| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 7421 |
|
VIVEK HARISH RUPAREL
|
|
|
|
NUMERO UNO PROJECTS LTD.
|
|
|
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
|
SAT: APPEAL DISMISSED AS WITHDRAWN
|
| 7422 |
|
|
VIVEK HARISH RUPAREL
|
|
|
|
NUMERO UNO PROJECTS LTD.
|
|
|
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
|
SAT: APPEAL DISMISSED AS WITHDRAWN
|
| 7423 |
|
|
VIVEK JAIN
|
|
|
|
ADVIK LABORATORIES LTD.
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF ADVIK LABORATORIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1)A AND 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ADVIK LABORATORIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-OCT-2010 TO 26-OCT-2011
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-OCT-2010 TO 26-OCT-2011
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
27-OCT-2010
|
|
| 7424 |
|
|
VIVEK KISHANPAL SAMANT
(PAN:BRSPS0294N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, STRUCTURED TRANSACTIONS, WASH TRADES AND OFF-MARKET DEALS IN SCRIPS OF SPECTACLE INFOTEK LTD. (EARLIER KNOWN AS SPECTACLE INDUSTRIES LTD.), GOLDSTONE TECHNOLOGIES LTD., GEMSTONE INVESTMENTS LTD., LGS GLOBAL LTD., WELL PACK PAPERS & CONTAINERS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-FEB-2011 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-FEB-2011 TILL FURTHER ORDERS
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
02-FEB-2011
|
SEBI VIDE ITS ORDER DATED 08/07/2011 DIRECTED TO CONCLUDE INVESTIGATIONS NOT LATER THAN 31/12/2011
SEBI VIDE ITS ORDER DATED 25/01/2012 EXTENDED THE TIME LIMIT FOR COMPLETION OF INVESTIGATION TILL 31/12/2012 FROM 31/12/2011
|
| 7425 |
|
|
VIVEK KRISHNAMOORTHY
(PAN:ATWPV1245M)
|
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO REFUND MONEY RECEIVED FROM CLIENTS/INVESTORS/COMPLAINANT AS FEES OR CONSIDERATION OR IN ANY OTHER FORM IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 18-APR-2024 TO 17-OCT-2024
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-APR-2024 TO 17-OCT-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-APR-2024 TO 17-OCT-2024
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI FROM 18-APR-2024 TO 17-OCT-2024
IMPOSED PENALTY RS.1,00,000
18-APR-2024
|
|
| 7426 |
|
|
VIVEK KUMAR
(DIN:03524074
PAN:ADNPK9149E)
|
|
|
|
PAILAN PARK DEVELOPMENT AUTHORITY LTD.
CIN:U45201WB2003PLC097469
PAN:AADCP2087Q
|
|
MOBILIZED RS.13.26 CRORES THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 31 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73 AND 117B-C OF THE COMPANIES ACT, 1956 READ WITH THE DEBT SECURITIES REGULATIONS
MOBILIZED RS.15.00 CRORES THROUGH ISSUANCE OF NON-CONVERTIBLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT TO 75 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73 AND 117B-C OF THE COMPANIES ACT, 1956 READ WITH THE DEBT SECURITIES REGULATIONS
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 07-DEC-2017 TO 06-DEC-2021
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 07-DEC-2017 TO 06-DEC-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-DEC-2017 TO 06-DEC-2021
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 07-DEC-2017 TO 06-DEC-2021
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 07-DEC-2017 TO 06-DEC-2021
27-JUL-2015
|
SEBI VIDE ITS ORDER DATED 07/12/2017 A) DIRECTED NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS B) RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR A PERIOD OF FOUR YEARS FROM THE DATE OF COMPLETION OF REFUNDS TO INVESTORS
|
| 7427 |
|
|
VIVEK KUMAR
(DIN:03524074
PAN:ADNPK9149E)
|
|
|
|
BASIL INTERNATIONAL LTD.
PAN:AACCB0938K
|
|
MOBILIZED RS.9.35 CRORE FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 5,180 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 67(1) TO 67(3) AND 73(1) TO 73(3) OF COMPANIES ACT, 1956
MOBILIZED RS.9.35 CRORE FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 5,180 INVESTORS VIOLATING REGULATION 16(1) OF SEBI (ISSUE AND LISTING OF NCRPS) REGULATIONS, 2013
|
DIRECTED TO REFUND MONEY COLLECTED THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) INCLUDING APPLICATION MONEY ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 29-FEB-2024 TO 28-FEB-2025
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO SUBMIT REPAYMENT REPORT TO SEBI CERTIFIED BY TWO INDEPENDENT CHARTERED ACCOUNTANTS WHO ARE IN PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 29-FEB-2024 TO 28-FEB-2025
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-FEB-2024 TO 28-FEB-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-FEB-2024 TO 28-FEB-2025
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 29-FEB-2024 TO 28-FEB-2025
29-FEB-2024
|
SEBI VIDE ITS NOTICE DATED 15/04/2025 DIRECTED TO PAY RS.9,35,00,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 7428 |
|
|
VIVEK KUMAR VARSHNEY
(PAN:AWTPV7908B)
|
|
|
|
CONTINENTAL SEEDS & CHEMICALS LTD.
PAN:AAACC2341R
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF CONTINENTAL SEEDS & CHEMICALS LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF CONTINENTAL SEEDS & CHEMICALS LTD.
DID NOT MAKE DISCLOSURE OF SALE OF SHARES TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF CONTINENTAL SEEDS & CHEMICALS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-NOV-2024 TO 28-NOV-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-NOV-2024 TO 28-NOV-2025
DIRECTED TO DISGORGE RS.2,24,17,400 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
29-NOV-2024
|
SAT: SAT VIDE ITS ORDER DATED 06/01/2025 GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER. STAYED IMPUGNED ORDER SUBJECT TO DEPOSIT OF 50% OF PENALTY AMOUNT WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND ALSO STAYED THE DIRECTION IN PARAGRAPH 129.4 SUBJECT TO DEPOSIT OF RS.50 LAC DISGORGEMENT AMOUNT WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 15/01/2025 GRANTED APPELLANTS TWO MORE WEEKS TO DEPOSIT AMOUNT AS DIRECTED ON 06/01/2025
SAT: SAT VIDE ITS ORDER DATED 05/03/2025 GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND APPELLANTS TO FILE REJOINDER TWO WEEKS THEREAFTER. STAYED THE DIRECTIONS CONTAINED IN PARAGRAPH 129.2, 129.3. 129.5 TO 129.11 OF IMPUGNED ORDER DATED 29/11/2024 SUBJECT TO DEPOSIT OF RS.25 LAC WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 19/03/2025 GRANTED APPELLANT FURTHER TWO WEEKS TO DEPOSIT
SAT: SAT VIDE ITS ORDER DATED 07/07/2025 GRANTED APPELLANT TWO WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 13/08/2025 DIRECTED TO PAY RS.3,72,76,530.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 7429 |
|
|
VIVEK LAXMANBHAI PATEL
(PAN:BCXPP6594E)
|
|
|
|
4W WEALTH MANAGEMENT PVT.LTD.
PAN:AAACZ6378D
CIN:U67120GJ2013PTC073241
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO ACCEPT REFUND CLAIMS/REQUESTS FROM THE PUBLIC
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 15-SEP-2023 TO 14-SEP-2025
DIRECTED TO SELL THEIR SHARES OF VAS INFRASTRUCTURE LTD. ACQUIRED IN VIOLATION OF REGULATION 11(1) OF SAST REGULATIONS, 1997, IN EXCESS OF 5% AND DEPOSIT THE PROCEEDS IN INVESTOR PROTECTION & EDUCATION FUND (IPEF) OF SEBI WITHIN THREE MONTHS FROM THE DATE OF THIS ORDER
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-SEP-2023 TO 14-SEP-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-SEP-2023 TO 14-SEP-2025
RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR ANY INTERMEDIARY REGISTERED WITH SEBI AND FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY OR PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 15-SEP-2023 TO 14-SEP-2025
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI FROM 15-SEP-2023 TO 14-SEP-2025
15-SEP-2023
|
SAT: SAT VIDE ITS ORDER DATED 28/02/2024 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND REJOINDER TO BE FILED THREE WEEKS THEREAFTER
|
| 7430 |
|
|
VIVEK MAHENDRAGIRI RAMDATI
(PAN:BQVPR8043L)
|
|
|
|
VINAYAK TRADELINK
PAN:BQVPR8043L
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 26-SEP-2022 TO 25-SEP-2032
DIRECTED TO CEASE & DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR RESEARCH ANALYST AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 26-SEP-2022 TO 25-SEP-2032
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 26-SEP-2022 TO 25-SEP-2032
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 26-SEP-2022 TO 25-SEP-2032
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 26-SEP-2022 TO 25-SEP-2032
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-SEP-2022 TO 25-SEP-2032
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO SUBMIT NUMBER AND DETAILS OF CLIENTS WHO HAVE AVAILED THEIR INVESTMENT ADVISORY SERVICES
DIRECTED TO SUBMIT LIST OF CLIENTS AND FEE COLLECTED FROM THEM
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 26-SEP-2022 TO 25-SEP-2032
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 26-SEP-2022 TO 25-SEP-2032
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 26-SEP-2022 TO 25-SEP-2032
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
16-DEC-2020
|
SEBI VIDE ITS ORDER DATED 26/09/2022 DIRECTED TO A) REFUND THE MONEY RECEIVED FROM THE INVESTORS/CLIENTS, AS FEES OR CONSIDERATION OR IN ANY OTHER FORM, IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES WITHIN THREE MONTHS FROM DATE OF THIS ORDER B) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING MODALITIES FOR REFUND INCLUDING DETAILS OF CONTACT PERSON NAMES, ADDRESSES AND CONTACT DETAILS WITHIN 15 DAYS OF COMING FORCE OF THIS ORDER C) REPAYMENTS TO CLIENTS/INVESTORS, SHALL BE EFFECTED ONLY THROUGH BANK DEMAND DRAFT OR PAY ORDER OR ELECTRONICS FUND TRANSFER D) PREVENTED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED. FURTHER, DIRECTED BANK TO ALLOW DEBIT ONLY FOR THE PURPOSE OF MAKING REFUNDS TO THE CLIENTS/INVESTORS, WHO WERE AVAILING THE INVESTMENT ADVISORY SERVICES E) FILE REPORT OF SUCH COMPLETION WITH SEBI DULY CERTIFIED FROM INDEPENDENT CHARTERED ACCOUNTANT F) DEBARRED FROM ACCESSING SECURITIES MARKET DIRECTLY OR INDIRECTLY AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR A PERIOD OF TEN YEARS FROM DATE OF COMPLETION OF REFUNDS TO CLIENTS/INVESTORS G) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN THE SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
| 7431 |
|
|
VIVEK NAGPAL
|
|
|
|
PADMINI TECHNOLOGIES LTD.
CIN:L25202DL1990PLC039395
|
|
INDULGED IN PRICE MANIPULATION AND CREATION OF ARTIFICIAL MARKET IN SCRIP OF SHONKH TECHNOLOGIES INTERNATIONAL LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-OCT-2007 TO 15-OCT-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-OCT-2007 TO 15-OCT-2012
16-OCT-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000, LEGAL EXPENSES RS.55,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-OCT-2007 TO 15-OCT-2012
11-AUG-2009
|
SAT: IMPUGNED ORDER DATED 16/10/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY A SUM OF RS.10,00,000 TOWARDS SETTLEMENT CHARGES AND RS.55,000 TOWARDS LEGAL EXPENSES ALONGWITH VOLUNTARILY UNDERTOOK TO REMAIN OUT OF CAPITAL MARKET FOR A PERIOD OF FIVE YEARS INCLUDING PERIOD FOR WHICH THEY HAVE REMAINED OUT OF CAPITAL MARKET IN TERMS OF IMPUGNED ORDER DATED 16/10/2007
|
| 7432 |
|
|
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
|
| 7433 |
|
|
VIVEK SHARMA
(PAN:ABFPS9096N)
|
|
|
|
BROOKS LABORATORIES LTD.
PAN:AACCB5316P
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-DEC-2011 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 16/10/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 7434 |
|
|
VIVEKANAND DAJI PATANKAR
(PAN:ALTPP0349K)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND STRUCTURED TRADES IN SCRIP OF IFSL LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-APR-2015 TO 27-APR-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-APR-2015 TO 27-APR-2017
28-APR-2015
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| 7435 |
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VRAJESHKUMAR R.PATEL
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INDULGED IN CIRCULAR/SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF OASIS MEDIA MATRIX LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-MAR-2010 TO 03-SEP-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-MAR-2010 TO 03-SEP-2010
04-MAR-2010
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| 7436 |
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VRAJESHKUMAR R.PATEL
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AIDED AND ABETTED JYOTIN SHAH, COMPANY PROMOTERS AND DIRECTORS FOR DISPOSING OFF PARTLY PAID AND UNLISTED SHARES OF OASIS MEDIA MATRIX LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-FEB-2008 TO 13-FEB-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-FEB-2008 TO 13-FEB-2009
14-FEB-2008
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| 7437 |
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VUSA RAVI
(PAN:DMHPR1205Q)
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GLOBAL ADVISORS
PAN:DMHPR1205Q
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ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
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DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 28-APR-2023 TO 27-APR-2025
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-APR-2023 TO 27-APR-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-APR-2023 TO 27-APR-2025
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 28-APR-2023 TO 27-APR-2025
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI FROM 28-APR-2023 TO 27-APR-2025
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 28-APR-2023 TO 27-APR-2025
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-APR-2023
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SAT: SAT VIDE ITS ORDER DATED 27/07/2023 DISMISSED THE APPEAL AND DIRECTED APPELLANT TO MOVE APPROPRIATE REPRESENTATION WITHIN THREE WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 08/09/2023 ALLOWED THE APPLICATION TO SEEK EXTENSION OF TIME TO FILE APPROPRIATE REPRESENTATION
SEBI VIDE ITS ORDER DATED 10/11/2023 DIRECTED A) AMOUNT OF ADVISORY FEE FOR THE PURPOSE OF MAKING REFUND TO INVESTORS OF GLOBAL ADVISORS TO BE TREATED AS RS.52,99,303.00 B) REST OF DIRECTIONS AS RECORDED IN THE PARA 40 OF SEBI’S ORDER DATED 28/04/2023 TO BE COMPLIED WITH BY RESPECTIVE ENTITIES AND TIMELINES TO COMPLY THE SAME TO COMMENCE FROM DATE OF PASSING OF THIS ORDER AND C) PRESENT ORDER ALWAYS BE READ ALONG WITH ORDER DATED 28/04/2023
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| 7438 |
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WAKIL RAJBHAR
(PAN:AOSPR9100E)
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KAMALAKSHI FINANCE CORP.LTD. (EARLIER KNOWN AS KAMALAKSHI FINANCE CORP.LTD.)
MISUSED STOCK EXCHANGE SYSTEM TO GENERATE FICTITIOUS LONG-TERM CAPITAL GAINS (LTCG) TO CONVERT UNACCOUNTED INCOME INTO ACCOUNTED ONE WITH NO PAYMENT OF TAXES AS LTCG IS TAX EXEMPT IN MATTER OF KAMALAKSHI FINANCE CORP.LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-FEB-2015 TO 19-FEB-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-FEB-2015 TO 19-FEB-2020
20-FEB-2015
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SEBI VIDE ITS ORDER DATED 25/08/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 20/02/2015 EXCEPT THAT NOTICEES CAN: A) ENTER INTO DELIVERY BASED TRANSACTIONS IN CASH SEGMENT IN SECURITIES COVERED IN NSE NIFTY 500 INDEX SCRIPS AND / OR S&P BSE 500 SCRIPS B) SUBSCRIBE TO UNITS OF MUTUAL FUNDS INCLUDING THROUGH SIP AND REDEEM THE UNITS OF MUTUAL FUNDS SO SUBSCRIBED C) DEAL IN DEBT/GOVERNMENT SECURITIES D) INVEST IN ETF E) AVAIL THE BENEFITS OF CORPORATE ACTIONS LIKE RIGHTS ISSUE, BONUS ISSUE, STOCK SPLIT, DIVIDEND, ETC. F) TENDER THE SHARES LYING IN THEIR DEMAT ACCOUNT IN ANY OPEN OFFER/DELISTING OFFER UNDER THE RELEVANT REGULATIONS OF SEBI. SEBI ALLOWED THEM FURTHER RELAXATIONS/RELIEFS A) THEY ARE PERMITTED TO SELL THE SECURITIES LYING IN THEIR DEMAT ACCOUNTS AS ON THE DATE OF THE INTERIM ORDER, OTHER THAN THE SHARES OF THE COMPANIES WHICH ARE SUSPENDED FROM TRADING BY THE CONCERNED STOCK EXCHANGE, IN ORDERLY MANNER UNDER THE SUPERVISION OF THE STOCK EXCHANGES SO AS NOT TO DISTURB THE MARKET EQUILIBRIUM AND DEPOSIT THE SALE PROCEEDS IN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK B) THEY MAY DEAL WITH OR UTILIZE THE SALE PROCEEDS LYING IN THE ESCROW ACCOUNT UNDER THE SUPERVISION OF THE CONCERNED STOCK EXCHANGE
SEBI VIDE ITS ORDER DATED 30/10/2018 DIRECTED TO CONTINUE TO BE RESTRAINED OR PROHIBITED FROM ACCESSING MARKET OR TRADING FOR REMAINING PERIOD OF FIVE YEARS
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| 7439 |
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WASHIM RAJA ANASARI
(DIN:02966904
PAN:AQXPA6875G)
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AFFIANCE INDUSTRIES LTD.
CIN:U52100WB2010PLC145680
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MOBILIZED RS.75.96 LACS FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 339 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36) AND 73 OF THE COMPANIES ACT, 1956
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PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 09-MAY-2016 TO 08-MAY-2020
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-MAY-2016 TO 08-MAY-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-MAY-2016 TO 08-MAY-2020
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 09-MAY-2016 TO 08-MAY-2020
31-MAR-2015
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SEBI VIDE ITS ORDER DATED 09/05/2016 DIRECTED TO A) JOINTLY AND SEVERALLY, REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) WITH INTEREST @ 15% P.A. COMPOUNDED AT HALF YEARLY INTERVALS FROM THE DATE WHEN REPAYMENTS BECAME DUE TO INVESTORS TILL DATE OF ACTUAL PAYMENT THROUGH BANK DEMAND DRAFT OR PAY ORDER B) PERMITTED TO SELL ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUNDS INCLUDING INTEREST AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK C) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND D) DIRECTED TO PROVIDE FULL INVENTORY OF ALL ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM E) RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER AND ARE ALSO RESTRAINED FROM ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
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| 7440 |
|
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WILLIAM VERGHESE CHUNGATH CHERU
(PAN:ACKPV7803J)
|
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BRD SECURITIES LTD.
PAN:AAACB9980B
|
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MOBILIZED RS.9.75 CRORE FROM PUBLIC THROUGH ISSUANCE OF 97,53,318 EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 3,534 INVESTORS VIOLATING SECTIONS 56(1), 56(3) 60(1) AND 73(1) TO 73(3) READ WITH 67 OF THE COMPANIES ACT, 1956 IN MATTER OF BRD SECURITIES LTD.
|
DIRECTED TO REFUND MONEY COLLECTED THROUGH ALLOTMENT OF SHARES ALONGWITH INTEREST @15% PER ANNUM FROM DATE OF RECEIPT OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2021 TO 24-MAY-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2021 TO 24-MAY-2023
25-MAY-2021
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SAT: SAT VIDE ITS ORDER DATED 20/07/2021 DISPOSED OFF URGENCY APPLICATION. ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 05/01/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 25/05/2021
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| 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 372 of 375
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