| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
BHARATIYA GLOBAL INFOMEDIA LTD.
(CIN:L74999DL1994PLC062967
PAN:AABCB8175B)
|
|
|
|
RAJEEV KUMAR AGARWAL
PAN:AGGPA0436L
|
|
|
RAKESH BHATIA
PAN:AHYPB7406Q
|
|
|
SANJEEV KUMAR MITTAL
PAN:AIVPM0122A
|
|
MIS-UTILIZED/DIVERTED IPO PROCEEDS OF RS.23.46 CRORE FOR THE PURPOSES AND/OR IN MANNER OTHER THAN THOSE DISCLOSED IN RHP/PROSPECTUS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
MIS-UTILIZED/DIVERTED IPO PROCEEDS OF RS.12.50 CRORE IN GRAB OF ICD INVESTMENTS IN THREE COMPANIES IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
MIS-UTILIZED/DIVERTED IPO PROCEEDS BY MAKING PAYMENTS TO PROMOTER/PROMOTER RELATED ENTITIES WITHOUT MAKING ANY DISCLOSURE IN RHP/PROSPECTUS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
MISUTILIZED/DIVERTED IPO PROCEEDS BY TRANSFERRING FUNDS TO TRADERS WHO INDULGED IN SYNCHRONIZED AND ARTIFICIAL TRADING ON THE DAY OF LISTING OF SHARES IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT PROVIDE INFORMATION RELATING TO ICD LOANS TAKEN PRIOR TO FILING OF RHP AND REPAID THE SAME WITHOUT MAKING ANY DISCLOSURE IN RHP/PROSPECTUS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT PROVIDE CORRECT INFORMATION OF TRANSACTIONS ENTERED INTO WITH VENDORS WHICH WERE PRE DECIDED IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT PROVIDE CORRECT DISCLOSURES RELATED TO PERCENTAGE OF PURCHASE ORDER PLACED IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT PROVIDE INFORMATION OF RELATED PARTY TRANSACTIONS WITH GADEO IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT CALL BACK RS.11.15 CRORE OUT OF PURPORTED ICD INVESTMENTS OF RS.12.50 CRORE AS DIRECTED VIDE SEBI ORDER DATED 28/12/2011 IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DISOBEYED SEBI’S ORDER BY NOT DEPOSITING UNUTILIZED IPO PROCEEDS AND ICD INVESTMENTS RECOVERED IN INTEREST BEARING ESCROW ACCOUNT AND MIS-UTILIZED AMOUNT SO RECOVERED IN GRAB OF WORKING CAPITAL REQUIREMENTS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
MISLED SEBI BY PROVIDING THREE DIFFERENT VERSIONS OF ICD, LOANS AND INVESTMENTS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
|
DIRECTED TO ENSURE COMPLIANCE OF DIRECTIONS OF CALL BACK OF RS.23.46 CRORES AND RS.11.15 CRORES
DIRECTED TO FURNISH COMPLIANCE REPORT TO SEBI DULY CERTIFIED BY INDEPENDENT SEBI REGISTERED MERCHANT BANKER WITHIN TWO WEEKS OF THE DATE OF COMPLIANCE
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-AUG-2014 TO 07-AUG-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-AUG-2014 TO 07-AUG-2019
08-AUG-2014
|
SAT: APPEAL ALLOWED TO BE WITHDRAWN WITH LIBERTY TO FILE FRESH APPEAL WITHIN A PERIOD OF TWO WEEKS FROM THE DATE OF THIS ORDER I.E. 18/09/2014
SAT: SAT VIDE ITS ORDER DATED 08/09/2016 PERMITTED APPELLANTS TO WITHDRAW THE APPEAL WITH LIBERTY TO FILE FRESH APPEAL ON OR BEFORE 18/11/2016 AS REQUESTED BY THE COUNSEL FOR APPELLANTS. NO COSTS
|
| 102 |
|
|
BHARATIYA GLOBAL INFOMEDIA LTD.
(CIN:L74999DL1994PLC062967
PAN:AABCB8175B)
|
|
|
MIS-UTILIZED/DIVERTED IPO PROCEEDS OF RS.23.46 CRORE FOR THE PURPOSES AND/OR IN MANNER OTHER THAN THOSE DISCLOSED IN RHP/PROSPECTUS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
MIS-UTILIZED/DIVERTED IPO PROCEEDS OF RS.12.50 CRORE IN GRAB OF ICD INVESTMENTS IN THREE COMPANIES IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
MIS-UTILIZED/DIVERTED IPO PROCEEDS BY MAKING PAYMENTS TO PROMOTER/PROMOTER RELATED ENTITIES WITHOUT MAKING ANY DISCLOSURE IN RHP/PROSPECTUS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
MISUTILIZED/DIVERTED IPO PROCEEDS BY TRANSFERRING FUNDS TO TRADERS WHO INDULGED IN SYNCHRONIZED AND ARTIFICIAL TRADING ON THE DAY OF LISTING OF SHARES IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT PROVIDE INFORMATION RELATING TO ICD LOANS TAKEN PRIOR TO FILING OF RHP AND REPAID THE SAME WITHOUT MAKING ANY DISCLOSURE IN RHP/PROSPECTUS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT PROVIDE CORRECT INFORMATION OF TRANSACTIONS ENTERED INTO WITH VENDORS WHICH WERE PRE DECIDED IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT PROVIDE CORRECT DISCLOSURES RELATED TO PERCENTAGE OF PURCHASE ORDER PLACED IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT PROVIDE INFORMATION OF RELATED PARTY TRANSACTIONS WITH GADEO IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT CALL BACK RS.11.15 CRORE OUT OF PURPORTED ICD INVESTMENTS OF RS.12.50 CRORE AS DIRECTED VIDE SEBI ORDER DATED 28/12/2011 IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DISOBEYED SEBI’S ORDER BY NOT DEPOSITING UNUTILIZED IPO PROCEEDS AND ICD INVESTMENTS RECOVERED IN INTEREST BEARING ESCROW ACCOUNT AND MIS-UTILIZED AMOUNT SO RECOVERED IN GRAB OF WORKING CAPITAL REQUIREMENTS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
MISLED SEBI BY PROVIDING THREE DIFFERENT VERSIONS OF ICD, LOANS AND INVESTMENTS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
|
DIRECTED TO CALL BACK RS.23.46 CRORES AND RS.11.15 CRORES MIS-UTILIZED / DIVERTED
DIRECTED TO UTILIZE FUNDS RAISED IN IPO FOR THE PURPOSES DISCLOSED IN PROSPECTUS DATED JULY 16, 2011
08-AUG-2014
|
SAT: APPEAL ALLOWED TO BE WITHDRAWN WITH LIBERTY TO FILE FRESH APPEAL WITHIN A PERIOD OF TWO WEEKS FROM THE DATE OF THIS ORDER I.E. 18/09/2014
SAT: SAT VIDE ITS ORDER DATED 08/09/2016 PERMITTED APPELLANTS TO WITHDRAW THE APPEAL WITH LIBERTY TO FILE FRESH APPEAL ON OR BEFORE 18/11/2016 AS REQUESTED BY THE COUNSEL FOR APPELLANTS. NO COSTS
|
| 103 |
|
|
BHORUKA FINANCIAL SERVICES LTD.
|
|
|
|
SIDDHARTHA AGARWAL
|
|
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
INDULGED IN TRADING OF SHARES OF BHORUKA FINANCIAL SERVICES LTD.ON THE STOCK EXCHANGE WHICH IS NOT RECOGNISED AND WHERE SHARES WHERE NOT LISTED
|
IMPOSED PENALTY RS.25,00,000
26-FEB-2007
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE, WITH NO ORDER AS TO COSTS
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE WITH NO ORDER AS TO COSTS
|
| 104 |
|
|
BHUWANIA VINIMAY PVT.LTD.
(PAN:AACCB6059P)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PRIME CAPITAL MARKET LTD.
DID NOT FURNISH TIMELY AND ACCURATE INFORMATION TO SEBI TO COMPLY WITH SUMMONS ISSUED IN SCRIP OF PRIME CAPITAL MARKET LTD.
|
IMPOSED PENALTY RS.1,00,00,000
30-MAY-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.8,00,000, LEGAL EXPENSES RS.65,000 VIDE CONSENT ORDER)
13-MAR-2008~
|
SAT: APPEAL ALLOWED AS APPLICANT AGREED TO PAY RS.8,65,000 AS PER CONSENT ORDER
|
| 105 |
|
|
BICHARSHIL TRADERS LTD.
|
|
|
|
ANIL KUMAR JAIN
|
|
|
PRAKASH SHUKLA
|
|
DID NOT SUBMIT REPORT TO SEBI
|
IMPOSED PENALTY RS.20,000
31-JAN-2005
|
|
| 106 |
|
|
BIG BROKERS HOUSE STOCKS LTD.
(PAN:AACCB9811B)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET ,CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF RICH UNIVERSE NETWORK LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF RICH UNIVERSE NETWORK LTD.
|
IMPOSED PENALTY RS.15,00,000
30-MAY-2013
|
SAT: APPEAL DISMISSED NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 107 |
|
|
BIMEX EXPORTS PVT.LTD.
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF CYBER FAMILY.COM LTD.
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF CYBER FAMILY.COM LTD.
|
IMPOSED PENALTY RS.3,00,000
01-JUL-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 21/06/2024 DIRECTED TO PAY RS.8,41,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 108 |
|
|
BIRLA PACIFIC MEDSPA LTD.
(CIN:L85100MH2008PLC184689
PAN:AADCB5167F)
|
|
|
|
ABHIJIT PRABHAKAR DESAI
PAN:AEKPD9806M
|
|
|
ANOJ MENON
PAN:AHTPM6650N
|
|
|
MOHANDAS SHENOY ADIGE
PAN:AARPA3809L
|
|
|
PALAPARTHY VENKATA RAMANA MURTHY
PAN:ABRPM1271B
|
|
|
RAJESH V.SHAH
PAN:AAGPS9485D
|
|
|
TUSHAR DEY
PAN:AHEPD2060J
|
|
|
UPKAR SINGH KOHLI
PAN:AAIPK0833F
|
|
|
VENKATESHWARALU NELABHOTLA
PAN:AADPV8720H
|
|
|
VIJAY AGARWAL
PAN:AABPA9526A
|
|
|
YASHOVARDHAN BIRLA
PAN:AAJPB2505N
|
|
INDULGED IN SIPHONING OFF/DIVERSION OF IPO PROCEEDS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(A), (D) AND (E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BIRLA PACIFIC MEDSPA LTD.
PROVIDED FALSE AND INCOMPLETE DOCUMENTS WITH REGARD TO UTILIZATION OF IPO PROCEEDS IN MATTER OF BIRLA PACIFIC MEDSPA LTD.
DID NOT MAKE DISCLOSURES OF DEVIATION IN USE OF IPO PROCEEDS ALONG WITH FINANCIAL RESULTS AS PER THE OBJECTS STATED IN THE PROSPECTUS TO STOCK EXCHANGES VIOLATING CLAUSE 43A OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF BIRLA PACIFIC MEDSPA LTD.
INDULGED IN MIS-UTILIZATION OF IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(E), (F) AND (K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BIRLA PACIFIC MEDSPA LTD.
|
IMPOSED PENALTY RS.1,09,00,000
28-SEP-2022
|
SEBI VIDE ITS NOTICE DATED 19/04/2024 DIRECTED TO PAY RS.1,30,81,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 10/05/2024 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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
|
| 109 |
|
|
BLUE INFORMATION TECHNOLOGY LTD.
(PAN:AABCB8718J)
|
|
|
|
DHAVAL A.JHAVERI
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF ACCOUNT RELATED INFORMATION OF BLUE INFORMATION TECHNOLOGIES LTD.
FALSELY INCREASED TURNOVER & PROFIT AND ANNOUNCED FALSE DIVIDEND IN MATTER OF BLUE INFORMATION TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
04-JUN-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 110 |
|
|
BLUESNOW SUPPLIER PVT.LTD.
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
DID NOT UNPLEDGE AND RETURN SECURITIES TO CLIENTS UPON FULFILMENT OF PAY-IN-OBLIGATION
MADE UNAUTHORISED TRANSFER OF SHARES FROM CLIENT’S DEMAT ACCOUNTS
PROVIDED MISLEADING INFORMATION TO STOCK EXCHANGES
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 07-OCT-2019 TO 06-OCT-2024
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 07-OCT-2019 TO 06-OCT-2024
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR TO CREATE OR INVOKE OR RELEASE ANY INTEREST OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF NSE AND BSE
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
IMPOSED PENALTY RS.10,00,000
07-OCT-2019
|
SEBI VIDE ITS ORDER DATED 11/01/2023 DIRECTED TO RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES EITHER DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR FIVE YEARS
SAT: SAT VIDE ITS ORDER DATED 29/03/2023 DIRECTED APPELLANTS TO FILE CERTIFIED COPY OF THE IMPUGNED ORDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER. RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER. FURTHER, DIRECTED APPELLANTS TO DEPOSIT 50% OF PENALTY WITHIN THREE WEEKS FROM DATE OF THIS ORDER. IF AMOUNT DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL AND ALSO DIRECTED TO SUPPLY LEGIBLE COPY OF THE MEMO OF APPEAL ON OR BEFORE NEXT DATE
|
| 111 |
|
|
BLUEWAVES MEDIA
(PAN:AYCPK7151N)
|
|
|
|
ASHISH KALANORIA
PAN:AYCPK7151N
|
|
DID NOT FURNISH NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF GREENCREST FINANCIAL SERVICES LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2023
|
|
| 112 |
|
|
BMA WEALTH CREATORS LTD.
(PAN:AACCB5141L)
|
|
|
|
ASIT KUMAR GHOSH
|
|
|
MRUGESH B.DEVASHRAYI
PAN:AGUPD3529P
|
|
|
SHIV KUMAR DAMANI
PAN:ADYPD0490J
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
DID NOT UNPLEDGE AND RETURN SECURITIES TO CLIENTS UPON FULFILMENT OF PAY-IN-OBLIGATION
MADE UNAUTHORISED TRANSFER OF SHARES FROM CLIENT’S DEMAT ACCOUNTS
PROVIDED MISLEADING INFORMATION TO STOCK EXCHANGES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 07-OCT-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-OCT-2019
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 07-OCT-2019
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR TO CREATE OR INVOKE OR RELEASE ANY INTEREST OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF NSE AND BSE
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
07-OCT-2019
|
|
| 113 |
|
|
BODAL CONPRO PVT.LTD.
(PAN:AADCB0973D)
|
|
|
INDULGED IN OFF-MARKET TRANSACTIONS IN SCRIP OF BANK OF RAJASTHAN LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF BANK OF RAJASTHAN LTD.
|
IMPOSED PENALTY RS.5,00,000
14-FEB-2013
|
SAT: SAT VIDE ITS ORDER DATED 11/02/2014 UPHELD PENALTY IMPOSED UNDER SECTIONS 15HA AND 15H(II) AND SET ASIDE PENALTY IMPOSED UNDER SECTION 15 A(A) OF SEBI ACT.
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 114 |
|
|
BONANZA BIOTECH LTD.
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.5,00,000
21-OCT-2005
|
SAT: APPEAL DISMISSED
|
| 115 |
|
|
BORN-FREE FINANCE LTD.
|
|
|
|
HARI OM SHARMA
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
|
IMPOSED PENALTY RS.5,00,000
27-JUN-2006
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 27/03/2015 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
|
| 116 |
|
|
BORN-FREE FINANCE LTD.
|
|
|
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
INDULGED IN PRICE MANIPULATION BY CIRCULAR AND STRUCTURED TRANSACTIONS IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-DEC-2008 TO 11-JUN-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-DEC-2008 TO 11-JUN-2009
12-DEC-2008
|
|
| 117 |
|
|
BRIJLAXMI LEASING & FINANCE LTD.
(PAN:AAACB9524F
CIN:L65993GJ1990PLC014183)
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF BRIJLAXMI LEASING & FINANCE LTD.
|
IMPOSED PENALTY RS.10,00,000
11-JAN-2010
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 118 |
|
|
BRYN COMMODITIES & DERIVATIVES PVT.LTD.
(PAN:AAFCB3540C)
|
|
|
DID NOT FURNISH BANK STATEMENTS/CASH RECEIPT/SHARE BILL IN RESPECT OF TRANSACTIONS IN MATTER OF DELTA LEASING & FINANCE LTD.
|
IMPOSED PENALTY RS.1,00,000
29-SEP-2022
|
|
| 119 |
|
|
BUDHISAGAR SHARES & SERVICES PVT.LTD.
(PAN:AADCB7966J)
|
|
|
INDULGED IN SIPHONING OFF IPO PROCEEDS IN MATTER OF MIDVALLEY ENTERTAINMENT LTD.
DID NOT PROVIDE INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF MIDVALLEY ENTERTAINMENT LTD.
|
IMPOSED PENALTY RS.7,00,000
31-MAY-2022
|
|
| 120 |
|
|
BULL RESEARCH INVESTMENT ADVISORS PVT.LTD.
(PAN:AAHCB1200H)
|
|
|
|
ASHIF SHAIKH
DIN:07733482
PAN:BGDPS3081F
|
|
|
SANDEEP KUSHWAHA
PAN:DPBPK9313F
DIN:08176753
|
|
|
VINIT SATPUTE
DIN:07737200
PAN:EBMPS2703F
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
RECEIVED PAYMENT FROM FAMILY MEMBERS OF PRIMARY CLIENTS TO HIDE EXORBITANT FEES TAKEN FROM PRIMARY CLIENT
RAISED INVOICES IN THE NAME OF CLIENTS WHO DID NOT HAVE DEMAT/TRADING ACCOUNT
SOLD MULTIPLE PACKAGES TO CLIENTS WITH THREAT OF FORFEITURE AND CHARGED
UNREASONABLE AND UNDISCLOSED FEE
RECEIVED PAYMENT BEFORE DOING KNOW YOUR CLIENTS (KYC) AND RISK PROFILING OF CLIENTS
CARRIED OUT IMPROPER RISK PROFILING OF CLIENTS
DID NOT MEET CAPITAL ADEQUACY NORMS AND TOOK REGISTRATION BY SUBMITTING FORGED CA CERTIFICATE TO SEBI
DID NOT FURNISH INFORMATION, RETURN ETC. TO SEBI
DID NOT HAVE VALID NCFM/NISM CERTIFICATE
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-MAY-2023
|
SEBI VIDE ITS NOTICE DATED 07/08/2023 DIRECTED TO PAY RS.10,41,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 6 of 43
|
