| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
DHARTI INVESTMENT & HOLDINGS PVT.LTD.
(CIN:U67120MH2005PLC156545
PAN:AACCD2509C)
|
|
|
TOOK SEPARATE POSITION LIMITS OF OPEN INTEREST ON ITS BEHALF BY EXECUTING SEPARATE AGREEMENTS WITH EACH OF THEM AND CORNERED 93.63% OF NOVEMBER FUTURES OF RELIANCE PETROLEUM LTD. VIOLATING SECTION 12A OF SEBI ACT, 1992 READ WITH REGULATIONS 3, 4(1) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003
VIOLATED SEBI CIRCULAR NO. SMDRP/DC/CIR-10/01 DATED 02/11/2001 AND NSE CIRCULAR NO. NSE/CMPT/2982 DATED 07/11/2001 IN MATTER OF RELIANCE PETROLEUM LTD.
|
PROHIBITED FROM DEALING IN EQUITY DERIVATIVES IN F&O SEGMENT OF STOCK EXCHANGES, DIRECTLY OR INDIRECTLY FROM 24-MAR-2017 TO 23-MAR-2018
DIRECTED TO SQUARE OFF OR CLOSE OUT THEIR EXISTING OPEN POSITIONS IN F&O SEGMENT
24-MAR-2017
|
SAT: SAT VIDE ITS ORDER DATED 05/11/2020 DISMISSED THE APPEAL WITH NO ORDER AS TO COSTS
|
| 62 |
|
|
DINESH DALMIA TECHNOLOGY TRUST
|
|
|
|
DINESH DALMIA
PAN:ACPPD9838G
|
|
|
K.P.DALMIA
|
|
|
PAWAN KUMAR
|
|
|
SURYANIL GHOSH
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
FAILED TO PAY PENALTY
VIOLATED REGULATION 5 SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6 SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 63 |
|
|
DPS SHARES & SECURITIES PVT.LTD.
(PAN:AABCD1053A)
|
|
|
|
PRATIK CHANDRAKANT SHAH
|
|
|
SUJAL CHANDRAKANT SHAH
PAN:AAEPS4618Q
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 64 |
|
|
DSQ HOLDINGS LTD.
|
|
|
|
DINESH DALMIA
PAN:ACPPD9838G
|
|
|
GOVIND BAHETI
|
|
|
K.GOPALAKRISHNAN
|
|
|
RAJAN S.GOVIND
|
|
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
FAILED TO PAY PENALTY
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF PENALTY AMOUNT AND COMPOUNDING CHARGES TO SEBI
|
| 65 |
|
|
DSQ SOFTWARE LTD.
(PAN:AAACS5071J)
|
|
|
|
B.K.PAL
|
|
|
DINESH DALMIA
PAN:ACPPD9838G
|
|
|
K.M.VENKATESHWARAN
|
|
|
MOHAMMED GHULAM GHOUSE
|
|
|
PAWAN KUMAR
|
|
|
S.K.BHATNAGAR
|
|
|
V.M.SUNDARAM
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 5 SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6 SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 66 |
|
|
EKTA CERAMICS LTD.
|
|
|
|
MIHIR GHELANI
|
|
|
NILESH N.BAROT
|
|
|
RAJENDRA KUMAR VASANTLAL PANCHAL
|
|
|
SAILESH BHATT
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SECTION 26 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 67 |
|
|
EUREKA MACHINERIES PVT.LTD.
|
|
|
|
P.K.RAO
|
|
|
R.P.SHARMA
|
|
|
RADHA BALLAB
|
|
|
V.K.AGARWAL
|
|
|
VIJAY KUMAR GUPTA
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 68 |
|
|
EXCELL MULTITECH LTD.
|
|
|
|
BHUPENDRA T.JOSHI
|
|
|
COMANDUR PARTHASARATHY
PAN:AAFPC7617L
|
|
|
GAUTAMBHAI KARSANBHAI PATEL
|
|
|
HEMLATABEN VINUBHAI PATEL
|
|
|
JAGDISHBHAI GOVINDLAL SHETH
|
|
|
KIRITBEN RAJESH PATEL
|
|
|
M.S.RAMAKRISHNA
|
|
|
M.YAGUANDHAR
|
|
|
MANHARLAL KANTALILAL KOTADIA
|
|
|
NILESH RAMANLAL SHAH
|
|
|
RAJESH KUMAR VITHABHAI PATEL
|
|
|
RAKESH SURESHCHANDRA SHAH
|
|
|
SOAYUBEN H.VORA
|
|
|
VIPINCHANDRA GORDHANBHAI PATEL
|
|
FILED APPLICATION FOR SUBSCRIPTION AND/OR ACQUISITION OF SHARES IN FICTITIOUS NAME
VIOLATED SECTION 12A OF SEBI ACT.,1992
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SEBI DEPOSITORIES ACT, 1996
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 69 |
|
|
EXPERT TECHNOLOGIES PVT.LTD.
|
|
|
VIOLATED SECTION 24 OF SEBI (PFUTP) REGULATION, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 70 |
|
|
FINE TECH COMMERCIALS PVT.LTD.
(PAN:AAACF5232A)
|
|
|
TOOK SEPARATE POSITION LIMITS OF OPEN INTEREST ON ITS BEHALF BY EXECUTING SEPARATE AGREEMENTS WITH EACH OF THEM AND CORNERED 93.63% OF NOVEMBER FUTURES OF RELIANCE PETROLEUM LTD. VIOLATING SECTION 12A OF SEBI ACT, 1992 READ WITH REGULATIONS 3, 4(1) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003
VIOLATED SEBI CIRCULAR NO. SMDRP/DC/CIR-10/01 DATED 02/11/2001 AND NSE CIRCULAR NO. NSE/CMPT/2982 DATED 07/11/2001 IN MATTER OF RELIANCE PETROLEUM LTD.
|
PROHIBITED FROM DEALING IN EQUITY DERIVATIVES IN F&O SEGMENT OF STOCK EXCHANGES, DIRECTLY OR INDIRECTLY FROM 24-MAR-2017 TO 23-MAR-2018
DIRECTED TO SQUARE OFF OR CLOSE OUT THEIR EXISTING OPEN POSITIONS IN F&O SEGMENT
24-MAR-2017
|
SAT: SAT VIDE ITS ORDER DATED 05/11/2020 DISMISSED THE APPEAL WITH NO ORDER AS TO COSTS
|
| 71 |
|
|
G.BHAVASAR & CO.
|
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6 SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 72 |
|
|
G.S.ORGANICS LTD.
|
|
|
|
MILIND VIPRA DAS
|
|
|
PRAMOD JOSHI
|
|
|
YOGENDRA DUBEY
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 73 |
|
|
G.V.FILMS LTD.
(CIN:L92490MH1989PLC238780
PAN:AAACG2118C)
|
|
|
|
ANNASWAMI VENKATRAMANI
PAN:AABPV3960F
|
|
|
MAHADEVAN GANESH
PAN:AEAPG4537Q
|
|
|
POTTETI RAGHURAMAN
PAN:AHJPP4154E
|
|
|
R.GOPALAN
PAN:ADAPG7395R
|
|
|
V.SUBRAMONIAN
PAN:AANPS8061L
|
|
MISLED INVESTORS INTO BELIEVING ABOUT SUCCESS OF GDR ISSUE VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) AND 4 (2) (F), (K) & (R) OF SEBI (PFUTP) REGULATIONS, 2003
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGE WITH REGARD TO ACCOUNT CHARGE AGREEMENT WITH BANCO FOR SUBSCRIPTION OF GDRS OF GV FILMS LTD. VIOLATING CLAUSE 36(7) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.25,00,000
29-JAN-2020
|
SAT: SAT VIDE ITS ORDER DATED 17/12/2020 CONDONED THE DELAY OF 192 DAYS IN FILING OF APPEAL ON PAYMENT OF RS 25,000.00 AND ALLOWED THREE WEEKS TIME TO RESPONDENT TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 02/02/2021 DISMISSED THE APPEAL
|
| 74 |
|
|
G.V.FILMS LTD.
(CIN:L92490MH1989PLC238780
PAN:AAACG2118C)
|
|
|
MISLED INVESTORS INTO BELIEVING ABOUT SUCCESS OF GDR ISSUE VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) AND 4 (2) (F), (K) & (R) OF SEBI (PFUTP) REGULATIONS, 2003
|
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 25-JUN-2019 TO 24-JUN-2024
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-JUN-2019 TO 24-JUN-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-JUN-2019 TO 24-JUN-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
25-JUN-2019
|
SAT: SAT VIDE ITS ORDER DATED 02/02/2021 DISMISSED THE APPEAL
|
| 75 |
|
|
GHCL LTD.
(PAN:AAACG5609C)
|
|
|
CONCEALED VITAL INFORMATION REGARDING ENCUMBRANCE OF AROUND 48% OF SHARES HELD BY PROMOTERS AND PROMOTER GROUP VIOLATING CLAUSE 35 OF LISTING AGREEMENT
CONCEALED VITAL INFORMATION REGARDING ENCUMBRANCE OF AROUND 48% OF SHARES HELD BY PROMOTERS AND PROMOTER GROUP VIOLATING REGULATIONS 3(D) AND 4(2) (F) OF SEBI PFUTP REGULATIONS, 2003
|
IMPOSED PENALTY RS.1,25,00,000
06-AUG-2013
|
SAT: APPEAL ALLOWED. NO COSTS
|
| 76 |
|
|
GODAWARI COMMERCE PVT.LTD.
|
|
|
|
GOVARDHAN JAIN
|
|
VIOLATED REGULATION 4(A) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 4(B) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 77 |
|
|
GOLDEN TOBACCO LTD.
(PAN:AAACG1421A)
|
|
|
CONCEALED VITAL INFORMATION REGARDING ENCUMBRANCE OF AROUND 80% OF SHARES HELD BY PROMOTERS AND PROMOTER GROUP VIOLATING CLAUSE 35 OF LISTING AGREEMENT
CONCEALED VITAL INFORMATION REGARDING ENCUMBRANCE OF AROUND 80% OF SHARES HELD BY PROMOTERS AND PROMOTER GROUP VIOLATING REGULATIONS 3(D) AND 4(2) (F) OF SEBI PFUTP REGULATIONS, 2003
|
IMPOSED PENALTY RS.1,00,00,000
31-JUL-2013
|
SAT: APPEAL ALLOWED. NO COSTS
|
| 78 |
|
|
GREENFIELD INVESTMENTS PVT.LTD.
|
|
|
|
BHARAT KUMAR
|
|
|
PARVEEN GHULEWALE
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 79 |
|
|
GREENFIELD TRADING & FINANCE LTD.
|
|
|
|
AMARJEET S.CHANDOK
|
|
|
ARUN PRANJIVANDAS GANDHI
|
|
|
HARMOHAN S.CHANDOK
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 80 |
|
|
GROWTH AGRO INDUSTRIES LTD.
|
|
|
|
PRAVEEN PANWAR
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6 SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 4 of 12
|
