| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A.K.INVESTMENTS
(PAN:AANFA6009Q)
|
|
|
MADE MISLEADING ANNOUNCEMENTS/ADVERTISEMENTS IN MATTER OF EXELON INFRASTRUCTURE LTD.
|
DIRECTED TO DISGORGE RS.80,61,432
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
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
SAT: SAT VIDE ITS ORDER DATED 13/01/2017 DIRECTED SEBI TO CONSIDER THE REPRESENTATION AND PASS APPROPRIATE ORDERS THEREON AS EXPEDITIOUSLY AS POSSIBLE. NO
|
| 2 |
|
|
AADIT MEDICINES LTD.
|
|
|
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
|
|
| 3 |
|
|
AASTHA BROADCASTING NETWORK LTD.
(CIN:L67120MH1981PLC025111)
|
|
|
|
NEENA MEHTA
|
|
DID NOT DISCLOSE DETAILS OF MONIES UTILIZED OUT OF THE PREFERENTIAL ISSUE
DID NOT COMMUNICATE LOCK-IN DETAILS OF PROMOTERS' STAKE TO THE REGISTRAR
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.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-JAN-2004 TO 14-JAN-2007
06-SEP-2005
|
SAT: APPEAL FAILED AND DISMISSED
|
| 4 |
|
|
ACCLAIM INDUSTRIES LTD.
(CIN:L74950MH1991PLC068270
PAN:AAACM7494B)
|
|
|
|
KARSAN CHITRODA
PAN:ACHPC5141R
|
|
|
RAJESH G.MEHTA
PAN:AAFPM9963R
|
|
DID NOT MAKE DISCLOSURE OF PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES IN MATTER OF ACCLAIM INDUSTRIES LTD.
|
IMPOSED PENALTY RS.12,00,000 ALONG WITH OTHER ENTITIES/PERSONS
14-AUG-2018
|
|
| 5 |
|
|
ADAM COMSOF LTD.
|
|
|
|
UMESH R.KHARIWALA
|
|
ISSUED FALSE AND MISLEADING CORPORATE ANNOUNCEMENTS RELATED TO ISSUANCE OF EQUITY SHARES THROUGH PREFERENTIAL ALLOTMENT, ISSUANCE OF REDEEMABLE PREFERENCE SHARES, INTERIM DIVIDEND AND BONUS SHARES IN MATTER OF ADAM COMSOF LTD.
|
IMPOSED PENALTY RS.50,00,000
25-FEB-2010
|
|
| 6 |
|
|
ADAM COMSOF LTD.
|
|
|
ISSUED FALSE AND MISLEADING CORPORATE ANNOUNCEMENTS RELATED TO ISSUANCE OF EQUITY SHARES THROUGH PREFERENTIAL ALLOTMENT, ISSUANCE OF REDEEMABLE PREFERENCE SHARES, INTERIM DIVIDEND AND BONUS SHARES IN MATTER OF ADAM COMSOF LTD.
|
IMPOSED PENALTY RS.30,00,000
30-APR-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 11/07/2014 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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
|
| 7 |
|
|
ADAM COMSOF LTD.
|
|
|
|
VINOD R.HINGORANI
|
|
ISSUED FALSE AND MISLEADING CORPORATE ANNOUNCEMENTS RELATED TO ISSUANCE OF EQUITY SHARES THROUGH PREFERENTIAL ALLOTMENT, ISSUANCE OF REDEEMABLE PREFERENCE SHARES, INTERIM DIVIDEND AND BONUS SHARES IN MATTER OF ADAM COMSOF LTD.
|
IMPOSED PENALTY RS.25,00,000
28-APR-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 8 |
|
|
ADAM COMSOF LTD.
|
|
|
|
VIKAS SETH
|
|
ISSUED FALSE AND MISLEADING CORPORATE ANNOUNCEMENTS RELATED TO ISSUANCE OF EQUITY SHARES THROUGH PREFERENTIAL ALLOTMENT, ISSUANCE OF REDEEMABLE PREFERENCE SHARES, INTERIM DIVIDEND AND BONUS SHARES IN MATTER OF ADAM COMSOF LTD.
|
IMPOSED PENALTY RS.20,00,000
25-FEB-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 9 |
|
|
ADAM COMSOF LTD.
(Along with : GLORIOUS INVESTRADE PVT.LTD.)
|
|
|
|
ASPI B.BHESANIA
|
|
|
HIRALAL YADAV
|
|
|
INDRAMAL S.JAIN
|
|
|
MAHESH RAMDAS ADSUL
PAN:AGGPA2537E
|
|
|
PRADEEP RATHI
|
|
|
R.K.MAHESHWARI
|
|
|
RAJA YADAV
|
|
|
RAJKUMAR CHAINRAI BASANTANI
PAN:AESPB2834F
|
|
|
SEEMA RAJKUMAR BASANTANI
|
|
|
UMESH R.KHARIWALA
|
|
|
VIKAS SETH
|
|
|
VINOD R.HINGORANI
|
|
|
VITHAL PATIL
|
|
INDULGED IN DISSEMINATION OF MISLEADING INFORMATION LEADING TO PRICE MANIPULATION IN THE SCRIP OF KOLAR BIOTECH LTD., SOUNDCRAFT INDUSTRIES LTD. & ADAM COMSOF LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2004 TILL INVESTIGATIONS COMPLETED
30-SEP-2004
|
|
| 10 |
|
|
ADAM COMSOF LTD.
(Along with : GLORIOUS INVESTRADE PVT.LTD.)
|
|
|
|
ASPI B.BHESANIA
|
|
|
HIRALAL YADAV
|
|
|
INDRAMAL S.JAIN
|
|
|
MAHESH RAMDAS ADSUL
PAN:AGGPA2537E
|
|
|
PRADEEP RATHI
|
|
|
R.K.MAHESHWARI
|
|
|
RAJA YADAV
|
|
|
RAJKUMAR CHAINRAI BASANTANI
PAN:AESPB2834F
|
|
|
SEEMA RAJKUMAR BASANTANI
|
|
|
UMESH R.KHARIWALA
|
|
|
VIKAS SETH
|
|
|
VINOD R.HINGORANI
|
|
|
VITHAL PATIL
|
|
INDULGED IN DISSEMINATION OF MISLEADING INFORMATION LEADING TO PRICE MANIPULATION IN THE SCRIP OF KOLAR BIOTECH LTD., SOUNDCRAFT INDUSTRIES LTD. & ADAM COMSOF LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2004 TILL INVESTIGATIONS COMPLETED
30-SEP-2004
|
|
| 11 |
|
|
ADAM COMSOF LTD.
(Along with : GLORIOUS INVESTRADE PVT.LTD.)
|
|
|
|
ASPI B.BHESANIA
|
|
|
HIRALAL YADAV
|
|
|
INDRAMAL S.JAIN
|
|
|
MAHESH RAMDAS ADSUL
PAN:AGGPA2537E
|
|
|
PRADEEP RATHI
|
|
|
R.K.MAHESHWARI
|
|
|
RAJA YADAV
|
|
|
RAJKUMAR CHAINRAI BASANTANI
PAN:AESPB2834F
|
|
|
SEEMA RAJKUMAR BASANTANI
|
|
|
UMESH R.KHARIWALA
|
|
|
VIKAS SETH
|
|
|
VINOD R.HINGORANI
|
|
|
VITHAL PATIL
|
|
INDULGED IN DISSEMINATION OF MISLEADING INFORMATION LEADING TO PRICE MANIPULATION IN THE SCRIP OF KOLAR BIOTECH LTD., SOUNDCRAFT INDUSTRIES LTD. & ADAM COMSOF LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2004 TILL INVESTIGATIONS COMPLETED
30-SEP-2004
|
|
| 12 |
|
|
ADAM COMSOF LTD.
|
|
|
|
RAJA YADAV
|
|
ISSUED FALSE AND MISLEADING CORPORATE ANNOUNCEMENTS RELATED TO ISSUANCE OF EQUITY SHARES THROUGH PREFERENTIAL ALLOTMENT, ISSUANCE OF REDEEMABLE PREFERENCE SHARES, INTERIM DIVIDEND AND BONUS SHARES IN MATTER OF ADAM COMSOF LTD.
|
IMPOSED PENALTY RS.20,00,000
25-FEB-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 13 |
|
|
ADHUNIK FINANCE PVT.LTD.
(PAN:AACCA3263G)
(Along with : ATLANTA LTD.)
|
|
|
|
SADHANA DILIP NABERA
|
|
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
|
|
| 14 |
|
|
ADINO TRADING CO.PVT.LTD.
|
|
|
|
DINESH BAFNA
|
|
|
VINOD KUMAR BAFNA
|
|
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
|
| 15 |
|
|
ADITYA INFO-SOFT LTD.
|
|
|
|
ANIL PATEL
PAN:AAMPP3264F
|
|
|
JASMIN PATEL
|
|
|
KOKILABEN PATEL
|
|
INDULGED IN ISSUANCE OF PUBLICATION/REPORT OF FALSE INFORMATION THROUGH FALSE AND MISLEADING DISCLOSURES/ANNOUNCEMENTS IN MATTER OF ADITYA INFOSOFT LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 26-AUG-2013 TO 25-AUG-2016
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-AUG-2013 TO 25-AUG-2016
26-AUG-2013
|
|
| 16 |
|
|
ADSUL TRADING PVT.LTD.
|
|
|
|
ASPI B.BHESANIA
|
|
|
HIRALAL YADAV
|
|
|
MAHESH RAMDAS ADSUL
PAN:AGGPA2537E
|
|
|
R.K.MAHESHWARI
|
|
|
RAJKUMAR CHAINRAI BASANTANI
PAN:AESPB2834F
|
|
|
UMESH R.KHARIWALA
|
|
|
VIKAS SETH
|
|
|
VINOD R.HINGORANI
|
|
|
VITHAL PATIL
|
|
INDULGED IN DISSEMINATION OF MISLEADING INFORMATION LEADING TO PRICE MANIPULATION IN THE SCRIP OF KOLAR BIOTECH LTD., SOUNDCRAFT INDUSTRIES LTD. & ADAM COMSOF LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2004 TILL INVESTIGATIONS COMPLETED
30-SEP-2004
|
|
| 17 |
|
|
ADSUL TRADING PVT.LTD.
|
|
|
ISSUED FALSE AND MISLEADING CORPORATE ANNOUNCEMENTS RELATED TO ISSUANCE OF EQUITY SHARES THROUGH PREFERENTIAL ALLOTMENT, ISSUANCE OF REDEEMABLE PREFERENCE SHARES, INTERIM DIVIDEND AND BONUS SHARES IN MATTER OF ADAM COMSOF LTD.
|
IMPOSED PENALTY RS.10,00,000
09-MAR-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 18 |
|
|
ADVANCE FINSTOCK PVT.LTD.
|
|
|
|
ANAND B.HUNDIA
|
|
|
KARUL P.SHAH
|
|
|
POPATLAL K.SHAH
|
|
|
RAJESH B.HUNDIA
|
|
|
SANJAY HUNDIA
|
|
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 05/07/2010
SAT: APPEAL DISPOSED OFF IN TERMS OF THE ORDER PASSED BY TRIBUNAL IN APPEAL NO.98 OF 2010 (MR.NIMESH CHITALIA VS. SEBI) DECIDED ON 08/09/2010 WITH NO ORDER AS TO COSTS
|
| 19 |
|
|
ALBELI TRADING PVT.LTD.
|
|
|
|
JANBA CHOWGULE
|
|
INDULGED IN DISSEMINATION OF MISLEADING INFORMATION LEADING TO PRICE MANIPULATION IN THE SCRIP OF KOLAR BIOTECH LTD., SOUNDCRAFT INDUSTRIES LTD. & ADAM COMSOF LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2004 TILL INVESTIGATIONS COMPLETED
30-SEP-2004
|
|
| 20 |
|
|
ALFA CERAMIC TRADING AGENCIES PVT.LTD.
|
|
|
|
JAYESH SAMPAT
|
|
|
MUKESH MANEKLAL CHOKSI
PAN:AAAPC7767J
|
|
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
|
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
|
| 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 1 of 31
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