| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
DEEPAK M.VAISHNAV
(PAN:AABPV3392D)
|
|
|
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING REGULATION 57(1) AND 57(2) READ WITH CLAUSE 2(VII)(G) AND (XVI)(B)(2) OF PART A OF SCHEDULE VIII OF SEBI ICDR REGULATIONS, 2009 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-AUG-2018 TO 05-AUG-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-AUG-2018 TO 05-AUG-2022
06-AUG-2018
|
SAT: SAT VIDE ITS ORDER DATED 10/10/2019 ALLOWED THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 26/02/2020 ALLOWED THE APPEALS AND QUASHED IMPUGNED ORDER 10/10/2019 AND MATTER REMITTED TO AO TO DECIDE AFRESH
|
| 62 |
|
|
DEEPAK M.VAISHNAV
(PAN:AABPV3392D)
|
|
|
|
INVENTURE GROWTH & SECURITIES LTD.
PAN:AAACI2044K
|
|
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING REGULATION 57(1) AND 57(2) READ WITH CLAUSE 2(VII)(G) AND (XVI)(B)(2) OF PART A OF SCHEDULE VIII OF SEBI ICDR REGULATIONS, 2009 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) & 4(1) AND 4(2)(K) & (R) OF PFUTP REGULATIONS, 2003 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
|
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 01-JAN-2019 TO 31-DEC-2022
06-AUG-2018
|
SAT: SAT VIDE ITS ORDER DATED 10/10/2019 ALLOWED THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 26/02/2020 ALLOWED THE APPEALS AND QUASHED IMPUGNED ORDER 10/10/2019 AND MATTER REMITTED TO AO TO DECIDE AFRESH
|
| 63 |
|
|
DEEPAK M.VAISHNAV
(PAN:AABPV3392D)
|
|
|
|
INVENTURE GROWTH & SECURITIES LTD.
PAN:AAACI2044K
|
|
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) & 4(1) AND 4(2)(K) & (R) OF PFUTP REGULATIONS, 2003 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING REGULATION 57(1) AND 57(2) READ WITH CLAUSE 2(VII)(G) AND (XVI)(B)(2) OF PART A OF SCHEDULE VIII OF SEBI ICDR REGULATIONS, 2009 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
|
IMPOSED PENALTY RS.5,00,000
30-AUG-2019
|
|
| 64 |
|
|
DEEPAK SHENOY
(PAN:AWJPS4461L)
|
|
|
INDULGED IN SIPHONING OFF RS.64.43 CRORES (APPROX) FROM IPO PROCEEDS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF SUDAR INDUSTRIES LTD.
INDULGED IN SIPHONING OFF RS.64.43 CRORES (APPROX) FROM IPO PROCEEDS VIOLATING CLAUSE 2(IX)(B)(12)(A) OF PART A OF SCHEDULE VIII READ WITH REGULATION 57(2)(A) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF IPO OF SUDAR INDUSTRIES LTD.
INDULGED IN SIPHONING OFF RS.64.43 CRORES (APPROX) FROM IPO PROCEEDS VIOLATING CLAUSE 32 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF IPO OF SUDAR INDUSTRIES LTD.
|
IMPOSED PENALTY RS.12,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAY-2022
|
SAT: SAT VIDE ITS ORDER DATED 04/09/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 31/05/2022
|
| 65 |
|
|
DHARMESH ASHWIN SUKHADIA
(PAN:ABFPS0273F)
|
|
|
MADE FALSE, MISLEADING, DECEPTIVE AND MANIPULATIVE DISCLOSURES IN IPO PROSPECTUS OF PARAMOUNT PRINTPACKAGING LTD.
MADE FALSE AND MISLEADING DISCLOSURES IN THE RHP/PROSPECTUS AND MIS-UTILIZED/DIVERTED IPO PROCEEDS VIOLATING REGULATIONS 57(1) AND 57(2) (A) READ WITH CLAUSE 2 (XVI) (B) (2) PART A OF SCHEDULE VIII AND 60(7) (A) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF PARAMOUNT PRINTPACKAGING LTD.
|
IMPOSED PENALTY RS.15,00,000
20-NOV-2020
|
|
| 66 |
|
|
DHIRENDRA KUMAR
(PAN:ADTPK0348P)
|
|
|
INDULGED IN FUNDING ACTIVITIES CARRIED OUT BY COMPANY IN CONNIVANCE WITH ITS PROMOTER ENTITIES FOR CONVERSION OF WARRANTS VIOLATING SECTIONS 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 CAMSON BIO TECHNOLOGIES LTD.
ALLOTTED EQUITY SHARES UNDER PREFERENTIAL ALLOTMENT TO INDIVIDUAL WITHOUT RECEIPT OF PROPER CONSIDERATION FROM SOME OF THE ALLOTTEES AND ONE OF THEM DID NOT HAVE PAN VIOLATING CLAUSE 13.1C OF SEBI (DIP) GUIDELINES, 2000 READ WITH REGULATION 111 OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.
FURNISHED WRONG/FALSE DECLARATION IN ANNUAL REPORT AND FALSELY DISCLOSE PROPER CONSIDERATION RECEIVED ON CONVERSION OF WARRANTS ISSUED BY COMPANY VIOLATING CLAUSE 13.1.2.3 (B) OF SEBI (DIP) GUIDELINES, 2000 READ WITH REGULATION 111 OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED REGULATIONS 13(4) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.6,00,000
30-MAY-2022
|
|
| 67 |
|
|
DHIRENDRA KUMAR
(PAN:ADTPK0348P)
|
|
|
ALLOTTED EQUITY SHARES UNDER PREFERENTIAL ALLOTMENT TO INDIVIDUAL WITHOUT RECEIPT OF PROPER CONSIDERATION FROM SOME OF THE ALLOTTEES AND ONE OF THEM DID NOT HAVE PAN VIOLATING CLAUSE 13.1C OF SEBI (DIP) GUIDELINES, 2000 READ WITH REGULATION 111 OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED REGULATIONS 13(1), 13(3), 13(4) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-JUN-2021 TO 21-JUN-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-JUN-2021 TO 21-JUN-2026
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 22-JUN-2021 TO 21-JUN-2026
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
22-JUN-2021
|
|
| 68 |
|
|
DILIPBHAI KANTILAL PATEL
(PAN:AQSPP8355K)
|
|
|
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.10,00,000
11-AUG-2020
|
SEBI VIDE ITS NOTICE DATED 27/06/2022 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 NOTICE DATED 31/01/2023 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 27/06/2022
|
| 69 |
|
|
DIVYESH ASHWIN SUKHADIA
(PAN:ANUPS7272F)
|
|
|
MADE FALSE, MISLEADING, DECEPTIVE AND MANIPULATIVE DISCLOSURES IN IPO PROSPECTUS OF PARAMOUNT PRINTPACKAGING LTD.
MADE FALSE AND MISLEADING DISCLOSURES IN THE RHP/PROSPECTUS AND MIS-UTILIZED/DIVERTED IPO PROCEEDS VIOLATING REGULATIONS 57(1) AND 57(2) (A) READ WITH CLAUSE 2 (XVI) (B) (2) PART A OF SCHEDULE VIII AND 60(7) (A) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF PARAMOUNT PRINTPACKAGING LTD.
|
IMPOSED PENALTY RS.15,00,000
20-NOV-2020
|
|
| 70 |
|
|
DURGA SHANKAR MAITY
(PAN:AHNPM4221B)
|
|
|
|
BROOKS LABORATORIES LTD.
PAN:AACCB5316P
|
|
INDULGED IN ROUND TRIPPING OF FUNDS/SIPHONING OF FUNDS FROM IPO PROCEEDS, MIS-UTILISATION OF IPO PROCEEDS ALONGWITH NON DISCLOSURES AND WRONG DISCLOSURES OF MATERIAL INFORMATION OF AVAILING ICDS TO TUNE OF RS.30.40 CRORES, APPOINTMENT OF SURYAMUKHI AS PROJECT CONTRACTOR AND NEO POWER AS FOREIGN SUPPLIER ETC IN MATTER OF BROOKS LABORATORIES LTD.
|
IMPOSED PENALTY RS.35,00,000
12-JAN-2015
|
SAT: SAT VIDE ITS ORDER DATED 21/03/2018 MODIFIED SEBI'S ORDER DATED 12/01/2015 BY REDUCING PENALTY AMOUNT TO RS.35 LACS FROM RS.3.5 CRORES. NO COSTS
|
| 71 |
|
|
EDWIN JOSEPH
(PAN:AASPE7328P)
|
|
|
INDULGED IN SIPHONING OFF RS.64.43 CRORES (APPROX) FROM IPO PROCEEDS VIOLATING REGULATIONS 57(1) & 60(7)(A) AND CLAUSES 2(VII)(G), 2(VIII)(D)(5) & 2(XVI)(B)(2) OF PART A OF SCHEDULE VIII READ WITH REGULATION 57(2)(A) OF THE SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF IPO OF SUDAR INDUSTRIES LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 20-APR-2021 TO 19-APR-2025
RESTRAINED FROM HOLDING ANY MANAGERIAL POSITION (INCLUDING DIRECTORSHIP) IN ANY LISTED COMPANY IN INDIA OR AN INTERMEDIARY REGISTERED WITH SEBI OR WITH ANY SECURITIES MARKET PARTICIPANT, IN ANY CAPACITY FROM 20-APR-2021 TO 19-APR-2025
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 20-APR-2021 TO 19-APR-2025
20-APR-2021
|
SAT: SAT VIDE ITS ORDER DATED 09/02/2022 CONDONED THE DELAY OF 175 DAYS IN FILING OF APPEAL. DISMISSED EXEMPTION APPLICATION AS INFRUCTUOUS. IN THE MEANWHILE, RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO FILE ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 24/03/2022 IN THE MEANWHILE, RESPONDENT MAY FILED REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND REJOINDER MAY BE FILED ON OR BEFORE THE NEXT DATE
|
| 72 |
|
|
GAJENDRA NAGPAL
(PAN:AADPN5511A)
|
|
|
|
UNICON CAPITAL SERVICES PVT.LTD.
CIN:U74140DL2008PTC181236
PAN:AABCU0157G
|
|
PROVIDED FALSE DECLARATION AND UNDERTAKING TO BSE OF THAT IT WAS A SEBI REGISTERED MERCHANT BANKER VIOLATING REGULATION 106-O (2) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
ACTED AS AN UNREGISTERED MERCHANT BANKER FOR SME PUBLIC ISSUES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-DEC-2014 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-DEC-2014 TILL FURTHER ORDERS
08-DEC-2014
|
SEBI VIDE ITS ORDER DATED 31/03/2016 DISPOSED OFF THE EX-PARTE AD INTERIM ORDER DATED 08/12/2014 WITHOUT ANY FURTHER DIRECTIONS
|
| 73 |
|
|
GAJRAJ SINGH
(PAN:BEKPS1235N)
(Along with : KIRTI)
|
|
|
|
CHANNEL NINE ENTERTAINMENT LTD.
PAN:AABCC8801H
|
|
INDULGED IN EMPLOYED A SCHEME WITH THE HELP OF FUNDING GROUP ENTITIES TO GET LISTING ON THE STOCK EXCHANGES VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D), 4(1), 4(2)(C), (F), (K) AND 4(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF CHANNEL NINE ENTERTAINMENT LTD.
GAVE FALSE AND MISLEADING INFORMATION OF OBJECTS OF THE IPO AND DID NOT MAKE DISCLOSURE OF LOAN TAKEN BY THE COMPANY VIOLATING REGULATION 57(1) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF IPO OF CHANNEL NINE ENTERTAINMENT LTD.
|
IMPOSED PENALTY RS.12,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2022
|
SAT: SAT VIDE ITS ORDER DATED 28/06/2022 CONDONED THE DELAY IN FILING OF REPLY AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 29/08/2022 DIRECTED TO PAY RS.12,85,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 74 |
|
|
GANAPATHY GITA
(PAN:AAGPG2647F)
|
|
|
|
EDSERV SOFTSYSTEMS LTD.
CIN:L72200TN2001PLC046789
PAN:AAACL7131L
|
|
DID NOT MAKE DISCLOSURE OF FUNDS RAISED THROUGH ICDS IN THE NATURE OF A BRIDGE LOAN IN THE MATTER OF IPO OF EDSERV SOFTSYSTEMS LTD.
DID NOT MAKE DISCLOSURE OF PLACING OF ORDERS WITH SUPPLIERS FOR THE ESTABLISHMENT OF HEAL LABORATORIES IN THE MATTER OF IPO OF EDSERV SOFTSYSTEMS LTD.
INDULGED IN SIPHONING AND DIVERSION OF IPO PROCEEDS IN THE MATTER OF IPO OF EDSERV SOFTSYSTEMS LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF EDSERV SOFTSYSTEMS LTD.
|
PROHIBITED FROM RAISING ANY FURTHER CAPITAL FROM SECURITIES MARKET, IN ANY MANNER WHATSOEVER FROM 11-APR-2016 TO 10-APR-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-APR-2016 TO 10-APR-2019
11-APR-2016
|
|
| 75 |
|
|
GAURI SIDDHARTH MARATHE
(PAN:BXMPM8652A)
|
|
|
|
SGI RESEARCH & ANALYSIS LTD.
CIN:U74140DL2010PLC203986
PAN:AAOCS5535R
|
|
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 |
|
|
GHANSHYAM AMBALAL THAKKAR
(PAN:AAJPT5528R)
|
|
|
|
RUSHIL DECOR LTD.
PAN:AABCR3005N
|
|
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
|
|
| 77 |
|
|
GHANSHYAM PANDEY
(PAN:AEDPP9478A)
|
|
|
|
SHILPI CABLE TECHNOLOGIES LTD.
PAN:AADCR3380E
|
|
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.5,00,000
13-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 04/09/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED DIRECTIONS GIVEN IN PARAGRAPH 43.1 AND 43.4 SUBJECT TO DEPOSIT PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 21/11/2023 ALLOWED APPELLANT THREE WEEKS AND NO MORE TIME TO FILE REJOINDER
|
| 78 |
|
|
GIRISH VASANT GODBOLE
(PAN:AAZPG1533F)
|
|
|
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
|
|
| 79 |
|
|
GOPAL KRISHNA GUPTA
(PAN:AANPG8437E)
|
|
|
ALLEGED SALE OF 13,000 EQUITY SHARES DURING LOCK-IN PERIOD VIOLATING REGULATION 78(6) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 IN MATTER OF ALFA TRANSFORMERS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,20,000 VIDE CONSENT ORDER)
15-MAR-2019
|
|
| 80 |
|
|
GOPI CHELLAPPAN NAIR
(PAN:AAZPN6829R)
|
|
|
INDULGED IN SIPHONING OFF RS.64.43 CRORES (APPROX) FROM IPO PROCEEDS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF SUDAR INDUSTRIES LTD.
INDULGED IN SIPHONING OFF RS.64.43 CRORES (APPROX) FROM IPO PROCEEDS VIOLATING CLAUSE 2(IX)(B)(12)(A) OF PART A OF SCHEDULE VIII READ WITH REGULATION 57(2)(A) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF IPO OF SUDAR INDUSTRIES LTD.
INDULGED IN SIPHONING OFF RS.64.43 CRORES (APPROX) FROM IPO PROCEEDS VIOLATING CLAUSE 32 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF IPO OF SUDAR INDUSTRIES LTD.
|
IMPOSED PENALTY RS.12,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAY-2022
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 4 of 16
|
