S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
61 |
|
PG ELECTROPLAST LTD.
(PAN:AACCP9321Q)
|
|
|
ANURAG GUPTA
PAN:AAHPG5647E
|
|
PRAMOD GUPTA
PAN:AAHPG5646F
|
|
VIKAS GUPTA
PAN:AAHPG5644H
|
|
VISHAL GUPTA
PAN:AAHPG5643A
|
|
DID NOT MAKE DISCLOSURE OF CERTAIN MATERIAL INFORMATION IN OFFER DOCUMENT OF PG ELECTROPLAST LTD.
DIVERTED IPO PROCEEDS AND OTHER FUNS TO ENTITIES WHICH PURCHASED THE SHARES OF THE COMPANY TO ENSURE FULL SUBSCRIPTION TO IPO IN MATTER OF PG ELECTROPLAST LTD.
|
IMPOSED PENALTY RS.1,00,00,000
02-AUG-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: SAT VIDE ITS ORDER DATED 02/08/2019 ALLOWED THE APPEAL AND SET ASIDED PENALTY RS.1 CRORE EACH ON APPELLANTS. NO COSTS
|
62 |
|
RAM KAASHYAP INVESTMENT LTD.
|
|
|
A.VENKATARAMANI
|
|
DEFAULTED IN SENDING COMPOSITE APPLICATION FORMS (CAFS) TO ELIGIBLE SHAREHOLDERS AND MADE FALSE, UNTRUE AND MISLEADING PRE-ISSUE ADVERTISEMENTS VIOLATING REGULATIONS 54(1) AND 60(4) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 IN MATTER OF RIGHTS ISSUE OF RAM KAASHYAP INVESTMENTS LTD.
DID NOT ENTER INTO A VALID AGREEMENT WITH REGISTRAR TO THE ISSUE VIOLATING REGULATION 5(5) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 IN MATTER OF RIGHTS ISSUE OF RAM KAASHYAP INVESTMENTS LTD.
DID NOT HANDLE AND MAINTAIN SHARE TRANSFER WORK AT SINGLE POINT AS REQUIRED UNDER REGULATION 53A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-DEC-2012 TO 30-DEC-2014
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2012 TO 30-DEC-2014
31-DEC-2012
|
SAT: APPEAL DIMISSED. NO COSTS
|
63 |
|
RAVI KUMAR DISTILLERIES LTD.
(PAN:AABCR4195D)
|
|
|
AMIT KUMAR KHEMKA
PAN:AQRPK7830M
|
|
ANIL BENIPRASAD AGRAWAL
PAN:ACTPA6034D
|
|
ANNU ANIL AGRAWAL
PAN:ADMPA0248F
|
|
ASHOK SHETTY
PAN:ACIPS5289H
|
|
BADRINATH S.GANDHI
PAN:APAPB7016E
|
|
BHARAT NANUBHAI SHIROYA
PAN:ALLPS7688G
|
|
CHANDRAKALA PUROHIT
PAN:AFUPP1827R
|
|
JUGAL CHANDRAKANT THACKER
PAN:ABCPT8861F
|
|
K.S.M.RAO
PAN:AALPR0723Q
|
|
POPATLAL KATHARIYA
PAN:AAEPK4407B
|
|
R.AMIRTHAVALLI
PAN:ADJPA9449B
|
|
R.V.RAVIKUMAR
PAN:ACZPR4932K
|
|
S.VIJAYALAKSHMI
PAN:ABYPV0939Q
|
|
SARTHAK VIJLANI
PAN:ADMPV9381J
|
|
INDULGED IN SIPHONING OFF/DIVERSION OF RS.33.83 CRORES OF IPO PROCEEDS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F) AND (K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF RAVI KUMAR DISTILLERIES LTD.
MADE MIS-STATEMENTS IN ANNUAL REPORT TO COVER-UP SIPHONING OF FUNDS IN MATTER OF IPO OF RAVI KUMAR DISTILLERIES LTD.
INDULGED IN SIPHONING OFF/DIVERSION OF RS.33.83 CRORES OF IPO PROCEEDS VIOLATING REGULATIONS 57(1), 60(4) (A) AND 60(7)(A) AND CLAUSES 2(IV)(H)(24), 2(VII)(G), 2(X)(A)(1)(H), 2(X)(A)(3)(A), 2(X)(A)(5) AND 2(XVI)(B)(2) OF PART A OF SCHEDULE VIII READ WITH REGULATION 57(2)(A) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF IPO OF RAVI KUMAR DISTILLERIES LTD.
|
IMPOSED PENALTY RS.2,00,00,000
21-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 28/06/2021 CONDONED THE DELAY IN FILING OF APPEAL. GRANTED RESPONDENT THREE WEEKS TIME TO FILE AND REJOINDER MAY BE FILED ON OR BEFORE THE NEXT DATE
SEBI VIDE ITS NOTICE DATED 19/07/2022 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
|
64 |
|
RAVIKUMAR PROPERTIES PVT.LTD.
(PAN:AACCR8692L)
|
|
|
INDULGED IN PLEDGE LOCKED-IN SHARES WITH ONE OF ENTITIES CONNECTED WITH CSL VIOLATING REGULATION 39 OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF IPO OF RAVI KUMAR DISTILLERIES LTD.
|
IMPOSED PENALTY RS.1,00,000
21-AUG-2020
|
|
65 |
|
RAVINDRA ENERGY LTD.
(PAN:AAACR2065D)
|
|
|
J.SURESH KUMAR
PAN:AAAPJ4274H
|
|
NANDAN YALGI
PAN:AAEPY3797L
|
|
NARENDRA MURKUMBI
PAN:ACDPM0041L
|
|
PRASHANT GOUDAR
PAN:AHZPG7768H
|
|
RAJASEKHAR CHARANTIMATH
PAN:AEYPR1486H
|
|
SATISH MEHTA
PAN:AFAPM1110N
|
|
SHRIPAD RAJARAM NERILKAR
PAN:ABQPN8436J
|
|
SIDHRAM KALUTI
PAN:AGZPK0186A
|
|
SURENDRA KUMAR TUTEJA
PAN:AAGPT7092R
|
|
VIDYA MURKUMBI
PAN:AGXPM4054H
|
|
VISHWANATHAN MATHUR
PAN:ADGPM7842M
|
|
ALLEGED ISSUANCE AND ALLOTMENT OF EQUITY SHARES TO MORE THAN 49 PERSONS ON 5 OCCASIONS VIOLATING SECTIONS 73, 2(36) READ WITH 60 AND SECTIONS 56 READ WITH 67 OF THE COMPANIES ACT, 1956 IN MATTER OF RAVINDRA ENERGY LTD.
ALLEGED ISSUANCE AND ALLOTMENT OF EQUITY SHARES TO MORE THAN 49 PERSONS ON 5 OCCASIONS VIOLATING REGULATIONS 4(2) (D) & (E), 5(1),(2), (5) & (7), 6(1), 7, 26(1),(2) & (6), 32(1), 36, 37, 46, 47, 49, 57, 58 AND 63 OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF RAVINDRA ENERGY LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.99,60,938 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-APR-2020
|
|
66 |
|
RBL BANK LTD.
(PAN:AABCT3335M)
|
|
|
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2, 4.11, 4.14, 5.3.1, 5.4.1, 5.6A, 5.6.2, 6 TO 6.15 AND 8.8.1 OF SEBI (DISCLOSURE & INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2, 4.11, 4.14, 5.3.1, 5.4.1, 5.6A, 5.6.2, 6 TO 6.15 AND 8.8.1 OF SEBI (DISCLOSURE & INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING SEBI (ISSUE OF CAPITAL & DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING SEBI (ISSUE OF CAPITAL & DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.47,60,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-MAY-2016
|
|
67 |
|
RDB RASAYANS LTD.
(CIN:007878 PAN:AABCR2313M)
|
|
|
MAHENDRA PRATAP SINGH
PAN:AIGPS3833B
|
|
SACHIN SHRIDHAR
PAN:AQGPS1313N
|
|
SANDEEP BAID
PAN:ADEPB3749A
|
|
SUNDER LAL DUGAR
PAN:ADRPD6905F
|
|
CHAIRED AUDIT COMMITTEE ALTHOUGH HE WAS WHOLE TIME DIRECTOR IN THE PRESENCE OF INDEPENDENT DIRECTOR VIOLATING CLAUSE 49 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF RDB RASAYANS LTD.
SUPPRESSED/WITHHELD/FAILED TO MAKE MATERIAL DISCLOSURE IN PROSPECTUS REGARDING PROPOSAL AND APPROVAL FOR PASSING ON/GRANTING IPO PROCEEDS IN THE FORM OF INTER-CORPORATE LOAN TO GROUP COMPANY RDBRIL VIOLATING REGULATION 57 (1) AND (2) (A) READ WITH SCHEDULE VIII PART A (16) (B) AND 60 (4) OF ICDR REGULATIONS, 2009 IN MATTER OF RDB RASAYANS LTD.
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
|
IMPOSED PENALTY RS.3,00,00,000
06-AUG-2014
|
|
68 |
|
RESURGERE MINES & MINERALS INDIA LTD.
(CIN:L74140MH1987PLC172412 PAN:AAACE0111B)
|
|
|
AMIT SHARMA
PAN:AVRPS2826C
|
|
HARISH KHETAN
PAN:AAHPK3325R
|
|
RAKESH GUPTA
PAN:AHKPG8143R
|
|
SUBHASH ATMARAM SHARMA
PAN:AXCPS8189D
|
|
INDULGED IN SIPHONING OFF IPO PROCEEDS VIOLATING SECTIONS 12(A) TO 12A(C) READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RESURGERE MINES & MINERALS INDIA LTD.
DID NOT UTILIZE IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS AND DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES WITH RESPECT TO IPO PROCEEDS VIOLATING REGULATION 57(1) AND 57(2) READ WITH SCHEDULE VIII PART A (2)(VII)(A)(1), REGULATIONS 59, 60(4) AND 60(7) (A) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF RESURGERE MINES & MINERALS INDIA LTD.
DID NOT COMPLY WITH THE SUMMONS ISSUED FOR FURNISHING INFORMATION IN MATTER OF RESURGERE MINES & MINERALS INDIA LTD.
|
IMPOSED PENALTY RS.15,00,000
21-JUN-2022
|
|
69 |
|
RUSHIL DECOR LTD.
(PAN:AABCR3005N)
|
|
|
GHANSHYAM AMBALAL THAKKAR
PAN:AAJPT5528R
|
|
HARSHADBHAI NAVNITLAL DOSHI
PAN:ACZPD1788M
|
|
HASMUKH KANUBHAI MODI
PAN:AELPM6128E
|
|
KRUPESH GHANSHYAMBHAI THAKKAR
PAN:AAJPT5527A
|
|
SHANKAR PRASAD BHAGAT
PAN:ACWPB7495G
|
|
VIPUL VORA
PAN:AAZPV5436G
|
|
DID NOT MAKE DISCLOSURE OF BRIDGE LOAN OF RS.7.06 CRORE IN IPO PROSPECTUS VIOLATING PROVISIONS OF REGULATION 57(1) AND 57(2)(A) READ WITH CLAUSE 2(VII)(G) AND (XVI)(B)(2) OF PART A OF SCHEDULE VIII OF SEBI ICDR REGULATIONS, 2009 IN MATTER OF RUSHIL DÉCOR LTD.
|
IMPOSED PENALTY RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS
12-MAY-2017
|
|
70 |
|
SAHARA HOUSING INVESTMENT CORP.LTD.
(PAN:AAJCS4101J)
|
|
|
ASHOK ROY CHOUDHARY
PAN:ACKPC9547L
|
|
RAVI SHANKER DUBEY
PAN:ACYPD4274D
|
|
SUBRATA ROY SAHARA
PAN:ARKPS3189F DIN:00431905
|
|
VANDANA BHARRGAVA
PAN:AIHPB8701C
|
|
RAISED MONEY THROUGH PUBLIC ISSUE OF SECURITIES BY ISSUING OPTIONALLY FULLY CONVERTIBLE DEBENTURES (OFCDS) WITHOUT FOLLOWING VARIOUS PROCEDURES VIOLATING REGULATIONS 4(2), 5(1), 5(7), 6, 7, 16(1), 20(1), 25, 26, 36, 37, 46 AND 57 OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF SAHARA INDIA REAL ESTATE CORP.LTD. AND SAHARA HOUSING INVESTMENT CORP.LTD.
MADE UNTRUE STATEMENTS AND MIS-STATEMENTS IN RED HERRING PROSPECTUS (RHP) BY MISLEAD/INDUCE TO INVESTORS INTO SUBSCRIBING TO OPTIONALLY FULLY CONVERTIBLE DEBENTURES (OFCDS) VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SAHARA INDIA REAL ESTATE CORP.LTD. AND SAHARA HOUSING INVESTMENT CORP.LTD.
DID NOT PROVIDE INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF SAHARA INDIA REAL ESTATE CORP.LTD. AND SAHARA HOUSING INVESTMENT CORP.LTD.
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.6,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-JUN-2022
|
SEBI VIDE ITS NOTICE DATED 12/01/2023 DIRECTED TO PAY RS.6,48,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 01/02/2023 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
|
71 |
|
SAHARA INDIA REAL ESTATE CORP.LTD.
(CIN:U45201UP2005PLC030918 PAN:AAJCS7265F)
|
|
|
ASHOK ROY CHOUDHARY
PAN:ACKPC9547L
|
|
RAVI SHANKER DUBEY
PAN:ACYPD4274D
|
|
SUBRATA ROY SAHARA
PAN:ARKPS3189F DIN:00431905
|
|
VANDANA BHARRGAVA
PAN:AIHPB8701C
|
|
RAISED MONEY BY ISSUING OPTIONALLY FULLY CONVERTIBLE DEBENTURES (OFCDS) WITHOUT FOLLOWING VARIOUS PROCEDURES VIOLATING CLAUSES 2.1.1, 2.1.4, 2.1.5, 2.2, 2.5, 2.8, 4.11, 4.14, 5.3.1, 5.6.2, 6 TO 6.15, 8.8.1, 8.17, 10 TO 10.6 AND 10.9 OF DIP GUIDELINES READ WITH REGULATIONS 4(2), 5(1), 5(7), 6, 7, 16(1), 20(1), 25, 26, 36, 37, 46 AND 57 OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF SAHARA INDIA REAL ESTATE CORP.LTD. AND SAHARA HOUSING INVESTMENT CORP.LTD.
MADE UNTRUE STATEMENTS AND MIS-STATEMENTS IN RED HERRING PROSPECTUS (RHP) BY MISLEAD/INDUCE TO INVESTORS INTO SUBSCRIBING TO OPTIONALLY FULLY CONVERTIBLE DEBENTURES (OFCDS) VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SAHARA INDIA REAL ESTATE CORP.LTD. AND SAHARA HOUSING INVESTMENT CORP.LTD.
DID NOT PROVIDE INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF SAHARA INDIA REAL ESTATE CORP.LTD. AND SAHARA HOUSING INVESTMENT CORP.LTD.
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.6,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-JUN-2022
|
SEBI VIDE ITS NOTICE DATED 07/12/2022 DIRECTED TO PAY RS.6,42,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 26/12/2022 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
|
72 |
|
SANJAY NANDLALBHAI PARELIA (HUF)
(PAN:AATHS5168J)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF DHYANA FINSTOCK LTD.
INDULGED IN FRAUDULENTLY ISSUANCE OF PREFERENCE SHARES VIOLATING SECTIONS 12A TO (C) OF SEBI ACT., 1992 READ WITH REGULATION 77(1) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF DHYANA FINSTOCK LTD.
|
IMPOSED PENALTY RS.5,00,000
11-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 01/03/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED EXEMPTION APPLICATION. RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER. IN THE MEANWHILE,EFFECT AND OPERATION OF THE IMPUGNED ORDER TO REMAIN STAYED DURING PENDENCY OF APPEAL
|
73 |
|
SGI BEVERAGES LTD.
(CIN:U15500DL2010PLC210907 PAN:AAPCS0649R)
|
|
|
LOKESHWAR DEV
DIN:02981601 PAN:ARXPD5428P
|
|
PRIYANKA DEV
DIN:02981620 PAN:BCIPD7293J
|
|
ISSUED FALSE, MISLEADING AND DISTORTED INFORMATION/DECLARATIONS IN MATTER OF ISSUANCE OF CONVERTIBLE PREFERENCE SHARES OF SGI RESEARCH & ANALYSIS LTD.
ALLOTTED CONVERTIBLE PREFERENCE SHARES TO 162 INVESTORS VIOLATING SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 IN MATTER OF SGI RESEARCH & ANALYSIS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JAN-2013 TO 10-JAN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2013 TO 10-JAN-2023
DIRECTED TO REFUND MONEY COLLECTED TOWARDS SUBSCRIPTION OF CONVERTIBLE PREFERENCE SHARES ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
11-JAN-2013
|
|
74 |
|
SGI BUILDTECH LTD.
(CIN:U70101DL2010PLC210863 PAN:AAPCS0648Q)
|
|
|
LOKESHWAR DEV
DIN:02981601 PAN:ARXPD5428P
|
|
PRIYANKA DEV
DIN:02981620 PAN:BCIPD7293J
|
|
ISSUED FALSE, MISLEADING AND DISTORTED INFORMATION/DECLARATIONS IN MATTER OF ISSUANCE OF CONVERTIBLE PREFERENCE SHARES OF SGI RESEARCH & ANALYSIS LTD.
ALLOTTED CONVERTIBLE PREFERENCE SHARES TO 162 INVESTORS VIOLATING SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 IN MATTER OF SGI RESEARCH & ANALYSIS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JAN-2013 TO 10-JAN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2013 TO 10-JAN-2023
DIRECTED TO REFUND MONEY COLLECTED TOWARDS SUBSCRIPTION OF CONVERTIBLE PREFERENCE SHARES ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
11-JAN-2013
|
|
75 |
|
SGI RESEARCH & ANALYSIS LTD.
(CIN:U74140DL2010PLC203986 PAN:AAOCS5535R)
|
|
|
BALDEV RAJ SHARMA
PAN:CRGPS3281N
|
|
GAURI SIDDHARTH MARATHE
PAN:BXMPM8652A
|
|
LOKESHWAR DEV
DIN:02981601 PAN:ARXPD5428P
|
|
LOKESHWAR KUMAR DEV
PAN:BCIPD7291M
|
|
MAYA SIDDHARTH MARATHE
PAN:BOLPM1669H
|
|
PRACHI MAHESHWARI
|
|
PRADEEP KUMAR SHARMA
PAN:AOBPS1015G
|
|
PRIYA ZAVERI
|
|
PRIYANKA DEV
DIN:02981620 PAN:BCIPD7293J
|
|
PRIYANKA SARASWAT DEV
PAN:ARXPD5427C
|
|
RAJ ZAVERI
|
|
RAKESH KUMAR MAHESHWARI
|
|
RAMESH SHARMA
PAN:AUTPR3288E
|
|
SANJEEV SHARMA
PAN:AARPS7233G
|
|
SIDDHARTH JAY MARATHE
PAN:BOLPM1668G
|
|
SONIA SHARMA
PAN:AARPS7234B
|
|
ULHAS P.KHAIR
PAN:AGWPK9472G
|
|
ISSUED FALSE, MISLEADING AND DISTORTED INFORMATION/DECLARATIONS IN MATTER OF ISSUANCE OF CONVERTIBLE PREFERENCE SHARES OF SGI RESEARCH & ANALYSIS LTD.
ALLOTTED CONVERTIBLE PREFERENCE SHARES TO 162 INVESTORS VIOLATING SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 IN MATTER OF SGI RESEARCH & ANALYSIS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JAN-2013 TO 10-JAN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2013 TO 10-JAN-2023
DIRECTED TO REFUND MONEY COLLECTED TOWARDS SUBSCRIPTION OF CONVERTIBLE PREFERENCE SHARES ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
11-JAN-2013
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SEBI VIDE ITS NOTICE DATED 28/08/2015 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 17/01/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND FIXED DEPOSIT ACCOUNTS OF SGI RESEARCH & ANALYSIS LTD., MR.LOKESHWAR DEV, MR.LOKESHWAR KUMAR DEV, MR.ULHAS P.KHAIR, MR.SIDDHARTH JAY MARATHE, MR.RAJ ZAVERI, MR.RAKESH KUMAR MAHESHWARI, MS.PRIYANKA SARASWAT DEV, MS.PRIYANKA DEV, MS.MAYA SIDDHARTH MARATHE, MSGAURI SIDDHARTH MARATHE, MS.PRIYA ZAVERI, MS.PRACHI MAHESHWARI, MR.PRADEEP KUMAR SHARMA, MR.BALDEV RAJ SHARMA, MR.RAMESH SHARMA, MR.SANJEEV SHARMA, AND MS.SONIA SHARMA TO SEBI BY WAY OF EFT/NEFT/RTGS
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76 |
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SGI SECURITIES PVT.LTD.
(CIN:U74920DL2010PTC210955 PAN:AAPCS0647B)
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LOKESHWAR DEV
DIN:02981601 PAN:ARXPD5428P
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PRIYANKA DEV
DIN:02981620 PAN:BCIPD7293J
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ISSUED FALSE, MISLEADING AND DISTORTED INFORMATION/DECLARATIONS IN MATTER OF ISSUANCE OF CONVERTIBLE PREFERENCE SHARES OF SGI RESEARCH & ANALYSIS LTD.
ALLOTTED CONVERTIBLE PREFERENCE SHARES TO 162 INVESTORS VIOLATING SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 IN MATTER OF SGI RESEARCH & ANALYSIS LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JAN-2013 TO 10-JAN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2013 TO 10-JAN-2023
DIRECTED TO REFUND MONEY COLLECTED TOWARDS SUBSCRIPTION OF CONVERTIBLE PREFERENCE SHARES ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
11-JAN-2013
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77 |
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SHELL BUSINESS PVT.LTD.
(PAN:AADCS7199C)
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RECEIVED SHARES FROM COMPANY WITHOUT MAKING PAYMENT OF FULL CONSIDERATION VIOLATING REGULATIONS 77(1) AND 77(3) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF WINSOME YARNS LTD.
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IMPOSED PENALTY RS.5,00,000
22-JAN-2021
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78 |
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SHILPI CABLE TECHNOLOGIES LTD.
(PAN:AADCR3380E)
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GHANSHYAM PANDEY
PAN:AEDPP9478A
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MANISH GOEL
DIN:00163105 PAN:AEDPG0138E
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INDULGED IN MIS-UTILIZATION OF IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS VIOLATING SECTION 61 OF COMPANIES ACT, 1956 IN MATTER OF SHILPI CABLE TECHNOLOGIES LTD.
MADE WRONG DISCLOSURE TO STOCK EXCHANGES REGARDING UTILIZATION OF IPO PROCEEDS VIOLATING CLAUSE 43A OF EQUITY LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF SHILPI CABLE TECHNOLOGIES LTD.
MADE WRONG DISCLOSURE TO STOCK EXCHANGES REGARDING UTILIZATION OF IPO PROCEEDS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F) AND 4(2)(K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SHILPI CABLE TECHNOLOGIES LTD.
DID NOT INFORM SHAREHOLDERS THAT THEIR APPROVAL WAS A POST FACTO APPROVAL OF ACTUAL DEPLOYMENT OF IPO PROCEEDS IN MATTER OF SHILPI CABLE TECHNOLOGIES LTD.
DID NOT MAKE DISCLOSURE OF MATERIAL INFORMATION IN RHP/PROSPECTUS IN MATTER OF SHILPI CABLE TECHNOLOGIES LTD.
TRANSFERRED IPO PROCEEDS FOR DUBIOUS TRANSACTIONS TO ENTITIES WHOSE CREDENTIALS WERE QUESTIONABLE IN MATTER OF SHILPI CABLE TECHNOLOGIES LTD.
TRANSFERRED RS.6.05 CRORE OF IPO PROCEEDS TO GROUP COMPANY/ PROMOTER ENTITY IN MATTER OF SHILPI CABLE TECHNOLOGIES LTD.
DID NOT MAKE DISCLOSURE OF ALL MONIES UTILIZED AND UNUTILIZED OUT OF ISSUE PROCEEDS UNDER APPROPRIATE SEPARATE HEADS IN BALANCE-SHEETS VIOLATING CLAUSES 2(XII)(B)(31)(A)(II) AND 2(XII)(B)(31) (A)(III) OF PART A OF SCHEDULE VIII OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF SHILPI CABLE TECHNOLOGIES LTD.
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DIRECTED TO TAKE STEPS TO CALL BACK AND RETURN TO SHILPI CABLE TECHNOLOGIES LTD. RS.50.05 CRORE WHICH WERE DIVERTED/MIS-UTILIZED
DIRECTED TO FURNISH COMPLIANCE REPORT TO SEBI DULY CERTIFIED BY INDEPENDENT SEBI REGISTERED MERCHANT BANKER WITHIN TWO WEEKS OF THE DATE OF COMPLIANCE
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JUN-2023 TO 12-JUN-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JUN-2023 TO 12-JUN-2024
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 13-JUN-2023 TO 12-JUN-2024
IMPOSED PENALTY RS.30,00,000
13-JUN-2023
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79 |
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SKR SUPREME ELECTRONICS & TRADING PVT.LTD.
(PAN:AAECS9028D)
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RECEIVED WARRANTS/SHARES ON BASIS OF PREFERENTIAL ALLOTMENT FROM COMPANY WITHOUT MAKING PAYMENT OF FULL CONSIDERATION VIOLATING SECTION 12A (A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SECUNDERABAD HEALTHCARE LTD.
RECEIVED WARRANTS/SHARES ON BASIS OF PREFERENTIAL ALLOTMENT FROM COMPANY WITHOUT MAKING PAYMENT OF FULL CONSIDERATION VIOLATING REGULATIONS 77(1) AND 77(3) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF SECUNDERABAD HEALTHCARE LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-APR-2021 TO 29-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-APR-2021 TO 29-APR-2023
DIRECTED TO PAY BALANCE CONSIDERATION TO SECUNDERABAD HEALTHCARE LTD.
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED TO FURNISH DETAILS OF ASSETS AND PROPERTIES OWNED DIRECTLY OR INDIRECTLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO DISGORGE RS.6,85,98,216
30-APR-2021
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SAT: SAT VIDE ITS ORDER DATED 14/07/2021 ALLOWED RESPONDENT TO FILE REPLY TO THE MEMO OF APPEALS WITHIN THREE WEEKS FROM DATE OF THIS ORDER. REJOINDER MAY BE FILED ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 01/10/2021 ALLOWED THE APPEAL AND SET ASIDE MATTER AND REMITTED APPEALS TO WTM FOR RECONSIDERATION OF THE ISSUE AFTER CONSIDERING THE ANNUAL REPORTS AND SUCH OTHER EVIDENCE
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80 |
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SRS REAL INFRASTRUCTURE LTD.
(CIN:L65910HR1990PLC040431 PAN:AABCM2396R)
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ALLEGED FAILURE IN COMPLETING BONUS ISSUE WITHIN TWO MONTHS FROM THE DATE OF APPROVAL OF BOARD OF DIRECTORS VIOLATING REGULATION 95(1) OF (ISSUE OF CAPITAL & DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
28-SEP-2016
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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 4 of 5
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