| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 141 |
|
G.VIJAYA LAXMI
|
|
|
|
RICHIMEN SILKS LTD.
CIN:U18100AP1984PLC005033
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
|
| 142 |
|
|
G.VITTAL
|
|
|
|
RICHIMEN SILKS LTD.
CIN:U18100AP1984PLC005033
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
|
| 143 |
|
|
G.W.COCKBILL
|
|
|
|
HINDUSTAN INDUSTRIAL CHEMICALS LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
08-DEC-2010
|
|
| 144 |
|
|
G.W.SHAW
|
|
|
|
VATSA CORP.LTD.
|
|
ALLEGED FAILURE IN REDRESSAL OF INVESTOR GRIEVANCE
ALLEGED FAILURE IN FURNISHING OF ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
SHOW CAUSE NOTICE ISSUED
06-NOV-2009
|
|
| 145 |
|
|
GAJENDRA NAGPAL
(PAN:AADPN5511A)
|
|
|
|
UNICON SECURITIES PVT.LTD.
CIN:U74899DL1995PTC064554
PAN:AAPFS5325P
(Depository Participants : CDSL,Member : BSE/NSE/MCX/USEIL)
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
FRAUDULENTLY TRANSFERRED CLIENTS’ SECURITIES TO GROUP ENTITIES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DIVERTED FUNDS FOR UTILIZATION BY ITSELF AND ITS GROUP COMPANIES/ASSOCIATE COMPANIES
EXTENDED MARGIN TRADING FACILITY TO ITS CLIENTS WITHOUT OBTAINING REQUISITE APPROVAL FROM STOCK EXCHANGES
DID NOT CARRY OUT ACTUAL PERIODIC SETTLEMENT OF FUNDS AND SECURITIES OF ITS CLIENTS
DID NOT ENSURE DELIVERY OF SECURITIES AND MAKING PAYMENT OF AMOUNTS DUE TO ITS CLIENTS
DID NOT PROVIDE STATEMENTS OF ACCOUNTS IN RESPECT OF FUNDS OF ITS CLIENTS
DID NOT PROVIDE PERIODIC STATEMENT OF TRANSACTIONS IN SECURITIES AND RESULTANT SHAREHOLDING TO THE BENEFICIAL OWNERS OF SUCH SECURITIES
DID NOT HAVE PERIODIC INTERNAL AUDIT CONDUCTED OF ITS STOCK BROKING AND DEPOSITORY PARTICIPANT OPERATIONS
DID NOT OBTAIN PRIOR APPROVAL FROM SEBI FOR THE CHANGE IN MANAGEMENT AND CONTROL
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 26-MAY-2014 TO 25-MAY-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-MAY-2014 TO 25-MAY-2024
15-MAR-2016
|
SAT: SAT VIDE ITS ORDER DATED 02/05/2018 PERMITTED APPEALLANTS TO WITHDRAW THE APPEAL. DIRECTED A) APPELLANTS TO ADDRESS A LETTER ON OR BEFORE 09/05/2018 TO SEBI SETTING OUT IN DETAIL COPIES OF THE DOCUMENTS THAT THEY NEED FOR THESE APPEALS B) SEBI TO FURNISH TO APPELLANTS COPIES OF THE DOCUMENTS SO DEMANDER ON OR BEFORE 30/05/2018 SO.NO COSTS
SAT: SAT VIDE ITS ORDER DATED 26/04/2021 DISMISSED THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 16/02/2022 REJECTED THE REVIEW APPLICATION
|
| 146 |
|
|
GAURISHANKAR C.DAVE
|
|
|
|
GUJARAT SUSPENSION LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-OCT-2003 TO 09-OCT-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-OCT-2003 TO 09-OCT-2008
10-OCT-2003
|
|
| 147 |
|
|
GIRISH D.SHAH
|
|
|
|
MANNA GLASS-TECH INDUSTRIES LTD.
|
|
DID NOT TRANSFER SHARE CERTIFICATES WITHIN STIPULATED TIME
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
03-APR-2001
|
|
| 148 |
|
|
GIRISH KUMAR PAHWANI
(PAN:CILPP0738B)
|
|
|
|
HIGHBROW MARKET RESEARCH PVT.LTD.
PAN:AACCH8077M
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
SOLD MULTIPLE PACKAGES TO CLIENTS WITH THREAT OF FORFEITURE AND CHARGED
UNREASONABLE AND UNDISCLOSED FEE
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE
SPLIT THE FEE AMONG RELATIVES OF CLIENT AND DENIED TO ACKNOWLEDGE CLIENTS EVEN AFTER RECEIVING PAYMENT AND FORCEFULLY CAPTURED CARD DETAILS
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
IMPOSED PENALTY RS.1,00,000
31-MAR-2023
|
SEBI VIDE ITS NOTICE DATED 20/07/2023 DIRECTED TO PAY RS.1,06,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 09/01/2024 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND FILE REJOINDER THREE WEEKS THEREAFTER. DIRECTED APPELLANTS TO DEPOSIT A CHEQUE TO THE RESPONDENT TO THE NEEDFUL AND THE ACCOUNT WILL BE DEFREEZED ONCE THE CHEQUE IS CREDITED TO SEBI’S ACCOUNT
SAT: SAT VIDE ITS ORDER DATED 21/02/2024 GRANTED ADDITIONAL THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 29/04/2024 ALLOWED THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 12/06/2024 GRANTED TWO WEEKS TO FILE REJOINDER
|
| 149 |
|
|
GIRISH SHAH
|
|
|
|
GUJARAT FUN N WATER PARK LTD.
|
|
DID NOT TRANSFER SHARE CERTIFICATES WITHIN STIPULATED TIME
FAILED TO PAY DIVIDENDS TO SHAREHOLDERS
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
27-SEP-2001
|
|
| 150 |
|
|
GOPAL HEDA
|
|
|
|
NAYAGARA PAPER PRODUCTS (INDIA) LTD.
CIN:L21012AP1987PLC008023
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.75,000
30-MAR-2005
|
|
| 151 |
|
|
GOVINDASAMY MARAN
(PAN:AGWPM7938H)
|
|
|
ALLEGED INVESTMENT IN MUTUAL FUNDS CATEGORIZED AS LARGE CAPITAL FUNDS
ALLEGED FAILURE IN MAKING DISCLOSURE TO INVESTORS THE LEVEL OF LEVERAGE ARISING FROM POSITION HELD IN FUTURES
ALLEGED DELAY IN OBTAINING SCORES LOGIN AND PASSWORD
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.49,40,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
01-AUG-2023
|
SEBI VIDE ITS ORDER DATED 18/12/2023 DISPOSED OF THE APPEAL AS THE SETTLEMENT AMOUNT OF RS.49.40 LAC HAS BEEN PAID AS PER THE SETTLEMENT ORDER DATED 01/08/2023 READ WITH ADDENDUM DATED 05/12/2023
|
| 152 |
|
|
GURPREET KAUR DHILLON
|
|
|
|
CHANDIGARH PACKAGING PRODUCTS LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
|
| 153 |
|
|
GURPREET SINGH DHILLON
(PAN:AFQPD5302R)
|
|
|
ALLEGED FAILURE IN WINDING UP ON EXPIRY OF TENURE OF SCHEME OF FUND
ALLEGED INVESTMENT OF MORE THAN 33.33% OF INVESTIBLE FUNDS INTO SPECIAL PURPOSE VEHICLES
ALLEGED FAILURE IN SUBMISSION OF PERIODIC REPORTS
ALLEGED FAILURE IN MAINTENANCE OF BOOKS AND RECORDS
ALLEGED FAILURE IN REDRESSAL OF INVESTOR GRIEVANCE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.35,43,750, LEGAL EXPENSES RS.1,66,500 VIDE CONSENT ORDER)
29-AUG-2024
|
|
| 154 |
|
|
GURPREET SINGH DHILLON
(PAN:AFQPD5302R)
|
|
|
|
VISTAAR CAPITAL ADVISORS LTD.
PAN:AACCV6540K
|
|
DID NOT WINDUP SCHEME OF FUND ON EXPIRY OF TENURE/TERM
DID NOT MAINTAIN BOOKS OF ACCOUNT AND OTHER DOCUMENTS
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT SUBMIT REPORT TO SEBI
|
RESTRAINED FROM ASSOCIATING DIRECTLY OR INDIRECTLY, WITH ANY REGISTERED INTERMEDIARIES INCLUDING SEBI REGISTERED FUNDS SUCH AS MUTUAL FUNDS, ALTERNATIVE INVESTMENT FUNDS, PORTFOLIO MANAGEMENT SERVICES ETC. WHICH DEAL WITH INVESTOR’S MONEY IN ANY MANNER FROM 24-MAY-2023 TO 23-OCT-2023
24-APR-2023
|
SAT: SAT VIDE ITS ORDER DATED 14/06/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS. IN THE MEANWHILE STAYED RESTRAIN ORDER FOR SIX MONTHS TILL NEXT DATE OF LISTING
SAT: SAT VIDE ITS ORDER DATED 30/06/2023 ALLOWED APPELLANT TWO WEEKS TO FILE REJOINDER. INTERIM ORDER, IF ANY, EXTENDED TILL THE NEXT DATE OF LISTING
SAT: SAT VIDE ITS ORDER DATED 01/08/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 24/04/2023. MATTER REMITTED TO WTM TO PASS A FRESH ORDER IN ACCORDANCE WITH LAW
|
| 155 |
|
|
GURUBUX GYANCHAND MOTWANI
|
|
|
|
ROOFIT INDUSTRIES LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-SEP-2017 TILL RESOLVE ALL INVESTOR GRIEVANCE PENDING
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-SEP-2017 TILL RESOLVE ALL INVESTOR GRIEVANCE PENDING
21-SEP-2017
|
|
| 156 |
|
|
H.C.CHUGH
|
|
|
|
MAHADEV AGRO INDUSTRIES LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
|
| 157 |
|
|
H.M.B.MURTHY
|
|
|
|
TOP LINE SHOES LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
13-DEC-2010
|
|
| 158 |
|
|
H.M.G.MURTHY
|
|
|
|
TOP LINE SHOES LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
13-DEC-2010
|
|
| 159 |
|
|
H.S.MARU
|
|
|
|
GUJARAT DEHYD FOODS LTD.
|
|
DID NOT TRANSFER SHARE CERTIFICATES WITHIN STIPULATED TIME
FAILED TO PAY DIVIDENDS TO SHAREHOLDERS
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
27-SEP-2001
|
|
| 160 |
|
|
HANSA J.SHUKLA
|
|
|
|
OJAS TECHNOCHEM PRODUCTS LTD.
|
|
DID NOT TRANSFER SHARE CERTIFICATES WITHIN STIPULATED TIME
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
03-APR-2001
|
|
| 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 8 of 27
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