| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
JAYESH P.KHANDWALA (HUF)
(PAN:AAAHJ4784N)
|
|
|
FILED APPLICATION FOR SUBSCRIPTION AND/OR ACQUISITION OF SHARES IN FICTITIOUS NAME
VIOLATED SECTION 12A OF SEBI ACT.,1992
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SEBI DEPOSITORIES ACT, 1996
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 102 |
|
|
JEM FISCAL LTD.
|
|
|
|
NAZIR HAKEEM
|
|
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
VIOLATED REGULATION 12 SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 11 OF SEBI ACT, 1992
VIOLATED SECTION 11 B OF SEBI ACT, 1992
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACQUITTED
|
| 103 |
|
|
JINDAL COTEX LTD.
(PAN:AAACJ4400A)
|
|
|
|
RAJINDER KUMAR JINDAL
PAN:ABDPJ7406R
|
|
|
SANDEEP KUMAR JINDAL
PAN:AAYPJ5790N
|
|
|
YASH PAUL JINDAL
PAN:ACDPJ8198B
|
|
MISLED INVESTORS INTO BELIEVING ABOUT SUCCESS OF GDR ISSUE VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) AND 4 (2) (F), (K) & (R) OF SEBI (PFUTP) REGULATIONS, 2003
|
IMPOSED PENALTY RS.25,00,000
23-JAN-2020
|
SEBI VIDE ITS NOTICE DATED 12/12/2022 DIRECTED TO PAY RS.14,00,81,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 03/01/2023 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
|
| 104 |
|
|
JINDAL COTEX LTD.
(PAN:AAACJ4400A)
|
|
|
|
RAJINDER KUMAR JINDAL
PAN:ABDPJ7406R
|
|
|
SANDEEP KUMAR JINDAL
PAN:AAYPJ5790N
|
|
|
YASH PAUL JINDAL
PAN:ACDPJ8198B
|
|
MISLED INVESTORS INTO BELIEVING ABOUT SUCCESS OF GDR ISSUE VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) AND 4 (2) (F), (K) & (R) OF SEBI (PFUTP) REGULATIONS, 2003
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-APR-2019 TO 23-APR-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-APR-2019 TO 23-APR-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
24-APR-2019
|
SAT: APPEAL DISMISSED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 02/11/2023 REJECTED THE APPEAL
|
| 105 |
|
|
K R SHAH & ASSOCIATES
|
|
|
|
KIRIT KUMAR RAMANLAL SHAH
|
|
MADE MISREPRESENTATION AND FALSE DISCLOSURE IN FINANCIAL STATEMENTS AND ANNUAL REPORT FOR F.Y.2012-13 VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) AND 4(2) (F) & 4(2) (R) OF PFUTP REGULATIONS, 2003 IN MATTER OF SMS TECHSOFT (INDIA) LTD.
|
IMPOSED PENALTY RS.2,50,000 ALONG WITH OTHER ENTITIES/PERSONS
29-NOV-2018
|
SEBI VIDE ITS NOTICE DATED 16/11/2022 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
SEBI VIDE ITS NOTICE DATED 28/02/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.4,11,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 106 |
|
|
K SERA SERA LTD.
(PAN:AAACG5103D)
|
|
|
INDULGED IN FINANCING OF OWN GDR ISSUE AND MISLED INVESTORS BY MAKING FALSE DISCLOSURES TO SEBI VIOLATING SECTION 77(2) READ WITH 77(4) OF THE COMPANIES ACT, 1956
INDULGED IN FINANCING OF OWN GDR ISSUE AND MISLED INVESTORS BY MAKING FALSE DISCLOSURES TO SEBI VIOLATING SECTION 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(B) TO 3(D) & 4(2)(C), 4(2)(F), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES OF K SERA SERA LTD. (NOW KNOWN AS KSS LTD.)
DID NOT PROVIDE CORRECT INFORMATION AND CONCEALED MATERIAL INFORMATION FROM SEBI IN MATTER OF GDR ISSUES OF K SERA SERA LTD.
|
DIRECTED NOT TO ISSUE EQUITY SHARES OR ANY OTHER INSTRUMENT CONVERTIBLE INTO EQUITY SHARE OR ANY OTHER SECURITY FROM 05-SEP-2017 TO 20-SEP-2021
05-SEP-2017
|
|
| 107 |
|
|
K SERA SERA LTD.
(PAN:AAACG5103D)
|
|
|
|
HUSSAIN MOHAMMED SHATTAF
PAN:ANGPS3086F
|
|
|
RAJESH PAVITHRAN
PAN:AAZPN1547N
|
|
INDULGED IN FINANCING OF OWN GDR ISSUE AND MISLED INVESTORS BY MAKING FALSE DISCLOSURES TO SEBI VIOLATING SECTION 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(B) TO 3(D) & 4(2)(C), 4(2)(F), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES OF K SERA SERA LTD. (NOW KNOWN AS KSS LTD.)
DID NOT FURNISH CORRECT INFORMATION/DETAILS SOUGHT VIDE SUMMONS DATED 14/03/2012, 20/04/2012 AND 29/05/2012 ISSUED BY INVESTIGATION AUTHORITY
|
IMPOSED PENALTY RS.25,00,000
25-JAN-2021
|
SAT: SAT VIDE ITS ORDER DATED 21/06/2021 CONDONED THE DELAY OF 28 DAYS IN FILING OF APPEAL AND RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 17/11/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 108 |
|
|
KII LTD.
(PAN:AACCK8021E)
|
|
|
INDULGED IN FINANCING OF OWN GDR ISSUE AND MISLED INVESTORS BY MAKING FALSE DISCLOSURES TO SEBI VIOLATING REGULATIONS 3(A) TO 3(D) & 4(1) & 4(2)(A), 4(2)(C) AND 4(2)(E) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES IN ASAHI INFRASTRUCTURE & PROJECTS LTD., AVON CORP.LTD., CAT TECHNOLOGIES LTD., IKF TECHNOLOGIES LTD., K SERA SERA LTD. AND MAARS SOFTWARE INTERNATIONAL LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-SEP-2017 TO 20-SEP-2017
DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT WITH INDIAN SECURITIES AS UNDERLYING, IN ANY MANNER WHATSOEVER FROM 05-SEP-2017 TO 20-SEP-2017
05-SEP-2017
|
|
| 109 |
|
|
KODIGANTI INVESTMENTS LTD.
|
|
|
|
K.C.KONDAIAH
|
|
|
K.MEENAKSHI
|
|
|
R.RANGANATHAN
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 110 |
|
|
KOLAR SHAREX PVT.LTD.
(PAN:AAACK6474D)
|
|
|
|
MAHESH RAMDAS ADSUL
PAN:AGGPA2537E
|
|
|
NITIN SAWANT
|
|
|
RAJESH SAKHARIE
|
|
|
RAJKUMAR CHAINRAI BASANTANI
PAN:AESPB2834F
|
|
|
UMESH R.KHARIWALA
|
|
|
VIKAS SETH
|
|
|
VILAS CHOWGLE
|
|
|
VINOD R.HINGORANI
|
|
|
VITHAL PATIL
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
30-SEP-2011
|
|
| 111 |
|
|
KROSSLINK INFRASTRUCTURE LTD.
(PAN:AABCK2801R)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3(A) TO (D), 4 (1) AND 4 (2) (A), (E) & (G) OF SEBI (PFUTP) REGULATIONS, 2003 READ WITH SECTION 12A (A) TO (C) OF SEBI ACT, 1992 WHILE TRADING IN SCRIP OF HORIZON INFRASTRUCTURE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,06,000 VIDE CONSENT ORDER)
14-DEC-2017
|
|
| 112 |
|
|
KRP CONSULTANTS PVT.LTD.
|
|
|
|
GOPAL VIJAY
|
|
|
P.K.RAO
|
|
|
R.P.SHARMA
|
|
|
V.K.AGARWAL
|
|
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
|
|
| 113 |
|
|
LAKSHMI PURNA & ASSOCIATES
|
|
|
INDULGED IN MIS-STATEMENT OF ACCOUNTS, ADOPTED DUBIOUS AND INCONSISTENT PRACTICES VIOLATING REGULATIONS 3(C), 4(1),(2)(A), (E), (F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CELESTIAL BIOLABS LTD.
|
DIRECTED NOT TO DIRECTLY OR INDIRECTLY ISSUE ANY CERTIFICATE OF AUDIT OF LISTED COMPANIES, COMPLIANCE OF LISTED COMPANIES AND INTERMEDIARIES REGISTERD WITH SEBI
DIRECTED LISTED COMPANIES AND INTERMEDIARIES REGISTERED WITH SEBI TO NOT TO ENGAGE LAKSHMI PURNA & ASSOCIATES TO ISSUE CERTIFICATE WITH RESPECT TO COMPLIANCE OF STATUTORY OBLIGATIONS WITH SEBI
05-OCT-2018
|
|
| 114 |
|
|
LAXMI MOVERS
|
|
|
|
CHANDRAKANT MOHANLAL SANGANI
|
|
|
PANKAJ NATWARLAL MAVANI
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 115 |
|
|
LOVELY INVESTMENT PVT.LTD.
(PAN:AAACL1346F)
|
|
|
REPORTED INFLATED SHAREHOLDING OF PROMOTERS IN MATTER OF GHCL LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GHCL LTD.
|
IMPOSED PENALTY RS.56,00,000 ALONG WITH OTHER ENTITIES/PERSONS
25-OCT-2013
|
SAT: SAT VIDE ITS ORDER DATED 31/07/2014 QUASHED AND SET ASIDED PENALTY OF RS.2 LACS IMPOSED ON EACH OF THE APPELLANTS FOR VIOLATION OF REGULATION 7(1A) OF SAST REGULATIONS
|
| 116 |
|
|
LPG INFRASTRUCTURE INDIA PVT.LTD.
(PAN:AAACL7928F)
|
|
|
TOOK SEPARATE POSITION LIMITS OF OPEN INTEREST ON ITS BEHALF BY EXECUTING SEPARATE AGREEMENTS WITH EACH OF THEM AND CORNERED 93.63% OF NOVEMBER FUTURES OF RELIANCE PETROLEUM LTD. VIOLATING SECTION 12A OF SEBI ACT, 1992 READ WITH REGULATIONS 3, 4(1) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003
VIOLATED SEBI CIRCULAR NO. SMDRP/DC/CIR-10/01 DATED 02/11/2001 AND NSE CIRCULAR NO. NSE/CMPT/2982 DATED 07/11/2001 IN MATTER OF RELIANCE PETROLEUM LTD.
|
PROHIBITED FROM DEALING IN EQUITY DERIVATIVES IN F&O SEGMENT OF STOCK EXCHANGES, DIRECTLY OR INDIRECTLY FROM 24-MAR-2017 TO 23-MAR-2018
DIRECTED TO SQUARE OFF OR CLOSE OUT THEIR EXISTING OPEN POSITIONS IN F&O SEGMENT
24-MAR-2017
|
SAT: SAT VIDE ITS ORDER DATED 05/11/2020 DISMISSED THE APPEAL WITH NO ORDER AS TO COSTS
|
| 117 |
|
|
LUMINANT INVESTMENTS PVT.LTD.
(PAN:AAACL0834A)
|
|
|
|
ARUN J.SHAH
|
|
|
KETAN VINAYCHANDRA PAREKH
DIN:00009468
PAN:AADPP1505A
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
DISMISSED
|
| 118 |
|
|
M’BELLE INTERNATIONAL PVT.LTD.
|
|
|
|
ANUPAMA S.MOTWANI
|
|
|
DEVEN MEHTA
|
|
|
GOPU PARIMAL BELANI
|
|
|
MEENAL CHHABARIA
|
|
|
RITA K.MOTWANI
|
|
|
SURESH GURBUX MOTWANI
|
|
|
SURESH HEMWANI
|
|
|
SUSHIL M.THAKKAR
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SECTION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
SEBI VIDE ITS NOTICE DATED 02/05/2014 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
SEBI VIDE ITS NOTICE DATED 26/12/2018 DIRECTED TO A) RECOVERY PROCEEDING INITIATED AGAINST MIL SHALL CONTINUE TO REMAIN IN FORCE B) BANK/DEMAT ACCOUNTS OF MIL SHALL CONTINUE TO REMAIN ATTACHED C) SHOW-CAUSE NOTICE DATED 21/03/2016 ISSUED TO THE DIRECTIONS OTHER THAN THE APPELLANTS SHALL CONTINUE TO REMAIN IN FORCE
|
| 119 |
|
|
MAARS SOFTWARE INTERNATIONAL LTD.
(PAN:AAACM4527H)
|
|
|
INDULGED IN FINANCING OF OWN GDR ISSUE AND MISLED INVESTORS BY MAKING FALSE DISCLOSURES TO SEBI VIOLATING SECTION 77(2) READ WITH 77(4) OF THE COMPANIES ACT, 1956
INDULGED IN FINANCING OF OWN GDR ISSUE AND MISLED INVESTORS BY MAKING FALSE DISCLOSURES TO SEBI VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(B) TO 3(D) & 4(2)(C), 4(2)(F) AND 4(2)(K) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES OF MAARS SOFTWARE INTERNATIONAL LTD.
DID NOT PROVIDE CORRECT INFORMATION AND CONCEALED MATERIAL INFORMATION FROM SEBI IN MATTER OF GDR ISSUES OF MAARS SOFTWARE INTERNATIONAL LTD.
|
DIRECTED NOT TO ISSUE EQUITY SHARES OR ANY OTHER INSTRUMENT CONVERTIBLE INTO EQUITY SHARE OR ANY OTHER SECURITY FROM 05-SEP-2017 TO 20-SEP-2021
05-SEP-2017
|
|
| 120 |
|
|
MAHADEV BIO-ENGINEERS
|
|
|
VIOLATED SECTION 24 OF SEBI (PFUTP) REGULATION, 1995
|
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. |
| |
|
|
| Page 6 of 12
|
