| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
AJAY JHUNJHUNWALA
(DIN:01400477)
|
|
|
|
SARSWATI VINCOM LTD.
CIN:U51909WB1995PLC068330
PAN:AAECS4656B
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
31-MAR-2014
|
THE OFFENCE WAS COMPOUNDED RS.3,55,447.00
|
| 42 |
|
|
AJAY KUMAR AGARWAL
|
|
|
|
SETECH ELECTRONICS LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
DID NOT APPEAR BEFORE COURT IN PERSON PURSUANT TO SUMMONS ISSUED BY COURT (SECTION 200A – CR PC)
|
PROSECUTION LAUNCHED
15-MAY-2006
|
VIDE ORDER DATED 13/09/2012 COURT DISPOSED OF THE MATTER AS COMPOUNDED BY THE CLB UPON RS.40,000 AS COMPOUNDING CHARGES FOR THE COMPANY AND RS.3000 EACH ON DIRECTORS
|
| 43 |
|
|
AJAY KUMAR SRIVASTAB
|
|
|
|
KOLKATA WEIR INDUSTRIES LTD.
|
|
APPROCHED 105809 INVESTORS TO MOBILIZE RS.47.90 CRORES THROUGH OFFER OF REDEEMABLE PREFERENCE SHARES ON PRIVATE PLACEMENT BASIS IN MATTER OF KOLKATA WEIR INDUSTRIES LTD.VIOLATING SECTION 67(3) OF COMPANIES ACT, 1956
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 44 |
|
|
AJAY MAGAN
|
|
|
|
YOGI LEASING & FINANCE LTD.
|
|
VIOLATED SECTION 26 OF SEBI ACT, 1992
VIOLATED SECTION 27 OF SEBI ACT, 1992
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 45 |
|
|
AJAY MAHASHERLAL KHATLAWALA
|
|
|
|
GANESH BENZOPLAST LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
|
PROSECUTION LAUNCHED
15-MAY-2006
|
DISMISSED
|
| 46 |
|
|
AJAY MANGAL
|
|
|
|
OASIS CINE COMMUNICATION LTD.
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
31-MAR-2014
|
COMPOUNDED ON PAYMENT OF RS.67,000.00 TOWARDS LEGAL COSTS AND RS.4,12,767.00 TOWARDS PENALTY AND INTEREST
|
| 47 |
|
|
AJAY ROONGTA
(PAN:AAVPR5584R)
|
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
15-JUL-2022
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.204164.00 TO SEBI
|
| 48 |
|
|
AJAY SINGH KARNI
|
|
|
|
BASMATI SECURITIES PVT.LTD.
PAN:AAACB4324K
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
31-MAR-2022
|
WITHDRAWN
|
| 49 |
|
|
AJAY SURESH KILACHAND
(PAN:ABAPK6943R)
|
|
|
|
SYNTHETICS & CHEMICALS LTD.
|
|
VIOLATED SECTION 20(2) OF SEBI DEPOSITORIES ACT, 1996
|
PROSECUTION LAUNCHED
31-MAR-2014
|
|
| 50 |
|
|
AJIT AMBANI
|
|
|
|
MAHADEV LEASING CO.LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CASE DISMISSED BY COURT
NOT APPEARING IN THE LIST OF CASES DISMISSED/ACCUSED DISCHARGES IN THE PROSECUTION FILED BY SEBI (AS ON 31ST MARCH 2010)
|
| 51 |
|
|
AJIT CHAND
|
|
|
|
ACE LABORATORIES LTD.
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 52 |
|
|
AJIT KUMAR JAIN
|
|
|
|
SUNIL SHARES & STOCKS PVT.LTD.
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
31-MAR-2014
|
COMPOUNDED ON PAYMENT OF PENALTY AMOUNT AND LEGAL COST OF RS.1,89,978.00
|
| 53 |
|
|
AJIT NAMBIAR
|
|
|
|
BPL LTD.
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 27 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ALL THE ACCUSED WERE DISCHARGED BY COURT. REVISION APPLICATIONS FILED BY SEBI IN THE ADDL.SESSIONS COURT, MUMBAI WHICH IS PENDING
|
| 54 |
|
|
AJIT SAMBHAJI SURYAVANSHI
(PAN:AVOPS4111P)
|
|
|
|
RITEDEAL TRADING CO.PVT.LTD.
PAN:AACCR9537J
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
31-MAR-2010
|
THE MATTER WAS DISPOSED AS WITHDRAWN ON THE APPLICATION FILED U/S 321 OF CRPC BY SEBI AS THE COMPLAINT IN RESPECT OF THE SAME OF CAUSE OF ACTION WAS ALREADY TAKEN COGNIZANCE BY THE COURT IN THE SEBI SPL CASE NO. 241/2014
|
| 55 |
|
|
AJYA MAHESHWARI
|
|
|
|
BHUTRA FINANCIAL SERVICES PVT.LTD.
|
|
VIOLATED SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.2,30,000 BY THE ACCUSED TO SEBI
|
| 56 |
|
|
AKBARKHAN NUSURULLAHKHAN PATHAN
|
|
|
|
INDO-AMERICAN CREDIT CORP.LTD.
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
VIOLATED SECTION 11(2) (1) (1A) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ALL ACCUSED PLEADED GUILTY AND WERE CONVICTED AND SENTENCED TO FINE OF RS.1,000 EACH AND ON DEFAULT IMPRISONMENT FOR 30 DAYS
CONVICTED
|
| 57 |
|
|
AKHIL CHANDRA SAHA
(DIN:02243929
PAN:AQMPS4454N)
|
|
|
|
SURAKSHA AGROTECH INDUSTRIES LTD.
CIN:U01400WB2008PLC130787
PAN:AAMCS7720G
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
15-DEC-2016
|
|
| 58 |
|
|
AKHILESH KAMAL PRASAD MISHRA
(PAN:AAEPM5484A)
|
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
31-MAR-2014
|
ACQUITTED
|
| 59 |
|
|
AKHILESH KAMAL PRASAD MISHRA
(PAN:AAEPM5484A)
|
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
15-JUL-2022
|
ACQUITTED
|
| 60 |
|
|
ALAP SHUKLA
|
|
|
|
OJAS TECHNOCHEM PRODUCTS LTD.
|
|
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
|
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. |
| |
|
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| Page 3 of 102
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