACCOUNT
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
|
| 36 |
|
|
SAMRADHA FINSTOCK PVT.LTD.
(Along with : 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
|
|
| 37 |
|
|
SHIV IMPEXS
|
|
|
AIDED AND ABETTED EDSERV SOFTSYSTEMS LTD. IN DIVERTING RS.2 CRORE FROM ITS ISSUE PROCEEDS
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF EDSERV SOFTSYSTEMS LTD.
|
IMPOSED PENALTY RS.2,41,00,000
30-DEC-2011
|
SEBI VIDE ITS NOTICE DATED 25/06/2014 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
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SHREYANSHNATH SHARES & FINANCIAL SERVICES PVT.LTD.
(CIN:U67120GJ2009PTC057501
PAN:AANCS1864Q)
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KIRTIKUMAR GOPALBHAI PATEL
PAN:ARTPP1341B
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VIJAYKUMAR BABUBHAI CHAUHAN
PAN:AKSPC3392H
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DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
UTILIZED IPO PROCEEDS TO FUND CLIENTS WHO HAD INCURRED LOSSES IN IPO OF RDB RASAYANS LTD.
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DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
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SEBI VIDE ITS ORDER DATED 08/10/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 28/12/2011
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SPARKLINE MERCANTILE CO.PVT.LTD.
(Along with : ATLANTA LTD.)
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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
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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
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SPOT LIGHT SECURITIES PVT.LTD.
(Along with : ATLANTA LTD.)
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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
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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
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