S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
81 |
|
AMIT KUMAR
|
|
|
USHA ISPAT LTD.
|
|
VIOLATED SECTION 20(2) OF SEBI DEPOSITORIES ACT, 1996
|
PROSECUTION LAUNCHED
31-MAR-2014
|
|
82 |
|
AMIT N.SHAH
|
|
|
ZILLION PHARMA CHEM LTD.
CIN:L24231GJ1992PLC017496
|
|
DID NOT REPAY EXCESS SHARE APPLICATION MONEY WITHIN STIPULATED PERIOD
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
83 |
|
AMIT NAGINBHAI SHAH
|
|
|
INDO-AMERICAN CREDIT CORP.LTD.
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
VIOLATED SECTION 11(2) (1) (1A) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ALL ACCUSED PLEADED GUILTY AND WERE CONVICTED AND SENTENCED TO FINE OF RS.1,000 EACH AND ON DEFAULT IMPRISONMENT FOR 30 DAYS
CONVICTED
|
84 |
|
AMIT PATEL
|
|
|
BONANZA BIOTECH LTD.
|
|
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
VIOLATED REGULATION 3 OF SEBI (PFUTP) REGULATIONS, 1995
FAILED TO PAY PENALTY
VIOLATED REGULATIONS 4 (A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CASE DISMISSED BY COURT. IN REVISION FILED BY SEBI, THE CASE AGAINST ACCUSED NO. 1, 2 AND OTHER DIRECTORS OF ACCUSED NO. 1 WERE COMPOUNDED ON PAYMENT OF RS. 7,75,000/- AND CASE AGAINST ACCUSED NO. 3 TO 9 PENDING IN SESSION COURT
CLUBBED WITH CONSENT FOR RS.7,75,000
|
85 |
|
AMIT RAI
|
|
|
INFORMATION TECHNOLOGIES (INDIA) LTD.
CIN:U65910UP1994PLC017049 PAN:AAACI1891E
|
|
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
|
86 |
|
AMIT SHAH
|
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
31-MAR-2014
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.67,000.00
|
87 |
|
AMIT SHAH
|
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SECTION 26 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
88 |
|
AMIT SHANTILAL MEHTA
(PAN:AIDPM8547R)
|
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
31-MAR-2014
|
|
89 |
|
AMIT SINGHA
|
|
|
MANGALAM EQUITY MANAGEMENT PVT.LTD.
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
31-MAR-2014
|
INTEREST OF RS.94,258.00 AND LEGAL FEES OF RS.67000.00
|
90 |
|
AMITABH GUPTA
|
|
|
SHANKAR GROWTH FUND PVT.LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE COURT ACQUITTED ALL ACCUSED
|
91 |
|
AMITAVA BOSE MUNSHI
(DIN:02769940 PAN:AZOPM8047L)
|
|
|
ADITYA GLOBAL INDUSTRIES LTD.
CIN:U01400WB2009PLC138576 PAN:AAHCA9638G
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
15-DEC-2016
|
|
92 |
|
AMITAVA DATTA
|
|
|
ALAKNANDA MANUFACTURING & FINANCE LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
93 |
|
AMRISH VALIA
|
|
|
SCALLOP INVESTMENT & LEASING PVT.LTD.
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACQUITTED
|
94 |
|
AMUTHA RAJENTHIRAN
|
|
|
VIOLATED SECTION 20 OF SEBI TAKEOVER CODE, 1997
VIOLATED SECTION 22 OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
95 |
|
ANAND KRISHAN JOHARI
|
|
|
CENTURY CONSULTANTS LTD.
|
|
CYBERSPACE LTD.
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
96 |
|
ANANDKUMAR KANUBHAI RAVAT
(PAN:AIMPR9602D)
|
|
|
ALDERBROOKE PORTFOLIO MANAGEMENT SERVICES PVT.LTD.
CIN:U74140GJ2010PTC059749 PAN:AAICA8270H
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
97 |
|
ANANTRAI DESAI
|
|
|
MAYEKAR INVESTMENT PVT.LTD.
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
98 |
|
ANIL A.GANDHI
|
|
|
GALAXY BROKING LTD.
PAN:AABCG5457B
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
31-MAR-2014
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.67000.00 TO SEBI
|
99 |
|
ANIL AGGARWAL
|
|
|
STERLITE INDUSTRIES (INDIA) LTD.
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 27 OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
100 |
|
ANIL AMRUITLAL GANDHI
(PAN:ACIPG8954B)
|
|
|
AMRUT SECURITIES LTD.
PAN:AABCA8006G
|
|
GALAXY BROKING LTD.
PAN:AABCG5457B
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
31-MAR-2014
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.67000.00 TO SEBI
|
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 102
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