| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
CHAUHAN HASTIMAL P.
|
|
|
|
DELUX METAL CORP.
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
AD-INTERIM EX-PARTE ORDER DATED 23/04/2009 CONFIRMED VIDE ORDER DATED 12/01/2010
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 122 |
|
|
CHIRAG PATEL
|
|
|
|
BHAVANI TRADING CO.
|
|
|
OM CORP.
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
AD-INTERIM EX-PARTE ORDER DATED 23/04/2009 CONFIRMED VIDE ORDER DATED 12/01/2010
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 123 |
|
|
CHITTARMAL SHARMA
|
|
|
MADE FALSE REPRESENTATION THROUGH CORPORATE ANNOUNCEMENTS TO MISLEAD/INDUCE INVESTORS
DID NOT SUBMIT SEGMENT-WISE REPORT OF OPERATIONS OF COMPANY TO STOCK EXCHANGE
INVOLVED IN STOCK MARKET TRANSACTIONS AT NSE AS A TRADING CLIENT WITHOUT BEING LISTED ON NSE
USED PROCEEDS OF PREFERENTIAL ALLOTMENT FOR STOCK MARKET TRANSACTIONS WHICH WERE NOT RELATED TO CORE BUSINESS ACTIVITIES OF COMPANY
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-OCT-2005 TILL FURTHER ORDERS
DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 05-OCT-2005 TILL FURTHER ORDERS
05-OCT-2005
|
DIRECTION ISSUED VIDE AD INTERIM EX-PARTE ORDER DATED 05/10/2005 REVOKED VIDE ORDER DATED 28/07/2010
|
| 124 |
|
|
D.AMIT KUMAR
|
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
AD-INTERIM EX-PARTE ORDER DATED 23/04/2009 CONFIRMED VIDE ORDER DATED 12/01/2010
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 125 |
|
|
DANDAMUDI VEERABHADRA RAO
(PAN:ABVPD6656R)
|
|
|
MADE MISLEADING ANNOUNCEMENTS/ADVERTISEMENTS IN MATTER OF EXELON INFRASTRUCTURE LTD.
|
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-JUN-2016 TO 06-JUN-2019
07-JUN-2016
|
SEBI VIDE ITS ORDER DATED 21/09/2016 DIRECTED TO DEPOSIT (AS MENTIONED IN PARA 6.3.1 OF THE IMPUGNED ORDER DATED 07/06/2016) AND THE IMPOUNDING ORDER DATED 07/06/2016 WILL BE VACATED AFTER DEPOSITING THE AMOUNT
SEBI VIDE ITS ORDER DATED 24/04/2017 RESTRAINED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER, FOR A PERIOD OF 3 YEARS. FURTHER, DIRECTION OF IMPOUNDING OF ASSETS INCLUDING BANK ACCOUNTS / DEMAT ACCOUNTS / PROPERTIES CONTAINED IN ORDER DATED 07/06/2016 AND MODIFIED SUBSEQUENTLY VIDE ORDER DATED 21/09/2016 SHALL STAND REVOKED
|
| 126 |
|
|
DARSHAN PRAFUL DESAI
(PAN:ADTPD8926G)
|
|
|
FACILITATED NIRMAL KOTECHA IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS, CARRYING OUT AND DISGUISING MANIPULATIVE INTENT AND GAINED ADVANTAGE FROM FORGERY IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 23-JUN-2020 TO 22-APR-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-JUN-2020 TO 22-APR-2021
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
EX-PARTE INTERIM ORDER DATED 23/04/2009 CONFIRMED VIDE ORDER DATED 28/01/2010
SAT: APPEAL DISPOSED OFF WITH DIRECTION TO SEBI TO COMPLETE INVESTIGATIONS ON OR BEFORE 31/07/2010 POSITIVELY
SEBI VIDE ITS ORDER DATED 23/06/2020 RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN ANY MANNER FOR TWELVE YEARS FROM THE DATE OF THIS ORDER
|
| 127 |
|
|
DASHARATH SINGH SHEKHAWAT
|
|
|
|
MAGAN INDUSTRIES LTD.
|
|
MADE FALSE REPRESENTATION IN NEWSPAPERS IN SCRIP OF MAGAN INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-AUG-2007 TO 20-AUG-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-AUG-2007 TO 20-AUG-2009
21-AUG-2007
|
|
| 128 |
|
|
DASHRATHKUMAR KESHAJI KHATRI
(PAN:ACFPK3128C)
|
|
|
MADE FALSE AND MISLEADING STATEMENTS/MISREPRESENTATIONS IN ANNUAL REPORTS OF COMPANY FOR F.Y. 2011-12 AND 2012-13 IN MATTER OF SMS TECHSOFT (INDIA) LTD.
|
IMPOSED PENALTY RS.2,00,000
29-MAR-2019
|
SEBI VIDE ITS NOTICE DATED 14/11/2022 DIRECTED TO PAY RS.2,91,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 26/06/2023 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
SEBI VIDE ITS NOTICE DATED 17/07/2023 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 26/06/2023
|
| 129 |
|
|
DATTARAJ V.SALGAOCAR
|
|
|
|
D-LINK (INDIA) LTD.
|
|
MISLED INVESTORS BY GIVING FALSE INFORMATION OF BUYBACK OF SHARES OF D-LINK (INDIA) LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-AUG-2007 TO 20-SEP-2007
21-AUG-2007
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE, WITH NO ORDER AS TO COSTS
|
| 130 |
|
|
DATTARAM LADE
|
|
|
|
ANCHAL PROPERTIES PVT.LTD.
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 131 |
|
|
DEBASHISH MUKHERJEE
(PAN:AFSPM9530Q)
|
|
|
AIDED AND ABETTED DLF LTD., ITS NON-INDEPENDENT DIRECTORS AND CFO IN THE ARTIFICE OF CAMOUFLAGING THE ASSOCIATION OF SUDIPTI AS DISSOCIATION IN MATTER OF IPO OF DLF LTD.
|
IMPOSED PENALTY RS.5,00,000
26-FEB-2015
|
SAT: SAT VIDE ITS ORDER DATED 25/04/2018 DISPOSED OFF THE APPEALS & INTERVENTION APPLICATION WITH A DIRECTION THAT THESE APPEALS & INTERVENTION APPLICATION SHALL STAND AUTOMATICALLY REVIVED ONCE THE APEX COURT DISPOSES THE CIVIL APPEALS FILED BY SEBI AGAINST THE DECISION OF SAT DATED 13/03/2015. NO COSTS
|
| 132 |
|
|
DEEPAK BANNERJEE
(PAN:AADPB2195G)
|
|
|
|
DLF RETAIL DEVELOPERS LTD.
PAN:AAACJ1655P
|
|
AIDED AND ABETTED DLF LTD., ITS NON-INDEPENDENT DIRECTORS AND CFO IN THE ARTIFICE OF CAMOUFLAGING THE ASSOCIATION OF SUDIPTI AS DISSOCIATION IN MATTER OF IPO OF DLF LTD.
|
IMPOSED PENALTY RS.5,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-FEB-2015
|
SAT: SAT VIDE ITS ORDER DATED 25/04/2018 DISPOSED OFF THE APPEALS & INTERVENTION APPLICATION WITH A DIRECTION THAT THESE APPEALS & INTERVENTION APPLICATION SHALL STAND AUTOMATICALLY REVIVED ONCE THE APEX COURT DISPOSES THE CIVIL APPEALS FILED BY SEBI AGAINST THE DECISION OF SAT DATED 13/03/2015. NO COSTS
|
| 133 |
|
|
DEEPAK BHATEVARA
|
|
|
|
DEEP ENTERPRISE
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
AD-INTERIM EX-PARTE ORDER DATED 23/04/2009 CONFIRMED VIDE ORDER DATED 12/01/2010
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 134 |
|
|
DEEPAK D.WAGHE
|
|
|
|
GANESH TRADING CO.
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 135 |
|
|
DEEPAK MISHRA
|
|
|
INDULGED IN MISUTILIZATION OF GDR PROCEEDS AND MADE FALSE & MISLEADING DISCLOSURES IN MATTER OF TRANSGENE BIOTEK LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-AUG-2019 TO 27-AUG-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-AUG-2019 TO 27-AUG-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-AUG-2019
|
SAT: SAT VIDE ITS ORDER DATED 08/06/2021 DISMISSED THE APPEAL. NO COSTS
|
| 136 |
|
|
DEEPAK RATHOD
|
|
|
|
ELTROL LTD.
PAN:AABCE0969L
|
|
MADE FALSE REPRESENTATION THROUGH CORPORATE ANNOUNCEMENTS TO MISLEAD/INDUCE INVESTORS
DID NOT SUBMIT SEGMENT-WISE REPORT OF OPERATIONS OF COMPANY TO STOCK EXCHANGE
INVOLVED IN STOCK MARKET TRANSACTIONS AT NSE AS A TRADING CLIENT WITHOUT BEING LISTED ON NSE
USED PROCEEDS OF PREFERENTIAL ALLOTMENT FOR STOCK MARKET TRANSACTIONS WHICH WERE NOT RELATED TO CORE BUSINESS ACTIVITIES OF COMPANY
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-JUL-2010 TO 14-JAN-2011
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-JUL-2010 TO 14-JAN-2011
DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 15-JUL-2010 TO 14-JAN-2011
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
05-OCT-2005
|
DIRECTED TO BE RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES AND FROM ASSOCIATING IN SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR A PERIOD OF SIX MONTHS FROM THE DATE OF THIS ORDER
DIRECTION ISSUED VIDE AD INTERIM EX-PARTE ORDER DATED 05/10/2005 REVOKED VIDE ORDER DATED 28/07/2010
|
| 137 |
|
|
DEEPAK THAKKAR
(PAN:AAAPT5512C)
|
|
|
FACILITATED NIRMAL KOTECHA IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS, CARRYING OUT AND DISGUISING MANIPULATIVE INTENT AND GAINED ADVANTAGE FROM FORGERY IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
DIRECTED TO DISGORGE RS.20,75,859
23-APR-2009
|
EX-PARTE INTERIM ORDER DATED 23/04/2009 CONFIRMED VIDE ORDER DATED 28/01/2010
SAT: SAT VIDE ITS ORDER DATED 17/02/2012 ALLOWED DISPOSAL OF 40000 SHARES OF SPEEDY MULTIMODES LTD. AN UNLISTED COMPANY
SEBI VIDE ITS ORDER DATED 23/06/2020 REVOKED DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 23/04/2009 AND DIRECTED TO DISGORGE RS.20,75,858.50 ALONG WITH INTEREST @12% P.A. FROM 22/12/2008 TILL THE DATE OF ACTUAL PAYMENT WITHIN 45 DAYS FROM DATE OF THIS ORDER
|
| 138 |
|
|
DESHRAJ JAT
|
|
|
|
MEGHA TRADERS
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
AD-INTERIM EX-PARTE ORDER DATED 23/04/2009 CONFIRMED VIDE ORDER DATED 12/01/2010
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 139 |
|
|
DEVANATHAN SUNDARARAJAN
(PAN:AAVPS8671G)
|
|
|
MISLED INVESTORS BY MAKING FALSE ANNOUNCEMENTS OF SUCCESSFUL SUBSCRIPTION OF GDRS OF CALS REFINERIES LTD.
DID NOT MAKE DISLOSURE OF RELATED PARTY TRANSACTION TO SEBI IN MATTER OF ISSUANCE OF GDRS OF CALS REFINERIES LTD.
DID NOT CO-OPERTAE WITH SEBI IN ITS INVESTIGATION IN MATTER OF ISSUANCE OF GDRS OF CALS REFINERIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-DEC-2014 TO 30-DEC-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2014 TO 30-DEC-2024
DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT WITH INDIAN SECURITIES AS UNDERLYING, IN ANY MANNER WHATSOEVER FROM 31-DEC-2014 TO 30-DEC-2024
31-DEC-2014
|
SAT: APPEAL DISMISSED. NO COSTS
|
| 140 |
|
|
DEVANG D.MASTER
|
|
|
MISLED SHAREHOLDERS AND INVESTORS BY MAKING DECLARATION OF RIGHTS/PREFERENTIAL ISSUE IN MATTER OF EMPOWER INDUSTRIES (INDIA) LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10 AND 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF EMPOWER INDUSTRIES (INDIA) LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF EMPOWER INDUSTRIES (INDIA) LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING AS REQUIRED UNDER REGULATION 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF EMPOWER INDUSTRIES (INDIA) LTD.
|
IMPOSED PENALTY RS.1,00,00,000
24-DEC-2014
|
SAT: SAT VIDE ITS ORDER DATED 23/04/2014 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 31/01/2013 AND REMANDED THE MATTER TO SEBI FOR FRESH ADJUDICATION AFTER AFFORDING REASONABLE OPPORTUNITY TO THE APPELLANT. NO COSTS
SEBI VIDE ITS ORDER DATED 24/12/2014 IMPOSED A PENALTY OF RS.1,00,00,000.00 (RS.20,00,000.00 U/S 15HA, RS.75,00,000.00 U/S 15H(II), RS.5,00,000.00 U/S 15A(B)) FOR VIOLATION OF REGULATIONS 3 (B), 3 (C), 3 (D) AND 4 (1), 4 (2), (D), 4(2)(E), 4(2)(K), AND 4(2) (R ) OF PFUTP REGULATIONS, REGULATION 7(1A) READ WITH REGULATION 7(2) OF SAST REGULATIONS AND REGULATION 13(4) READ WITH REGULATION 13(5) OF PIT REGULATIONS
SAT: APPEAL DISMISSED. NO COSTS
|
| 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 7 of 43
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