| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
SHARP INDUSTRIES LTD.
(PAN:AAFFS9104E)
|
|
|
|
HASMUKH T.SHETH
|
|
ALLEGED VIOLATION OF PREFERENTIAL ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES IN ALLOTMENT OF SHARES OF SHARP INDUSTRIES LTD.
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,964, ADMINISTRATION CHARGES RS.10,000 VIDE CONSENT ORDER)
28-NOV-2008
|
|
| 82 |
|
|
SHARP INDUSTRIES LTD.
(PAN:AAFFS9104E)
|
|
|
|
RAJESH T.SHETH
|
|
ALLEGED VIOLATION OF PREFERENTIAL ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES IN ALLOTMENT OF SHARES OF SHARP INDUSTRIES LTD.
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,964, ADMINISTRATION CHARGES RS.10,000 VIDE CONSENT ORDER)
28-NOV-2008
|
|
| 83 |
|
|
SHREE CORP.
|
|
|
INDULGED IN ALLOTMENT OF EQUITY SHARES UNDER PREFERENTIAL ISSUE WITHOUT RECEIPT OF FULL CONSIDERATION/ALLOTMENT MONEY IN MATTER OF SOMPLAST LEATHER INDUSTRIES LTD.
|
PROHIBITED FROM RAISING MONEY FROM PUBLIC FROM 25-JAN-2016 TO 24-JAN-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-JAN-2016 TO 24-JAN-2017
DIRECTED TO FREEZE ALL DEMAT ACCOUNTS WHEREIN EQUITY SHARES ALLOTTED UNDER PREFERENTIAL OFFER WERE LYING
RESTRAINED PREFERENTIAL ALLOTTEES FROM EXERCISING ANY VOTING RIGHTS (THROUGH NOMINEE OR PROXY) OR OTHER RIGHTS ATTACHED TO SHARES ACQUIRED AND HELD IN PREFERENTIAL ALLOTMENT
25-JAN-2016
|
|
| 84 |
|
|
SHRI DWARIKADISH SECURITIES & FINLEASE PVT.LTD.
|
|
|
INDULGED IN ALLOTMENT OF PREFERENTIAL ALLOTMENT OF 90,00,000 EQUITY SHARES WITHOUT ACTUALLY RECEIVING CONSIDERATION AND TRADED SUBSEQUENTLY IN MATTER OF NORRIS MEDICINES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-DEC-2009 TO 30-DEC-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2009 TO 30-DEC-2012
31-DEC-2009
|
SEBI VIDE ORDER DATED 06/01/2010 PERMITTED CONCERNED STOCK EXCHANGES TO ALLOW SQUARE OFF EXISTING OPEN POSITIONS IN F&O SEGMENT,IF ANY, IMMEDIATELY AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
|
| 85 |
|
|
SOFITEL FINSTOCK
|
|
|
INDULGED IN ALLOTMENT OF EQUITY SHARES UNDER PREFERENTIAL ISSUE WITHOUT RECEIPT OF FULL CONSIDERATION/ALLOTMENT MONEY IN MATTER OF SOMPLAST LEATHER INDUSTRIES LTD.
|
PROHIBITED FROM RAISING MONEY FROM PUBLIC FROM 25-JAN-2016 TO 24-JAN-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-JAN-2016 TO 24-JAN-2017
DIRECTED TO FREEZE ALL DEMAT ACCOUNTS WHEREIN EQUITY SHARES ALLOTTED UNDER PREFERENTIAL OFFER WERE LYING
RESTRAINED PREFERENTIAL ALLOTTEES FROM EXERCISING ANY VOTING RIGHTS (THROUGH NOMINEE OR PROXY) OR OTHER RIGHTS ATTACHED TO SHARES ACQUIRED AND HELD IN PREFERENTIAL ALLOTMENT
25-JAN-2016
|
|
| 86 |
|
|
SOMPLAST LEATHER INDUSTRIES LTD.
(PAN:AADCS0254L)
|
|
|
|
BHAGWATI SHAH (AKA. M.P.SHAH)
|
|
|
GIRISH SHAH
|
|
|
N.R.VEKARIA
PAN:ABOPV5260E
|
|
|
R.D.PATEL
|
|
|
R.N.VEKARIA
|
|
|
RAMANLAL C.HATHI
|
|
|
S.N.VEKARIA
|
|
|
SANJAY PATEL
|
|
|
YOGINI VYAS
PAN:ACQPV5440H
|
|
INDULGED IN ALLOTMENT OF EQUITY SHARES UNDER PREFERENTIAL ISSUE WITHOUT RECEIPT OF FULL CONSIDERATION/ALLOTMENT MONEY IN MATTER OF SOMPLAST LEATHER INDUSTRIES LTD.
|
PROHIBITED FROM RAISING MONEY FROM PUBLIC FROM 25-JAN-2016 TO 24-JAN-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-JAN-2016 TO 24-JAN-2019
DIRECTED TO FREEZE ALL DEMAT ACCOUNTS WHEREIN EQUITY SHARES ALLOTTED UNDER PREFERENTIAL OFFER WERE LYING
DIRECTED NOT TO GIVE EFFECT TO TRANSFER OF ANY SHARES ACQUIRED AND HELD BY PREFERENTIAL ALLOTTEES IN PREFERENTIAL ALLOTMENT
RESTRAINED PREFERENTIAL ALLOTTEES FROM EXERCISING ANY VOTING RIGHTS (THROUGH NOMINEE OR PROXY) OR OTHER RIGHTS ATTACHED TO SHARES ACQUIRED AND HELD IN PREFERENTIAL ALLOTMENT
25-JAN-2016
|
|
| 87 |
|
|
SPARKLINE MERCANTILE CO.PVT.LTD.
(Along with : ATLANTA LTD.)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
|
|
| 88 |
|
|
SPOT LIGHT SECURITIES PVT.LTD.
(Along with : ATLANTA LTD.)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
|
|
| 89 |
|
|
STRATEGIC RESEARCH INTELLIGENCE LTD.
(Along with : ATLANTA LTD.)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
|
|
| 90 |
|
|
TACTFULL INVESTMENTS LTD.
|
|
|
ALLOTTED 700000 SHARES OF TACTFULL INVESTMENTS LTD. INSPITE OF SEBI ORDER DEBARRING COMPANY FROM ACCESSING CAPITAL MARKET WAS IN FORCE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-AUG-2007 TO 20-FEB-2008
21-AUG-2007
|
|
| 91 |
|
|
VASHI CONSTRUCTIONS PVT.LTD.
(PAN:AACCV0861H)
|
|
|
|
BHAVANA RAJESH SHAH
PAN:AABPS8414R
|
|
|
RAJESH CHANDRAKANT SHAH
PAN:AABPS8425J
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PLATINUM CORP.LTD.
AIDED AND ABETTED COMPANY AND ALLOTTEES OF PREFERENTIAL ALLOTMENT OF 290 LACS SHARES THROUGH CIRCULAR BANKING TRANSACTIONS WITHOUT REAL INFLOW OF FUNDS IN MATTER OF PLATINUM CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-AUG-2016 TO 11-AUG-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-AUG-2016 TO 11-AUG-2021
12-AUG-2016
|
SEBI VIDE ITS ORDER DATED 08/12/2016 ALLOWED TO SELL THE SHARES LYING IN DEMAT ACCOUNTS TO THE EXTENT OF MAKING PAYMENTS TOWARDS DISGORGEMENT AMOUNT ALONG WITH INTEREST IMPOSED BY SEBI. FURTHER, THE SALE HAS TO BE DONE THROUGH SEBI REGISTERED BROKER, WHO INTURN SHALL ENSURE THAT THE ENTIRE ILLEGAL GAIN OF RS.23,89,873 ALONG WITH SIMPLE INTEREST @ 12% P.A. FROM FEBRUARY 2007 TILL THE DATE OF PAYMENT, IS RECOVERED AND SENT TO SEBI
SAT: SAT VIDE ITS ORDER DATED 14/11/2017 PERMITTED APPELLANTS TO WITHDRAW THE APPEAL AND MISC.APPLICATIONS WITH LIBERTY TO FILE FRESH APPEAL WITHIN SIX WEEKS FROM THE DATE OF THIS ORDER. INTERIM RELIEF GRANTED ON 07/10/2016 SHALL CONTINUE FOR A PERIOD OF SIX WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
|
| 92 |
|
|
VB IMPEX PVT.LTD.
|
|
|
|
VINAY BANSAL
|
|
|
VINOD KUMAR
|
|
INDULGED IN MARKET/PRICE MANIPULATION IN SCRIP OF PADMINI TECHNOLOGIES LTD.
IRREGULARITIES IN ALLOTMENT OF SHARES OF PADMINI TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2007 TO 30-MAR-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2007 TO 30-MAR-2012
31-MAR-2007
|
|
| 93 |
|
|
VISION TECHNOLOGY INDIA LTD.
|
|
|
|
ANITHA VASANTH
|
|
|
B.R.SHYAMALA
|
|
|
B.RANGA VASANTH
|
|
|
B.S.RANGA
|
|
|
JAGADISH BABU S.
|
|
ALLOTMENT OF SHARES IN THE PREFERENTIAL ISSUES WERE MALAFIDE AND TOOK PLACE WITHOUT ANY REAL INFUSION OF FUNDS
BANGALORE STOCK EXCHANGE AND BOMBAY STOCK EXCHANGE HAVE NOT GRANTED LISTING PERMISSION TO THE ADDITIONAL SHARES ISSUED BY THE COMPANY IN THE PREFERENTIAL ISSUE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 23-AUG-2004 TO 22-AUG-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-AUG-2004 TO 22-AUG-2009
23-AUG-2004
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE
|
| 94 |
|
|
WINSTAR E-COM PVT.LTD.
(Along with : ATLANTA LTD.)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
|
|
| 95 |
|
|
ZINGA CHEMICALS LTD.
|
|
|
|
ARUN GOENKA
|
|
|
P.RATNA RAO
|
|
|
UMESH GOENKA
|
|
INDULGED IN MARKET/PRICE MANIPULATION IN SCRIP OF PADMINI TECHNOLOGIES LTD.
IRREGULARITIES IN ALLOTMENT OF SHARES OF PADMINI TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2007 TO 30-MAR-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2007 TO 30-MAR-2012
31-MAR-2007
|
|
| 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 5 of 5
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