| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
CALCOM CONSULTANCY SERVICES PVT.LTD.
(PAN:AABCC0899F)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF MURLI INDUSTRIES LTD.
|
IMPOSED PENALTY RS.3,00,000
30-JUL-2013
|
|
| 122 |
|
|
CALCOM REALTY PVT.LTD.
(PAN:AADCC1764B)
|
|
|
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
|
| 123 |
|
|
CAPITAL GROW FINANCIAL SERVICES
(PAN:BAAPG4714Q)
|
|
|
|
PRASHANT GOLE
PAN:BAAPG4714Q
|
|
DID NOT INFORM SEBI ABOUT CHANGE OF ADDRESS
DID NOT OBTAIN MEMBERSHIP FROM BSE ADMINISTRATION & SUPERVISION LTD. (BASL)
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR
15-MAR-2024
|
|
| 124 |
|
|
CAPITAL WAYS INVESTMENT ADVISER
(PAN:AAPPO6194C)
|
|
|
|
DEEPAK OSTWAL
PAN:AAPPO6194C
|
|
REPRESENTATIVES/EMPLOYEES DID NOT HAVE REQUISITE QUALIFICATION AND CERTIFICATION
DETAILS OF THE INVOICES DID NOT MATCH WITH AGREEMENTS
INVOICES GENERATED PRIOR TO ENTERING INTO AGREEMENT WITH THE CLIENTS
DID NOT DO PROPER SUITABILITY ASSESSMENT AND SOLD PRODUCTS BEARING HIGHER RISK THAN RISK CATEGORIES DEFINED BY RISK PROFILE OF CLIENTS
DID NOT MAINTAIN RECORDS OF COMMUNICATION WITH CLIENTS DURING RISK PROFILING AND SUITABILITY ASSESSMENT OF ADVICE/SELECTION OF ADVISORY PRODUCT/SERVICES
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
DID NOT MAINTAIN CALL RECORDINGS OF CLIENTS
FORCED CLIENT TO TAKE ADDITIONAL ADVISORY SERVICES AND MAKE ADDITIONAL PAYMENT
HANDLED CLIENTS DEMAT ACCOUNT
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT PROVIDE TRAINING RELATED TO PREVENTION OF MONEY LAUNDERING ACT, 2002 (PMLA) TO ITS EMPLOYEES
|
SUSPENDED REGISTRATION AS INVESTMENT ADVISER FROM 23-MAY-2025 TO 22-NOV-2025
23-MAY-2025
|
|
| 125 |
|
|
CAPMAN CONPRO PVT.LTD.
(PAN:AADCC0449B)
|
|
|
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
|
| 126 |
|
|
CARDER DISTRIBUTORS PVT.LTD.
(PAN:AAECC8564C)
|
|
|
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
|
|
| 127 |
|
|
CAREFUL CONSULTANTS PVT.LTD.
(PAN:AABCC9538P)
|
|
|
DID NOT PROVIDE INFORMATION TO SEBI
MANIPULATED PRICE IN SCRIP OF AKSHYA FISCAL SERVICES LTD.
|
IMPOSED PENALTY RS.25,000
31-MAY-2007
|
SEBI VIDE ITS NOTICE DATED 13/07/2015 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
|
| 128 |
|
|
CAT TECHNOLOGIES LTD.
(PAN:AABCC9026E)
|
|
|
|
DHADUVAI VENKATRAM
PAN:AFEPD8264J
|
|
|
DHIRAJ KUMAR JAISWAL
PAN:ACLPJ8528K
|
|
|
DINESH KUMAR JAISWAL
PAN:ABSPJ3747J
|
|
|
KESAVA MALLIKARJUNA PRASAD CHIVUKULA
PAN:ADCPC3929K
|
|
INDULGED IN FRAUDULENT ARRANGEMENT TO SUBSCRIPTION OF GDR ISSUE VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(A) TO 3(D) & 4(2)(C), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF GDR ISSUES OF CAT TECHNOLOGIES LTD.
DID NOT PROVIDE CORRECT INFORMATION AND CONCEALED MATERIAL INFORMATION FROM SEBI IN MATTER OF GDR ISSUES OF CAT TECHNOLOGIES LTD.
PROVIDED FALSE INFORMATION AND CONCEALED MATERIAL INFORMATION FROM SEBI IN MATTER OF GDR ISSUES OF CAT TECHNOLOGIES LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS IN ANNUAL REPORT VIOLATING CLAUSE 32 OF LISTNG AGREEMENT READ WITH SECTION 21 OF SCRA ACT, 1956
|
IMPOSED PENALTY RS.12,15,00,000
28-APR-2021
|
|
| 129 |
|
|
CAT TECHNOLOGIES LTD.
(PAN:AABCC9026E)
|
|
|
|
ASHOK KULKARNI
|
|
|
DHADUVAI VENKATRAM
PAN:AFEPD8264J
|
|
|
DHIRAJ KUMAR JAISWAL
PAN:ACLPJ8528K
|
|
|
DINESH KUMAR JAISWAL
PAN:ABSPJ3747J
|
|
|
KESAVA MALLIKARJUNA PRASAD CHIVUKULA
PAN:ADCPC3929K
|
|
INDULGED IN FRAUDULENT ARRANGEMENT WITH VINTAGE AND EURAM TO SUBSCRIBE GDR ISSUE VIOLATING SECTIONS 72(2) READ WITH 77(4) OF COMPANIES ACT READ WITH REGULATION 3 OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES OF CAT TECHNOLOGIES LTD.
SUBMITTED FALSE INFOARMATION TO/CONCEALED INFORMATION FROM SEBI VIOLATING SECTION 11(C) OF SEBI ACT.
INDULGED IN FRAUDULENT ARRANGEMENT TO SUBSCRIPTION OF GDR ISSUE VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(A) TO 3(D) & 4(2)(C), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF GDR ISSUES OF CAT TECHNOLOGIES LTD.
DID NOT PROVIDE CORRECT INFORMATION AND CONCEALED MATERIAL INFORMATION FROM SEBI IN MATTER OF GDR ISSUES OF CAT TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-APR-2019 TO 02-APR-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-APR-2019 TO 02-APR-2024
03-APR-2019
|
SAT: SAT VIDE ITS ORDER DATED 06/10/2021 DISMISSED THE APPEAL
|
| 130 |
|
|
CAUVERY SOFTWARE ENGINEERING SYSTEMS LTD.
|
|
|
|
ANUP SAXENA
|
|
|
DWARKDAS B.NEGANDHI
|
|
|
R.K.KAPUR
|
|
|
U.B.SEGHLAY
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.6,75,000
18-DEC-2003
|
SAT: APPEAL DISMISSED
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 131 |
|
|
CAVALIER SECURITIES LIMITED
(PAN:AAACC6370Q)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF K.C.BOKADIA FILMS LTD.
|
IMPOSED PENALTY RS.1,00,000
21-OCT-2010
|
SEBI VIDE ITS NOTICE DATED 19/06/2014 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 132 |
|
|
CELLWORTH MERCANTILE PVT.LTD.
(PAN:AAECC0376J)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF PG ELECTROPLAST LTD.
|
IMPOSED PENALTY RS.1,00,000
02-AUG-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 133 |
|
|
CEREBRA INTEGRATED TECHNOLOGIES LTD.
(PAN:AAACC5941K)
|
|
|
INDULGED IN MISUTILISATION/ DIVERSION/ MISAPPROPRIATION OF FUNDS AND MISLEADING FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
INDULGED IN MISUTILISATION/ DIVERSION/ MISAPPROPRIATION OF FUNDS AND MISLEADING FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1), 4(2), 33(1), 34(3) AND 48 OF SEBI (LORD) REGULATIONS, 2015
DID NOT OBTAIN PRIOR APPROVAL FROM AUDIT COMMITTEE AND SHAREHOLDERS FOR RELATED PARTY TRANSACTIONS VIOLATING REGULATIONS 23(2), 23(4), 23(9) AND 30 OF SEBI (LORD) REGULATIONS, 2015 READ WITH SEBI CIRCULAR NO. CIR/CFD/ CMD/13/2015 DATED 30/11/2015
DID NOT PROVIDE INFORMATION/DOCUMENTS SOUGHT VIDE SUMMONS
|
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 30-JAN-2025 TO 29-JAN-2030
IMPOSED PENALTY RS.20,00,000
30-JAN-2025
|
SAT: SAT VIDE ITS ORDER DATED 28/04/2025 CONDONED THE DELAY OF 1 DAY IN FILING OF APPEAL. STAYED RECOVERY SUBJECT TO DEPOSIT 50% PENALTY AMOUNT WITH RESPONDENT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND GRANTED RESPONDENT TEN DAYS TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 09/05/2025 GRANTED APPELLANT TWO WEEKS TO FILE REJOINDER
|
| 134 |
|
|
CHARMI INVESTMENTS
|
|
|
|
ATULBHAI HIRALAL SHAH
PAN:ALJPS4966M
|
|
DID NOT FURNISH INFORMATION TO SEBI IN RESPECT OF ADITYA INFOSOFT LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-JUL-2010
|
SAT: APPEAL DISMISSED AS WITHDRAWN
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 135 |
|
|
CHARMS HOLDING PVT.LTD.
(PAN:AACCC9761F)
|
|
|
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
|
| 136 |
|
|
CHAUHAN FINSTOCK
|
|
|
|
ANANDKUMAR P.CHAUHAN
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS AND REVERSAL OF TRADES IN SCRIP OF CLASSIC DIAMOND (INDIA) LTD.
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF CLASSIC DIAMOND (INDIA) LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-APR-2011
|
|
| 137 |
|
|
CHOUDHURY UDYOG
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.30,000
31-MAR-2005
|
|
| 138 |
|
|
CITYON INFRASTRUCTURE PVT.LTD.
(PAN:AADCC6582H)
|
|
|
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
|
| 139 |
|
|
CLASSIC CONSULTANCY
|
|
|
|
RAJIV RAMESHCHANDRA SHAH
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.2,00,000
17-MAY-2005
|
SEBI VIDE ITS NOTICE DATED 02/01/2015 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
|
| 140 |
|
|
CLASSIC FINANCE
|
|
|
ALLEGED FAILURE IN APPEARING PERSONALLY AND/OR PROVIDING NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF DENIM ENTERPRISES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
19-JAN-2011
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 7 of 43
|
