| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
ARIHANT LTD.
|
|
|
ACTED IN CONCERT WITH GROUP ENTITIES TO GIVE MISLEADING IMPRESSION OF SUCCESSFUL SUBSCRIPTION OF PREFERENTIAL ALLOTMENT THROUGH RECIRCULATING MONEY AMONG THEMSELVES IN CASE OF AASTHA BROADCASTING NETWORK LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-JAN-2004 TO 14-JAN-2007
06-SEP-2005
|
SEBI VIDE ITS ORDER DATED 06/09/2005 PROHIBITED FROM BUYING, SELLING & DEALING IN SECURITIES AND ACCESSING THE CAPITAL MARKET FROM 06/09/2005 TO 14/01/2007. PROHIBITION PERIOD HAS BEEN COMPLETED ON 14/01/2017
|
| 42 |
|
|
ASHOK METAL & TUBES
|
|
|
|
JOSHI TARACHAND BHURARAM
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 43 |
|
|
ASHOK METAL CORP.
|
|
|
|
KIRAN K.JAIN
|
|
|
KISHORMAL B.JAIN
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 44 |
|
|
ATLANTA LTD.
(Along with : ADHUNIK FINANCE PVT.LTD.,
AMBALAL P.BAROT (HUF),
EDEN REALTY PVT.LTD.,
ELLIS EQUITY ADVISORS PVT.LTD.,
EMERGING CAPITAL ADVISORS LTD.,
HEM-KANAK MERCANTILE PVT.LTD.,
HIM REALTY PVT.LTD.,
MAYROSE CAPFIN PVT.LTD.,
NEOL EQUITY RESEARCH PVT.LTD.,
RAJENDRA A.BAROT (HUF),
SAMRADHA FINSTOCK PVT.LTD.,
SPARKLINE MERCANTILE CO.PVT.LTD.,
SPOT LIGHT SECURITIES PVT.LTD.,
STRATEGIC RESEARCH INTELLIGENCE LTD.,
WINSTAR E-COM PVT.LTD.)
|
|
|
|
BHAVANA R.BBAROT
|
|
|
DILIP NABERA
|
|
|
JAY THAKURAL
|
|
|
KISHORE THAKURAL
|
|
|
MANISH MARWAH
|
|
|
MITUL M.DOSHI
|
|
|
MUKUND C.DOSHI
|
|
|
PRAKASH J.MODI
|
|
|
RAJHOO BBAROT
|
|
|
RIDHIMA M.DOSHI
|
|
|
RIKIN R.BBAROT
|
|
|
SADHANA DILIP NABERA
|
|
|
SHADILAL CHOPRA
PAN:AAAPC6067F
|
|
|
SMITA M.DOSHI
|
|
|
VIKRAMKUMAR DEVICHAND JAIN
|
|
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
|
DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 22-FEB-2007 TILL FURTHER ORDERS
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 THE COMPANY MAY GO AHEAD WITH ANY RESTRUCTURING OF ITS CAPITAL.EXCHANGES AND DEPOSITORIES ARE DIRECTED TO NOTE AND GIVE EFFECT TO THESE
AD INTERIM ORDER DATED 22/02/2007 AMENDED TO THE EXTENT THAT THE COMPANY MAY GO AHEAD WITH ANY RESTRUCTURING OF ITS CAPITAL.EXCHANGES AND DEPOSITORIES ARE DIRECTED TO NOTE AND GIVE EFFECT TO THESE
|
| 45 |
|
|
ATLANTA LTD.
(Along with : ADHUNIK FINANCE PVT.LTD.,
AMBALAL P.BAROT (HUF),
EDEN REALTY PVT.LTD.,
ELLIS EQUITY ADVISORS PVT.LTD.,
EMERGING CAPITAL ADVISORS LTD.,
HEM-KANAK MERCANTILE PVT.LTD.,
HIM REALTY PVT.LTD.,
MAYROSE CAPFIN PVT.LTD.,
NEOL EQUITY RESEARCH PVT.LTD.,
RAJENDRA A.BAROT (HUF),
SAMRADHA FINSTOCK PVT.LTD.,
SPARKLINE MERCANTILE CO.PVT.LTD.,
SPOT LIGHT SECURITIES PVT.LTD.,
STRATEGIC RESEARCH INTELLIGENCE LTD.,
WINSTAR E-COM PVT.LTD.)
|
|
|
|
BHAVANA R.BBAROT
|
|
|
DILIP NABERA
|
|
|
JAY THAKURAL
|
|
|
KISHORE THAKURAL
|
|
|
MANISH MARWAH
|
|
|
MITUL M.DOSHI
|
|
|
MUKUND C.DOSHI
|
|
|
PRAKASH J.MODI
|
|
|
RAJHOO BBAROT
|
|
|
RIDHIMA M.DOSHI
|
|
|
RIKIN R.BBAROT
|
|
|
SADHANA DILIP NABERA
|
|
|
SHADILAL CHOPRA
PAN:AAAPC6067F
|
|
|
SMITA M.DOSHI
|
|
|
VIKRAMKUMAR DEVICHAND JAIN
|
|
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 ORDER DATED 22/02/2007 AMENDED TO THE EXTENT THAT THE COMPANY MAY GO AHEAD WITH ANY RESTRUCTURING OF ITS CAPITAL.EXCHANGES AND DEPOSITORIES ARE DIRECTED TO NOTE AND GIVE EFFECT TO THESE
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO PASS FINAL ORDER ON OR BEFORE 22/09/2008 TILL SUCH TIME DIRECTIONS ISSUED BY IMPUGNED ORDER WILL CONTINUE TO OPERATE WITH NO ORDER AS TO COSTS
|
| 46 |
|
|
ATLANTA LTD.
(Along with : ADHUNIK FINANCE PVT.LTD.,
AMBALAL P.BAROT (HUF),
EDEN REALTY PVT.LTD.,
ELLIS EQUITY ADVISORS PVT.LTD.,
EMERGING CAPITAL ADVISORS LTD.,
HEM-KANAK MERCANTILE PVT.LTD.,
HIM REALTY PVT.LTD.,
MAYROSE CAPFIN PVT.LTD.,
NEOL EQUITY RESEARCH PVT.LTD.,
RAJENDRA A.BAROT (HUF),
SAMRADHA FINSTOCK PVT.LTD.,
SPARKLINE MERCANTILE CO.PVT.LTD.,
SPOT LIGHT SECURITIES PVT.LTD.,
STRATEGIC RESEARCH INTELLIGENCE LTD.,
WINSTAR E-COM PVT.LTD.)
|
|
|
|
BHAVANA R.BBAROT
|
|
|
DILIP NABERA
|
|
|
JAY THAKURAL
|
|
|
KISHORE THAKURAL
|
|
|
MANISH MARWAH
|
|
|
MITUL M.DOSHI
|
|
|
MUKUND C.DOSHI
|
|
|
PRAKASH J.MODI
|
|
|
RAJHOO BBAROT
|
|
|
RIDHIMA M.DOSHI
|
|
|
RIKIN R.BBAROT
|
|
|
SADHANA DILIP NABERA
|
|
|
SHADILAL CHOPRA
PAN:AAAPC6067F
|
|
|
SMITA M.DOSHI
|
|
|
VIKRAMKUMAR DEVICHAND JAIN
|
|
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 ORDER DATED 22/02/2007 AMENDED TO THE EXTENT THAT THE COMPANY MAY GO AHEAD WITH ANY RESTRUCTURING OF ITS CAPITAL.EXCHANGES AND DEPOSITORIES ARE DIRECTED TO NOTE AND GIVE EFFECT TO THESE
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO PASS FINAL ORDER ON OR BEFORE 22/09/2008 TILL SUCH TIME DIRECTIONS ISSUED BY IMPUGNED ORDER WILL CONTINUE TO OPERATE WITH NO ORDER AS TO COSTS
|
| 47 |
|
|
ATLANTA LTD.
(Along with : ADHUNIK FINANCE PVT.LTD.,
AMBALAL P.BAROT (HUF),
EDEN REALTY PVT.LTD.,
ELLIS EQUITY ADVISORS PVT.LTD.,
EMERGING CAPITAL ADVISORS LTD.,
HEM-KANAK MERCANTILE PVT.LTD.,
HIM REALTY PVT.LTD.,
MAYROSE CAPFIN PVT.LTD.,
NEOL EQUITY RESEARCH PVT.LTD.,
RAJENDRA A.BAROT (HUF),
SAMRADHA FINSTOCK PVT.LTD.,
SPARKLINE MERCANTILE CO.PVT.LTD.,
SPOT LIGHT SECURITIES PVT.LTD.,
STRATEGIC RESEARCH INTELLIGENCE LTD.,
WINSTAR E-COM PVT.LTD.)
|
|
|
|
BHAVANA R.BBAROT
|
|
|
DILIP NABERA
|
|
|
JAY THAKURAL
|
|
|
KISHORE THAKURAL
|
|
|
MANISH MARWAH
|
|
|
MITUL M.DOSHI
|
|
|
MUKUND C.DOSHI
|
|
|
PRAKASH J.MODI
|
|
|
RAJHOO BBAROT
|
|
|
RIDHIMA M.DOSHI
|
|
|
RIKIN R.BBAROT
|
|
|
SADHANA DILIP NABERA
|
|
|
SHADILAL CHOPRA
PAN:AAAPC6067F
|
|
|
SMITA M.DOSHI
|
|
|
VIKRAMKUMAR DEVICHAND JAIN
|
|
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 ORDER DATED 22/02/2007 AMENDED TO THE EXTENT THAT THE COMPANY MAY GO AHEAD WITH ANY RESTRUCTURING OF ITS CAPITAL.EXCHANGES AND DEPOSITORIES ARE DIRECTED TO NOTE AND GIVE EFFECT TO THESE
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO PASS FINAL ORDER ON OR BEFORE 22/09/2008 TILL SUCH TIME DIRECTIONS ISSUED BY IMPUGNED ORDER WILL CONTINUE TO OPERATE WITH NO ORDER AS TO COSTS
|
| 48 |
|
|
ATLANTA LTD.
(Along with : ADHUNIK FINANCE PVT.LTD.,
AMBALAL P.BAROT (HUF),
EDEN REALTY PVT.LTD.,
ELLIS EQUITY ADVISORS PVT.LTD.,
EMERGING CAPITAL ADVISORS LTD.,
HEM-KANAK MERCANTILE PVT.LTD.,
HIM REALTY PVT.LTD.,
MAYROSE CAPFIN PVT.LTD.,
NEOL EQUITY RESEARCH PVT.LTD.,
RAJENDRA A.BAROT (HUF),
SAMRADHA FINSTOCK PVT.LTD.,
SPARKLINE MERCANTILE CO.PVT.LTD.,
SPOT LIGHT SECURITIES PVT.LTD.,
STRATEGIC RESEARCH INTELLIGENCE LTD.,
WINSTAR E-COM PVT.LTD.)
|
|
|
|
BHAVANA R.BBAROT
|
|
|
DILIP NABERA
|
|
|
JAY THAKURAL
|
|
|
KISHORE THAKURAL
|
|
|
MANISH MARWAH
|
|
|
MITUL M.DOSHI
|
|
|
MUKUND C.DOSHI
|
|
|
PRAKASH J.MODI
|
|
|
RAJHOO BBAROT
|
|
|
RIDHIMA M.DOSHI
|
|
|
RIKIN R.BBAROT
|
|
|
SADHANA DILIP NABERA
|
|
|
SHADILAL CHOPRA
PAN:AAAPC6067F
|
|
|
SMITA M.DOSHI
|
|
|
VIKRAMKUMAR DEVICHAND JAIN
|
|
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 ( CONSENT ORDER)
26-JUN-2009~
|
AD INTERIM ORDER DATED 22/02/2007 AMENDED TO THE EXTENT THAT THE COMPANY MAY GO AHEAD WITH ANY RESTRUCTURING OF ITS CAPITAL.EXCHANGES AND DEPOSITORIES ARE DIRECTED TO NOTE AND GIVE EFFECT TO THESE
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO PASS FINAL ORDER ON OR BEFORE 22/09/2008 TILL SUCH TIME DIRECTIONS ISSUED BY IMPUGNED ORDER WILL CONTINUE TO OPERATE WITH NO ORDER AS TO COSTS
|
| 49 |
|
|
ATLANTA LTD.
|
|
|
|
SACHIN JAIN
|
|
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 30-SEP-2008 TO 29-SEP-2009
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 30-SEP-2008 TO 29-SEP-2009
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 30-SEP-2008 TO 29-SEP-2009
30-SEP-2008~
|
AD-INTERIM ORDER DATED 22/02/2007 AMENDED TO THE EXTENT THAT THE COMPANY MAY GO AHEAD WITH ANY RESTRUCTURING OF ITS CAPITAL.EXCHANGES AND DEPOSITORIES ARE DIRECTED TO NOTE AND GIVE EFFECT TO THESE
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO PASS FINAL ORDER ON OR BEFORE 22/09/2008 TILL SUCH TIME DIRECTIONS ISSUED BY IMPUGNED ORDER WILL CONTINUE TO OPERATE WITH NO ORDER AS TO COSTS
|
| 50 |
|
|
ATLANTA THAKURAL CONSTRUCTIONS
|
|
|
|
JAY THAKURAL
|
|
|
KISHORE THAKURAL
|
|
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 ( CONSENT ORDER)
22-SEP-2008~
|
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO PASS FINAL ORDER ON OR BEFORE 22/09/2008 TILL SUCH TIME DIRECTIONS ISSUED BY IMPUGNED ORDER WILL CONTINUE TO OPERATE WITH NO ORDER AS TO COSTS
|
| 51 |
|
|
ATN INTERNATIONAL LTD.
(CIN:L65993WB1983PLC080793
PAN:AACCA5744Q)
|
|
|
|
SANTOSH KUMAR JAIN
PAN:ACQPJ7823E
|
|
ALLEGED INDULGENCE IN ISSUANCE OF MIS-LEADING ADVERTISEMENTS IN MATTER OF ATN INTERNATIONAL LTD.
ALLEGED INDULGENCE IN VIOLATION OF MODEL CODE OF CONDUCT IN SCHEDULE I UNDER REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ATN INTERNATIONAL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 20-JUN-2011 TO 19-JUN-2013
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 20-JUN-2011 TO 19-JUN-2013
20-JUN-2011
|
|
| 52 |
|
|
ATN INTERNATIONAL LTD.
(CIN:L65993WB1983PLC080793
PAN:AACCA5744Q)
|
|
|
ACTED IN CONCERT WITH GROUP ENTITIES TO GIVE MISLEADING IMPRESSION OF SUCCESSFUL SUBSCRIPTION OF PREFERENTIAL ALLOTMENT THROUGH RECIRCULATING MONEY AMONG THEMSELVES IN CASE OF AASTHA BROADCASTING NETWORK LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-JAN-2004 TO 14-JAN-2007
06-SEP-2005
|
SEBI VIDE ITS ORDER DATED 06/09/2005 PROHIBITED FROM BUYING, SELLING & DEALING IN SECURITIES AND ACCESSING THE CAPITAL MARKET FROM 06/09/2005 TO 14/01/2007. PROHIBITION PERIOD HAS BEEN COMPLETED ON 14/01/2017
|
| 53 |
|
|
ATN INTERNATIONAL LTD.
(CIN:L65993WB1983PLC080793
PAN:AACCA5744Q)
|
|
|
|
ARIHANT JAIN
PAN:ADWPJ8453B
|
|
|
KISHAN KUMAR KHADARIA
PAN:AAHPK3724G
|
|
|
SANTOSH KUMAR LAHOTI
PAN:AAVPL7078G
|
|
ALLEGED INDULGENCE IN ISSUANCE OF MIS-LEADING ADVERTISEMENTS IN MATTER OF ATN INTERNATIONAL LTD.
ALLEGED INDULGENCE IN VIOLATION OF MODEL CODE OF CONDUCT IN SCHEDULE I UNDER REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ATN INTERNATIONAL LTD.
|
REACHED SETTLEMENT ( CONSENT ORDER)
20-JUN-2011
|
|
| 54 |
|
|
ATN TELEFILM LTD.
|
|
|
ACTED IN CONCERT WITH GROUP ENTITIES TO GIVE MISLEADING IMPRESSION OF SUCCESSFUL SUBSCRIPTION OF PREFERENTIAL ALLOTMENT THROUGH RECIRCULATING MONEY AMONG THEMSELVES IN CASE OF AASTHA BROADCASTING NETWORK LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-JAN-2004 TO 14-JAN-2007
06-SEP-2005
|
SEBI VIDE ITS ORDER DATED 06/09/2005 PROHIBITED FROM BUYING, SELLING & DEALING IN SECURITIES AND ACCESSING THE CAPITAL MARKET FROM 06/09/2005 TO 14/01/2007. PROHIBITION PERIOD HAS BEEN COMPLETED ON 14/01/2017
|
| 55 |
|
|
AURORA FASTNERS PVT.LTD.
|
|
|
INDULGED IN ISSUANCE OF FALSE, NON GENUINE & MISLEADING CORPORATE ANNOUNCEMENTS/ADVERTISEMENTS IN MATTER OF SHIVA CEMENT LTD.
|
IMPOSED PENALTY RS.50,000
24-NOV-2008
|
|
| 56 |
|
|
AVDH INVESTMENT & CAPITAL PVT.LTD.
(Along with : NUMERO UNO PROJECTS LTD.)
|
|
|
MADE FALSE REPRESENTATION OF BUYBACK OF SHARES OF NUMERO UNO PROJECTS LTD. IN NEWSPAPERS TO MISLEAD/INDUCE INVESTORS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-FEB-2008 TO 14-FEB-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-FEB-2008 TO 14-FEB-2010
15-FEB-2008
|
|
| 57 |
|
|
AVON MERCANTILE LTD.
|
|
|
ACTED IN CONCERT WITH GROUP ENTITIES TO GIVE MISLEADING IMPRESSION OF SUCCESSFUL SUBSCRIPTION OF PREFERENTIAL ALLOTMENT THROUGH RECIRCULATING MONEY AMONG THEMSELVES IN CASE OF AASTHA BROADCASTING NETWORK LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-JAN-2004 TO 14-JAN-2007
06-SEP-2005
|
SEBI VIDE ITS ORDER DATED 06/09/2005 PROHIBITED FROM BUYING, SELLING & DEALING IN SECURITIES AND ACCESSING THE CAPITAL MARKET FROM 06/09/2005 TO 14/01/2007. PROHIBITION PERIOD HAS BEEN COMPLETED ON 14/01/2017
|
| 58 |
|
|
BAFFIN ENGINEERING PROJECTS LTD.
|
|
|
MADE FALSE REPRESENTATION THROUGH CORPORATE ANNOUNCEMENTS TO MISLEAD/INDUCE INVESTORS
|
IMPOSED PENALTY RS.10,00,000
24-FEB-2011
|
INCLUDED IN SEBI LIST DATED 31/12/2011, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 59 |
|
|
BAFNA EXIM PVT.LTD.
|
|
|
|
MUKESH JAIN
|
|
|
PRAVEEN KUMAR JAIN
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 60 |
|
|
BAGORIA ENTERPRISE
|
|
|
|
AMIT KUMAR BAGORIA
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
AD-INTERIM EX-PARTE ORDER DATED 23/04/2009 CONFIRMED VIDE ORDER DATED 12/01/2010
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 3 of 31
|
