| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
GUJARAT CAPITAL VENTURES LTD.
|
|
|
|
ANIL SHAH
|
|
|
ARVIND MEHTA
|
|
|
ASHWIN NAGARWADIA
|
|
|
BHASKAR CHOKSHI
|
|
|
MOHAN HULIALKAR
|
|
|
PRAKASH BIHARILAL DHEBAR H.
PAN:AAJHP0056J
|
|
|
V.N.NADKARNI
|
|
|
VRAJESH CHOKSHI
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 82 |
|
|
GUJARAT FUN N WATER PARK LTD.
|
|
|
|
D.H.BAROT
|
|
|
DHARMENDRA PATEL
|
|
|
YOGINI VYAS
|
|
FAILED TO PAY PENALTY
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
VIOLATED REGULATION 6 SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 83 |
|
|
GUJARAT PETCOKE & PETROPRODUCTS SUPPLY PVT.LTD.
(PAN:AABCG9773E)
|
|
|
TOOK SEPARATE POSITION LIMITS OF OPEN INTEREST ON ITS BEHALF BY EXECUTING SEPARATE AGREEMENTS WITH EACH OF THEM AND CORNERED 93.63% OF NOVEMBER FUTURES OF RELIANCE PETROLEUM LTD. VIOLATING SECTION 12A OF SEBI ACT, 1992 READ WITH REGULATIONS 3, 4(1) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003
VIOLATED SEBI CIRCULAR NO. SMDRP/DC/CIR-10/01 DATED 02/11/2001 AND NSE CIRCULAR NO. NSE/CMPT/2982 DATED 07/11/2001 IN MATTER OF RELIANCE PETROLEUM LTD.
|
PROHIBITED FROM DEALING IN EQUITY DERIVATIVES IN F&O SEGMENT OF STOCK EXCHANGES, DIRECTLY OR INDIRECTLY FROM 24-MAR-2017 TO 23-MAR-2018
DIRECTED TO SQUARE OFF OR CLOSE OUT THEIR EXISTING OPEN POSITIONS IN F&O SEGMENT
24-MAR-2017
|
SAT: SAT VIDE ITS ORDER DATED 05/11/2020 DISMISSED THE APPEAL WITH NO ORDER AS TO COSTS
|
| 84 |
|
|
HABISCUS INVESTMENTS PVT.LTD.
|
|
|
|
DEVEN MEHTA
|
|
|
MEENAL CHHABARIA
|
|
|
SURESH GURBUX MOTWANI
|
|
|
SURESH HEMWANI
|
|
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
VIOLATED SECTION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 85 |
|
|
HARIYANA METALS LTD.
|
|
|
|
HARISH AGARWAL
DIN:02632962
|
|
|
RAJESH RAMANLAL SHAH
|
|
|
SARITA CHOWDHURI
|
|
VIOLATED REGULATION 3 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CHIEF METROPOLITAN MAGISTRATE ESPLANADE COURT MUMBAI VIDE ITS ORDER DATED 12/02/2014 DISPOSED OFF THE CASE
|
| 86 |
|
|
HIRAN ORGOCHEM LTD.
(PAN:AAACH0977J)
|
|
|
|
ARUN RAMSWAROOP PANCHARIYA
PAN:AEVPP6125N
|
|
|
KANTILAL HIRAN
PAN:AAUPH7660P
|
|
|
MUKESH CHAURADIYA
PAN:AAVPC0966A
|
|
MISLED INVESTORS INTO BELIEVING ABOUT SUCCESS OF GDR ISSUE VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) AND 4 (2) (F), (K) & (R) OF SEBI (PFUTP) REGULATIONS, 2003
DID NOT ADHERE TO ACCOUNTING STANDARD ON CASH FLOW STATEMENT (AS-3) VIOLATING CLAUSES 36(7), 32 AND 50 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.10,25,00,000
17-JUN-2020
|
|
| 87 |
|
|
HITECHI JEWELLERY INDUSTRIES LTD.
(CIN:U99999MH1992PLC067131
PAN:AAACH1071P)
|
|
|
|
A.S.PATRAWALA
|
|
|
DEVENDRA N.PATADIA
|
|
|
G.B.MEHTA
|
|
|
J.T.RANGPARA
|
|
|
NARENDRA C.SONI
|
|
|
SHAILENDRA N.PATADIA
|
|
VIOLATED REGULATION 4(A) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 4(B) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 88 |
|
|
HITECHI JEWELLERY INDUSTRIES LTD.
(CIN:U99999MH1992PLC067131
PAN:AAACH1071P)
|
|
|
|
A.S.PATRAWALA
|
|
|
DEVENDRA N.PATADIA
|
|
|
G.B.MEHTA
|
|
|
J.T.RANGPARA
|
|
|
NARENDRA C.SONI
|
|
|
SHAILENDRA N.PATADIA
|
|
VIOLATED REGULATION 4(A) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 4(B) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 89 |
|
|
HOOGHLY MILLS LTD.,THE
|
|
|
VIOLATED REGULATION 4(A) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 90 |
|
|
HORIZON INFRASTRUCTURE LTD.
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3(A) TO (D), 4 (1), 4 (2) (F) AND 4 (2) (R) OF SEBI (PFUTP) REGULATIONS, 2003 READ WITH SECTION 12A (A) TO (C) OF SEBI ACT, 1992 IN THE MATTER OF HORIZON INFRASTRUCTURE LTD. (NOW KNOWN AS SKIL INFRASTRUCTURE LTD.)
ALLEGED VIOLATION OF CLAUSES 31, 35 AND 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN THE MATTER OF HORIZON INFRASTRUCTURE LTD. (NOW KNOWN AS SKIL INFRASTRUCTURE LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,32,74,000, INTEREST RS.5,10,595 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAY-2017
|
|
| 91 |
|
|
HULDA PROPERTIES & TRADES LTD.
|
|
|
|
ASHOK SHARMA
|
|
|
HIRALAL JALAN
|
|
|
K.R.ARVINDAKSHAN
|
|
|
MANOJ KUMAR BALOTHIA
|
|
|
PANNALAL BARDIA
|
|
|
S.RANJIT KUMAR
|
|
|
SANJAY KUMAR MURARKA
|
|
|
SURESH KUMAR JALAN
|
|
|
T.R.PADMANABHAN
|
|
|
UTPAL DEY
|
|
FAILED TO PAY PENALTY
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED RS.25,60,192.00
|
| 92 |
|
|
ILAC INVESTMENT PVT.LTD.
(PAN:AAACI1924Q)
|
|
|
REPORTED INFLATED SHAREHOLDING OF PROMOTERS IN MATTER OF GHCL LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GHCL LTD.
|
IMPOSED PENALTY RS.56,00,000 ALONG WITH OTHER ENTITIES/PERSONS
25-OCT-2013
|
SAT: SAT VIDE ITS ORDER DATED 31/07/2014 QUASHED AND SET ASIDED PENALTY OF RS.2 LACS IMPOSED ON EACH OF THE APPELLANTS FOR VIOLATION OF REGULATION 7(1A) OF SAST REGULATIONS
|
| 93 |
|
|
IMAX EQUITY RESEARCH
|
|
|
|
RAJEEV KAPOOR
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 94 |
|
|
INDIA FOCUS CARDINAL FUND
(PAN:AABCI9518D)
|
|
|
INDULGED IN FINANCING OF OWN GDR ISSUE AND MISLED INVESTORS BY MAKING FALSE DISCLOSURES TO SEBI VIOLATING REGULATIONS 3(A) TO 3(D) & 4(1) & 4(2)(A), 4(2)(C) AND 4(2)(E) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES IN ASAHI INFRASTRUCTURE & PROJECTS LTD., AVON CORP.LTD., CAT TECHNOLOGIES LTD., IKF TECHNOLOGIES LTD., K SERA SERA LTD. AND MAARS SOFTWARE INTERNATIONAL LTD.
DID NOT PROVIDE CORRECT INFORMATION AND CONCEALED MATERIAL INFORMATION FROM SEBI IN MATTER OF GDR ISSUES OF ASAHI INFRASTRUCTURE & PROJECTS LTD., AVON CORP.LTD., CAT TECHNOLOGIES LTD., IKF TECHNOLOGIES LTD., K SERA SERA LTD. AND MAARS SOFTWARE INTERNATIONAL LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-SEP-2017 TO 20-SEP-2017
DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT WITH INDIAN SECURITIES AS UNDERLYING, IN ANY MANNER WHATSOEVER FROM 05-SEP-2017 TO 20-SEP-2017
05-SEP-2017
|
|
| 95 |
|
|
INDIAN SHELTERS LTD.
|
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6 SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 96 |
|
|
INDO-CARE PHARMACEUTICALS LTD.
(CIN:U99999GJ1995PLC027457)
|
|
|
|
NOOPUR KANSARA
DIN:03153864
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6 SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 97 |
|
|
INFORMATION TECHNOLOGIES (INDIA) LTD.
(CIN:U65910UP1994PLC017049
PAN:AAACI1891E)
|
|
|
|
ADITYA PITTIE
|
|
|
AMIT RAI
|
|
|
ANIL RAI
|
|
|
GAGAN OBEROI
|
|
|
M.C.GUPTA
|
|
|
M.M.MITTAL
|
|
|
MANOJ SRIVASTAVA
|
|
|
R.P.SHARMA
|
|
|
S.K.MITTAL
|
|
|
SANJAY GUPTA
|
|
|
SURESH SACHDEV
|
|
|
V.C.RAI
|
|
|
VARUN RAI
|
|
|
VINAY RAI
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CASE DISMISSED BY COURT. REVISION PETITION FILED BY SEBI IS PENDING BEFORE THE ADDITIONAL SESSIONS JUDGE, DELHI
|
| 98 |
|
|
INVENTURE GROWTH & SECURITIES LTD.
(PAN:AAACI2044K)
|
|
|
|
AJAY KHERA
PAN:AJAPK7458D
|
|
|
ARUN NARAYAN JOSHI
PAN:AAFPJ6710M
|
|
|
ARVIND JETHALAL GALA
PAN:ACSPG7022Q
|
|
|
BHAVI RAHUL GANDHI
PAN:APGPG9247J
|
|
|
DEEPAK M.VAISHNAV
PAN:AABPV3392D
|
|
|
HARSHAVARDHAN MAROTRAO GAJBHIYE
PAN:AABPG8423A
|
|
|
JAMBUNATHAN SRINIVASA IYER
PAN:AAAPI3724P
|
|
|
KANJI BHACHUBHAI RITA
PAN:AABPR6131J
|
|
|
NAGJI KESHAVJI RITA
DIN:00117052
PAN:AADPR7934H
|
|
|
PRAVIN NANJI GALA
PAN:AACPG2087R
|
|
|
VINOD KANJI SHAH
PAN:AAEPS7502F
|
|
|
VIRENDRA DUDHNATH SINGH
PAN:AAVPS0709B
|
|
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.75,00,000
30-AUG-2019
|
|
| 99 |
|
|
INVENTURE GROWTH & SECURITIES LTD.
(PAN:AAACI2044K)
|
|
|
|
AJAY KHERA
PAN:AJAPK7458D
|
|
|
ARUN NARAYAN JOSHI
PAN:AAFPJ6710M
|
|
|
DEEPAK M.VAISHNAV
PAN:AABPV3392D
|
|
|
HARSHAVARDHAN MAROTRAO GAJBHIYE
PAN:AABPG8423A
|
|
|
JAMBUNATHAN SRINIVASA IYER
PAN:AAAPI3724P
|
|
|
KANJI BHACHUBHAI RITA
PAN:AABPR6131J
|
|
|
NAGJI KESHAVJI RITA
DIN:00117052
PAN:AADPR7934H
|
|
|
PRAVIN NANJI GALA
PAN:AACPG2087R
|
|
|
VINOD KANJI SHAH
PAN:AAEPS7502F
|
|
|
VIRENDRA DUDHNATH SINGH
PAN:AAVPS0709B
|
|
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 PARTLY ALLOWED THE APPEAL BY REDUCING PERIOD OF RESTRAINT TO THREE YEARS FROM FOUR YEARS
SAT: SAT VIDE ITS ORDER DATED 06/02/2020 DISMISSED REVIEW APPLICATION
|
| 100 |
|
|
JAYDEEP INVESTMENTS & TRADING CO.PVT.LTD.
|
|
|
|
DEVEN MEHTA
|
|
|
KISHORE GURBUX MOTWANI
DIN:02417178
PAN:AAJPM2980N
|
|
|
MEENAL CHHABARIA
|
|
|
SURESH GURBUX MOTWANI
|
|
|
SURESH HEMWANI
|
|
|
SUSHIL M.THAKKAR
|
|
|
VINOD GURBUX MOTWANI
DIN:00632268
PAN:AEXPM6414P
|
|
VIOLATED SECTION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 5 of 12
|
