| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
BALGOPAL HOLDING & TRADERS LTD.
(PAN:AAACB2492G)
|
|
|
DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.10,00,000
29-DEC-2017
|
|
| 102 |
|
|
BARDUAR TEA & TIMBER CO.LTD.
(PAN:AABCB0111B)
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,50,000
29-FEB-2016
|
|
| 103 |
|
|
BASI INVESTMENTS LTD.
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.1,50,000
22-DEC-2014
|
SEBI VIDE ITS NOTICE DATED 28/08/2015 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
|
| 104 |
|
|
BDBS ASSOCIATES LTD.
(PAN:AAACB8722D)
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.2,50,000
28-MAR-2016
|
SEBI VIDE ITS NOTICE DATED 03/10/2016 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
SAT: APPEAL DISMISSED. NO COSTS
|
| 105 |
|
|
BESTA VISION ELECTRONIC LTD.
(CIN:L32101DL1985PLC021653
PAN:AAACB1060A)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.3,00,000
27-FEB-2015
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 16/01/2018 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
|
| 106 |
|
|
BETA NAPHTHOL LTD.
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
DIRECTED TO RESOLVE THE GRIEVANCES AND SUBMIT STATUS REPORT TO SEBI
23-MAR-2009
|
|
| 107 |
|
|
BHAGWATI COTTONS LTD.
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.10,00,000
29-AUG-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 26/08/2022 DIRECTED TO PAY RS.16,11,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 108 |
|
|
BHARAT EXPLOSIVES LTD.
(PAN:AAACB8495M)
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,00,000
24-JUL-2014
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 109 |
|
|
BHARATPUR NUTRITIONAL PRODUCTS LTD.
(PAN:AAACD2284N)
|
|
|
DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.1,50,000
18-SEP-2014
|
|
| 110 |
|
|
BHARTIA BACHAT LTD.
(PAN:AABCB1368G)
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,50,000
29-MAR-2016
|
|
| 111 |
|
|
BHARTIA SONS LTD.
(PAN:AABCB1546Q)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,50,000
30-DEC-2015
|
|
| 112 |
|
|
BHAVI INVESTMENTS LTD.
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.10,00,000
29-AUG-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 113 |
|
|
BHILAI ENGINEERING CORP.LTD.
|
|
|
DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,00,000
30-APR-2019
|
|
| 114 |
|
|
BHUVAN TRIPURA INDUSTRIES LTD.
(CIN:L91110GJ1993PLC020268)
|
|
|
|
VAISHNAV TRIBHUVAN NAYANKUMAR
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
08-DEC-2010
|
|
| 115 |
|
|
BIO TEA ESTATES LTD.
(PAN:AACCB3819P)
|
|
|
DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
IMPOSED PENALTY RS.3,00,000
16-JUN-2017
|
|
| 116 |
|
|
BLAZON MARBLES LTD.
(CIN:L14100GJ1992PLC018260
PAN:AADCS3116P)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
IMPOSED PENALTY RS.2,00,000
21-NOV-2019
|
|
| 117 |
|
|
BLUE HEAVENS AGRO INDUSTRIES LTD.
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,00,000
09-FEB-2021
|
SEBI VIDE ITS NOTICE DATED 10/09/2021 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
|
| 118 |
|
|
BOMBAY SILK MILLS LTD.
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
DIRECTED TO REDRESS INVESTOR GRIEVANCES
14-MAY-2003
|
|
| 119 |
|
|
BONAZ CAPITAL INVESTMENT ADVISER
(PAN:AHPPR9284D)
|
|
|
|
RAJESH SINGH RATHORE
PAN:AHPPR9284D
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
INDULGED IN INVESTMENT ADVISORY SERVICES WITHOUT POSSESSING REQUISITE QUALIFICATIONS
CARRIED OUT IMPROPER RISK PROFILING OF CLIENTS
SOLD PRODUCTS TO CLIENTS WHICH WERE NOT SUITABLE TO RISK PROFILE OF THE CLIENTS
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE
DID NOT MAKE DISCLOSURE TO CLIENTS ABOUT DETAILS OF INVESTMENT ADVISORY SERVICES/PRODUCTS
DID NOT PROVIDE RECORD OF INVESTMENT ADVICE TO CLIENTS AND SIGNED RATIONALE FOR ARRIVING INVESTMENT ADVICE
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
|
SUSPENDED REGISTRATION AS INVESTMENT ADVISER FROM 30-NOV-2022 TO 28-FEB-2023
30-NOV-2022
|
|
| 120 |
|
|
BOWREAH COTTON MILLS CO.LTD.
(CIN:U17299WB1900PLC000244)
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.4,00,000
17-SEP-2014
|
SEBI VIDE ITS NOTICE DATED 28/05/2015 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
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 6 of 48
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