| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
ACME CRAFT PVT.LTD.
(CIN:U31311DL2003PTC120816
PAN:AAECA8833C)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRADES, SYNCHRONIZED TRADES AND OFF-MARKET TRANSACTIONS IN SCRIPS OF CALS REFINERIES LTD.,CONFIDENCE PETROLEUM INDIA LTD.,BANG OVERSEAS LTD.,SHREE PRECOATED STEELS LTD. AND TEMPTATION FOODS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-JUN-2009 TO 03-JUN-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-JUN-2009 TO 03-JUN-2017
DIRECTED BSE TO EXAMINE DEALINGS OF CHIMANLAL MANEKLAL SECURITIES PVT.LTD. IN SCRIP OF CALS REFINERIES LTD.
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
MATTER REFERRED TO INCOME TAX DEPARTMENT TO LOOK INTO POSSIBLE ALTERNATIVE PAY-OFFS OUTSIDE SECURITES MARKET
04-JUN-2009
|
AD-INTERIM EX-PARTE ORDER DATED 04/06/2009 CONFIRMED, VIDE ORDER DATED 30/09/2009
DIRECTED STOCK EXCHANGES TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING POSITIONS IN F&O SEGMENT AND NOT TO CREATE FRESH POSITIONS FOR CONNECTED CLIENTS. FURTHER DIRECTED NSE TO WITHHOLD PROFIT ARISING OUT OF SQUARING OFF THESE POSITIONS VIDE ORDER DATED 05/06/2009
|
| 62 |
|
|
ACME CRAFT PVT.LTD.
(CIN:U31311DL2003PTC120816
PAN:AAECA8833C)
|
|
|
|
AKASH GANACHARI
DIN:00009733
PAN:AHIPG4734C
|
|
|
JIGAR JAGDISH PANDYA
PAN:AFDPP5295C
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED, CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIPS OF TEMPTATION FOODS LTD., BANG OVERSEAS LTD., CONFIDENCE PETROLEUM INDIA LTD. AND CALS REFINERIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-SEP-2014 TO 23-SEP-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-SEP-2014 TO 23-SEP-2017
24-SEP-2014
|
|
| 63 |
|
|
ACME SPINNERS LTD.
|
|
|
|
K.S.S.KUMAR
|
|
|
M.CHAKKAR RAO
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 64 |
|
|
ACROPETAL TECHNOLOGIES LTD.
(CIN:L72900KA2001PLC028944
PAN:AADCA1623M)
|
|
|
|
RAVI KUMAR DORAISWAMY
DIN:01557904
PAN:ACNPK9304L
|
|
MISUTILIZED OF IPO PROCEEDS AND MADE FALSE & MISLEADING DISCLOSURES IN PROSECTUS VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO (D), 4(1), 4(2)(F) AND (K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ACROPETAL TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-SEP-2019 TO 26-SEP-2029
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-SEP-2019 TO 26-SEP-2029
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
27-SEP-2019
|
|
| 65 |
|
|
ACROPETAL TECHNOLOGIES LTD.
(CIN:L72900KA2001PLC028944
PAN:AADCA1623M)
|
|
|
|
JAMILI JALAIAH
PAN:ACTPJ7423K
|
|
|
S.SUDHEER
|
|
|
SHOBHA SUDHAKAR ACHARYA
PAN:AJLPA3219K
|
|
DID NOT MAKE CORRECT DISCLOSURE OF UTILLIZATION OF BRIDGE LOAN OF RS.20.00 CRORES IN IPO PROSPECTUS VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO (D), 4(1), 4(2)(F) AND (K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ACROPETAL TECHNOLOGIES LTD.
DID NOT MAKE CORRECT DISCLOSURE OF UTILLIZATION OF BRIDGE LOAN OF RS.20.00 CRORES IN IPO PROSPECTUS VIOLATING REGULATIONS 57(1) AND 60(7)(A) OF ICDR REGULATIONS READ WITH CLAUSE (2)(IX)(B)(12) (A)(V) PART A OF SCHEDULE VIII OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF ACROPETAL TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-SEP-2019 TO 26-SEP-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-SEP-2019 TO 26-SEP-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
27-SEP-2019
|
|
| 66 |
|
|
ACROPETAL TECHNOLOGIES LTD.
(CIN:L72900KA2001PLC028944
PAN:AADCA1623M)
|
|
|
|
RAVI KUMAR DORAISWAMY
DIN:01557904
PAN:ACNPK9304L
|
|
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-FEB-2021 TO 03-FEB-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-FEB-2021 TO 03-FEB-2023
04-FEB-2021
|
|
| 67 |
|
|
ACROPETAL TECHNOLOGIES LTD.
(CIN:L72900KA2001PLC028944
PAN:AADCA1623M)
|
|
|
|
MOHAN HOSAHALLI RAMAKRISHNA
DIN:02034857
PAN:AHQPR8898G
|
|
|
RAMDAS JANARDHANA KAMATH
DIN:00035386
PAN:AAEPK8776D
|
|
|
SUBRAMANYA REDDY DANDALA KANNAYYAREDDY
DIN:02862329
PAN:AANPR6123L
|
|
MISUTILIZED OF IPO PROCEEDS AND MADE FALSE & MISLEADING DISCLOSURES IN PROSECTUS VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO (D), 4(1), 4(2)(F) AND (K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ACROPETAL TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-SEP-2019 TO 26-SEP-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-SEP-2019 TO 26-SEP-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
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 27-SEP-2019 TO 26-SEP-2024
27-SEP-2019
|
|
| 68 |
|
|
ACROW CONSTRUCTIONS PVT.LTD.
(PAN:AAGCA2721D)
|
|
|
ACTED IN CONCERT WITH PROMOTERS OF THE BANK OF RAJASTHAN LTD.FOR THE PURPOSE OF ACQUISITION OF SHARES/VOTING RIGHTS INDIRECTLY FOR PROMOTERS FOR THE PURPOSE OF CONCEALMENT OF THEIR ACQUISITION OF SHARES VIOLATING SEBI TAKEOVER CODE, 1997
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-MAR-2010 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-MAR-2010 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
08-MAR-2010
|
SEBI VIDE ITS ORDER DATED 26/03/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS ORDER DATED 08/03/2010
|
| 69 |
|
|
ACROW REALCON PVT.LTD.
(PAN:AAGCA4035L)
|
|
|
ACTED IN CONCERT WITH PROMOTERS OF THE BANK OF RAJASTHAN LTD.FOR THE PURPOSE OF ACQUISITION OF SHARES/VOTING RIGHTS INDIRECTLY FOR PROMOTERS FOR THE PURPOSE OF CONCEALMENT OF THEIR ACQUISITION OF SHARES VIOLATING SEBI TAKEOVER CODE, 1997
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-MAR-2010 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-MAR-2010 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
08-MAR-2010
|
SEBI VIDE ITS ORDER DATED 26/03/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS ORDER DATED 08/03/2010
|
| 70 |
|
|
ACT REACT HOLDINGS PVT.LTD.
|
|
|
|
KULDEEP HANDOO
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME IN SCRIP OF SUN INFOWAYS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-MAR-2008 TO 02-MAR-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-MAR-2008 TO 02-MAR-2010
03-MAR-2008
|
|
| 71 |
|
|
ACTIVE DEBENTURE TRUST
|
|
|
|
ABHINASH KUMAR JHA
|
|
|
JAGDISH KUMAR SINGH
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 04-JAN-2018 TO 03-JAN-2022
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-JAN-2018 TO 03-JAN-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-JAN-2018 TO 03-JAN-2022
25-JUN-2015
|
SEBI VIDE ITS ORDER DATED 04/01/2018 RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF FOUR YEARS FROM DATE OF THIS ORDER
|
| 72 |
|
|
ACTIVE RURAL DEVELOPMENT INDIA LTD.
(CIN:U45200MP2011PLC026581
PAN:AAJCA8863D)
|
|
|
|
DILIP KUMAR DIWAKAR
DIN:00707567
PAN:ABGPD2004E
|
|
|
GANESH KUMAR SINGH
PAN:BMSPS6948C
DIN:03586509
|
|
|
MS VANDANA SAHA
DIN:03586527
PAN:DFDPS3198A
|
|
|
POLAKI UMASHANKAR RAO
DIN:03533065
PAN:ATYPR9064L
|
|
MOBILIZED RS.1.36 CRORES THROUGH ISSUANCE OF SECURED NON-CONVERTIBLE REDEEMABLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT TO 2500 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73 AND 117B-C OF THE COMPANIES ACT, 1956 AND THE DEBT SECURITIES REGULATIONS
|
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 04-JAN-2018 TO 03-JAN-2022
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 04-JAN-2018 TO 03-JAN-2022
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-JAN-2018 TO 03-JAN-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-JAN-2018 TO 03-JAN-2022
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 04-JAN-2018 TO 03-JAN-2022
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 04-JAN-2018 TO 03-JAN-2022
DIRECTED TO PROVIDE LIST OF INVESTORS, THEIR ADDRESS, TELEPHONE NO. AND AMOUNT COLLECTED FROM EACH INVETORS
DIRECTED TO PROVIDE ALL INFORMATION REGARDING REPAYMENT MADE INCLUDING NAME OF DEBENTURES HOLDER, ADDRESS, AMOUNT MOBILIZED, NUMBER OF NON-CONVERTIBLE REDEEMABLE SECURED DEBENTURES ISSUED, PROMISED MATURITY AMOUNT WITH DATE OF MATURITY, AMOUNT REFUNDED AND DATE THEREOF
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
25-JUN-2015
|
SEBI VIDE ITS ORDER DATED 04/01/2018 DIRECTED TO A) REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF NCDS WITH INTEREST @ 15% P.A. FROM EIGHTH DAY OF COLLECTION OF FUNDS TO INVESTORS TILL DATE OF ACTUAL PAYMENT THROUGH BANK DEMAND DRAFT OR PAY ORDER B) TO PROVIDE FULL INVENTORY OF ASSETS & PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF MUTUAL FUNDS/SHARES/SECURITIES, IF HELD IN PHYSICAL AND DEMAT FORM, OF THE COMPANY AND THEIR OWN C) PERMITTED TO SELL ASSETS OF THE COMPANY AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK D) PREVENTED FROM SELLING THEIR ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED AND DEPOSIT THE PROCEEDS IN AN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK E) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND F) FILE CERTIFICATE OF SUCH COMPLETION OF WITH SEBI CERTIFIED BY TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION G) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
|
| 73 |
|
|
ADAM COMSOF LTD.
(Along with : GLORIOUS INVESTRADE PVT.LTD.)
|
|
|
|
ASPI B.BHESANIA
|
|
|
HIRALAL YADAV
|
|
|
INDRAMAL S.JAIN
|
|
|
MAHESH RAMDAS ADSUL
PAN:AGGPA2537E
|
|
|
PRADEEP RATHI
|
|
|
R.K.MAHESHWARI
|
|
|
RAJA YADAV
|
|
|
RAJKUMAR CHAINRAI BASANTANI
PAN:AESPB2834F
|
|
|
SEEMA RAJKUMAR BASANTANI
|
|
|
UMESH R.KHARIWALA
|
|
|
VIKAS SETH
|
|
|
VINOD R.HINGORANI
|
|
|
VITHAL PATIL
|
|
INDULGED IN DISSEMINATION OF MISLEADING INFORMATION LEADING TO PRICE MANIPULATION IN THE SCRIP OF KOLAR BIOTECH LTD., SOUNDCRAFT INDUSTRIES LTD. & ADAM COMSOF LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2004 TILL INVESTIGATIONS COMPLETED
30-SEP-2004
|
|
| 74 |
|
|
ADAM COMSOF LTD.
(Along with : GLORIOUS INVESTRADE PVT.LTD.)
|
|
|
|
ASPI B.BHESANIA
|
|
|
HIRALAL YADAV
|
|
|
INDRAMAL S.JAIN
|
|
|
MAHESH RAMDAS ADSUL
PAN:AGGPA2537E
|
|
|
PRADEEP RATHI
|
|
|
R.K.MAHESHWARI
|
|
|
RAJA YADAV
|
|
|
RAJKUMAR CHAINRAI BASANTANI
PAN:AESPB2834F
|
|
|
SEEMA RAJKUMAR BASANTANI
|
|
|
UMESH R.KHARIWALA
|
|
|
VIKAS SETH
|
|
|
VINOD R.HINGORANI
|
|
|
VITHAL PATIL
|
|
INDULGED IN DISSEMINATION OF MISLEADING INFORMATION LEADING TO PRICE MANIPULATION IN THE SCRIP OF KOLAR BIOTECH LTD., SOUNDCRAFT INDUSTRIES LTD. & ADAM COMSOF LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2004 TILL INVESTIGATIONS COMPLETED
30-SEP-2004
|
|
| 75 |
|
|
ADAM COMSOF LTD.
(Along with : GLORIOUS INVESTRADE PVT.LTD.)
|
|
|
|
ASPI B.BHESANIA
|
|
|
HIRALAL YADAV
|
|
|
INDRAMAL S.JAIN
|
|
|
MAHESH RAMDAS ADSUL
PAN:AGGPA2537E
|
|
|
PRADEEP RATHI
|
|
|
R.K.MAHESHWARI
|
|
|
RAJA YADAV
|
|
|
RAJKUMAR CHAINRAI BASANTANI
PAN:AESPB2834F
|
|
|
SEEMA RAJKUMAR BASANTANI
|
|
|
UMESH R.KHARIWALA
|
|
|
VIKAS SETH
|
|
|
VINOD R.HINGORANI
|
|
|
VITHAL PATIL
|
|
INDULGED IN DISSEMINATION OF MISLEADING INFORMATION LEADING TO PRICE MANIPULATION IN THE SCRIP OF KOLAR BIOTECH LTD., SOUNDCRAFT INDUSTRIES LTD. & ADAM COMSOF LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2004 TILL INVESTIGATIONS COMPLETED
30-SEP-2004
|
|
| 76 |
|
|
ADAMANT DEBENTURE TRUST
|
|
|
|
SUSHMITA SINHA
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 11-FEB-2015 TO 10-FEB-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-FEB-2015 TO 10-FEB-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-FEB-2015 TO 10-FEB-2019
11-FEB-2015
|
SEBI VIDE ITS ORDER DATED 03/10/2016 PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR A PERIOD OF FOUR YEARS
|
| 77 |
|
|
ADAMANT INFRASTRUCTURES LTD.
|
|
|
|
ANAND MOHAN
DIN:05225968
PAN:AQYPM7781N
|
|
|
INDRAJIT KUMAR SHARMA
DIN:05222098
PAN:BQNPS0657R
|
|
|
JITENDRA KUMAR SHARMA
PAN:AZGPS4457A
DIN:05222111
|
|
MOBILIZED RS.25.29 LACS THROUGH ISSUANCE OF NON-CONVERTIBLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT TO 306 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73, 117B AND 117C OF THE COMPANIES ACT, 1956 AND THE DEBT SECURITIES REGULATIONS
|
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 11-FEB-2015 TO 10-FEB-2019
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 11-FEB-2015 TO 10-FEB-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-FEB-2015 TO 10-FEB-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-FEB-2015 TO 10-FEB-2019
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 11-FEB-2015 TO 10-FEB-2019
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 11-FEB-2015 TO 10-FEB-2019
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
11-FEB-2015
|
SEBI VIDE ITS ORDER DATED 03/10/2016 DIRECTED TO A) JOINTLY AND SEVERALLY, REFUND THE MONEY COLLECTED THROUGH ISSUE OF NON-CONVERTIBLE DEBENTURES (NCDS) WITH INTEREST @ 15% P.A. FROM THE DATE OF RECEIPT OF MONEY TILL DATE OF SUCH REFUND THROUGH BANK DEMAND DRAFT OR PAY ORDER B) TO SUBMIT COMPLETE DETAILS OF ASSETS (ALONGWITH PROOFS THEREOF) CERTIFIED BY A PEER REVIEWED CHARTERED ACCOUNTANT C) PERMITTED TO SELL ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUNDS AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK D) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF ONE ENGLISH NATIONAL DAILY AND ONE VERNACULAR DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND E) FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION F) RESTRAINED FROM, DIRECTLY OR INDIRECTLY, ACCESSING CAPITAL MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND ARE FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER
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| 78 |
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ADAMINA TRADERS PVT.LTD.
(PAN:AAICA0681J)
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|
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH PLACING BUY ORDERS OF SMALL QUANTITIES TO EXECUTE TRADES WHICH HAD POSITIVE LAST TRADED PRICE (LTP) IMPACT IN SCRIP OF SECUNDERABAD HEALTHCARE LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-JAN-2020 TO 07-JAN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-JAN-2020 TO 07-JAN-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
08-JAN-2020
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SAT: SAT VIDE ITS ORDER DATED 29/11/2021 CONDONED THE DELAY IN FILING OF APPEAL. RESERVED THE ORDER
SAT: SAT VIDE ITS ORDER DATED 15/12/2021 DISMISSED THE APPEAL
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| 79 |
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ADANI AGRO PVT.LTD.
(Along with : ADANI ENTERPRISES LTD.)
|
|
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VIOLATED SEBI CODE OF CONDUCT
AIDED AND ABETTED KP ENTITIES IN MANIPULATING SCRIP OF ADANI ENTERPRISES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2007 TO 24-MAY-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2007 TO 24-MAY-2009
25-MAY-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000, LEGAL EXPENSES RS.50,000 VIDE CONSENT ORDER)
24-APR-2008~
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SAT: APPEAL DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.10,50,000 AS PER CONSENT ORDER
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| 80 |
|
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ADANI ENTERPRISES LTD.
(Along with : ADVANCE EXPORTS LTD.)
|
|
|
VIOLATED SEBI CODE OF CONDUCT
AIDED AND ABETTED KP ENTITIES IN MANIPULATING SCRIP OF ADANI ENTERPRISES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2007 TO 24-MAY-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2007 TO 24-MAY-2009
25-MAY-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000, LEGAL EXPENSES RS.50,000 VIDE CONSENT ORDER)
24-APR-2008~
|
SAT: APPEAL DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.7,50,000 AS PER CONSENT ORDER
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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 263
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