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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.

PERSONS: PROSECUTION LAUNCHED

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
61
History of entity/person ALKA M.PANDEY

(PAN:AGEPP1076H)  
  FAILED TO PAY PENALTY   PROSECUTION LAUNCHED

31-MAR-2013 		THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.67,000.00  
62
History of entity/person ALKA SHAH  
  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 		 
63
History of entity/person ALOK A.JAIN  
Click here to view complete history of this specific entity/person MANOJ JAVERI STOCK BROKING PVT.LTD.
  		FAILED TO PAY PENALTY   PROSECUTION LAUNCHED

31-MAR-2014 		THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.67000.00 TO SEBI  
64
History of entity/person ALOK GUPTA  
Click here to view complete history of this specific entity/person SUPRIYA PHARMACEUTICALS LTD.

CIN:U01100RJ1985PLC003363
  		MIS-STATEMENTS IN THE PROSPECTUS   PROSECUTION LAUNCHED

15-MAY-2006 		THE OFFENCE WAS COMPOUNDED BY CLB  
65
History of entity/person ALPA SHAH  
  VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992   PROSECUTION LAUNCHED

15-MAY-2006 		PARTLY COMPOUNDED FOR RS.360000

ACQUITTED  
66
History of entity/person AMAR LAL CHUGH  
Click here to view complete history of this specific entity/person PUNJWANI PACKING LTD.
  		DID NOT REPAY EXCESS SHARE APPLICATION MONEY WITHIN STIPULATED PERIOD

DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD   		PROSECUTION LAUNCHED

15-MAY-2006 		 
67
History of entity/person AMAR N.JOSHI  
Click here to view complete history of this specific entity/person INDO-FRENCH BIO-TECH ENTERPRISES LTD.
  		MIS-STATEMENTS IN THE PROSPECTUS   PROSECUTION LAUNCHED

15-MAY-2006 		THE OFFENCE WAS COMPOUNDED  
68
History of entity/person AMAR YUVRAJ ADHAV

(PAN:AEBPA2694B)  
  FAILED TO PAY PENALTY   PROSECUTION LAUNCHED

15-JUL-2022 		THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.2,49,500.00  
69
History of entity/person AMAR YUVRAJ ADHAV

(PAN:AEBPA2694B)  
  FAILED TO PAY PENALTY   PROSECUTION LAUNCHED

31-MAR-2014 		THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.9,50,000.00  
70
History of entity/person AMARJEET S.CHANDOK  
Click here to view complete history of this specific entity/person GREENFIELD TRADING & FINANCE LTD.
  		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 		 
71
History of entity/person AMIDHAR MAJUMDAR  
Click here to view complete history of this specific entity/person MANNA GLASS-TECH INDUSTRIES LTD.
  		VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995

DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD

VIOLATED REGULATION 6 SEBI (PFUTP) REGULATIONS, 1995

VIOLATED SECTION 24 OF SEBI ACT, 1992   		PROSECUTION LAUNCHED

15-MAY-2006 		 
72
History of entity/person AMIT AGARWAL  
Click here to view complete history of this specific entity/person GOLDWIN MERCHANDISE PVT.LTD.
  		FAILED TO PAY PENALTY   PROSECUTION LAUNCHED

31-MAR-2014 		LEGAL COSTS OF RS.67,000.00  
73
History of entity/person AMIT BHAVSAR  
  VIOLATED SEBI (PFUTP) REGULATIONS, 1995   PROSECUTION LAUNCHED

30-JUN-2010 		RS.67,000.00 PENALY PAID TOWARDS LEGAL COSTS  
74
History of entity/person AMIT BHAVSAR  
  FAILED TO PAY PENALTY   PROSECUTION LAUNCHED

31-MAR-2014 		 
75
History of entity/person AMIT BHAVSAR  
  FAILED TO PAY PENALTY   PROSECUTION LAUNCHED

30-SEP-2012 		RS.2,00,000.00 PENALY PAID TOWARDS INTEREST WHICH INCLUDED LEGAL COSTS  
76
History of entity/person AMIT DUTTA  
Click here to view complete history of this specific entity/person POORVA TREXIM PVT.LTD.

PAN:AACCP0015D
  		FAILED TO PAY PENALTY   PROSECUTION LAUNCHED

31-MAR-2014 		CONVICTION  
77
History of entity/person AMIT GOEL  
  FAILED TO PAY PENALTY   PROSECUTION LAUNCHED

31-MAR-2014 		 
78
History of entity/person AMIT K.PAREKH  
Click here to view complete history of this specific entity/person PANTHER FINCAP & MANAGEMENT SERVICES LTD.

PAN:AAACP3045P
Click here to view complete history of this specific entity/person PANTHER INVESTRADE LTD.

PAN:AAACP3259R
Click here to view complete history of this specific entity/person TRIUMPH SECURITIES LTD.

PAN:AAACT2152P
  		FAILED TO PAY PENALTY   PROSECUTION LAUNCHED

31-MAR-2013 		 
79
History of entity/person AMIT K.PAREKH  
Click here to view complete history of this specific entity/person PANTHER FINCAP & MANAGEMENT SERVICES LTD.

PAN:AAACP3045P
Click here to view complete history of this specific entity/person PANTHER INVESTRADE LTD.

PAN:AAACP3259R
Click here to view complete history of this specific entity/person TRIUMPH SECURITIES LTD.

PAN:AAACT2152P
  		VIOLATED SECTION 11 (3) OF SEBI ACT, 1992   PROSECUTION LAUNCHED

31-MAR-2010 		 
80
History of entity/person AMIT KUMAR  
Click here to view complete history of this specific entity/person GORDON HERBERT (INDIA) LTD.

PAN:AAACK7424R
  		FAILED TO PAY PENALTY

VIOLATED SECTION 27 OF SEBI ACT, 1992

VIOLATED SECTION 20(2) OF SEBI DEPOSITORIES ACT, 1996

VIOLATED SECTION 21 OF SEBI DEPOSITORIES ACT, 1996   		PROSECUTION LAUNCHED

15-JUL-2022 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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