| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AHL INVESTMENT CONSULTANTS PVT.LTD.
(PAN:AAFCA3910K)
|
|
|
MADE BIDS WITHOUT HAVING SUFFICIENT FUNDS, MADE FIRST BID ON OPENING DAY OF IPO FOR HUGE NUMBER OF SHARES , DID NOT BANK BIDS APPLICATIONS, CHEQUE RETURNED ETC. IN MATTER OF IPO OF VASWANI INDUSTRIES LTD.
|
IMPOSED PENALTY RS.25,00,000
25-APR-2014
|
SAT: SAT VIDE ITS ORDER DATED 10/08/2016 SET ASIDED IMPUGNED ORDER DATED 25/04/2016 AND RESTORED THE MATTER TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. APPELLANTS ARE AT LIBERTY TO FILE ADDITIONAL DOCUMENTS BEFORE THE AO WITHIN TWO WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
SEBI VIDE ITS ORDER DATED 25/02/2022 DISPOSED OFF THE ADJUDICATION PROCEEDINGS INITIATED VIDE SCN DATED 21/03/2013 AS THE ALLEGATIONS AGAINST THE NOTICE DID NOT ESTABLISH
|
| 2 |
|
|
AMADHI INVESTMENTS LTD.
(CIN:U65990GJ1988PLC054935
PAN:AAACA7300E)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPOS OF VARIOUS COMPANIES
|
IMPOSED PENALTY RS.2,50,00,000
28-APR-2014
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 10/03/2021 CANCELLED RECOVERY CERTIFICATE NO.837 DATED 23/12/2015
|
| 3 |
|
|
AMADHI INVESTMENTS LTD.
(CIN:U65990GJ1988PLC054935
PAN:AAACA7300E)
|
|
|
CORNERED SHARES RESERVED FOR RETAIL INDIVIDUAL INVESTORS THROUGH BENAMI/FICTITIOUS DEMAT APPLICATIONS IN IPO OF IDFC LTD., SASKEN COMMUNICATION TECHNOLOGIES LTD. AND FCS SOFTWARE SOLUTIONS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-MAR-2017 TO 23-MAR-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-MAR-2017 TO 23-MAR-2027
DIRECTED TO DISGORGE RS.77,77,296
24-MAR-2017
|
SEBI VIDE ITS NOTICE DATED 10/03/2021 CANCELLED RECOVERY CERTIFICATE NO.1249 DATED 17/11/2017
|
| 4 |
|
|
AMADHI INVESTMENTS LTD.
(CIN:U65990GJ1988PLC054935
PAN:AAACA7300E)
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
D TO DISGORGE RS.98,77,166
06-APR-2010~
|
AD INTERIM EX-PARTE ORDER DATED 27/04/2006 CONFIRMED AND DIRECTED THE NOTICEE NOT TO BUY, SELL OR DEAL IN SECURITIES INCLUDING IPOS, UNTIL FURTHER ORDERS.FURTHER DIRECTED TO ISSUE SHOW CAUSE NOTICE IF ANY, ARISING FROM THE INVESTIGATIONS AT THE EARLIEST, BUT NOT LATER THAN 15 DAYS FROM THE DATE OF THIS ORDER
DIRECTED VIDE ORDER DATED 06/04/2010 TO (I) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESSING SECURITIES MARKET, DIRECTLY OR INDIRECTLY, FOR A PERIOD OF ONE YEAR FROM DATE OF THIS ORDER AND (II) DISGORGE UNLAWFUL GAIN OF RS.77,77,296 ALONGWITH INTEREST OF RS.20,99,870 WITH 45 DAYS FROM THE DATE OF THIS ORDER
|
| 5 |
|
|
AMBUJA ESTATE & HOLDINGS PVT.LTD.
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPOS OF VARIOUS COMPANIES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-MAR-2009 TO 28-FEB-2012
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 01-MAR-2009 TO 28-FEB-2012
27-APR-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.1,80,00,000, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.24,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 01-MAR-2009 TO 28-FEB-2012
10-FEB-2009~
|
DIRECTED TO DISGORGE UNLAWFUL GAIN OF RS.24 LACS AND RS.180.00 LACS TOWARDS SETTLEMENT CHARGES AND UNDERGO VOLUNTARY DEBARMENT FOR 3 YEARS FROM 01/03/2009.DIRECTED NSDL TO PERMIT OPERATION OF DEMAT ACCOUNT FOR LIMITED PURPOSE OF SALE OF SPECIFIED SHARES. INSTRUCTED KARVY STOCKBROKING LTD. (DP) AND KHANDWALA INTEGRATED FINANCIAL SERVICES PVT.LTD. (STOCK BROKER) TO TAKE PRIOR CLEARANCE FROM NSDL AND AMOUNT OF SHARES SOLD SHOULD NOT EXCEED RS.2.04 CRORES.DIRECTED NSE TO PAY ENTIRE SALE PROCEEDS DIRECTLY TO SEBI WITHIN 7 DAYS. FURTHER DIRECTED TO COMPLETE SALE OF SHARES LATEST BY 20/02/2009
|
| 6 |
|
|
ANAND NETANAND CHOUDHARY (HUF)
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
IMPOSED PENALTY RS.6,00,000
27-APR-2006
D TO DISGORGE RS.2,15,142
07-MAY-2009~
|
AD INTERIM EX-PARTE ORDER DATED 27/04/2006 DISPOSED OFF AND DIRECTED TO BE RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESSING SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 1 YEAR FROM DATE OF ORDER I.E. 07/05/2009 AND DISGORGE UNLAWFUL GAIN OF RS.2,15,150.00 ALONGWITH INTEREST @10% FROM DATE OF LISTING OF IPO OF NANDAN EXIM LTD.
PENALTY IMPOSED RS.6,00,000 VIDE ORDER DATED 30/09/2009
|
| 7 |
|
|
ASHMI FINANCIAL CONSULTANCY PVT.LTD.
(PAN:AAECA8167F)
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
D TO DISGORGE RS.1,23,55,840
07-APR-2011~
|
CONFIRMED INTERIM ORDER DATED 27/04/2006
SEBI VIDE ITS ORDER DATED 07/04/2011 DIRECTED 1.NOT TO BUY, SELL OR DEAL IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESS SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR THREE MONTHS FROM DATE OF ORDER AND 2.DISGORGE RS.1,23,55,840.00 (UNLAWFUL GAIN OF RS.79,71,510.00 AND INTEREST RS.43,84,330.00) WITHIN 45 DAYS FROM DATE OF ORDER OTHERWISE PERIOD OF RESTRAINT WILL BE FURTHER PERIOD OF SEVEN YEARS
|
| 8 |
|
|
BHANSALI PIYUSH M. (HUF)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 9 |
|
|
BHANSALI PIYUSH M. (HUF)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
|
IMPOSED PENALTY RS.2,80,000 ALONG WITH OTHER ENTITIES/PERSONS
29-MAY-2009
|
INCLUDED IN SEBI LIST DATED 30/06/2010, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 10 |
|
|
BHANSALI RAJNIKANT M. (HUF)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 11 |
|
|
BHANSALI RAJNIKANT M. (HUF)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
|
IMPOSED PENALTY RS.3,50,000 ALONG WITH OTHER ENTITIES/PERSONS
29-MAY-2009
|
INCLUDED IN SEBI LIST DATED 30/06/2010, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 12 |
|
|
BHANSALI YOGESH M.(HUF)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 13 |
|
|
BHANSALI YOGESH M.(HUF)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
|
IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-MAY-2009
|
INCLUDED IN SEBI LIST DATED 30/06/2010, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 14 |
|
|
DADIA FINVEST LTD.
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.11,50,000 VIDE CONSENT ORDER)
05-JUN-2008~
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.1150000 AGAINST NOTIONAL UNDUE GAIN AND RS.100000 AGAINST SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 05/06/2008
|
| 15 |
|
|
DANIAL INVESTMENT PVT.LTD.
(PAN:AABCD3753H)
(Along with : NISSAN COPPER LTD.)
|
|
|
|
ATUL KUMAR SHANTILAL MARDIA
DIN:00788465
PAN:ADYPM7131K
|
|
|
BELA SANJAY MARDIA
|
|
|
RATANLAL SHANTILAL MARDIA
DIN:00239175
PAN:AJTPM2056N
|
|
|
SANJAY SHANTILAL MARADIA
DIN:00097403
|
|
|
SHANTILAL MARDIA
|
|
|
SUNITA RATAN MARDIA
|
|
ALLEGED INDULGENCE IN ARRANGING SUBSCRIPTION IN IPO OF NISSAN COPPER LTD.THROUGH MACHINATIONS OF SUBSCRIBERS IN QIB SEGMANT AND THEIR FINAL BUYERS AFTER LISTING OF SCRIP
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000, ADMINISTRATION CHARGES RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
24-APR-2009
|
|
| 16 |
|
|
DEEP INFRASTRUCTURE PVT.LTD.
|
|
|
|
RAJESH BALWANTBHAI BRAMHBHATT
|
|
|
SONAL U.VORA
PAN:AAWPV2754Q
|
|
|
SONAL UDAYBHAI
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
|
| 17 |
|
|
DEVYANI ESTATE & PROPERTIES PVT.LTD.
(PAN:AAACD3825H)
|
|
|
UTILIZED FUNDS OF GAMMON INDIA LTD. FOR SUBSCRIPTION TO THE RIGHTS ISSUE
ALLOTTED MORE SHARES THAN APPLICANTS WERE ENTITLED FOR
|
DIRECTED NOT TO DIVEST, TRANSFER, SELL OR ALIENATE THE SHAREHOLDING IN GAMMON INFRASTRUCTURES PROJECTS LTD.FOR A PERIOD OF 3 YEARS
21-DEC-2006
|
SAT: APPEAL DISMISSED
|
| 18 |
|
|
DEVYANI ESTATE & PROPERTIES PVT.LTD.
(PAN:AAACD3825H)
|
|
|
UTILIZED FUNDS OF GAMMON INDIA LTD. FOR SUBSCRIPTION TO THE RIGHTS ISSUE
ALLOTTED MORE SHARES THAN APPLICANTS WERE ENTITLED FOR
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-DEC-2006 TO 20-DEC-2007
21-DEC-2006
|
|
| 19 |
|
|
EXCELL MULTITECH LTD.
|
|
|
|
DUSHYANT NATWARLAL DALAL
PAN:AAAPD5859Q
|
|
|
PULOMA DUSHYANT DALAL
PAN:AAEPD2909B
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
|
|
| 20 |
|
|
FORNEY FUNDS ADVISORS PVT.LTD.
|
|
|
|
R.K.GOYAL
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.1,20,25,953, INTEREST RS.26,79,017 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
08-JAN-2010~
|
INTERIM EX-PARTE ORDER DATED 17/01/2007 DISPOSED OFF WITH THE DIRECTION 1) BSE SHALL TRANSFER 1,00,21,628 WITHHELD EARNED UNJUST PROFIT PLUS INTEREST TO SEBI 2) AND PAY 20% OF UNJUST PROFIT I.E. RS.20,04,325 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 08/01/2010
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
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