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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 03-JUL-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

COMPANIES: VIOLATED SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
61
History of entity/person PG ELECTROPLAST LTD.

(PAN:AACCP9321Q)  
Click here to view complete history of this specific entity/person ANURAG GUPTA

PAN:AAHPG5647E
Click here to view complete history of this specific entity/person PRAMOD GUPTA

PAN:AAHPG5646F
Click here to view complete history of this specific entity/person VIKAS GUPTA

PAN:AAHPG5644H
Click here to view complete history of this specific entity/person 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
History of entity/person RAM KAASHYAP INVESTMENT LTD.  
Click here to view complete history of this specific entity/person 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
History of entity/person RAVI KUMAR DISTILLERIES LTD.

(PAN:AABCR4195D)  
Click here to view complete history of this specific entity/person AMIT KUMAR KHEMKA

PAN:AQRPK7830M
Click here to view complete history of this specific entity/person ANIL BENIPRASAD AGRAWAL

PAN:ACTPA6034D
Click here to view complete history of this specific entity/person ANNU ANIL AGRAWAL

PAN:ADMPA0248F
Click here to view complete history of this specific entity/person ASHOK SHETTY

PAN:ACIPS5289H
Click here to view complete history of this specific entity/person BADRINATH S.GANDHI

PAN:APAPB7016E
Click here to view complete history of this specific entity/person BHARAT NANUBHAI SHIROYA

PAN:ALLPS7688G
Click here to view complete history of this specific entity/person CHANDRAKALA PUROHIT

PAN:AFUPP1827R
Click here to view complete history of this specific entity/person JUGAL CHANDRAKANT THACKER

PAN:ABCPT8861F
Click here to view complete history of this specific entity/person K.S.M.RAO

PAN:AALPR0723Q
Click here to view complete history of this specific entity/person POPATLAL KATHARIYA

PAN:AAEPK4407B
Click here to view complete history of this specific entity/person R.AMIRTHAVALLI

PAN:ADJPA9449B
Click here to view complete history of this specific entity/person R.V.RAVIKUMAR

PAN:ACZPR4932K
Click here to view complete history of this specific entity/person S.VIJAYALAKSHMI

PAN:ABYPV0939Q
Click here to view complete history of this specific entity/person 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
History of entity/person 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
History of entity/person RAVINDRA ENERGY LTD.

(PAN:AAACR2065D)  
Click here to view complete history of this specific entity/person J.SURESH KUMAR

PAN:AAAPJ4274H
Click here to view complete history of this specific entity/person NANDAN YALGI

PAN:AAEPY3797L
Click here to view complete history of this specific entity/person NARENDRA MURKUMBI

PAN:ACDPM0041L
Click here to view complete history of this specific entity/person PRASHANT GOUDAR

PAN:AHZPG7768H
Click here to view complete history of this specific entity/person RAJASEKHAR CHARANTIMATH

PAN:AEYPR1486H
Click here to view complete history of this specific entity/person SATISH MEHTA

PAN:AFAPM1110N
Click here to view complete history of this specific entity/person SHRIPAD RAJARAM NERILKAR

PAN:ABQPN8436J
Click here to view complete history of this specific entity/person SIDHRAM KALUTI

PAN:AGZPK0186A
Click here to view complete history of this specific entity/person SURENDRA KUMAR TUTEJA

PAN:AAGPT7092R
Click here to view complete history of this specific entity/person VIDYA MURKUMBI

PAN:AGXPM4054H
Click here to view complete history of this specific entity/person 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
History of entity/person 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
History of entity/person RDB RASAYANS LTD.

(CIN:007878
PAN:AABCR2313M)  
Click here to view complete history of this specific entity/person MAHENDRA PRATAP SINGH

PAN:AIGPS3833B
Click here to view complete history of this specific entity/person SACHIN SHRIDHAR

PAN:AQGPS1313N
Click here to view complete history of this specific entity/person SANDEEP BAID

PAN:ADEPB3749A
Click here to view complete history of this specific entity/person 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
History of entity/person RESURGERE MINES & MINERALS INDIA LTD.

(CIN:L74140MH1987PLC172412
PAN:AAACE0111B)  
Click here to view complete history of this specific entity/person AMIT SHARMA

PAN:AVRPS2826C
Click here to view complete history of this specific entity/person HARISH KHETAN

PAN:AAHPK3325R
Click here to view complete history of this specific entity/person RAKESH GUPTA

PAN:AHKPG8143R
Click here to view complete history of this specific entity/person 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
History of entity/person RUSHIL DECOR LTD.

(PAN:AABCR3005N)  
Click here to view complete history of this specific entity/person GHANSHYAM AMBALAL THAKKAR

PAN:AAJPT5528R
Click here to view complete history of this specific entity/person HARSHADBHAI NAVNITLAL DOSHI

PAN:ACZPD1788M
Click here to view complete history of this specific entity/person HASMUKH KANUBHAI MODI

PAN:AELPM6128E
Click here to view complete history of this specific entity/person KRUPESH GHANSHYAMBHAI THAKKAR

PAN:AAJPT5527A
Click here to view complete history of this specific entity/person SHANKAR PRASAD BHAGAT

PAN:ACWPB7495G
Click here to view complete history of this specific entity/person 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
History of entity/person SAHARA HOUSING INVESTMENT CORP.LTD.

(PAN:AAJCS4101J)  
Click here to view complete history of this specific entity/person ASHOK ROY CHOUDHARY

PAN:ACKPC9547L
Click here to view complete history of this specific entity/person RAVI SHANKER DUBEY

PAN:ACYPD4274D
Click here to view complete history of this specific entity/person SUBRATA ROY SAHARA

PAN:ARKPS3189F
DIN:00431905
Click here to view complete history of this specific entity/person 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
History of entity/person SAHARA INDIA REAL ESTATE CORP.LTD.

(CIN:U45201UP2005PLC030918
PAN:AAJCS7265F)  
Click here to view complete history of this specific entity/person ASHOK ROY CHOUDHARY

PAN:ACKPC9547L
Click here to view complete history of this specific entity/person RAVI SHANKER DUBEY

PAN:ACYPD4274D
Click here to view complete history of this specific entity/person SUBRATA ROY SAHARA

PAN:ARKPS3189F
DIN:00431905
Click here to view complete history of this specific entity/person 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
History of entity/person 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
History of entity/person SGI BEVERAGES LTD.

(CIN:U15500DL2010PLC210907
PAN:AAPCS0649R)  
Click here to view complete history of this specific entity/person LOKESHWAR DEV

DIN:02981601
PAN:ARXPD5428P
Click here to view complete history of this specific entity/person 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
History of entity/person SGI BUILDTECH LTD.

(CIN:U70101DL2010PLC210863
PAN:AAPCS0648Q)  
Click here to view complete history of this specific entity/person LOKESHWAR DEV

DIN:02981601
PAN:ARXPD5428P
Click here to view complete history of this specific entity/person 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
History of entity/person SGI RESEARCH & ANALYSIS LTD.

(CIN:U74140DL2010PLC203986
PAN:AAOCS5535R)  
Click here to view complete history of this specific entity/person BALDEV RAJ SHARMA

PAN:CRGPS3281N
Click here to view complete history of this specific entity/person GAURI SIDDHARTH MARATHE

PAN:BXMPM8652A
Click here to view complete history of this specific entity/person LOKESHWAR DEV

DIN:02981601
PAN:ARXPD5428P
Click here to view complete history of this specific entity/person LOKESHWAR KUMAR DEV

PAN:BCIPD7291M
Click here to view complete history of this specific entity/person MAYA SIDDHARTH MARATHE

PAN:BOLPM1669H
Click here to view complete history of this specific entity/person PRACHI MAHESHWARI
Click here to view complete history of this specific entity/person PRADEEP KUMAR SHARMA

PAN:AOBPS1015G
Click here to view complete history of this specific entity/person PRIYA ZAVERI
Click here to view complete history of this specific entity/person PRIYANKA DEV

DIN:02981620
PAN:BCIPD7293J
Click here to view complete history of this specific entity/person PRIYANKA SARASWAT DEV

PAN:ARXPD5427C
Click here to view complete history of this specific entity/person RAJ ZAVERI
Click here to view complete history of this specific entity/person RAKESH KUMAR MAHESHWARI
Click here to view complete history of this specific entity/person RAMESH SHARMA

PAN:AUTPR3288E
Click here to view complete history of this specific entity/person SANJEEV SHARMA

PAN:AARPS7233G
Click here to view complete history of this specific entity/person SIDDHARTH JAY MARATHE

PAN:BOLPM1668G
Click here to view complete history of this specific entity/person SONIA SHARMA

PAN:AARPS7234B
Click here to view complete history of this specific entity/person 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
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  
76
History of entity/person SGI SECURITIES PVT.LTD.

(CIN:U74920DL2010PTC210955
PAN:AAPCS0647B)  
Click here to view complete history of this specific entity/person LOKESHWAR DEV

DIN:02981601
PAN:ARXPD5428P
Click here to view complete history of this specific entity/person 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
 
77
History of entity/person SHELL BUSINESS PVT.LTD.

(PAN:AADCS7199C)  
  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.   IMPOSED PENALTY RS.5,00,000

22-JAN-2021
 
78
History of entity/person SHILPI CABLE TECHNOLOGIES LTD.

(PAN:AADCR3380E)  
Click here to view complete history of this specific entity/person GHANSHYAM PANDEY

PAN:AEDPP9478A
Click here to view complete history of this specific entity/person MANISH GOEL

DIN:00163105
PAN:AEDPG0138E
 
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.  
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
 
79
History of entity/person SKR SUPREME ELECTRONICS & TRADING PVT.LTD.

(PAN:AAECS9028D)  
  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.  
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
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  
80
History of entity/person SRS REAL INFRASTRUCTURE LTD.

(CIN:L65910HR1990PLC040431
PAN:AABCM2396R)  
  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   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)

28-SEP-2016
 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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