| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
SHABNAM JOHN
(PAN:AGUPJ1830F)
|
|
|
|
FICUS COMMODITIES PVT.LTD.
PAN:AABCV4377P
|
|
|
FICUS SECURITIES PVT.LTD.
PAN:AAACV0429K
|
|
DID NOT MAKE DISCLOSURE OF ALL OF DP A/CS TO STOCK EXCHANGES VIOLATING CLAUSES A(1), A(4) AND A(5) OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS UNDER SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
RAISED FUNDS BY PLEDGING CLIENTS SECURITIES VIOLATING CLAUSE A(1) AND A(5) OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS UNDER SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
DID NOT REPORT CORRECT MARGIN TO EXCHANGES IN CD AND FO SEGMENT VIOLATING CLAUSES A(1), A(2) AND A(5) OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS UNDER SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
TRANSFERRED CLIENTS FUNDS TO FCPL AND FSPL ACCOUNTS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
20-MAR-2018
|
SEBI VIDE ITS ORDER DATED 17/01/2019 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 20/03/2018
SEBI VIDE ITS ORDER DATED 25/08/2022 VACATED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 20/03/2018
|
| 42 |
|
|
SUNIL MANUBHAI SHAH
|
|
|
|
MOH LTD.
PAN:AABCM0385L
|
|
ISSUED MISLEADING ADVERTISEMENT IN NEWSPAPERS REGARDING POSSIBILITIES OF BUYBACK WHICH WAS SUBSEQUENTLY WITHDRAWN BUT WITHOUT INFORMING THE SHAREHOLDERS
VIOLATED SEBI CODE OF CONDUCT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-MAY-2007 TO 17-MAY-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-MAY-2007 TO 17-MAY-2009
18-MAY-2007
|
|
| 43 |
|
|
TARIK HAJI GAFFAR
|
|
|
|
GUJARAT TEXSPIN LTD.
CIN:L17110GJ1992PLC018186
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
COMMITTED IRREGULARITIES IN EFFECTING TRANSFERS
CONTRAVENED PROVISIONS OF REGULATION 3 AND 6(C) OF SEBI (PFUTP) IN THE SCRIP OF GUJARAT TEXSPIN LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-AUG-2007 TO 26-AUG-2012
27-AUG-2007
|
|
| 44 |
|
|
TAUFIK HAJI GAFFAR
|
|
|
|
GUJARAT TEXSPIN LTD.
CIN:L17110GJ1992PLC018186
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
COMMITTED IRREGULARITIES IN EFFECTING TRANSFERS
CONTRAVENED PROVISIONS OF REGULATION 3 AND 6(C) OF SEBI (PFUTP) IN THE SCRIP OF GUJARAT TEXSPIN LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-AUG-2007 TO 26-AUG-2012
27-AUG-2007
|
|
| 45 |
|
|
TOHID HAZI GAFFAR
|
|
|
|
FERRARI TEXTILES PVT.LTD.
|
|
DELIVERED FAKE/FORGED SHARES
CONTRAVENED PROVISIONS OF REGULATION 3 AND 6(C) OF SEBI (PFUTP) IN THE SCRIP OF GUJARAT TEXSPIN LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-AUG-2007 TO 26-AUG-2012
27-AUG-2007
|
|
| 46 |
|
|
TRIPTA KAPOOR
(PAN:ASVPK5946Q)
|
|
|
|
FICUS COMMODITIES PVT.LTD.
PAN:AABCV4377P
|
|
|
FICUS SECURITIES PVT.LTD.
PAN:AAACV0429K
|
|
DID NOT MAKE DISCLOSURE OF ALL OF DP A/CS TO STOCK EXCHANGES VIOLATING CLAUSES A(1), A(4) AND A(5) OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS UNDER SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
RAISED FUNDS BY PLEDGING CLIENTS SECURITIES VIOLATING CLAUSE A(1) AND A(5) OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS UNDER SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
DID NOT REPORT CORRECT MARGIN TO EXCHANGES IN CD AND FO SEGMENT VIOLATING CLAUSES A(1), A(2) AND A(5) OF CODE OF CONDUCT PRESCRIBED FOR STOCK BROKERS UNDER SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
TRANSFERRED CLIENTS FUNDS TO FCPL AND FSPL ACCOUNTS
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
20-MAR-2018
|
SEBI VIDE ITS ORDER DATED 17/01/2019 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 20/03/2018
SEBI VIDE ITS ORDER DATED 25/08/2022 VACATED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 20/03/2018
|
| 47 |
|
|
V.K.LODHA
|
|
|
|
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
|
|
| 48 |
|
|
VINAYKANT MOHANLAL SHAH
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS, SELF TRADES AND SYNCHRONIZED TRADES IN SCRIP OF PROMACT PLASTICS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(2),D(1),D(4) AND D(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF PROMACT PLASTICS LTD.
|
IMPOSED PENALTY RS.3,00,000
14-SEP-2010
|
|
| 49 |
|
|
VISHNU SARUP GUPTA
|
|
|
|
PADMINI TECHNOLOGIES LTD.
CIN:L25202DL1990PLC039395
|
|
ALLOTMENT OF SHARES IN THE PREFERENTIAL ISSUES WERE MALAFIDE AND TOOK PLACE WITHOUT ANY REAL INFUSION OF FUNDS
PREFERENTIAL ALLOTMENT WAS IRREGULAR AND NOT IN ACCORDANCE WITH LAW IN AS MUCH AS THE COMPANY HAS RESORTED TO FICTITIOUS BOOK ENTRIES FOR SHOWING RECEIPT OF SUBSCRIPTION TOWARDS PREFERENTIAL ALLOTMENT OF SHARES
AIDED ALLOTTEES BY WAY OF UNUSUAL FINANCIAL ACCOMMODATION IN CASE OF PREFERENTIAL ALLOTMENT OF PADMINI TECHNOLOGIES LTD.
INDULGED IN MARKET/PRICE MANIPULATION IN SCRIP OF PADMINI TECHNOLOGIES LTD.
DELAYED CONVERSION OF SHARES OF PADMINI TECHNOLOGIES LTD. FOR PHYSICAL TO DEMAT ALLOTTED IN PREFERENTIAL ALLOTMENT
VIOLATED REGULATION 3, 6(A), (C), (D) OF FUTP REGULATIONS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2007 TO 30-JAN-2012
31-JAN-2007
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
|
| 50 |
|
|
VIVEK NAGPAL
|
|
|
|
PADMINI TECHNOLOGIES LTD.
CIN:L25202DL1990PLC039395
|
|
ALLOTMENT OF SHARES IN THE PREFERENTIAL ISSUES WERE MALAFIDE AND TOOK PLACE WITHOUT ANY REAL INFUSION OF FUNDS
PREFERENTIAL ALLOTMENT WAS IRREGULAR AND NOT IN ACCORDANCE WITH LAW IN AS MUCH AS THE COMPANY HAS RESORTED TO FICTITIOUS BOOK ENTRIES FOR SHOWING RECEIPT OF SUBSCRIPTION TOWARDS PREFERENTIAL ALLOTMENT OF SHARES
AIDED ALLOTTEES BY WAY OF UNUSUAL FINANCIAL ACCOMMODATION IN CASE OF PREFERENTIAL ALLOTMENT OF PADMINI TECHNOLOGIES LTD.
INDULGED IN MARKET/PRICE MANIPULATION IN SCRIP OF PADMINI TECHNOLOGIES LTD.
DELAYED CONVERSION OF SHARES OF PADMINI TECHNOLOGIES LTD. FOR PHYSICAL TO DEMAT ALLOTTED IN PREFERENTIAL ALLOTMENT
VIOLATED REGULATION 3, 6(A), (C), (D) OF FUTP REGULATIONS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2007 TO 30-JAN-2012
31-JAN-2007
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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