| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
ARIHANT INDIA LTD.
(CIN:U74210DL1984PLC019292)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.25,000
27-FEB-2023
|
|
| 62 |
|
|
ARIHANT INDIA LTD.
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.3,00,000
12-AUG-2014
|
SEBI VIDE ITS NOTICE DATED 23/06/2015 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
SAT: SAT VIDE ITS ORDER DATED 01/06/2018 SET ASIDED PENALTY ORDER DATED 12/08/2014 AND IMPUGNED RECOVERY NOTICE DATED 08/03/2018 AND DIRECTED SEBI TO PASS FRESH ORDER. NO COSTS
|
| 63 |
|
|
ARIHANT INDUSTRIES LTD.
(PAN:AABCA4458Q)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.8,00,000
01-FEB-2018
|
SEBI VIDE ITS NOTICE DATED 29/10/2020 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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 24/11/2021 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNT OF ARIHANT INDUSTRIES LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 64 |
|
|
ARIHANT THERMOWARE LTD.
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,00,000
30-MAR-2016
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 04/04/2022 DIRECTED TO PAY RS.1,75,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 12/01/2023 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
SEBI VIDE ITS ORDER DATED 30/01/2023 DIRECTED ALL THE BANKS TO REMIT RS.1,84,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF ARIHANT THERMOWARE LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 65 |
|
|
ARIHANT THERMOWARE LTD.
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 26-AUG-2016 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-AUG-2016 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
26-AUG-2016
|
|
| 66 |
|
|
ARIHANT THREADS LTD.
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.5,00,000
01-FEB-2018
|
SEBI VIDE ITS NOTICE DATED 28/10/2020 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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 24/11/2021 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNT OF ARIHANT THREADS LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 67 |
|
|
ARIHANT THREADS LTD.
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.1,00,000
16-FEB-2015
|
SEBI VIDE ITS NOTICE DATED 19/09/2016 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS ORDER DATED 24/08/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF ARIHANT THREADS LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS NOTICE DATED 12/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.2,03,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 68 |
|
|
AROCHEM SILVASSA LTD.
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,00,000
31-JAN-2018
|
|
| 69 |
|
|
ARTEX DEVELOPMENT LTD.
(CIN:U51226WB1985PLC039333
PAN:AACCA1126G)
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.2,50,000
29-MAR-2017
|
SEBI VIDE ITS NOTICE DATED 06/12/2017 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 70 |
|
|
ARUN MANTEX LTD.
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.10,00,000
29-AUG-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 26/08/2022 DIRECTED TO PAY RS.16,11,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 20/09/2022 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
SEBI VIDE ITS ORDER DATED 09/11/2022 DIRECTED ALL THE BANKS TO REMIT RS.16,41,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF ARUN MANTEX LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
SAT: SAT VIDE ITS ORDER DATED 09/02/2024 ALLOWED RESPONDENT TWO WEEKS TO FILE REPLY AND FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 01/05/2024 CONDONED THE DELAY OF 2180 DAYS IN FILING OF APPEAL. IMPOSED PENALTY OF RS.2 LAC TO PAY WITHIN TWO MONTHS FROM DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 26/06/2024 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 20/09/2022
SEBI VIDE ITS ORDER DATED 26/06/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.5746 OF 2022 DATED 26/08/2022
|
| 71 |
|
|
ARYAN FINEFAB LTD.
|
|
|
|
AMARNATH RAI
|
|
|
ARVIND KUMAR RAI
|
|
|
PREM KUMAR RAI
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-OCT-2003 TO 09-OCT-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-OCT-2003 TO 09-OCT-2008
10-OCT-2003
|
|
| 72 |
|
|
ARYAN FINEFAB LTD.
|
|
|
DID NOT RESPOND TO SHOW CAUSE NOTICE REGARDING REDRESSAL OF INVESTORS GRIEVANCES
|
DIRECTED TO REDRESS INVESTOR GRIEVANCES
14-OCT-2002
|
|
| 73 |
|
|
ASAHI INFRASTRUCTURE & PROJECTS LTD.
(PAN:AAACA8777F)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
IMPOSED PENALTY RS.6,00,000
09-AUG-2017
|
SEBI VIDE ITS NOTICE DATED 09/01/2023 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
SEBI VIDE ITS ORDER DATED 17/02/2023 DIRECTED ALL THE BANKS TO REMIT RS.1,03,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF ASAHI INFRASTRUCTURE & PROJECT LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 74 |
|
|
ASHOKA MARKETING LTD.
(PAN:AACCA7616H)
|
|
|
DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,00,000
04-DEC-2014
|
SEBI VIDE ITS NOTICE DATED 25/06/2015 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 08/07/2015 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS/LOCKERS AND DEMAT ACCOUNTS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 25/06/2015
|
| 75 |
|
|
ASHOKA VINIYOGA LTD.
(PAN:AACCA4784G)
|
|
|
DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,00,000
20-APR-2015
|
SAT: SAT VIDE ITS ORDER DATED 02/02/2018 ALLOWED APPEAL TO BE WITHDRAWN. NO COSTS
|
| 76 |
|
|
ASIA AUTOMOTIVE LTD.
|
|
|
|
SATISH CHAND ANAND
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-AUG-2016 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-AUG-2016 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
24-AUG-2016
|
|
| 77 |
|
|
ASIA PACIFIC FINANCIAL SERVICES LTD.
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.3,00,000
17-SEP-2014
|
SEBI VIDE ITS NOTICE DATED 23/06/2015 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
|
| 78 |
|
|
ASIAN ALLOYS LTD.
(PAN:AABCA4123A)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.4,00,000
16-FEB-2015
|
SEBI VIDE ITS NOTICE DATED 20/12/2016 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 79 |
|
|
ASIAN ALLOYS LTD.
(PAN:AABCA4123A)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.1,00,000
13-MAR-2018
|
SEBI VIDE ITS NOTICE DATED 04/09/2019 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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
|
| 80 |
|
|
ASIAN FILMS PRODUCTION & DISTRIBUTION LTD.
(CIN:L92410GJ1995PLC028341
PAN:AAACT5649P)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES IN STIPULATED TIME
DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.2,00,000
31-OCT-2014
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 4 of 48
|
