| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 721 |
|
VARSHA R.PARIKH
|
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY/STOCK CHANGES AS REQUIRED UNDER REGULATION 7 OF SEBI TAKEOVER CODE, 1997
VIOLATED SECTION 10 OF SEBI TAKEOVER CODE, 1997
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 722 |
|
|
VARSHABEN VIRAGBHAI GANDHI
|
|
|
|
MAHAVIR INVESTMENTS
|
|
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
|
OFFENCE COMPOUNDED
27-FEB-2023
|
COMPOUNDED
|
| 723 |
|
|
VARSHABEN VIRAGBHAI GANDHI
|
|
|
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.1,00,000 BY THE ACCUSED TO SEBI
|
| 724 |
|
|
VASUDEV SUBANTHORE
|
|
|
|
DSQ BIOTECH LTD.
|
|
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 725 |
|
|
VEENA DHAWAN
|
|
|
|
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
|
|
| 726 |
|
|
VENKATRAMAN NATRAJAN
(PAN:ACUPV4686K)
|
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 727 |
|
|
VENKATRAO KARRI
(PAN:AOBPK0250M)
|
|
|
VIOLATED SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(B) TO 3(D) & 4(2)(C), 4(2)(F), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES OF ASAHI INFRASTRUCTURE & PROJECTS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-SEP-2017
|
|
| 728 |
|
|
VIJAY BABURAO SHIRKE
|
|
|
|
AKIRA INVESTMENTS PVT.LTD.
CIN:U67120MH1981PTC023806
|
|
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 729 |
|
|
VIJAY MALLYA
(DIN:00122890
PAN:AENPM6247A)
|
|
|
INDULGED IN DIVERSION OF FUNDS FROM UNITED SPIRITS LTD. TO VARIOUS COMPANIES/ENTITIES OF UB GROUP INCLUDING KINGFISHER AIRLINES LTD. VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 IN MATTER OF UNITED SPIRITS LTD.
INDULGED IN DIVERSION OF FUNDS FROM UNITED SPIRITS LTD. TO VARIOUS COMPANIES/ENTITIES OF UB GROUP INCLUDING KINGFISHER AIRLINES LTD. VIOLATING REGULATIONS 3(D), 4(1) ALONGWITH 4(2)(E), (F) AND (K) OF SEBI (PROHIBITION OF FRAUDULENT AND UNFAIR TRADE PRACTICES) REGULATIONS, 2003 IN MATTER OF UNITED SPIRITS LTD.
|
RESTRAINED FROM HOLDING ANY MANAGERIAL POSITION IN ANY LISTED COMPANY FROM 01-JUN-2018 TO 31-MAY-2023
25-JAN-2017
|
SAT: APPEAL DISMISSED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 08/01/2018 GRANTED EXTENSION OF TIME TO SEBI TO COMPLETE THE HEARING AND PASS APPROPRIATE FINAL ORDER BY 31/03/2018. NO COSTS
|
| 730 |
|
|
VIJAY MALLYA
(DIN:00122890
PAN:AENPM6247A)
|
|
|
INDULGED IN DIVERSION OF FUNDS FROM UNITED SPIRITS LTD. TO VARIOUS COMPANIES/ENTITIES OF UB GROUP INCLUDING KINGFISHER AIRLINES LTD. VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 IN MATTER OF UNITED SPIRITS LTD.
INDULGED IN DIVERSION OF FUNDS FROM UNITED SPIRITS LTD. TO VARIOUS COMPANIES/ENTITIES OF UB GROUP INCLUDING KINGFISHER AIRLINES LTD. VIOLATING REGULATIONS 3(D), 4(1) ALONGWITH 4(2)(E), (F) AND (K) OF SEBI (PROHIBITION OF FRAUDULENT AND UNFAIR TRADE PRACTICES) REGULATIONS, 2003 IN MATTER OF UNITED SPIRITS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-JUN-2018 TO 31-MAY-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUN-2018 TO 31-MAY-2021
25-JAN-2017
|
SAT: APPEAL DISMISSED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 08/01/2018 GRANTED EXTENSION OF TIME TO SEBI TO COMPLETE THE HEARING AND PASS APPROPRIATE FINAL ORDER BY 31/03/2018. NO COSTS
|
| 731 |
|
|
VIKAS K.RATHI
|
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 11 B OF SEBI ACT, 1992
VIOLATED SECTION 11 (1) OF SEBI TAKEOVER CODE, 1997
VIOLATED SECTION 21 (3) OF SEBI TAKEOVER CODE, 1997
VIOLATED SECTION 44 OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 732 |
|
|
VIKAS SAINI
(DIN:06503769
PAN:BEZPS2003H)
(Along with : BHARAT GUPTA,
ANITA GUPTA,
VINOD KUMAR)
|
|
|
|
EDYNAMICS SOLUTIONS LTD.
PAN:AAACE7849N
|
|
DID NOT FURNISH REQUISITE INFORMATION/DOCUMENTS AND NOT COOPERATED WITH FORENSIC AUDITOR APPOINTED BY BSE VIOLATING SECTIONS 11(2)(I) AND 11(2)(IA) OF SEBI ACT, 1992 IN MATTER OF EDYNAMICS SOLUTIONS LTD.
|
IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
05-JAN-2021
|
SEBI VIDE ITS NOTICE DATED 29/04/2022 DIRECTED TO PAY RS.23,21,000.00 ALONG WITH FURTHER INTEREST, ALL COSTS, CHARGES AND EXPENSES WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 08/09/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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
|
| 733 |
|
|
VIKAS SETH
|
|
|
|
ADAM COMSOF LTD.
|
|
|
ADSUL TRADING PVT.LTD.
|
|
|
ARAVALI HOUSING & FINANCE PVT.LTD.
|
|
|
CAVALIER SECURITIES LIMITED
PAN:AAACC6370Q
|
|
|
JUGNU SECURITIES PVT.LTD.
|
|
|
KALBADEVI FINANCE PVT.LTD.
PAN:AAACB4200F
|
|
|
KOLAR BIOTECH LTD.
|
|
|
KOLAR SHAREX PVT.LTD.
PAN:AAACK6474D
|
|
|
MASTERMIND MERCANTILE CO-OP.LTD.
|
|
|
MILLION INVESTRADE LTD.
|
|
|
SANGAM INFOTECH PVT.LTD.
PAN:AAGCS2995F
|
|
|
STRUCTURE HOUSING & FINANCE PVT.LTD.
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 734 |
|
|
VILAS CHOWGLE
|
|
|
|
ADAM COMSOF LTD.
|
|
|
ADSUL TRADING PVT.LTD.
|
|
|
ARAVALI HOUSING & FINANCE PVT.LTD.
|
|
|
CAVALIER SECURITIES LIMITED
PAN:AAACC6370Q
|
|
|
JUGNU SECURITIES PVT.LTD.
|
|
|
KALBADEVI FINANCE PVT.LTD.
PAN:AAACB4200F
|
|
|
KOLAR BIOTECH LTD.
|
|
|
KOLAR SHAREX PVT.LTD.
PAN:AAACK6474D
|
|
|
MASTERMIND MERCANTILE CO-OP.LTD.
|
|
|
MILLION INVESTRADE LTD.
|
|
|
SANGAM INFOTECH PVT.LTD.
PAN:AAGCS2995F
|
|
|
STRUCTURE HOUSING & FINANCE PVT.LTD.
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 735 |
|
|
VIMAL DOSHI
|
|
|
|
SWITO FINANCE & ESTATES LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 12 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 736 |
|
|
VIMAL RAJ MATHUR
(PAN:AIDPM9858P)
|
|
|
|
V.R.MATHUR MASS COMMUNICATIONS LTD.
|
|
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
FAILED TO PAY PENALTY
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
MIS-STATEMENTS IN THE PROSPECTUS
VIOLATED SECTION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ENTIRE PENALTY AMOUNT ALONG WITH INTEREST AND OTHER CHARGES HAS BEEN PAID BY THE ACCUSED AND THEREFORE, THE MATTER IS COMPOUNDED
IN C.C.144/01 ACCUSED NO.2 WAS CONVICTED WITH IMPRISONMENT OF 3 MONTH AND FINE OF RS.15000 ACCUSED NO. 1 & 3 WERE CONVICTED AND SENTENCED TO FINE OF RS.15,000 ONLY. ON APPEAL BEFORE SESSIONS COURT THE CASE WAS COMPOUNDED UPON RECOMMENDATION OF COMPANY LAW BOARD ON PAYMENT OF RS.15,000 EACH BY ACCUSED NO.1 TO 3. IN CC NO. 11/2002 (SPLIT UP FROM CC NO 144/2001), THE COURT VIDE ITS ORDER DATED 21.08.2006 CONVICTED ACCUSED NO.4 AND 5 WITH A FINE OF RS.3000 EACH AND ON DEFAULT IMPRISONMENT FOR 3 MONTHS. CASE IS PENDING AGAINST ACCUSED NO.6, SYED MEHDI AS CC NO.90/2001 (SPLIT UP FROM CC NO.144/2001)
|
| 737 |
|
|
VIMALA DEVI KALANTRI
(PAN:AAHPK8935D)
|
|
|
ALLEGED TRADING BY MR.ATUL SARAOGI THROUGH HER ACCOUNT DURING UPSI PERIOD IN F&O SEGMENT VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 IN MATTER OF UNITED SPIRITS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.75,66,295, DISGORGEMENT AMOUNT RS.30,43,256, INTEREST RS.18,11,946 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
22-AUG-2019
|
|
| 738 |
|
|
VINAY JAIDEV WASANKAR
(PAN:AALPW3215A)
|
|
|
|
WASANKAR WEALTH MANAGEMENT LTD.
PAN:AAACW8073C
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 739 |
|
|
VINAYCHANDRA NARBHERAM PAREKH
(DIN:00009663)
|
|
|
|
NH SECURITIES LTD.
PAN:AAACS7140Q
|
|
|
VN PAREKH SECURITIES PVT.LTD.
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 740 |
|
|
VINOD C.SHAH
|
|
|
|
C.D.P.FINCAP & LEASING PVT.LTD.
|
|
|
CDP FINCAP PVT.LTD.
|
|
|
DAMAYANTI FINVEST PVT.LTD.
|
|
|
ESQUIRE INTERNATIONAL LTD.
|
|
|
IKSHU FINVEST PVT.LTD.
|
|
|
KRN FINVEST & LEASING PVT.LTD.
|
|
|
MONEY TELEVISION & INDUSTRIES LTD.
|
|
|
NEW PRABHAV FINVEST PVT.LTD.
|
|
|
RITUJA FINVEST PVT.LTD.
|
|
|
STABLE CONSTRUCTION PVT.LTD.
|
|
|
STARSHARE INVESTMENTS & FINANZ PVT.LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
FAILED TO PAY PENALTY
VIOLATED SECTION 27 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACQUITTED
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 37 of 39
|
