| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 141 |
|
NATIONAL STEEL & AGRO INDUSTRIES LTD.
(CIN:L27100MH1985PLC140379
PAN:AAACN3548H)
|
|
|
FINANCED/PROVIDED FUNDS TO THEIR CLIENTS TO TAKE POSITION IN CASTOR SEED CONTRACTS AND FURTHER TO MAINTAIN POSITIONS HELD BY THEM VIOLATING SECTION 12A(A), (B) & (C) AND REGULATION 4(1), 4(2) (A) & (G) OF SEBI PFUTP REGULATIONS, 2003
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-MAY-2016 TILL FURTHER ORDERS
24-MAY-2016
|
SEBI VIDE ITS ORDER DATED 23/12/2016 RELAXED INTERIM ORDER PASSED 02/03/2016 AND 24/05/2016 TO THE LIMITED EXTENT TO ENABLE THEM TO PROTECT THEIR PORTFOLIO FROM MARKET VOLATILITY A) NOTICEE MAY SELL THE SECURITIES LYING IN THEIR DEMAT ACCOUNTS AS ON THE DATE OF INTERIM ORDER, OTHER THAN THE SHARES OF THE COMPANIES WHICH ARE SUSPENDED FROM TRADING BY THE CONCERNED STOCK EXCHANGE, IN AN ORDERLY MANNER UNDER SUPERVISION OF THE STOCK EXCHANGE SO AS NOT TO DISTURB MARKET EQUILIBRIUM AND DEPOSIT SALE PROCEEDS IN AN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK B) NOTICEES MAY TENDER THE SHARES LYING IN THEIR DEMAT ACCOUNT IN ANY OPEN OFFER / DELISTING OFFER / BUYBACK OFFER UNDER THE RELEVANT REGULATIONS OF SEBI AND DEPOSIT THE SALE PROCEEDS IN AN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK C) NOTICEES SHALL AVAIL THE BENEFIT OF CORPORATE ACTIONS LIKE RIGHTS ISSUE, BONUS ISSUE, STOCK SPLIT DIVIDEND ETC. D) WINDOW FOR SALE OF SHARES LYING IN RESPECTIVE PORTFOLIO SHALL STAND WITHDRAWN IF ANY ENTITY FOUND TO EXECUTE ANY TRADE IN BREACH OF THE CONDITIONS
SEBI VIDE ITS ORDER DATED 23/12/2016 ALLOWED PROCEED WITH QIP ISSUE AS APPROVED BY THE BOARD OF DIRECTORS AND SHAREHOLDERS OF THE COMPANY, IN ACCORDANCE WITH LAW
|
| 142 |
|
|
NEW BHARAT BUILDERS (BOMBAY) PVT.LTD.
|
|
|
|
DEVEN MEHTA
|
|
|
KISHORE GURBUX MOTWANI
DIN:02417178
PAN:AAJPM2980N
|
|
|
MEENAL CHHABARIA
|
|
|
SURESH GURBUX MOTWANI
|
|
|
SURESH HEMWANI
|
|
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
VIOLATED SECTION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 143 |
|
|
NEW VISION INVESTMENT PVT.LTD.
|
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 5 SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6 SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 144 |
|
|
NEWAGE COMMERCIAL PVT.LTD.
|
|
|
|
NIRANJAN KUMAR LAKHOTIA
|
|
|
P.K.RAO
|
|
|
R.P.SHARMA
|
|
|
V.K.AGARWAL
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 145 |
|
|
NISSAN COPPER LTD.
(CIN:L36939DN1989PLC000377
PAN:AABCN0105B)
|
|
|
|
ATUL KUMAR SHANTILAL MARDIA
DIN:00788465
PAN:ADYPM7131K
|
|
|
PRAVEEN KUMAR SHAH
PAN:ABEPS3974Q
|
|
|
RATANLAL SHANTILAL MARDIA
DIN:00239175
PAN:AJTPM2056N
|
|
INDULGED IN FACILITATING SUBSCRIPTION OF GDRS BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY (NISSAN) PLEDGED GDR WITH EURAM BANK VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1) OF PFUTP REGULATIONS, 2003 IN MATTER OF NISSAN COPPER LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-FEB-2019 TO 07-FEB-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-FEB-2019 TO 07-FEB-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
08-FEB-2019
|
|
| 146 |
|
|
NISSAN COPPER LTD.
(CIN:L36939DN1989PLC000377
PAN:AABCN0105B)
|
|
|
|
ATUL KUMAR SHANTILAL MARDIA
DIN:00788465
PAN:ADYPM7131K
|
|
|
PRAVEEN KUMAR SHAH
PAN:ABEPS3974Q
|
|
|
RATANLAL SHANTILAL MARDIA
DIN:00239175
PAN:AJTPM2056N
|
|
MISLED INVESTORS INTO BELIEVING ABOUT SUCCESS OF GDR ISSUE VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) AND 4 (2) (F), (K) & (R) OF SEBI (PFUTP) REGULATIONS, 2003
DID NOT MAKE DISCLOSURE OF PRICE SENSITIVE INFORMATION OF TERMINATION OF GDR FACILITY TO STOCK EXCHANGES VIOLATING CLAUSES 36(7) OF LISTING AGREEMENT
DID NOT ADHERE TO ACCOUNTING STANDARD (AS-3) AND (AS-1) VIOLATING CLAUSES 32 AND 50 OF LISTING AGREEMENT
|
IMPOSED PENALTY RS.10,15,00,000
04-MAR-2020
|
|
| 147 |
|
|
OASIS MEDIA MATRIX LTD.
(CIN:L27100GJ1995PLC027638)
|
|
|
|
CHANDERKANT MEHTA
|
|
|
JATIN MANUBHAI SHAH
|
|
|
KAMLESH SHAH
DIN:03289234
|
|
|
VASANT C.SHAH
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
30-JUN-2010
|
|
| 148 |
|
|
OM SECURITIES
|
|
|
|
LAXMANDAS ARORA
|
|
|
MANOJ MOTTA
|
|
|
R.C.ARORA
|
|
|
TUSHAR SHAH
|
|
VIOLATED SECTION 24 OF SEBI (PFUTP) REGULATION, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 149 |
|
|
ONLOOKER INVESTMENTS PVT.LTD.
|
|
|
|
DEVEN MEHTA
|
|
|
JULIET COUTINHO
|
|
|
MAYANK SHAH
|
|
|
MEENAL CHHABARIA
|
|
|
SURESH GURBUX MOTWANI
|
|
|
SURESH HEMWANI
|
|
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
VIOLATED SECTION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 150 |
|
|
PANCHALOHA HOTEL PVT.LTD.
(CIN:U55101KA1997PTC021707)
|
|
|
|
PARVATHI S.MADHAVA
|
|
|
S.MADHAVA
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 151 |
|
|
PANTHER INVESTRADE LTD.
(PAN:AAACP3259R)
|
|
|
|
KARTIK KIRTIKUMAR PAREKH
DIN:00009502
|
|
|
KETAN VINAYCHANDRA PAREKH
DIN:00009468
PAN:AADPP1505A
|
|
|
KIRTIKUMAR NARBHERAM PAREKH
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 27 OF SEBI ACT, 1992
VIOLATED SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
DISMISSED
|
| 152 |
|
|
PAR SECURITIES
|
|
|
VIOLATED SECTION 24 OF SEBI (PFUTP) REGULATION, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 153 |
|
|
PARTHANA ENGINEERING
|
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 154 |
|
|
PARVATI CASTINGS PVT.LTD.
|
|
|
|
P.K.RAO
|
|
|
R.P.SHARMA
|
|
|
SANDEEP VYAS
|
|
|
SHIV KUMAR
|
|
|
V.K.AGARWAL
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 155 |
|
|
PENTAMEDIA GRAPHICS LTD.
(CIN:L74210TN1976PLC007142
PAN:AAACP1647B)
|
|
|
|
K.GANESH BABU
|
|
|
PADMA SURESH
|
|
|
S.CHANDRASEKARAN
|
|
|
S.D.VISWANATHAN
|
|
|
S.RAMANI
|
|
|
T.V.KRISHNAMURTY
|
|
|
USHA GANESARAJAH
|
|
|
V.CHANDRASEKARAN
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 156 |
|
|
PIPELINE INFRASTRUCTURE INDIA PVT.LTD.
(PAN:AABCD2719F)
|
|
|
TOOK SEPARATE POSITION LIMITS OF OPEN INTEREST ON ITS BEHALF BY EXECUTING SEPARATE AGREEMENTS WITH EACH OF THEM AND CORNERED 93.63% OF NOVEMBER FUTURES OF RELIANCE PETROLEUM LTD. VIOLATING SECTION 12A OF SEBI ACT, 1992 READ WITH REGULATIONS 3, 4(1) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003
VIOLATED SEBI CIRCULAR NO. SMDRP/DC/CIR-10/01 DATED 02/11/2001 AND NSE CIRCULAR NO. NSE/CMPT/2982 DATED 07/11/2001 IN MATTER OF RELIANCE PETROLEUM LTD.
|
PROHIBITED FROM DEALING IN EQUITY DERIVATIVES IN F&O SEGMENT OF STOCK EXCHANGES, DIRECTLY OR INDIRECTLY FROM 24-MAR-2017 TO 23-MAR-2018
DIRECTED TO SQUARE OFF OR CLOSE OUT THEIR EXISTING OPEN POSITIONS IN F&O SEGMENT
24-MAR-2017
|
SAT: SAT VIDE ITS ORDER DATED 05/11/2020 DISMISSED THE APPEAL WITH NO ORDER AS TO COSTS
|
| 157 |
|
|
PRABHU STEEL INDUSTRIES LTD.
(PAN:AABCP0025E)
|
|
|
|
GANGA RAM AGGARWAL
|
|
|
KRISHNA KUMAR AGGARWAL
|
|
|
RADHESHYAM L.AGGARWAL
|
|
VIOLATED REGULATION 3 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CHIEF METROPOLITAN MAGISTRATE ESPLANADE COURT MUMBAI VIDE ITS ORDER DATED 12/02/2014 DISPOSED OFF THE CASE
|
| 158 |
|
|
PRAGATI MERCHANT PVT.LTD.
|
|
|
VIOLATED REGULATION 4(A) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 4(B) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 159 |
|
|
PUKHRAJ HOLDINGS PVT.LTD.
|
|
|
|
ANIL KANODIA
|
|
|
ANIL RAI
|
|
|
B.M.JOSHI
|
|
|
T.S.NAIR
|
|
|
VINAY RAI
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 160 |
|
|
PURSARTH TRADING CO.PVT.LTD.
|
|
|
ALLEGED VIOLATION OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PRUDENTIAL PHARMACEUTICALS LTD. AND CEAT LTD.
ALLEGED VIOLATION OF SEBI (PFUTP) REGULATIONS, 1995 IN MATTER OF PRUDENTIAL PHARMACEUTICALS LTD. AND CEAT LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 01-MAR-2010 TO 31-AUG-2010
22-FEB-2010
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 8 of 12
|
