| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 141 |
|
DEVANG R.SHAH
(PAN:BHDPS2264K)
|
|
|
FORGERY IN SEBI LETTER TO MISLED MEDIA TO BELIEVE IN AUTHENTICITY OF INFORMATION CIRCULATED TO THEM IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-MAR-2021
|
|
| 142 |
|
|
DEVANG R.SHAH
(PAN:BHDPS2264K)
|
|
|
FORGERY IN SEBI LETTER TO MISLED MEDIA TO BELIEVE IN AUTHENTICITY OF INFORMATION CIRCULATED TO THEM IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
DIRECTED TO DISGORGE RS.3,58,548
22-MAR-2018
|
SEBI VIDE ITS ORDER DATED 22/03/2012 DIRECTED TO JOINTLY AND SEVERALLY PAY RS.358,548.39.00 ALONGWITH INTEREST @12% P.A. FROM 22/12/2008 ONWARDS WITHIN 45 DAYS FROM DATE OF THIS ORDER
SAT: APPEAL DISMISSED
|
| 143 |
|
|
DEVENDRA PAINTER
|
|
|
|
GIRISH HOTEL,RESORTS & HEALTH FARM LTD.
|
|
SUBMITTED FORGED NOCS PURPORTED TO HAVE BEEN ISSUED BY SEBI
|
PROHIBITED FROM RAISING MONEY FROM PUBLIC FROM 04-MAR-1998 TO 03-MAR-2003
06-MAR-1998
|
|
| 144 |
|
|
DHARMENDRA
(PAN:CGMPD0771M)
|
|
|
INDULGED IN SENDING BULK SMS WITH TRADING RECOMMENDATIONS IN MATTER OF KALPA COMMERCIAL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-APR-2018 UNTIL FURTHER ORDERS
CEASED AND DESIST FROM DISSEMINATING NEWS OR MESSAGES IN ANY FORM RELATED TO SECURITIES MARKET, BY ANY MEANS WHATSOEVER FROM 27-APR-2018 UNTIL FURTHER ORDERS
27-APR-2018
|
SEBI VIDE ITS ORDER DATED 26/09/2018 REVOKED ITS DIRECTION ISSUED VIDE ITS INTERIM ORDER DATED 27/04/2018
|
| 145 |
|
|
DHARMENDRA KOTHARI
|
|
|
|
KOTSONS IMPEX PVT.LTD.
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
AD-INTERIM EX-PARTE ORDER DATED 23/04/2009 CONFIRMED VIDE ORDER DATED 12/01/2010
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 146 |
|
|
DHARMESH ASHWIN SUKHADIA
(PAN:ABFPS0273F)
|
|
|
|
PARAMOUNT PRINTPACKAGING LTD.
CIN:L22200MH2006PLC160735
PAN:AADCP8527D
|
|
MADE FALSE, MISLEADING, DECEPTIVE AND MANIPULATIVE DISCLOSURES IN IPO PROSPECTUS OF PARAMOUNT PRINTPACKAGING LTD.
|
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 16-MAR-2020 TO 15-MAR-2025
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 16-MAR-2020 TO 15-MAR-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
16-MAR-2020
|
|
| 147 |
|
|
DHARMESH ASHWIN SUKHADIA
(PAN:ABFPS0273F)
|
|
|
MADE FALSE, MISLEADING, DECEPTIVE AND MANIPULATIVE DISCLOSURES IN IPO PROSPECTUS OF PARAMOUNT PRINTPACKAGING LTD.
MADE FALSE AND MISLEADING DISCLOSURES IN THE RHP/PROSPECTUS AND MIS-UTILIZED/DIVERTED IPO PROCEEDS VIOLATING REGULATIONS 57(1) AND 57(2) (A) READ WITH CLAUSE 2 (XVI) (B) (2) PART A OF SCHEDULE VIII AND 60(7) (A) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF PARAMOUNT PRINTPACKAGING LTD.
|
IMPOSED PENALTY RS.15,00,000
20-NOV-2020
|
|
| 148 |
|
|
DHARMESH SHAH
(PAN:AWUPS8139L)
|
|
|
|
PYRAMID SAIMIRA THEATRE LTD.
|
|
DID NOT EXERCISE DUE DILIGENCE AND BY DISSEMINATING FALSE INFORMATION TO REPORTERS AND MEDIA HOUSES, MISLED INVESTORS TO TRADE IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 23-JUN-2020 TO 22-JUN-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-JUN-2020 TO 22-JUN-2021
23-JUN-2020
|
|
| 149 |
|
|
DHAVAL A.JHAVERI
|
|
|
|
BLUE INFORMATION TECHNOLOGY LTD.
PAN:AABCB8718J
|
|
MADE FALSE DECLARATION OF DIVIDEND AND PERFORMANCE OF BLUE INFORMATION TECHNOLOGY LTD.
MADE FALSE APPEARANCES OF TRADING IN SCRIP BLUE INFORMATION TECHNOLOGY LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-MAR-2008 TO 02-MAR-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-MAR-2008 TO 02-MAR-2010
03-MAR-2008
|
|
| 150 |
|
|
DHIRENDRA B.PATEL
|
|
|
|
NETVISION WEB TECHNOLOGIES LTD.
PAN:AABCN6164G
|
|
ISSUED FALSE, MISLEADING AND DISTORTED CORPORATE ANNOUNCEMENTS IN MATTER OF NETVISION WEB TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-APR-2012 TO 19-APR-2014
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-APR-2012 TO 19-APR-2014
20-APR-2012
|
|
| 151 |
|
|
DHRUMAL KISHOR VAIDYA
|
|
|
|
PLATINUM CORP.LTD.
CIN:L72200GJ1992PLC018005
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PLATINUM CORP.LTD.
AIDED AND ABETTED CONNECTED ENTITIES IN OFFLOADING SHARES AND FACILITATING THEM TO MAKE ILLEGAL PROFIT/GAIN THROUGH ISSUANCE OF FALSE AND MISLEADING CORPORATE ANNOUNCEMENTS IN MATTER OF PLATINUM CORP.LTD.
MISLED INVESTING PUBLIC ON PROMOTER’S HOLDING AND NON REPORTING OF ACQUISITION OF SHARES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PLATINUM CORP.LTD.
AIDED AND ABETTED COMPANY AND ALLOTTEES OF PREFERENTIAL ALLOTMENT OF 290 LACS SHARES THROUGH CIRCULAR BANKING TRANSACTIONS WITHOUT REAL INFLOW OF FUNDS IN MATTER OF PLATINUM CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-AUG-2016 TO 11-AUG-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-AUG-2016 TO 11-AUG-2021
12-AUG-2016
|
|
| 152 |
|
|
DHRUPESH SHAH
(PAN:ABZPS1382H)
|
|
|
|
RICH CAPITAL & FINANCIAL SERVICES LTD.
PAN:AACCR4640N
|
|
INDULGED IN ISSUANCE OF MISLEADING CORPORATE ANNOUNCEMENTS PERTAINING TO THE RIGHTS ISSUE OF RICH CAPITAL & FINANCIAL SERVICES LTD.
|
IMPOSED PENALTY RS.2,50,000
19-APR-2012
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 31/12/2013, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 153 |
|
|
DILIP KIMAR PURI
|
|
|
|
BLUE INFORMATION TECHNOLOGY LTD.
PAN:AABCB8718J
|
|
MADE FALSE DECLARATION OF DIVIDEND AND PERFORMANCE OF BLUE INFORMATION TECHNOLOGY LTD.
MADE FALSE APPEARANCES OF TRADING IN SCRIP BLUE INFORMATION TECHNOLOGY LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-MAR-2008 TO 02-MAR-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-MAR-2008 TO 02-MAR-2010
03-MAR-2008
|
|
| 154 |
|
|
DILIP KULKARNI
|
|
|
|
IFSL LTD.
PAN:AAACI4383H
|
|
MADE FALSE REPRESENTATION THROUGH CORPORATE ANNOUNCEMENTS TO MISLEAD/INDUCE INVESTORS
MISREPRESENTED PROFITS BY TAKING INTO ACCOUNT SALE OF UNQUOTED SHARES
DID NOT MAKE DISCLOSURE OF SHAREHOLDING, CONTROL AND SALE OF SHARES OF PROMOTERS/PERSONS ACTING IN CONCERT
ACTED IN CONCERT TO CREATE FALSE MARKET TO SELL THEIR OWN HOLDINGS AT AN ARTIFICIALLY INFLATED PRICE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-SEP-2005 TILL FURTHER ORDERS
DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 28-SEP-2005 TILL FURTHER ORDERS
28-SEP-2005
|
CONFIRMED INTERIM ORDER DATED 28/09/2005
|
| 155 |
|
|
DILIP MOHAN KEJRIWAL
|
|
|
ACTED IN CONCERT WITH GROUP ENTITIES TO GIVE MISLEADING IMPRESSION OF SUCCESSFUL SUBSCRIPTION OF PREFERENTIAL ALLOTMENT THROUGH RECIRCULATING MONEY AMONG THEMSELVES IN CASE OF AASTHA BROADCASTING NETWORK LTD.
|
DIRECTED TO FREEZE DEMAT ACCOUNT OF A SPECIFIED SCRIP
07-JUN-2006
|
DIRECTED TO PERMANENTLY FREEZE DEMAT ACCOUNT W.E.F. 19/01/2007
|
| 156 |
|
|
DILIP NABERA
|
|
|
|
ATLANTA LTD.
|
|
|
ATLANTA LTD.
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
|
|
| 157 |
|
|
DILIPBHAI JASWANTLAL GAJJAR
(PAN:ADVPG4094Q)
|
|
|
MADE FALSE AND MISLEADING STATEMENTS/MISREPRESENTATIONS IN ANNUAL REPORTS OF COMPANY FOR F.Y. 2011-12 AND 2012-13 IN MATTER OF SMS TECHSOFT (INDIA) LTD.
|
IMPOSED PENALTY RS.2,00,000
29-MAR-2019
|
|
| 158 |
|
|
DILKUSH BABEL
|
|
|
|
MAULIK DIAMONDS
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
SAT: SAT VIDE ITS ORDER DATED 12/11/2013 VACATED RESTRAINT ORDER PASSED VIDE EX-PARTE AD-INTERIM ORDER DATED 23/04/2009. NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 159 |
|
|
DILSHAD S.S.
|
|
|
|
PRIME PROPERTY DEVELOPMENT CORP.LTD.
|
|
MADE FALSE REPRESENTATION THROUGH CORPORATE ANNOUNCEMENTS TO MISLEAD/INDUCE INVESTORS
DID NOT MAKE DISCLOSURE OF SHAREHOLDING, CONTROL AND SALE OF SHARES OF PROMOTERS/PERSONS ACTING IN CONCERT
ACTED IN CONCERT TO CREATE FALSE MARKET TO SELL THEIR OWN HOLDINGS AT AN ARTIFICIALLY INFLATED PRICE
DID NOT INFORM APPOINTMENT OF REGISTRAR AND TRANSFER AGENT TO STOCK EXCHANGE
DID NOT SUBMIT CORPORATE GOVERNANCE REPORT TO STOCK EXCHANGE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-SEP-2005 TILL FURTHER ORDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-SEP-2005 TILL FURTHER ORDERS
29-SEP-2005
|
REVOKED AD-INTERIM EX-PARTE ORDER DATED 29/09/2005
|
| 160 |
|
|
DIMPLE PANKAJ DESAI
(PAN:AUQPD3909F)
|
|
|
MADE MISLEADING ANNOUNCEMENTS/ADVERTISEMENTS IN MATTER OF EXELON INFRASTRUCTURE LTD.
|
DIRECTED TO DISGORGE RS.6,07,390
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-DEC-2017 TO 10-DEC-2020
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 11-DEC-2017 TO 10-DEC-2020
07-JUN-2016
|
SEBI VIDE ITS ORDER DATED 21/09/2016 DIRECTED TO DEPOSIT (AS MENTIONED IN PARA 6.3.1 OF THE IMPUGNED ORDER DATED 07/06/2016) AND THE IMPOUNDING ORDER DATED 07/06/2016 WILL BE VACATED AFTER DEPOSITING THE AMOUNT
SEBI VIDE ITS ORDER DATED 11/12/2017 A) RESTRAINED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH THE SECURITIES MARKET IN ANY MANNER, WHATSOEVER, FOR A PERIOD OF THREE YEARS B) REVOKED THE DIRECTION OF IMPOUNDING OF ASSETS INCLUDING BANK ACCOUNTS / DEMAT ACCOUNTS / PROPERTIES CONTAINED IN ORDER DATED 07/06/2016 AND MODIFIED ORDER DATED 21/09/2016
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 8 of 43
|
