| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1421 |
|
UPENDRA SINGH RAJPUT
(PAN:CLGPS4925M
DIN:06556531)
|
|
|
|
CAPITAL STROKE INVESTMENT SERVICES PVT.LTD.
PAN:AAFCC1815M
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
CHARGED UNREASONABLE, ARBITRARILY AND INCONSISTENT FEE
SOLD ADVISORY SERVICES/PACKAGES OVERLAPPING SUBSCRIPTION PERIOD WITH HUGE AMOUNT OF FEES
LOCKED CLIENTS BY ADVANCE FEE FOR SALE OF PRODUCTS WITHOUT REFUND
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-AUG-2021 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-AUG-2021 UNTIL FURTHER ORDERS
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 27-AUG-2021 UNTIL FURTHER ORDERS
CEASED TO SOLICIT OR UNDERTAKE INVESTMENT ADVISORY ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 27-AUG-2021 UNTIL FURTHER ORDERS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 27-AUG-2021 UNTIL FURTHER ORDERS
DIRECTED TO IMMEDIATELY REMOVE ALL CONTENTS FROM ITS WEBSITE AND DISPLAY ONLY CONTENT IN ITS WEBSITE THAT SEBI HAS PASSED VIDE ITS ORDER
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
27-AUG-2021
|
SEBI VIDE ITS ORDER DATED 08/06/2022 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 27/08/2021
|
| 1422 |
|
|
UTTAM ACHARJEE
(DIN:05112214
PAN:AHRPA3277H)
|
|
|
|
JEEVAN SURAKSHA REAL ESTATE LTD.
CIN:U70101AS2004PLC007570
PAN:AABCJ6757B
|
|
MOBILIZED RS.10.00 CRORES FROM PUBLIC THROUGH ISSUANCE OF 10,000 EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 65 INVESTORS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956
|
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 15-NOV-2017 TO 14-NOV-2021
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 15-NOV-2017 TO 14-NOV-2021
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-NOV-2017 TO 14-NOV-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-NOV-2017 TO 14-NOV-2021
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 15-NOV-2017 TO 14-NOV-2021
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 15-NOV-2017 TO 14-NOV-2021
20-MAY-2016
|
SEBI VIDE ITS ORDER DATED 15/11/2017 DIRECTED TO A) PERMITTED TO SELL ASSETS OF THE COMPANY AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK B) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND C) FILE CERTIFICATE OF SUCH COMPLETION OF WITH SEBI CERTIFIED BY TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION D) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS E) RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR A PERIOD OF FOUR YEARS FROM THE DATE OF COMPLETION OF REFUNDS TO INVESTORS
|
| 1423 |
|
|
UTTAM ACHARJEE
(DIN:05112214
PAN:AHRPA3277H)
|
|
|
|
JEEVAN SURAKSHA REAL ESTATE LTD.
CIN:U70101AS2004PLC007570
PAN:AABCJ6757B
|
|
MOBILIZED RS.6.30 CRORES FROM PUBLIC THROUGH ISSUANCE OF 6,30,100 REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 299 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36) AND 73 OF THE COMPANIES ACT, 1956 AND THE DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH ICDR REGULATIONS, 2009
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 16-MAR-2016 TO 15-MAR-2020
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-MAR-2016 TO 15-MAR-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-MAR-2016 TO 15-MAR-2020
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 16-MAR-2016 TO 15-MAR-2020
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 16-MAR-2016 TO 15-MAR-2020
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 16-MAR-2016 TO 15-MAR-2020
13-MAR-2015
|
SEBI VIDE ITS ORDER DATED 16/03/2016 DIRECTED TO A) JOINTLY AND SEVERALLY, REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF PREFERENCE SHARES/ REDEEMABLE PREFERENCE SHARES (RPS) WITH INTEREST @ 15% P.A. COMPOUNDED AT HALF YEARLY INTERVALS FROM THE DATE WHEN REPAYMENTS BECAME DUE TO INVESTORS TILL DATE OF ACTUAL PAYMENT THROUGH BANK DEMAND DRAFT OR PAY ORDER B) PERMITTED TO SELL ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUNDS INCLUDING INTEREST AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK C) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR D) RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY AND ARE ALSO RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
SEBI VIDE ITS NOTICE DATED 31/03/2022 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
|
| 1424 |
|
|
UTTAM CHAKRABORTY
(PAN:AARPU7743H)
|
|
|
|
GOLDEN LIFE AGRO INDIA LTD.
PAN:AADCG9933C
|
|
ENGAGED IN FUND MOBILISING ACTIVITY FROM PUBLIC THROUGH ISSUANCE OF NON CONVERTIBLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73, 117B, 117C READ WITH SECTION 465 OF COMPANIES ACT, 2013 AND DEBT SECURITIES REGULATIONS
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 07-JAN-2015 TO 06-JAN-2019
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 07-JAN-2015 TO 06-JAN-2019
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 07-JAN-2015 TO 06-JAN-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 07-JAN-2015 TO 06-JAN-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-JAN-2015 TO 06-JAN-2019
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 07-JAN-2015 TO 06-JAN-2019
15-MAY-2014
|
SEBI VIDE ITS ORDER DATED 07/01/2015 DIRECTED TO A) REFUND MONEY COLLECTED THROUGH ILLEGAL AND IRREGULAR OFFER AND ALLOTMENT OF NCDS TILL DATE, WITH INTEREST OF 15% P.A.(B) RESTRAINED COMPANY FROM DISPOSING OF OR ALIENATING OR ENCUMBERING ASSETS WITHOUT PREVIOUS LEAVE OF SEBI AND DIRECTED COMPANY /PETITIONERS TO CAUSE ALL OR ANY OF ASSETS OR PROPERTIES TO BE SOLD UNDER AEGIS OF SEBI UNDER ANY ASSET SALE COMMITTEE THAT MAY BE SET UP BY SEBI FOR PURPOSE OF REFUNDING OF MONEY TO DEPOSITORS, DIRECTED COMPANY TO HANDOVER ALL ORIGINAL DOCUMENTS OF PROPERTIES AND PEACEFUL POSSESSION OF PROPERTIES AND POSSESSION OF SALEABLE MOVABLE ASSETS AND INVENTORY OF ALL ITS ASSETS, TO SUCH ASSET SALE COMMITTEE. C) PROCEEDS OF SUCH SALE SHALL BE KEPT WITH ESCROW AGENT WHO SHALL PREFERABLY BE A SCHEDULED COMMERCIAL BANK OR AN ARC OR AN INSTITUTION , WHO WOULD RELEASE FUNDS TO DEBENTURE HOLDERS/ INVESTORS WITH SUPERVISION OF ASSET SALE COMMITTEE D) ASSET SALE COMMITTEE SHALL CAUSE A PUBLIC NOTICE TO BE ISSUED, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) WITH WIDE CIRCULATION AND ALSO A VERNACULAR DAILY (BENGALI LANGUAGE), DETAILING MODALITIES FOR REFUND, INCLUDING DETAILS OF CONTACT PERSONS INCLUDING NAMES, ADDRESSES AND CONTACT DETAILS, WITHIN FIFTEEN DAYS OF THIS ORDER E) DIRECTED NOT TO ACCESS CAPITAL MARKET AND FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET FROM DATE OF ORDER TILL EXPIRY OF 4 YEARS
SEBI VIDE ITS ORDER DATED 07/01/2015 DIRECTED TO TIPU SULTAN, MR. BISWANATH MONDAL, MR. SUBHAS SARKAR, MR. NIRJAL PAL, MR. SWAPAN SADHUKHAN, MR. CHANDAN DEBNATH AND MR. UTTAM CHAKRABORTY ARE RESTRAINED FROM ASSOCIATING THEMSELVES, AS A DIRECTOR OR A PROMOTER, WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, FROM THE DATE OF THIS ORDER TILL EXPIRY OF 4 YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
|
| 1425 |
|
|
UTTAM GHOSH
(PAN:BBWPG4454J)
|
|
|
|
SUBHA COMMERCIAL SERVICES LTD.
PAN:AAQCS2617C
|
|
MOBILIZED RS.65.67 LACS FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 850 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH SECTIONS 2(36) AND 73 OF THE COMPANIES ACT, 1956 AND ISSUE AND LISTING OF NON-CONVERTIBLE REDEEMABLE PREFERENCE SHARES REGULATIONS, 2013
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 22-MAR-2016 TO 21-MAR-2020
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAR-2016 TO 21-MAR-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAR-2016 TO 21-MAR-2020
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 22-MAR-2016 TO 21-MAR-2020
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 22-MAR-2016 TO 21-MAR-2020
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 22-MAR-2016 TO 21-MAR-2020
08-MAY-2015
|
SEBI VIDE ITS ORDER DATED 22/03/2016 DIRECTED TO A) JOINTLY AND SEVERALLY, REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF PREFERENCE SHARES/ REDEEMABLE PREFERENCE SHARES (RPS) WITH INTEREST @ 15% P.A. COMPOUNDED AT HALF YEARLY INTERVALS FROM THE DATE WHEN REPAYMENTS BECAME DUE TO INVESTORS TILL DATE OF ACTUAL PAYMENT THROUGH BANK DEMAND DRAFT OR PAY ORDER B) PERMITTED TO SELL ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUNDS INCLUDING INTEREST AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK C) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND D) RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY AND ARE ALSO RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
|
| 1426 |
|
|
VADAKKEN RAPHAEL
(PAN:ABRPV9567B
DIN:02028276)
|
|
|
|
CANNING INDUSTRIES COCHIN LTD.,THE
CIN:U01122KL1947PLC000257
DIN:00000257
PAN:AAACC9788Q
|
|
MOBILIZED RS.283.50 LACS FROM PUBLIC THROUGH ISSUANCE OF 1,13,400 FULLY CONVERTIBLE DEBENTURES (FCDS) BY WAY OF PRIVATE PLACEMENT TO 335 INVESTORS VIOLATING SECTION 42 OF THE COMPANIES ACT, 2013 READ WITH RULE 14(2) OF THE COMPANIES (PROSPECTUS AND ALLOTMENT OF SECURITIES) RULES, 2014 AND ICDR REGULATIONS, 2009
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 18-MAR-2019 TO 17-MAR-2023
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 18-MAR-2019 TO 17-MAR-2023
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 18-MAR-2019 TO 17-MAR-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-MAR-2019 TO 17-MAR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-MAR-2019 TO 17-MAR-2023
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 18-MAR-2019 TO 17-MAR-2023
09-AUG-2017
|
SEBI VIDE ITS ORDER DATED 12/07/2018 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 09/08/2017
SAT: SAT VIDE ITS ORDER DATED 18/12/2018 CONDONED THE DELAY OF 12 DAYS IN FILING OF APPEAL. COUNSEL FOR SEBI WILL TO RELOOK AT ENTIRE ISSUE AFRESH AND AFTER HEARING ALL THE CONCERNED PARTIES WILL PASS FRESH ORDER WITHIN THREE MONTHS FROM DATE OF THIS ORDER. NO COSTS
|
| 1427 |
|
|
VAIBHAV PATIL
(PAN:BGLPP6889C)
|
|
|
|
PROWISE CAPITAL
PAN:AASFP2716Q
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 14-JUN-2021 TO 13-JUN-2023
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 14-JUN-2021 TO 13-JUN-2023
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 14-JUN-2021 TO 13-JUN-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-JUN-2021 TO 13-JUN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-JUN-2021 TO 13-JUN-2023
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 14-JUN-2021 TO 13-JUN-2023
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 14-JUN-2021 TO 13-JUN-2023
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
27-JUL-2020
|
SEBI VIDE ITS ORDER DATED 14/06/2021 DIRECTED TO A) REFUND THE MONEY RECEIVED FROM CLIENTS/INVESTORS/COMPLAINT AS FEES OR COMPENSATION OR IN ANY OTHER FORM IN RESPECT OF ITS UNREGISTERED INVESTMENT ADVISORY ACTIVITIES B) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING MODALITIES FOR REFUND C) REPAYMENTS TO THE CLIENTS/INVESTORS SHALL BE EFFECTED ONLY THROUGH BANK DEMAND DRAFT OR PAY ORDER OR ELECTRONIC FUND TRANSFER OR THROUGH ANY OTHER APPROPRIATE BANKING CHANNELS D) NOT TO SELL ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS. FURTHER, THE BANKS ARE DIRECTED TO ALLOW DEBIT ONLY FOR THE PURPOSE OF MAKING REFUNDS TO THE CLIENTS/INVESTORS WHO WERE AVAILING THE INVESTMENT ADVISORY SERVICES E) FILE REPORT OF SUCH COMPLETION WITH SEBI DULY CERTIFIED FROM INDEPENDENT CHARTERED ACCOUNTANTS F) DEBARRED FROM ACCESSING THE SECURITIES MARKET DIRECTLY OR INDIRECTLY AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER, FOR A PERIOD OF TWO YEARS FROM THE DATE OF THIS ORDER OR TILL THE EXPIRY OF TWO YEARS FROM THE DATE OF COMPLETION OF REFUNDS TO INVESTORS G) RESTRAINED FROM ASSOCIATING WITH ANY COMPANY WHOSE SECURITIES ARE LISTED ON A RECOGNIZED STOCK EXCHANGE AND ANY COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI IN ANY CAPACITY FOR A PERIOD OF TWO YEARS FROM THE DATE OF COMPLETION OF REFUNDS TO INVESTORS H) NOT TO UNDERTAKE, EITHER DURING OR AFTER THE EXPIRY OF THE PERIOD OF DEBARMENT/RESTRAINT, EITHER DIRECTLY OR INDIRECTLY, INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN THE SECURITIES MARKET WITHOUT OBTAINING A CERTIFICATE OF REGISTRATION FROM SEBI AS REQUIRED UNDER THE SECURITIES LAW
SEBI VIDE ITS NOTICE DATED 30/11/2023 DIRECTED TO PAY RS.2,49,99,455.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 1428 |
|
|
VAIBHAV RAMACHANDRA PATIL
(PAN:BAYPP4608L)
|
|
|
|
VRP CAPITAL & DERIVATIVE MARKET SERVICES
PAN:BAYPP4608L
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 30-MAR-2022 TO 29-SEP-2022
DIRECTED TO CEASE & DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR RESEARCH ANALYST AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 30-MAR-2022 TO 29-SEP-2022
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 30-MAR-2022 TO 29-SEP-2022
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 30-MAR-2022 TO 29-SEP-2022
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-MAR-2022 TO 29-SEP-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-MAR-2022 TO 29-SEP-2022
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO SUBMIT NUMBER AND DETAILS OF CLIENTS WHO HAVE AVAILED THEIR INVESTMENT ADVISORY SERVICES
DIRECTED TO SUBMIT LIST OF CLIENTS AND FEE COLLECTED FROM THEM
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 30-MAR-2022 TO 29-SEP-2022
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 30-MAR-2022 TO 29-SEP-2022
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO DEACTIVATE ACCOUNT WITH PAYMENT GATEWAY PAYUMONEY/PHONEPE/PAYTM ETC.
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
15-DEC-2020
|
SEBI VIDE ITS ORDER DATED 30/03/2022 DIRECTED TO A) REFUND THE MONEY RECEIVED FROM COMPLAINTS/INVESTORS, AS FEES OR CONSIDERATION OR IN ANY OTHER FORM, IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES WITHIN THREE MONTHS FROM DATE OF THIS ORDER B) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING MODALITIES FOR REFUND INCLUDING DETAILS OF CONTACT PERSON NAMES, ADDRESSES AND CONTACT DETAILS WITHIN 15 DAYS OF COMING FORCE OF THIS ORDER C) REPAYMENTS TO COMPLAINTS/INVESTORS TO BE EFFECTED ONLY IN CASH THROUGH BANK DEMAND DRAFT OR PAY ORDER OR ELECTRONICS FUND TRANSFER D) PREVENTED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED. FURTHER, DIRECTED BANK TO ALLOW DEBIT ONLY FOR THE PURPOSE OF MAKING REFUNDS TO THE CLIENTS/INVESTORS/COMPLAINTS WHO WERE AVAILING THE INVESTMENT ADVISORY SERVICES E) FILE REPORT OF SUCH COMPLETION WITH SEBI DULY CERTIFIED FROM INDEPENDENT CHARTERED ACCOUNTANTS F) DEBARRED FROM ACCESSING SECURITIES MARKET DIRECTLY OR INDIRECTLY AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR SIX MONTHS FROM DATE OF COMPLETION OF REFUNDS TO COMPLAINTS/INVESTORS G) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, INVESTMENT ADVISORY SERVICES OR ANY OTHER ACTIVITY IN THE SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
| 1429 |
|
|
VALERIAN LOUIS MENDANHA
(PAN:ANOPM8570A)
|
|
|
|
MSS TRADING SYSTEM CENTRE
PAN:ANOPM8570A
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
|
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS PORTFOLIO MANAGER, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 18-AUG-2022 TO 17-FEB-2023
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-AUG-2022 TO 17-FEB-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-AUG-2022 TO 17-FEB-2023
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 18-AUG-2022 TO 17-FEB-2023
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 18-AUG-2022 TO 17-FEB-2023
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
29-JUL-2020
|
SEBI VIDE ITS ORDER DATED 18/08/2022 DIRECTED TO A) REFUND THE MONEY RECEIVED FROM ANY COMPLAINTS AND/OR INVESTORS, AS FEES OR CONSIDERATION OR IN ANY OTHER FORM, IN RESPECT OF UNREGISTERED PORTFOLIO MANAGEMENT ACTIVITIES WITHIN THREE MONTHS FROM DATE OF THIS ORDER B) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING MODALITIES FOR REFUND INCLUDING DETAILS OF CONTACT PERSON NAMES, ADDRESSES AND CONTACT DETAILS WITHIN 15 DAYS OF COMING FORCE OF THIS ORDER C) REPAYMENTS TO COMPLAINTS AND/OR INVESTORS, SHALL BE EFFECTED ONLY THROUGH BANK DEMAND DRAFT OR PAY ORDER OR ELECTRONICS FUND TRANSFER D) PREVENTED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED. FURTHER, DIRECTED BANK TO ALLOW DEBIT ONLY FOR THE PURPOSE OF MAKING REFUNDS TO THE COMPLAINTS AND/OR INVESTORS, WHO WERE AVAILING THE PORTFOLIO MANAGEMENT SERVICES E) FILE REPORT OF SUCH COMPLETION WITH SEBI DULY CERTIFIED FROM INDEPENDENT CHARTERED ACCOUNTANT F) DEBARRED FROM ACCESSING SECURITIES MARKET DIRECTLY OR INDIRECTLY AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR SIX MONTH FROM DATE OF COMPLETION OF REFUNDS TO COMPLAINTS/INVESTORS G) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, PORTFOLIO MANAGEMENT SERVICES OR ANY ACTIVITY IN THE SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
SAT: SAT VIDE ITS ORDER DATED 12/12/2022 RECALLED THE ORDER DATED 10/11/2022
|
| 1430 |
|
|
VASUDEVAN BALAJI
(DIN:06860167)
|
|
|
|
MADURAI RURAL DEVELOPMENT BENEFIT FUND (INDIA) LTD.
|
|
|
MADURAI RURAL DEVELOPMENT TRANSFORMATION INDIA LTD.
CIN:U65192TN2009PLC070583
|
|
MOBILIZED RS.4.99 CRORES FROM PUBLIC THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 1,464 INVESTORS VIOLATING SECTIONS 56 (1), 56(3), 60 AND 73 OF THE COMPANIES ACT, 1956, SECTIONS 29,33 (1) AND 40 OF COMPANIES ACT, 2013 AND REGULATIONS 4,5,6,7,8,9,25,26,32,36,37,46,47,49,57,58,59 AND 63 OF ICDR REGULATIONS
MOBILIZED RS.33.12 LACS FROM PUBLIC THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 1,104 INVESTORS VIOLATING SECTIONS 56 (1), 56(3), 60 AND 73 OF THE COMPANIES ACT, 1956, SECTIONS 29,33 (1) AND 40 OF THE COMPANIES ACT, 2013 AND REGULATIONS 4,5,6,7,8,9,25,26,32,36,37,46,47,49, 57,58,59 AND 63 OF ICDR REGULATIONS
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 17-JUL-2015 TO 16-JUL-2018
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 17-JUL-2015 TO 16-JUL-2018
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 17-JUL-2015 TO 16-JUL-2018
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-JUL-2015 TO 16-JUL-2018
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JUL-2015 TO 16-JUL-2018
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 17-JUL-2015 TO 16-JUL-2018
27-OCT-2014
|
SEBI VIDE ITS ORDER DATED 17/07/2015 DIRECTED TO A) JOINTLY AND SEVERALLY, REFUND RS.5,32,34,400 COLLECTED THROUGH ALLOTMENT OF SHARES (I.E.RS.4,99,22,400 COLLECTED BY MRDT AND RS.33,12,000 COLLECTED BY MRDF) ALONG WITH INTEREST @ 15% P.A. FROM DATE OF RECEIPT OF MONEY TILL THE DATE OF SUCH REFUND, WITHIN TIME B) PRODUCE DOCUMENTARY EVIDENCE TO SHOW THAT ONLY RS.1,99,24,200 ARE PAYBLE TO PUBLIC AND BALANCE RS.2,99,98,200 (I.E.RS.4,99,22,400 – RS.1,99,24,200) RAISED BY MRDT FROM ISSUANCE OF EQUITY SHARES TO PUBLIC HAVE BEEN REFUNDED/REPAID BY PROMOTERS OF MRDT. C) FILE A CERTIFICATE OF SUCH COMPLETION WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION D) RESTRAINED FROM, DIRECTLY OR INDIRECTLY, ACCESSING CAPITAL MARKET BY ISSUING PROSPECTUS, ANY OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND ARE FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR A PERIOD OF THREE YEARS OR TILL THE DATE OF REFUND OF MONEY TO ALLOTTEES
SEBI VIDE ITS ORDER DATED 17/07/2015 DIRECTED TO RESTRAINED FROM ASSOCIATING THEMSELVES, WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, FOR A PERIOD OF THREE YEARS OR TILL THE DATE OF REFUND OF MONEY TO ALLOTTEES
|
| 1431 |
|
|
VERINDER BHANOT
|
|
|
MOBILIZED RS.7.05 LACS THROUGH ISSUANCE OF COMPULSORILY CONVERTIBLE PREFERENCE SHARES (CCPS) BY WAY OF PRIVATE PLACEMENT TO 1988 INVESTORS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956 AND THE ICDR REGULATIONS, 2009
|
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 20-MAY-2015 UNTIL FURTHER ORDERS
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 20-MAY-2015 UNTIL FURTHER ORDERS
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 20-MAY-2015 UNTIL FURTHER ORDERS
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 20-MAY-2015 UNTIL FURTHER ORDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-MAY-2015 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-MAY-2015 UNTIL FURTHER ORDERS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
20-MAY-2015
|
SEBI VIDE ITS ORDER DATED 30/03/2017 VACATED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 20/05/2015
|
| 1432 |
|
|
VIDYASAGAR SINGH
(DIN:01096428
PAN:ATTPS0036J)
|
|
|
|
IMAX PROJECTS INDIA LTD.
PAN:AACCI1617C
|
|
MOBILIZED FUNDS THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 2,181 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36) AND 73 OF THE COMPANIES ACT, 1956
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 04-OCT-2017 TO 03-OCT-2021
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-OCT-2017 TO 03-OCT-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-OCT-2017 TO 03-OCT-2021
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 04-OCT-2017 TO 03-OCT-2021
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 04-OCT-2017 TO 03-OCT-2021
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 04-OCT-2017 TO 03-OCT-2021
01-DEC-2015
|
SEBI VIDE ITS ORDER DATED 04/10/2017 DIRECTED TO A) REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF RPS WITH INTEREST @ 15% P.A. FROM EIGHTH DAY OF COLLECTION OF FUNDS TO INVESTORS TILL DATE OF ACTUAL PAYMENT THROUGH BANK DEMAND DRAFT OR PAY ORDER B) TO PROVIDE FULL INVENTORY OF ASSETS & PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF MUTUAL FUNDS/SHARES/SECURITIES, IF HELD IN PHYSICAL AND DEMAT FORM C) PREVENTED FROM SELLING THE COMPANY’S ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED AND DEPOSIT THE PROCEEDS IN AN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK D) PREVENTED FROM SELLING THEIR ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD BY THEM IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED AND DEPOSIT THE PROCEEDS IN AN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK E) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND F) FILE CERTIFICATE OF SUCH COMPLETION OF WITH SEBI CERTIFIED BY TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION G) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS H) RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR A PERIOD OF FOUR YEARS FROM THE DATE OF COMPLETION OF REFUNDS TO INVESTORS
SAT: SAT VIDE ITS ORDER DATED 26/06/2018 CONDONED THE DELAY OF 86 DAYS IN FILING OF APPEAL. DIRECTED APPELLANTS TO FURNISH FULL PARTICULARS RELATING TO AMOUNT ALLEGEDLY REFUNDED TO INVESTORS WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. NO COSTS
|
| 1433 |
|
|
VIJAY KUMAR SHUKLA
(DIN:06420025
PAN:BLHPS3014H)
|
|
|
|
DGR FARMS & LEISURES LTD.
CIN:U01100MP2009PLC022547
PAN:AADCD2895N
|
|
MOBILIZED RS.1.25 CRORES THROUGH ISSUANCE OF CUMULATIVE REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 191 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36) AND 73 OF THE COMPANIES ACT, 1956
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 20-NOV-2017 TO 19-NOV-2021
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-NOV-2017 TO 19-NOV-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-NOV-2017 TO 19-NOV-2021
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 20-NOV-2017 TO 19-NOV-2021
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 20-NOV-2017 TO 19-NOV-2021
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 20-NOV-2017 TO 19-NOV-2021
30-JUL-2015
|
SEBI VIDE ITS ORDER DATED 20/11/2017 DIRECTED TO A) REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF RPS WITH INTEREST @ 15% P.A. FROM EIGHTH DAY OF COLLECTION OF FUNDS TO INVESTORS TILL DATE OF ACTUAL PAYMENT THROUGH BANK DEMAND DRAFT OR PAY ORDER B) TO PROVIDE FULL INVENTORY OF ASSETS & PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF MUTUAL FUNDS/SHARES/SECURITIES, IF HELD IN PHYSICAL AND DEMAT FORM, OF THE COMPANY AND THEIR OWN C) PERMITTED TO SELL ASSETS OF THE COMPANY AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK D) PREVENTED FROM SELLING THEIR ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED AND DEPOSIT THE PROCEEDS IN AN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK E) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND F) FILE CERTIFICATE OF SUCH COMPLETION OF WITH SEBI CERTIFIED BY TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION G) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS H) RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR A PERIOD OF FOUR YEARS FROM THE DATE OF COMPLETION OF REFUNDS TO INVESTORS
|
| 1434 |
|
|
VIJAY LAXMI KATHAIT
(DIN:02548164
PAN:ALLPK5580D)
|
|
|
|
SUKHCHAIN HIRE PURCHASE LTD.
PAN:AAGCS6659C
|
|
MOBILIZED RS.7.47 CRORES FROM PUBLIC THROUGH ISSUANCE OF 74761 NON-CONVERTIBLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT TO 425 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73, 117B AND 117C OF THE COMPANIES ACT, 1956 AND THE DEBT SECURITIES REGULATIONS
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 11-FEB-2015 UNTIL FURTHER ORDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-FEB-2015 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-FEB-2015 UNTIL FURTHER ORDERS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 11-FEB-2015 UNTIL FURTHER ORDERS
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 11-FEB-2015 UNTIL FURTHER ORDERS
11-FEB-2015
|
SEBI VIDE ITS ORDER DATED 07/06/2016 VACATED ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 11/02/2015 AND DISPOSED OFF THE SHOW CAUSE NOTICE WITHOUT ANY DIRECTIONS
|
| 1435 |
|
|
VIJAY THAKUR
(PAN:BEVPT8718L)
|
|
|
|
MONEY CAPITAL INVESTMENT
PAN:BEVPT8718L
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 29-SEP-2022 TO 28-MAR-2023
DIRECTED TO CEASE & DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR RESEARCH ANALYST AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 29-SEP-2022 TO 28-MAR-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-SEP-2022 TO 28-MAR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-SEP-2022 TO 28-MAR-2023
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 29-SEP-2022 TO 28-MAR-2023
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 29-SEP-2022 TO 28-MAR-2023
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 29-SEP-2022 TO 28-MAR-2023
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NOT TRANSFERRED SECURITIES HELD JOINTLY OR SEVERALLY
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
07-FEB-2020
|
SEBI VIDE ITS ORDER DATED 29/09/2022 DIRECTED TO A) REFUND THE MONEY RECEIVED FROM THE CLIENTS/ INVESTORS, AS FEES/COMPENSATION OR IN ANY OTHER FORM, IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES WITHIN THREE MONTHS FROM DATE OF THIS ORDER B) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING MODALITIES FOR REFUND INCLUDING DETAILS OF CONTACT PERSON NAMES, ADDRESSES AND CONTACT DETAILS WITHIN 15 DAYS OF COMING INTO FORCE OF THIS ORDER C) REPAYMENTS TO CLIENTS/INVESTORS, SHALL BE EFFECTED ONLY THROUGH BANK DEMAND DRAFT OR PAY ORDER OR ELECTRONICS FUND TRANSFER D) RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED. FURTHER, DIRECTED BANK TO ALLOW DEBIT ONLY FOR THE PURPOSE OF MAKING REFUNDS TO THE CLIENTS/INVESTORS, WHO WERE AVAILING THE INVESTMENT ADVISORY SERVICES E) FILE REPORT OF SUCH COMPLETION WITH SEBI DULY CERTIFIED FROM INDEPENDENT CHARTERED ACCOUNTANT F) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR A PERIOD OF SIX MONTHS FROM DATE OF COMPLETION OF REFUNDS TO CLIENTS/INVESTORS G) CEASE AND DESIST FROM ACTING AS INVESTMENT ADVISOR INCLUDING THE ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITY OR ANY OTHER ACTIVITIES IN SECURITIES MARKET, WITHOUT OBTAINING A CERTIFICATE OF REGISTRATION FROM SEBI H) DURING THE PERIOD OF RESTRAINT, FREEZED EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS
SEBI VIDE ITS NOTICE DATED 14/09/2023 DIRECTED TO PAY RS.59,50,616.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 1436 |
|
|
VIJINATH NAGAPPA LATURE
(PAN:AAIPL4725B)
|
|
|
|
LOKMANGAL AGRO INDUSTRIES LTD.
PAN:AAACL7933N
CIN:U01122PN1998PLC012974
|
|
MOBILIZED RS.74.82 CRORES FROM PUBLIC THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 4751 INVESTORS VIOLATING SECTION 67(3) OF THE COMPANIES ACT, 1956 AND THE DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH ICDR REGULATIONS, 2009
|
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 16-MAY-2018 TO 15-MAY-2022
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 16-MAY-2018 TO 15-MAY-2022
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-MAY-2018 TO 15-MAY-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-MAY-2018 TO 15-MAY-2022
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 16-MAY-2018 TO 15-MAY-2022
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 16-MAY-2018 TO 15-MAY-2022
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
01-AUG-2016
|
SEBI VIDE ITS ORDER DATED 16/05/2018 DIRECTED TO A) REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF EQUITY SHARES WITH INTEREST @ 15% P.A. FROM EIGHTH DAY OF COLLECTION OF FUNDS TO INVESTORS TILL DATE OF ACTUAL PAYMENT B) REFUND SHALL BE MADE THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT OR ELECTRONIC MODE OF TRANSFER AND SHALL BE SUPPORTED BY PROOF OF TRAIL OF FUNDS CLAIMED TO BE REFUNDED, BANK ACCOUNT STATEMENTS INDICATING REFUND TO THE INVESTORS AND RECEIPT FROM INVESTORS ACKNOWLEDGEING SUCH REFUND C) TO PROVIDE FULL INVENTORY OF ASSETS & PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF MUTUAL FUNDS/SHARES/SECURITIES, IF HELD IN PHYSICAL AND DEMAT FORM D) PREVENTED FROM SELLING THEIR ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED AND DEPOSIT THE PROCEEDS IN AN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK E) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND F) FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI CERTIFIED BY TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION H) RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, TILL THE DIRECTIONS FOR REFUND/REPAYMENT TO INVESTORS FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
SEBI VIDE ITS NOTICE DATED 03/01/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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
|
| 1437 |
|
|
VIKASH JHA
(DIN:06439532
PAN:AJHPJ4757D)
|
|
|
|
ARYAN AGRO PROJECTS INDIA LTD.
CIN:U45400WB2010PLC154241
PAN:AAJCA7392R
|
|
MOBILIZED FUNDS THROUGH ISSUANCE OF SECURED NON-CONVERTIBLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT TO 87 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73 AND 117B-C OF THE COMPANIES ACT, 1956 READ WITH THE DEBT SECURITIES REGULATIONS
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 12-AUG-2015 TO 11-AUG-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-AUG-2015 TO 11-AUG-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-AUG-2015 TO 11-AUG-2019
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 12-AUG-2015 TO 11-AUG-2019
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 12-AUG-2015 TO 11-AUG-2019
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 12-AUG-2015 TO 11-AUG-2019
12-AUG-2015
|
SEBI VIDE ITS ORDER DATED 01/11/2016 DIRECTED TO A) JOINTLY AND SEVERALLY, REFUND THE MONEY COLLECTED THROUGH ISSUE OF NON-CONVERTIBLE REDEEMABLE DEBENTURES (NCDS) WITH INTEREST @ 15% P.A. FROM THE DATE OF RECEIPT OF MONEY TILL DATE OF SUCH REFUND THROUGH BANK DEMAND DRAFT OR PAY ORDER B) TO SUBMIT COMPLETE DETAILS OF ASSETS (ALONGWITH PROOFS THEREOF) CERTIFIED BY A PEER REVIEWED CHARTERED ACCOUNTANT C) PERMITTED TO SELL ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUNDS AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK D) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF ONE ENGLISH NATIONAL DAILY AND ONE VERNACULAR DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND E) FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION F) RESTRAINED FROM, DIRECTLY OR INDIRECTLY, ACCESSING CAPITAL MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND ARE FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER AND ALSO RESTRAINED FROM ASSOCIATING THEMSELVES, WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC FOR A PERIOD OF FOUR YEARS OR TILL DATE OF REFUND OF MONEY TO ALLOTTEES , WHICHEVER IS LATER
SEBI VIDE ITS NOTICE DATED 30/07/2021 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
|
| 1438 |
|
|
VIM CENT PAL
(PAN:BWIPP4358K
DIN:06775851)
|
|
|
|
MAGNOX INFRAPROJECTS LTD.
CIN:U45400WB2011PLC168933
PAN:AAHCM5168P
|
|
MOBILIZED RS.2.31 CRORES FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 2,110 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73 READ WITH SECTION 465 OF COMPANIES ACT, 2013
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 13-AUG-2015 TO 12-AUG-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-AUG-2015 TO 12-AUG-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-AUG-2015 TO 12-AUG-2019
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 13-AUG-2015 TO 12-AUG-2019
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 13-AUG-2015 TO 12-AUG-2019
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 13-AUG-2015 TO 12-AUG-2019
22-AUG-2014
|
SEBI VIDE ITS ORDER DATED 13/08/2015 DIRECTED TO A) FORTHWITH REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF RPS FROM INVESTORS WITH INTEREST @ 15% P.A. COMPOUNDED AT HALF YEARLY INTERVALS FROM DATE OF REPAYMENTS BECAME DUE TO INVESTORS TILL DATE OF ACTUAL PAYMENT THROUGH BANK DEMAND DRAFT OR PAY ORDER B) PERMITTED TO SELL THE ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUND AND DEPOSIT THE PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK C) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND D) FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION E) PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM F) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS CAPITAL MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
|
| 1439 |
|
|
VINAY JAIDEV WASANKAR
(PAN:AALPW3215A)
|
|
|
|
WASANKAR WEALTH MANAGEMENT LTD.
PAN:AAACW8073C
|
|
MOBILIZED RS.12.89 CRORES FROM PUBLIC THROUGH ISSUANCE OF NON-CONVERTIBLE PREFERENCE SHARES (NCPS) BY WAY OF PRIVATE PLACEMENT TO 228 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36) AND 73 READ WITH SECTION 465 OF THE COMPANIES ACT, 2013
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 01-MAR-2018 TO 29-FEB-2032
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-MAR-2018 TO 29-FEB-2032
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-MAR-2018 TO 29-FEB-2032
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 01-MAR-2018 TO 29-FEB-2032
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 01-MAR-2018 TO 29-FEB-2032
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 01-MAR-2018 TO 29-FEB-2032
31-JUL-2014
|
SEBI VIDE ITS ORDER DATED 18/05/2015 DIRECTED TO A) JOINTLY AND SEVERALLY, FORTHWITH REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF NON-CONVERTIBLE PREFERENCE SHARES (NCPS), WITH INTEREST OF 15% P.A. COMPOUNDED AT HALF YEARLY INTERVALS B) REPAY TO INVESTORS SHALL BE EFFECTED ONLY IN CASH THROUGH BANK DEMAND DRAFT OR PAY ORDER C) PERMITTED TO SELL ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUND AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK D) PROVIDE FULL INVENTORY OF ALL ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECRUTIES, IF HELD IN PHYSICAL FORM E) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY AND ALSO RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR INTERMEDIARY REGISTERED WITH SEBI, FROM DATE OF THIS ORDER TILL EXPIRY OF 4 YEARS
SEBI VIDE ITS NOTICE DATED 24/02/2016 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
|
| 1440 |
|
|
VINIT SATPUTE
(DIN:07737200
PAN:EBMPS2703F)
|
|
|
|
BULL RESEARCH INVESTMENT ADVISORS PVT.LTD.
PAN:AAHCB1200H
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
DID NOT ACT WITH DUE SKILL, CARE, DILIGENCE, HONESTY AND IN THE BEST INTEREST OF ITS CLIENT WHILE SELLING INVESTMENT ADVICE APPROPRIATE TO THE CLIENTS’ RISK PROFILE AND ALSO FAILED TO SEEK INFORMATION ABOUT THEIR FINANCIAL SITUATION, INVESTMENT EXPERIENCE AND INVESTMENT OBJECTIVES BEFORE SELLING CERTAIN INVESTMENT ADVICES/SERVICES
OFFERED PRODUCTS/SERVICES WITHOUT ASSESSING APPROPRIATE RISK BEARING CAPACITY OF THE CLIENTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-JAN-2021 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-JAN-2021 UNTIL FURTHER ORDERS
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 25-JAN-2021 UNTIL FURTHER ORDERS
DIRECTED TO CEASE & DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR RESEARCH ANALYST AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 25-JAN-2021 UNTIL FURTHER ORDERS
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 25-JAN-2021 UNTIL FURTHER ORDERS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 25-JAN-2021 UNTIL FURTHER ORDERS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO IMMEDIATELY REMOVE ALL CONTENTS FROM ITS WEBSITE AND DISPLAY ONLY CONTENT IN ITS WEBSITE THAT SEBI HAS PASSED VIDE ITS ORDER
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
25-JAN-2021
|
SEBI VIDE ITS ORDER DATED 30/04/2021 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 25/01/2021
SAT: SAT VIDE ITS ORDER DATED 10/02/2022 CONDONED THE DELAY OF 192 DAYS IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 72 of 74
|
