| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
MAHESH KOTHARI SHARES & STOCK BROKERS PVT.LTD.
|
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
31-MAR-2014
|
|
| 102 |
|
|
MANGALAM EQUITY MANAGEMENT PVT.LTD.
|
|
|
|
AMIT SINGHA
|
|
|
BAL KRISHAN SHARMA
|
|
|
BANKEY BIHARI KEJRIWAL
|
|
|
DINESH KUMAR AGARWALA
|
|
|
JAI KISHAN BHALOTIA
|
|
|
KALI CHARAN THAKUR
|
|
|
KANTI CHAND SIPANI
|
|
|
MAHESH KUMAR AGARWALA
|
|
|
PANKAJ KUMAR BHUTORIA
|
|
|
PRIYOTOSH MAJUMDER
|
|
|
PURUSHOTTAM LAL CHOUDHARY
|
|
|
SUJAY KANUNGO
|
|
|
VIKASH KEDIA
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
31-MAR-2014
|
INTEREST OF RS.94,258.00 AND LEGAL FEES OF RS.67000.00
|
| 103 |
|
|
MANOJ JAVERI STOCK BROKING PVT.LTD.
|
|
|
|
ALOK A.JAIN
|
|
|
MANOJ JHAVERI
|
|
|
PRAMILA M.JHAVERI
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
31-MAR-2014
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.67000.00 TO SEBI
|
| 104 |
|
|
MANSUKH FINANCE & INVESTMENT PVT.LTD.
(PAN:AABCM0703C)
|
|
|
|
MITHLESH SURESH SHARMA
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
15-DEC-2016
|
|
| 105 |
|
|
MARINO FRESH FOOD INDUSTRIES LTD.
|
|
|
|
ASHOK KUMAR LATH
|
|
|
DEEPAK JAIN
|
|
|
RAJESH KUMAR LATH
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
31-MAR-2014
|
COMPOUNDED ON PAYMENT OF INTEREST OF RS.10,04,384.00 AND LEGAL COSTS OF RS.67000.00
|
| 106 |
|
|
MBA STRATEGIC CONSULTING PVT.LTD.
|
|
|
|
A.BALAKRISHNAN
|
|
|
K.MADAN MOHAN
|
|
|
P.ANIL KUMAR
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
15-MAY-2006
|
COMPOUNDED ON PAYMENT OF PENALTY AMOUNT AND LEGAL COST OF RS.4,31,085.00
|
| 107 |
|
|
MID-EAST INVESTMENT SERVICES LTD.
|
|
|
|
MOHD.JAHANGEER MIRZA
|
|
FAILED TO PAY PENALTY
VIOLATED SECTION 27 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 108 |
|
|
MONIKA FINANCIAL SERVICES PVT.LTD.
|
|
|
|
NILOFAR SATANI
|
|
|
NIZARALI SATANI
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 109 |
|
|
MOOLDHAN ADVISORY SYSTEMS PVT.LTD.
(PAN:AABCM7438E)
|
|
|
FAILED TO PAY PENALTY
|
OFFENCE COMPOUNDED
27-FEB-2023
|
ACCUSED DID NOT PAY ADJUDICATION PENALTY OF ₹30,00,000.00 IMPOSED VIDE AO ORDER DATED DECEMBER 12, 2017 EVEN AFTER SERVICE. PROSECUTION WAS LAUNCHED UNDER SECTION 24(2) OF THE SEBI ACT, 1992
FOR NON-PAYMENT OF PENALTY IMPOSED BY AO. DURING TRIAL THE ACCUSED FILED COMPOUNDING APPLICATION AND ON PAYMENT OF COMPOUNDING CHARGES THE MATTER WAS DISPOSED OF AS COMPOUNDED
|
| 110 |
|
|
MOTOROL ENTERPRISES LTD.
|
|
|
|
CHANDRAKANT K.GANDHI
|
|
|
RINKI S.GANDHI
|
|
|
SHASHIKANT K.GANDHI
|
|
|
THAKAR S.MAHESH
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED RS.3,60,000.00
|
| 111 |
|
|
MUKERIAN PAPERS LTD.
(CIN:L21012PB1975PLC003615)
|
|
|
|
H.R.DARWESH
|
|
|
K.T.RAMALINGASETTY
|
|
|
M.K.KATARA
|
|
|
MAHESH K.PODDAR
|
|
|
N.K.JAIN
|
|
|
NEELAM KUMAR OSWAL
|
|
|
R.O.DHIR
|
|
|
VIDYA SHANKAR PANDE
|
|
VIOLATED SECTION 19 OF SEBI DEPOSITORIES ACT, 1996
FAILED TO PAY PENALTY
VIOLATED SECTION 20 OF SEBI DEPOSITORIES ACT, 1996
VIOLATED SECTION 21 OF SEBI DEPOSITORIES ACT, 1996
VIOLATED SECTION 22 OF SEBI DEPOSITORIES ACT, 1996
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 112 |
|
|
NAIMISH K.SHAH,M/S
|
|
|
|
NAIMISH K.SHAH
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
31-MAR-2013
|
CONVICTION WITH FINE OF RS.2,50,000.00 (RS.TWO LACS FIFTY THOUSAND ONLY), IN DEFAULT, TO UNDERGO SIMPLE IMPRISONMENT FOR THREE MONTHS
|
| 113 |
|
|
NAMOKAR CONSULTANTS PVT.LTD.
(PAN:AABCN1507B)
|
|
|
|
MAHENDRA SETHIA
|
|
|
MANGAT MAL SETHIA
|
|
|
RAMESH BHARDWAJ
|
|
|
YASHPAL SINGH
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
31-MAR-2014
|
|
| 114 |
|
|
NAMOKAR VINIMAY PVT.LTD.
(PAN:AABCN1203G)
|
|
|
FAILED TO PAY PENALTY
|
OFFENCE COMPOUNDED
27-FEB-2023
|
ACCUSED DID NOT PAY ADJUDICATION PENALTY OF ₹30,00,000.00 IMPOSED VIDE AO ORDER DATED DECEMBER 12, 2017 EVEN AFTER SERVICE. PROSECUTION WAS LAUNCHED UNDER SECTION 24(2) OF THE SEBI ACT, 1992
FOR NON-PAYMENT OF PENALTY IMPOSED BY AO. DURING TRIAL THE ACCUSED FILED COMPOUNDING APPLICATION AND ON PAYMENT OF COMPOUNDING CHARGES THE MATTER WAS DISPOSED OF AS COMPOUNDED
|
| 115 |
|
|
NETSCAPE SOFTWARE LTD.
|
|
|
|
KAUSHIK CHHOTALAL SHAH
DIN:00009510
|
|
|
KETAN VINAYCHANDRA PAREKH
DIN:00009468
PAN:AADPP1505A
|
|
|
KIRTIKUMAR NARBHERAM PAREKH
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
31-MAR-2013
|
|
| 116 |
|
|
NEWLAND AGRO INDUSTRIES LTD.
(CIN:U01400WB2009PLC138143
PAN:AADCN1275G)
|
|
|
|
ABHIK HAJRA
PAN:ACOPH4497C
|
|
|
DIPANKAR DE
DIN:02729472
PAN:AGAPD9745P
|
|
|
GOPAL HAZRA
DIN:02729113
PAN:ADJPH8999K
|
|
|
HIMADRI BAG
DIN:02729318
PAN:AJXPB3796L
|
|
|
KARTICK CHARAN
PAN:AHOPC4656P
|
|
|
KOUSHIK ROY
PAN:ARGPR9526B
|
|
|
SANATAN PAUL
DIN:03573387
PAN:AQEPP1934A
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
15-DEC-2016
|
|
| 117 |
|
|
NEWLEADER TRADING CO.PVT.LTD.
(PAN:AACCN0923G)
|
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
15-JUL-2022
|
|
| 118 |
|
|
NH SECURITIES LTD.
(PAN:AAACS7140Q)
|
|
|
|
KARTIK KIRTIKUMAR PAREKH
DIN:00009502
|
|
|
KETAN VINAYCHANDRA PAREKH
DIN:00009468
PAN:AADPP1505A
|
|
|
KIRTIKUMAR NARBHERAM PAREKH
|
|
|
NAVINCHANDRA NARBHERAM PAREKH
DIN:00009547
|
|
|
VINAYCHANDRA NARBHERAM PAREKH
DIN:00009663
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
31-MAR-2013
|
|
| 119 |
|
|
OASIS CINE COMMUNICATION LTD.
(Along with : CUCKOO FISCAL SERVICES LTD.,
DELFIN INTERNATIONAL LTD.)
|
|
|
|
ABHAY SINGH KOTHARI
|
|
|
ABHISHET BASU
|
|
|
AJAY MANGAL
|
|
|
ANISH JAIN
|
|
|
ARUNCHAND JAIN
|
|
|
ASHOK KOTHARI
|
|
|
HARE KRISHNA BEHERA
|
|
|
KAMAL BARIK
|
|
|
KEDARNATH BANSAL
|
|
|
PARTHA KUMAR MAJUMDER
|
|
|
PARTHA MAJUMDAR
|
|
|
PRADIP DEY
|
|
|
RAJESH BOTHRA
|
|
|
SANJAY CHATTERJEE
|
|
|
SARBARI BANDOPADHYAY
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
31-MAR-2014
|
COMPOUNDED ON PAYMENT OF RS.67,000.00 TOWARDS LEGAL COSTS AND RS.4,12,767.00 TOWARDS PENALTY AND INTEREST
|
| 120 |
|
|
OJAS TECHNOCHEM PRODUCTS LTD.
|
|
|
|
ALAP SHUKLA
|
|
|
BHADRESHBHAI PATEL
|
|
|
DILIPSINH RAULJI
|
|
|
HANSA J.SHUKLA
|
|
|
JAYENDRA KANTI SHUKLA
|
|
|
JAYENDRA MILAP SHUKLA
|
|
|
SANDEEPSINH CHASATYA
|
|
|
SURESH KANTI SHUKLA
|
|
|
VINOD KANTI SHUKLA
|
|
VIOLATED SECTION 20 OF SEBI DEPOSITORIES ACT, 1996
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
FAILED TO PAY PENALTY
VIOLATED SECTION 19 OF SEBI DEPOSITORIES ACT, 1996
VIOLATED SECTION 21 OF SEBI DEPOSITORIES ACT, 1996
VIOLATED SECTION 22 OF SEBI DEPOSITORIES ACT, 1996
|
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. |
| |
|
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| Page 6 of 10
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