| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
ASIAN LAKTO INDUSTRIES LTD.
(PAN:AABCA4451H)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.50,000
13-JUL-2015
|
|
| 82 |
|
|
ASIATIC INFRASTRUCTURE & SHELTERS LTD.
|
|
|
DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
IMPOSED PENALTY RS.5,00,000
31-MAR-2014
|
SEBI VIDE ITS NOTICE DATED 02/12/2014 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
|
| 83 |
|
|
ASOCHEM LTD.
(PAN:AACCA4865G)
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,50,000
30-MAR-2016
|
|
| 84 |
|
|
ASSAM ENTRADE LTD.
(PAN:AAECA3423G)
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,50,000
24-FEB-2016
|
PENALTY AMOUNT OF RS.1,50,000.00 PAID BY COMPANY ON 26/02/2016 VIDE DEMAND DRAFT NO.088333 DATED 26/02/2015 DRAWN ON STATE BANK OF INDIA
|
| 85 |
|
|
ATCOM TECHNOLOGIES LTD.
(PAN:AABCA2058C)
|
|
|
DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.4,00,000
27-APR-2018
|
SAT: SAT VIDE ITS ORDER DATED 16/08/2018 ALLOWED ATCOM TO WITHDRAW THE APPEAL WITH LIBERTY TO FILE FRESH APPEALS WITHIN TWO WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
COMPANY HAS FILED APPEAL AGAINST THIS ORDER
|
| 86 |
|
|
ATHARV ENTERPRISES LTD.
(PAN:AAACW1672P)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
IMPOSED PENALTY RS.2,00,000
18-JAN-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 22/10/2019 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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
|
| 87 |
|
|
AUTORIDERS INTERNATIONAL LTD.
(PAN:AAACA4897J)
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.8,00,000
29-AUG-2017
|
|
| 88 |
|
|
AVID RESEARCH INVESTMENT ADVISER
(PAN:AZXPD5745P)
|
|
|
|
AMIT KUMAR DEWDA
PAN:AZXPD5745P
|
|
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
24-MAR-2021
|
|
| 89 |
|
|
AVID RESEARCH INVESTMENT ADVISER
(PAN:AZXPD5745P)
|
|
|
|
AMIT KUMAR DEWDA
PAN:AZXPD5745P
|
|
DID NOT HAVE REQUISITE NISM CERTIFICATES AT ALL TIMES TO PROVIDE INVESTMENT ADVICE
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
WARNED NOT TO PROVIDE INVESTMENT ADVISORY SERVICES UNLESS COMPLY WITH INVESTMENT ADVISORS REGULATIONS AND APPLICABLE SEBI CIRCULARS
30-AUG-2022
|
|
| 90 |
|
|
AVIKEM RESINS LTD.
(CIN:L74999MH1990PLC055367)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-JUN-2016 TILL OBTAINS SCORES AUTHENTICATION AND RESOLVES INVESTORS GRIEVANCES
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JUN-2016 TILL OBTAINS SCORES AUTHENTICATION AND RESOLVES INVESTORS GRIEVANCES
29-JUN-2016
|
|
| 91 |
|
|
AVIKEM RESINS LTD.
(CIN:L74999MH1990PLC055367)
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,00,000
14-DEC-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 21/12/2021 DIRECTED TO PAY RS.1,49,263.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 92 |
|
|
AVINASH INFORMATION TECHNOLOGIES LTD.
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,50,000
26-JUL-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 93 |
|
|
AWAS AYOGEN VITTNIGAM LTD.
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,00,000
20-OCT-2020
|
|
| 94 |
|
|
B G INDUSTRIES LTD.
(PAN:AACCB4811B)
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,50,000
30-MAR-2016
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 30/08/2016 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
|
| 95 |
|
|
B.P.ALLOYS LTD.
(PAN:AAACB6878L)
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.3,00,000
18-FEB-2015
|
SAT: APPEAL DISMISSED. NO COSTS
|
| 96 |
|
|
BAFNA SPINNING MILLS & EXPORTS LTD.
(PAN:AACCB2067K)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
IMPOSED PENALTY RS.4,00,000
31-DEC-2018
|
|
| 97 |
|
|
BAGRI MINERALS & CHEMICALS LTD.
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-MAR-2016 TILL OBTAINS SCORES AUTHENTICATION
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-MAR-2016 TILL OBTAINS SCORES AUTHENTICATION
18-MAR-2016
|
|
| 98 |
|
|
BAJWA AGRO INDUSTRIES LTD.
(CIN:U15319CH1993PLC013158
PAN:AAACB8694A)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,00,000
18-DEC-2015
|
SEBI VIDE ITS NOTICE DATED 10/11/2016 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 28/10/2021 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF BAJWA AGRO INDUSTRIES LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 99 |
|
|
BALA BESTOS (INDIA) LTD.
(PAN:AABCB4326N)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,50,000
30-DEC-2015
|
|
| 100 |
|
|
BALAJI STEEL TUBES & PIPES LTD.
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.2,00,000
18-DEC-2015
|
SEBI VIDE ITS NOTICE DATED 11/11/2016 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
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 5 of 48
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