| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
RIDHIMA M.DOSHI
|
|
|
|
ATLANTA LTD.
|
|
|
ATLANTA LTD.
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
|
AD-INTERIM ORDER DATED 22/02/2007 AMENDED TO THE EXTENT THAT CREDIT OF SHARES MAY BE EFFECTED, EXCHANGES AND DEPOSITORIES DIRECTED TO NOTE AND GIVE EFFECT TO THE SAME
SAT: DIRECTED APPLICANT TO APPROACH SEBI TO ALLOW THEM TO FILE THEIR OBJECTION, AS THEY CAN NOT AFFORD A PERSONAL HEARING
|
| 102 |
|
|
RIKIN R.BBAROT
|
|
|
|
ATLANTA LTD.
|
|
|
ATLANTA LTD.
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
|
AD-INTERIM ORDER DATED 22/02/2007 AMENDED TO THE EXTENT THAT CREDIT OF SHARES MAY BE EFFECTED, EXCHANGES AND DEPOSITORIES DIRECTED TO NOTE AND GIVE EFFECT TO THE SAME
SAT: DIRECTED APPLICANT TO APPROACH SEBI TO ALLOW THEM TO FILE THEIR OBJECTION, AS THEY CAN NOT AFFORD A PERSONAL HEARING
|
| 103 |
|
|
S.CHATERJEE
|
|
|
|
ROYAL BENGAL EXPORTS PVT.LTD.
|
|
INDULGED IN MARKET/PRICE MANIPULATION IN SCRIP OF PADMINI TECHNOLOGIES LTD.
IRREGULARITIES IN ALLOTMENT OF SHARES OF PADMINI TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2007 TO 30-MAR-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2007 TO 30-MAR-2012
31-MAR-2007
|
|
| 104 |
|
|
S.N.VEKARIA
|
|
|
|
SOMPLAST LEATHER INDUSTRIES LTD.
PAN:AADCS0254L
|
|
INDULGED IN ALLOTMENT OF EQUITY SHARES UNDER PREFERENTIAL ISSUE WITHOUT RECEIPT OF FULL CONSIDERATION/ALLOTMENT MONEY IN MATTER OF SOMPLAST LEATHER INDUSTRIES LTD.
|
PROHIBITED FROM RAISING MONEY FROM PUBLIC FROM 25-JAN-2016 TO 24-JAN-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-JAN-2016 TO 24-JAN-2019
DIRECTED TO FREEZE ALL DEMAT ACCOUNTS WHEREIN EQUITY SHARES ALLOTTED UNDER PREFERENTIAL OFFER WERE LYING
RESTRAINED PREFERENTIAL ALLOTTEES FROM EXERCISING ANY VOTING RIGHTS (THROUGH NOMINEE OR PROXY) OR OTHER RIGHTS ATTACHED TO SHARES ACQUIRED AND HELD IN PREFERENTIAL ALLOTMENT
25-JAN-2016
|
|
| 105 |
|
|
SACHIN JAIN
|
|
|
|
ATLANTA LTD.
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2008 TO 29-SEP-2009
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 30-SEP-2008 TO 29-SEP-2009
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 30-SEP-2008 TO 29-SEP-2009
30-SEP-2008~
|
AD-INTERIM EX-PARTE ORDER DATED 22/02/2007 REVOKED AS AGREED TO PAY RS.50,000 TOWARDS SETTLEMENT CHARGES AND A BAR FROM BUYING, SELLING OR DEALING IN SECURITIES FOR ONE YEAR I.E. FROM 30/09/2008 TO 29/09/2009, AS PER CONSENT ORDER DATED 30/09/2008
|
| 106 |
|
|
SADHANA DILIP NABERA
|
|
|
|
ADHUNIK FINANCE PVT.LTD.
PAN:AACCA3263G
|
|
|
ATLANTA LTD.
|
|
|
ATLANTA LTD.
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
|
|
| 107 |
|
|
SAJJAN KUMAR KISHOREPURIA
|
|
|
|
BHAGWANDAS SAGARMAL,M/S
|
|
|
CONTESSA COMMERCIAL CO.PVT.LTD.
|
|
|
JIWAN SAGAR PROMOTERS PVT.LTD.
|
|
INDULGED IN MARKET/PRICE MANIPULATION IN SCRIP OF PADMINI TECHNOLOGIES LTD.
IRREGULARITIES IN ALLOTMENT OF SHARES OF PADMINI TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2007 TO 30-MAR-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2007 TO 30-MAR-2012
31-MAR-2007
|
|
| 108 |
|
|
SANDEEP KUMAR
|
|
|
|
MIKONA IMPEX & TRADERS PVT.LTD.
|
|
INDULGED IN MARKET/PRICE MANIPULATION IN SCRIP OF PADMINI TECHNOLOGIES LTD.
IRREGULARITIES IN ALLOTMENT OF SHARES OF PADMINI TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2007 TO 30-MAR-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2007 TO 30-MAR-2012
31-MAR-2007
|
|
| 109 |
|
|
SANDEEP KUMAR GUPTA
|
|
|
|
CHURUWALA EXPORTS PVT.LTD.
|
|
INDULGED IN MARKET/PRICE MANIPULATION IN SCRIP OF PADMINI TECHNOLOGIES LTD.
IRREGULARITIES IN ALLOTMENT OF SHARES OF PADMINI TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2007 TO 30-MAR-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2007 TO 30-MAR-2012
31-MAR-2007
|
|
| 110 |
|
|
SANJAY KUMAR GUPTA
|
|
|
|
IRIS INFRASTRUCTURALS PVT.LTD.
|
|
INDULGED IN MARKET/PRICE MANIPULATION IN SCRIP OF PADMINI TECHNOLOGIES LTD.
IRREGULARITIES IN ALLOTMENT OF SHARES OF PADMINI TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2007 TO 30-MAR-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2007 TO 30-MAR-2012
31-MAR-2007
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE, WITH NO ORDER AS TO COSTS
|
| 111 |
|
|
SANJAY PATEL
|
|
|
|
SOMPLAST LEATHER INDUSTRIES LTD.
PAN:AADCS0254L
|
|
INDULGED IN ALLOTMENT OF EQUITY SHARES UNDER PREFERENTIAL ISSUE WITHOUT RECEIPT OF FULL CONSIDERATION/ALLOTMENT MONEY IN MATTER OF SOMPLAST LEATHER INDUSTRIES LTD.
|
PROHIBITED FROM RAISING MONEY FROM PUBLIC FROM 25-JAN-2016 TO 24-JAN-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-JAN-2016 TO 24-JAN-2019
DIRECTED TO FREEZE ALL DEMAT ACCOUNTS WHEREIN EQUITY SHARES ALLOTTED UNDER PREFERENTIAL OFFER WERE LYING
RESTRAINED PREFERENTIAL ALLOTTEES FROM EXERCISING ANY VOTING RIGHTS (THROUGH NOMINEE OR PROXY) OR OTHER RIGHTS ATTACHED TO SHARES ACQUIRED AND HELD IN PREFERENTIAL ALLOTMENT
25-JAN-2016
|
SAT: SAT VIDE ITS ORDER DATED 12/03/2025 DISMISSED THE APPEAL
|
| 112 |
|
|
SANJEEV BERIWAL
|
|
|
|
HT FERRO LTD.
|
|
INDULGED IN MARKET/PRICE MANIPULATION IN SCRIP OF PADMINI TECHNOLOGIES LTD.
IRREGULARITIES IN ALLOTMENT OF SHARES OF PADMINI TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2007 TO 30-MAR-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2007 TO 30-MAR-2012
31-MAR-2007
|
|
| 113 |
|
|
SATISH R.SHAH
(PAN:ACBPS8940G)
|
|
|
|
SAWACA BUSINESS MACHINES LTD.
|
|
PREFERENTIAL ALLOTMENT WAS IRREGULAR AND NOT IN ACCORDANCE WITH LAW IN AS MUCH AS THE COMPANY HAS RESORTED TO FICTITIOUS BOOK ENTRIES FOR SHOWING RECEIPT OF SUBSCRIPTION TOWARDS PREFERENTIAL ALLOTMENT OF SHARES
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JUL-2004 TO 12-JUL-2006
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JUL-2004 TO 12-JUL-2006
13-JUL-2004
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PERIOD OF BAN FROM 2 YEARS TO 1 YEAR
|
| 114 |
|
|
SHADILAL CHOPRA
(PAN:AAAPC6067F)
|
|
|
|
ATLANTA LTD.
|
|
|
ATLANTA LTD.
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
INDULGED IN DISSEMINATION OF MISLEADING INFORMATION LEADING TO PRICE MANIPULATION IN THE SCRIP OF KOLAR BIOTECH LTD., SOUNDCRAFT INDUSTRIES LTD. & ADAM COMSOF LTD.
ISSUED BONUS SHARES WITHOUT PROPER PROFITS & RESERVES
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
D TO DISGORGE RS.90,03,484
10-AUG-2009~
|
AD-INTERIM EX-PARTE ORDER DATED 22/02/2007 DISPOSED OFF AND NOTICEE DIRECTED NOT TO BUY,SELL OR DEAL IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESS SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 45 DAYS FROM DATE OF THIS ORDER I.E.10/08/2009 AND TO DISGORGE UNLAWFUL GAIN OF RS.66,20,209 ALONGWITH SIMPLE INTEREST @12% PER ANNUM FOR RS.23,83,275 FOR 3 YEARS. FURTHER IN CASE OF NON PAYMENT OF RS.90,03,484 IN SPECIFIED TIME, NOTICEE SHALL BE RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR A FURTHER PERIOD OF FIVE YEARS, WITHOUT SEBI’S RIGHT TO ENFORCE DISGORGEMENT
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
|
| 115 |
|
|
SHAILESH SUBODHCHANDRA JHAVERI
(PAN:ADTPJ0210B)
|
|
|
DID NOT FURNISH REQUISITE INFORMATION DURING INVESTIGATION
ALLOTTED 600000 SHARES OF OJAS TECHNOCHEM PRODUCTS LTD. WITHOUT ACTUAL RECEIPT OF CONSIDERATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-NOV-2007 TO 12-NOV-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-NOV-2007 TO 12-NOV-2009
13-NOV-2007
D TO DISGORGE RS.1,36,03,111
25-JAN-2012~
|
SAT: ALLOWED TO WITHDRAW THE APPEAL
SEBI VIDE ITS ORDER DATED 25/01/2012 DIRECTED NOTICEE TO DISGORGE RS.1,36,03,111.00 (UNLAWFUL GAIN RS.75,31,111.00 AND INTEREST @12% PER ANNUM RS.60,72,000.00). IN CASE OF NON PAYMENT OF THIS AMOUNT IN SPECIFIED TIME, NOTICEE WILL BE RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OF ACCESSING SECURITIES MARKET, DIRECTLY OR INDIRECTLY
|
| 116 |
|
|
SHARAD GUJRATHI
|
|
|
|
BONANZA BIOTECH LTD.
|
|
MASSIVE IRREGULARITIES IN THE TRADING OF SHARES OF DESIGN AUTO SYSTEMS LTD.
VIOLATED SEBI PREFERENTIAL ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES IN MATTER OF DESIGN AUTO SYSTEMS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-MAR-2007 TO 05-MAR-2014
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-MAR-2007 TO 05-MAR-2014
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
06-MAR-2007
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
|
| 117 |
|
|
SHEETAL S.SHAH
(PAN:ANYPS3796C)
|
|
|
|
SAWACA BUSINESS MACHINES LTD.
|
|
PREFERENTIAL ALLOTMENT WAS IRREGULAR AND NOT IN ACCORDANCE WITH LAW IN AS MUCH AS THE COMPANY HAS RESORTED TO FICTITIOUS BOOK ENTRIES FOR SHOWING RECEIPT OF SUBSCRIPTION TOWARDS PREFERENTIAL ALLOTMENT OF SHARES
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JUL-2004 TO 12-JUL-2006
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JUL-2004 TO 12-JUL-2006
13-JUL-2004
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PERIOD OF BAN FROM 2 YEARS TO 1 YEAR
|
| 118 |
|
|
SHIV PRASAD AGARWAL
|
|
|
|
HERMONITE SURGICALS LTD.
|
|
INDULGED IN MARKET/PRICE MANIPULATION IN SCRIP OF PADMINI TECHNOLOGIES LTD.
IRREGULARITIES IN ALLOTMENT OF SHARES OF PADMINI TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2007 TO 30-MAR-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2007 TO 30-MAR-2012
31-MAR-2007
|
|
| 119 |
|
|
SHRENIK R.SHAH
|
|
|
|
EUPHARMA LABORATORIES LTD.
|
|
SHARES ALLOTTED ON PREFERENTIAL BASIS WITHOUT ADEQUATE CONSIDERATION AND SHOWN AS ISSUED TO NON-PROMOTERS TO AVOID LOCK-IN PERIOD IN MATTER OF EUPHARMA LABORATORIES LTD.
DID NOT CO-OPERATE WITH SEBI IN MATTER OF EUPHARMA LABORATORIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JAN-2009 TO 12-JAN-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JAN-2009 TO 12-JAN-2010
13-JAN-2009
|
|
| 120 |
|
|
SMITA M.DOSHI
|
|
|
|
ATLANTA LTD.
|
|
|
ATLANTA LTD.
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.1,14,280, ADMINISTRATION CHARGES RS.7,323 VIDE CONSENT ORDER)
26-JUN-2009~
|
AD-INTERIM EX-PARTE ORDER DATED 22/02/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.1,14,280 TOWARDS SETTLEMENT CHARGES AND RS.7,323 TOWARDS ADMINISTRATIVE CHARGES, AS PER CONSENT ORDER DATED 26/06/2009
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 6 of 7
|
