| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 921 |
|
VITARA CHEMICALS LTD.
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
DIRECTED TO RESOLVE THE GRIEVANCES AND SUBMIT STATUS REPORT TO SEBI
23-JAN-2009
|
|
| 922 |
|
|
VOL PLAST LTD.
(CIN:L17110GJ1990PLC014813)
|
|
|
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES IN STIPULATED TIME
|
IMPOSED PENALTY RS.1,00,000
22-NOV-2019
|
|
| 923 |
|
|
WALDORF INDIA LTD.
(PAN:AAACW2376E)
|
|
|
DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.3,50,000
19-JAN-2018
|
|
| 924 |
|
|
WARDEN CONSTRUCTION & FINANCE LTD.
(PAN:AAACW0453G)
|
|
|
ALLEGED FAILURE IN OBTAINING REGISTRATION OF SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,80,000 VIDE CONSENT ORDER)
29-OCT-2018
|
|
| 925 |
|
|
WATSON SOFTWARE LTD.
|
|
|
DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JUL-2017 TILL COMPLIANCE RESOLVE ALL INVESTOR GRIEVANCE PENDING
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2017 TILL COMPLIANCE RESOLVE ALL INVESTOR GRIEVANCE PENDING
31-JUL-2017
|
|
| 926 |
|
|
WEALTHIT GLOBAL
(PAN:CXGPM4395H)
|
|
|
|
MOHIT MANGHNANI
PAN:CXGPM4395H
|
|
DID NOT RENEW NISM REGISTRATION
DID NOT HAVE QUALIFICATION TO CONTINUE TO ACT AS REGISTERED INVESTMENT ADVISER
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
SOLD MULTIPLE PRODUCTS AND CHARGED UNREASONABLE FEES AND/OR SERVICE CHARGE
DID NOT CO-OPERATE IN PROVIDING INFORMATION TO SEBI FOR THE PURPOSE OF EXAMINATION OF ITS AFFAIRS
DID NOT PROVIDE MATERIAL INFORMATION TO SEBI
DID NOT COMMUNICATE RISK PROFILE TO CLIENTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES IN STIPULATED TIME
DID NOT REDRESS INVESTOR COMPLAINTS
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR
31-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 25/07/2023 CONDONED THE DELAY IN FILING OF APPEAL. ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER 31/03/2023. MATTER REMITTED BACK TO SEBI TO PASS FRESH ORDER IN ACCORDANCE WITH LAW
|
| 927 |
|
|
WEALTHIT GLOBAL
(PAN:CXGPM4395H)
|
|
|
|
MOHIT MANGHNANI
PAN:CXGPM4395H
|
|
DID NOT PROVIDE INFORMATION TO SEBI
DID NOT SUBMIT MATERIAL INFORMATION TO SEBI
DID NOT RENEW NISM REGISTRATION
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
SOLD MULTIPLE PRODUCTS AND CHARGED UNREASONABLE FEES AND/OR SERVICE CHARGE
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE
SOLD ADVISORY SERVICES PRIOR TO COMMUNICATION OF RISK PROFILE
SOLD PRODUCTS TO CLIENTS WHICH WERE NOT SUITABLE TO RISK PROFILE OF THE CLIENTS
DID NOT REDRESS INVESTOR COMPLAINTS
|
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 23-JAN-2023 TO 22-JAN-2028
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-JAN-2023 TO 22-JAN-2028
IMPOSED PENALTY RS.30,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-JAN-2023
|
|
| 928 |
|
|
WEALTHIT GLOBAL
(PAN:CXGPM4395H)
|
|
|
|
MOHIT MANGHNANI
PAN:CXGPM4395H
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT RENEW NISM REGISTRATION
NOT A FIT & PROPER PERSON TO ACT AS AN INVESTMENT ADVISOR
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
SOLD PRODUCTS TO CLIENTS WHICH WERE NOT SUITABLE TO RISK PROFILE OF THE CLIENTS
SOLD MULTIPLE PRODUCTS AND CHARGED UNREASONABLE FEES AND/OR SERVICE CHARGE
DID NOT MAINTAIN RECORDS OF COMMUNICATION WITH CLIENTS DURING RISK PROFILING AND SUITABILITY ASSESSMENT OF ADVICE/SELECTION OF ADVISORY PRODUCT/SERVICES
SOLD ADVISORY SERVICES PRIOR TO COMMUNICATION OF RISK PROFILE
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE
DID NOT REDRESS INVESTOR COMPLAINTS
|
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-OCT-2023 TO 19-OCT-2028
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-OCT-2023 TO 19-OCT-2028
RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR ANY INTERMEDIARY REGISTERED WITH SEBI AND FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY OR PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 20-OCT-2023 TO 19-OCT-2028
IMPOSED PENALTY RS.30,00,000 ALONG WITH OTHER ENTITIES/PERSONS
20-OCT-2023
|
SEBI VIDE ITS NOTICE DATED 05/02/2025 DIRECTED TO PAY RS.35,11,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 05/02/2025 DIRECTED TO PAY RS.8,54,24,836.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 929 |
|
|
WEALTHMAX SOLUTION INVESTMENT ADVISER
(PAN:ATCPJ2297H)
|
|
|
|
PIYUSH JAIN
PAN:ATCPJ2297H
|
|
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES IN STIPULATED TIME
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2023
|
SEBI VIDE ITS NOTICE DATED 24/05/2023 DIRECTED TO PAY RS.1,05,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 26/09/2023 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
|
| 930 |
|
|
WEBEL COMMUNICATION INDUSTRIES LTD.
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.3,00,000
22-SEP-2014
|
|
| 931 |
|
|
WELLINGTON COMMERCIAL LTD.
(PAN:AAACW2360E)
|
|
|
DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,50,000
02-DEC-2014
|
|
| 932 |
|
|
WELWORTH ELECTRIC CO.LTD.
(PAN:AAACW1415G)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.1,00,000
28-APR-2015
|
|
| 933 |
|
|
WEST COAST BREWERS & DISTILLERS LTD.
|
|
|
|
AVI PRAKASH MITTAL
|
|
|
LAL GOYAL
|
|
|
VIRENDRA KUMAR SINGH
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-SEP-2017 TILL RESOLVES ALL THE INVESTOR GRIEVANCE PENDING
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-SEP-2017 TILL RESOLVES ALL THE INVESTOR GRIEVANCE PENDING
22-SEP-2017
|
SAT: SAT VIDE ITS ORDER DATED 06/01/2023 CONDONED THE DELAY IN FILING OF APPEAL
|
| 934 |
|
|
WEST COAST BREWERS & DISTILLERS LTD.
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
DIRECTED TO REDRESS INVESTOR GRIEVANCES
14-MAY-2003
|
|
| 935 |
|
|
WESTERN FOODS LTD.
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.3,00,000
16-FEB-2015
|
SEBI VIDE ITS NOTICE DATED 20/12/2016 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 936 |
|
|
WESTERN INDIA SHIPYARD LTD.
(PAN:AAACW0117B)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
DIRECTED TO REDRESS INVESTOR GRIEVANCES
14-MAY-2003
|
|
| 937 |
|
|
WESTERN INDIA SHIPYARD LTD.
(PAN:AAACW0117B)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
IMPOSED PENALTY RS.2,00,000
26-JUL-2011
|
SAT: COMPANY'S REQUEST FOR STAY OF THE ORDER DATED 26/07/2011 NOT CONSIDERED. MISC. APPLICATION DISPOSED OFF ACCORDINGLY
|
| 938 |
|
|
WINWAY RESEARCH
(PAN:AGFPJ5226N)
|
|
|
|
ANKUR JAIN
PAN:AGFPJ5226N
|
|
DID NOT MAINTAIN CALL RECORDINGS OF CLIENTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS
14-NOV-2024
|
SEBI VIDE ITS NOTICE DATED 22/01/2025 DIRECTED TO PAY RS.7,22,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 939 |
|
|
WOOLWAYS (INDIA) LTD.
(PAN:AAACW0286B)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY
23-FEB-2015
|
SEBI VIDE ITS NOTICE DATED 29/09/2016 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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 07/10/2016 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS/LOCKERS/DEMAT ACCOUNTS AND MUTUAL FUND ACCOUNTS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 29/09/2016
|
| 940 |
|
|
XEDD TELECOM LTD.
|
|
|
|
K.S.V.RAAMAN
|
|
|
P.K.JAIN
|
|
|
R.K.NARENDER
|
|
|
S.SRINIVASAN
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 47 of 48
|
