| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
VIKAS GUPTA
(PAN:AAHPG5644H)
|
|
|
|
PG ELECTROPLAST LTD.
PAN:AACCP9321Q
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PG ELECTROPLAST LTD.
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
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
28-DEC-2011
|
INTERIM DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011 SHALL CONTINUE TILL FURTHER DIRECTIONS AS PER SEBI ORDER DATED 31/10/2012
SEBI VIDE ITS ORDER DATED 11/03/2014 1.PROHIBITED PG ELECTROPLAST LTD. AND ITS PROMOTER DIRECTORS FROM RAISING ANY FURTHER CAPITAL FROM SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR A PERIOD OF TEN YEARS 2. PROHIBITED PG ELECTROPLAST LTD. AND ITS PROMOTER DIRECTORS FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF TEN YEARS 3. PERIOD OF PROHIBITION ALREADY UNDERGONE PURSUANT TO INTERIM ORDER DATED DECEMBER 28, 2011, SHALL BE TAKEN INTO ACCOUNT FOR PURPOSE OF COMPUTING PERIOD OF PROHIBITION IMPOSED IN THIS ORDER
|
| 122 |
|
|
VIKAS JAIN
(PAN:AGUPJ5709M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PG ELECTROPLAST LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
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
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 31/10/2012 REVOKED INTERIM DIRECTIONS ISSUED
VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 123 |
|
|
VISHAL GUPTA
(PAN:AAHPG5643A)
|
|
|
|
PG ELECTROPLAST LTD.
PAN:AACCP9321Q
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PG ELECTROPLAST LTD.
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
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
28-DEC-2011
|
INTERIM DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011 SHALL CONTINUE TILL FURTHER DIRECTIONS AS PER SEBI ORDER DATED 31/10/2012
SEBI VIDE ITS ORDER DATED 11/03/2014 1.PROHIBITED PG ELECTROPLAST LTD. AND ITS PROMOTER DIRECTORS FROM RAISING ANY FURTHER CAPITAL FROM SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR A PERIOD OF TEN YEARS 2. PROHIBITED PG ELECTROPLAST LTD. AND ITS PROMOTER DIRECTORS FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF TEN YEARS 3. PERIOD OF PROHIBITION ALREADY UNDERGONE PURSUANT TO INTERIM ORDER DATED DECEMBER 28, 2011, SHALL BE TAKEN INTO ACCOUNT FOR PURPOSE OF COMPUTING PERIOD OF PROHIBITION IMPOSED IN THIS ORDER
|
| 124 |
|
|
VIVEK JAIN
(PAN:AFKPJ0712M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PG ELECTROPLAST LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
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
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 31/10/2012 REVOKED INTERIM DIRECTIONS ISSUED
VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 125 |
|
|
VIVEK SHARMA
(PAN:ABFPS9096N)
|
|
|
|
BROOKS LABORATORIES LTD.
PAN:AACCB5316P
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-DEC-2011 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
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
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 16/10/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 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 7
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