| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
DIPAK RALAN
|
|
|
|
SHREE DEWAN STEELS (INDIA) LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACCUSED NO. 4 AND 5 ARE DISCHARGED BY THE TRIAL COURT ON THE GROUND THAT SEBI FAILED TO PROVE THAT THERE WAS ANY AUTHORIZATION BY A4&5 FOR THE PROSPECTUS OR THERE WAS ANY SIGNATURE ON THE PROSPECTUS
|
| 42 |
|
|
DIPAK RALAN
|
|
|
|
SHREE DEWAN STEELS (INDIA) LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
|
| 43 |
|
|
F.S.T.KHORAKIWALAETER
|
|
|
|
INDO-FRENCH BIO-TECH ENTERPRISES LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED
|
| 44 |
|
|
FAQUIR MOHAN PATNAIK
|
|
|
|
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)
|
| 45 |
|
|
G.B.MATHUR
|
|
|
|
PROTOCHEM LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.5000/ BY EACH OF THE ACCUSED
|
| 46 |
|
|
GANAPATHY GITA
(PAN:AAGPG2647F)
|
|
|
|
EDSERV SOFTSYSTEMS LTD.
CIN:L72200TN2001PLC046789
PAN:AAACL7131L
|
|
DID NOT MAKE DISCLOSURE OF FUNDS RAISED THROUGH ICDS IN THE NATURE OF A BRIDGE LOAN IN THE MATTER OF IPO OF EDSERV SOFTSYSTEMS LTD.
DID NOT MAKE DISCLOSURE OF PLACING OF ORDERS WITH SUPPLIERS FOR THE ESTABLISHMENT OF HEAL LABORATORIES IN THE MATTER OF IPO OF EDSERV SOFTSYSTEMS LTD.
INDULGED IN SIPHONING AND DIVERSION OF IPO PROCEEDS IN THE MATTER OF IPO OF EDSERV SOFTSYSTEMS LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF EDSERV SOFTSYSTEMS LTD.
|
PROHIBITED FROM RAISING ANY FURTHER CAPITAL FROM SECURITIES MARKET, IN ANY MANNER WHATSOEVER FROM 11-APR-2016 TO 10-APR-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-APR-2016 TO 10-APR-2019
11-APR-2016
|
|
| 47 |
|
|
GUNJAN GARERA
|
|
|
MIS-STATEMENTS IN THE PROSPECTUS
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ALL ACCUSED DECLARED PO
|
| 48 |
|
|
GURJEET SINGH
|
|
|
|
TOUBRO INFOTECH & INDUSTRIES LTD.
|
|
ISSUED SHARE/DEBENTURE APPLICATION FORMS WITHOUT ATTACHING A COPY OF THE PROSPECTUS/ABRIDGED PROSPECTUS
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
MIS-STATEMENTS IN THE PROSPECTUS
|
PROSECUTION LAUNCHED
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAR-2003 TO 24-MAR-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAR-2003 TO 24-MAR-2008
DIRECTED TO REFUND THE MONEY RAISED, TO DEBENTURE HOLDERS WITH INTEREST @10% WITHIN A PERIOD OF TWO WEEKS FROM DATE OF THIS ORDER
28-MAR-2001
|
SAT: SAT VIDE ITS ORDER DATED 19/07/2004 1.SET ASIDE ORDER DATED 25/03/2003, DIRECTING APPELLANTS TO REFUND MONEY WITH 10% INTEREST TO DEBENTURE HOLDERS 2.MODIFIED ORDER DIRECTING APPELLANTS NOT TO ACCESS AND ASSOCIATE WITH CAPITAL MARKET, DEALING IN SECURITIES OR ASSOCIATING WITH ANY INTERMEDIARIES IN CAPITAL MARKET FOR A PERIOD OF FIVE YEARS TO PERIOD ALREADY UNDERGONE 3.DIRECTED APPELLANTS TO REDRESS ALL GRIEVANCES OF DEBENTURE HOLDERS,IF ANY.NO ORDER AS TO COSTS
|
| 49 |
|
|
HARKRISHNADAS R.SHARMA
|
|
|
|
INDO-FRENCH BIO-TECH ENTERPRISES LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED
|
| 50 |
|
|
HEMANT HEMNANI
|
|
|
|
TRIDENT STEELS LTD.
|
|
HOLDINGS OF PROMOTERS HAD ALREADY BEEN PLEDGED TO A BANK FOR RAISING CREDIT LIMITS
DID NOT DISCLOSE IN PROSPECTUS PRINCIPAL TERMS OF LOAN AND ASSETS CHARGED AS SECURITY
MIS-STATEMENTS IN THE PROSPECTUS
DID NOT TRANSFER SHARES LODGED FOR TRANSFER
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2004 TO 30-MAR-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2004 TO 30-MAR-2009
31-MAR-2004
|
|
| 51 |
|
|
I.S.GIDWANI
|
|
|
|
BALWANT TEXTILE MILLS LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 52 |
|
|
IIANGO BALAKRISHNA
(PAN:AAJPI0688K)
|
|
|
|
EDSERV SOFTSYSTEMS LTD.
CIN:L72200TN2001PLC046789
PAN:AAACL7131L
|
|
DID NOT MAKE DISCLOSURE OF FUNDS RAISED THROUGH ICDS IN THE NATURE OF A BRIDGE LOAN IN THE MATTER OF IPO OF EDSERV SOFTSYSTEMS LTD.
DID NOT MAKE DISCLOSURE OF PLACING OF ORDERS WITH SUPPLIERS FOR THE ESTABLISHMENT OF HEAL LABORATORIES IN THE MATTER OF IPO OF EDSERV SOFTSYSTEMS LTD.
INDULGED IN SIPHONING AND DIVERSION OF IPO PROCEEDS IN THE MATTER OF IPO OF EDSERV SOFTSYSTEMS LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF EDSERV SOFTSYSTEMS LTD.
|
PROHIBITED FROM RAISING ANY FURTHER CAPITAL FROM SECURITIES MARKET, IN ANY MANNER WHATSOEVER FROM 11-APR-2016 TO 10-APR-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-APR-2016 TO 10-APR-2019
11-APR-2016
|
|
| 53 |
|
|
ILA A.AGARWAL
|
|
|
|
INDO-FRENCH BIO-TECH ENTERPRISES LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED
|
| 54 |
|
|
J.B.MAVALE
|
|
|
|
BALWANT TEXTILE MILLS LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 55 |
|
|
J.C.VERMA
|
|
|
|
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)
|
| 56 |
|
|
J.L.BARDIA
|
|
|
|
SURAJ SECURITIES & FINANCE LTD.
|
|
MIS-STATEMENTS AND NON-DISCLOSURES OF MATERIAL INFORMATION IN PROSPECTUS WERE FRAUDULENT ACTS AS DEFINED UNDER REGULATION 2(C) OF SEBI (PFUTP) REGULATIONS, 1995
DID NOT EXERCISE DUE SKILL, DILIGENCE AND CARE IN PUBLIC ISSUE OF SURAJ SECURITIES & FINANCE LTD.
VIOLATED SEBI CODE OF CONDUCT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-SEP-2004 TO 05-SEP-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-SEP-2004 TO 05-SEP-2009
06-SEP-2004
|
|
| 57 |
|
|
J.S.BHATNAGAR
|
|
|
|
MONESHI AGRO FOODS LTD.
|
|
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
MIS-STATEMENTS IN THE PROSPECTUS
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 58 |
|
|
J.S.GROVER
|
|
|
|
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)
|
| 59 |
|
|
K.MALLIKARJUNA REDDY
(PAN:AKGPK3343N)
|
|
|
|
SVPCL LTD.
CIN:U21011TG1999PLC032913
PAN:AAFCS0765A
|
|
PROVIDED WRONG INFORMATION IN DRAFT RED HERRING PROSPECTUS (DRHP) THAT ATLEAST 50% OF THE NET ISSUE TO THE PUBLIC SHALL BE ALLOCATED ON PROPORTIONATE BASIS TO QIB INSTEAD OF UPTO 50% OF THE NET ISSUE TO THE PUBLIC
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-APR-2012 TO 17-APR-2015
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-APR-2012 TO 17-APR-2015
18-APR-2012
|
SEBI VIDE ITS NOTICE DATED 17/12/2014 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
SEBI VIDE ITS ORDER DATED 19/01/2016 PROHIBITED FROM DISPOSING, TRANSFERRING, ALLIENATING OR CHARGING IN RESPECT OF PROPERTIES LISTED IN ORDER AND PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES. DIRECTED TO FURNISH AT SEBI AT ITS SOUTHERN REGIONAL OFFICE, CHENNAI, DULY CERTIFIED COPIES, COMPLETE DETAILS OF ALL THE MOVABLE AND IMMOVABLE PROPERTIES HELD BY THE DEFAULTER DULY CERTIFIED BY THE BOARD OF DIRECTORS WITHIN TWO WEEKS FROM THE DATE OF THIS ORDER. DIRECTED INSPECTOR GENERAL OF REGISTRATION OF ALL THE STATES AND UNION TERRITORIES AND CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS OF THE RESPECTIVE AREAS WHERE THE PROPERTIES ARE LOCATED NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED / HELD BY THE DEFAULTER, IF PRESENTED FOR REGISTRATION
|
| 60 |
|
|
K.N.GUPTA
|
|
|
|
BRAHASPATI FINANCERS LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 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 10
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