| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AASHI PHARMACHEM LTD.
|
|
|
|
DHAVAL A.JHAVERI
|
|
|
JAYESH MOR
|
|
|
RAJAN SHIVANAND SHAH
|
|
|
S.K.KAPADIA
|
|
|
SEEMA D.JHAVERI
|
|
|
VAIDYASHWARAN C.NARAYAN
|
|
DID NOT REPAY EXCESS SHARE APPLICATION MONEY WITHIN STIPULATED PERIOD
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 2 |
|
|
ACE LABORATORIES LTD.
|
|
|
|
AJIT CHAND
|
|
|
PARITOSH K.DEB
|
|
|
RAVI ANAND
|
|
|
SHAILENDRA PIWADI
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 3 |
|
|
ACROPETAL TECHNOLOGIES LTD.
(CIN:L72900KA2001PLC028944
PAN:AADCA1623M)
|
|
|
|
ASHOK KUMAR GOPAL RAO
|
|
|
MATHEW JAMES MANIMALA
|
|
|
MOHAN HOSAHALLI RAMAKRISHNA
DIN:02034857
PAN:AHQPR8898G
|
|
|
RAMDAS JANARDHANA KAMATH
DIN:00035386
PAN:AAEPK8776D
|
|
|
RAVI KUMAR
PAN:ACNPK9304L
|
|
|
RAVI KUMAR DORAISWAMY
DIN:01557904
PAN:ACNPK9304L
|
|
|
SUBRAMANYA REDDY DANDALA KANNAYYAREDDY
DIN:02862329
PAN:AANPR6123L
|
|
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
25-AUG-2016
|
WITHDRAWN
|
| 4 |
|
|
ACROPETAL TECHNOLOGIES LTD.
(CIN:L72900KA2001PLC028944
PAN:AADCA1623M)
|
|
|
|
RAVI KUMAR DORAISWAMY
DIN:01557904
PAN:ACNPK9304L
|
|
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-FEB-2021 TO 03-FEB-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-FEB-2021 TO 03-FEB-2023
04-FEB-2021
|
|
| 5 |
|
|
ASAHI INFRASTRUCTURE & PROJECTS LTD.
(PAN:AAACA8777F)
|
|
|
INDULGED IN FINANCING OF OWN GDR ISSUE AND MISLED INVESTORS BY MAKING FALSE DISCLOSURES TO SEBI VIOLATING SECTION 77(2) READ WITH 77(4) OF THE COMPANIES ACT, 1956
INDULGED IN FINANCING OF OWN GDR ISSUE AND MISLED INVESTORS BY MAKING FALSE DISCLOSURES TO SEBI VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(B) TO 3(D) & 4(2)(C), 4(2)(F), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES OF ASAHI INFRASTRUCTURE & PROJECTS LTD.
DID NOT PROVIDE CORRECT INFORMATION AND CONCEALED MATERIAL INFORMATION FROM SEBI IN MATTER OF GDR ISSUES OF ASAHI INFRASTRUCTURE & PROJECTS LTD.
|
DIRECTED NOT TO ISSUE EQUITY SHARES OR ANY OTHER INSTRUMENT CONVERTIBLE INTO EQUITY SHARE OR ANY OTHER SECURITY FROM 05-SEP-2017 TO 20-SEP-2021
05-SEP-2017
|
|
| 6 |
|
|
BALWANT TEXTILE MILLS LTD.
|
|
|
|
I.S.GIDWANI
|
|
|
J.B.MAVALE
|
|
|
P.J.BHATE
|
|
|
SUNITA K.THAKKAR
|
|
|
T.B.MASKAI
|
|
|
V.H.MHATRE
|
|
|
V.S.BHATE
|
|
MIS-STATEMENTS IN THE PROSPECTUS
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 7 |
|
|
BARODA AGRO INDUSTRIES LTD.
|
|
|
|
ARUNKUMAR RAMANLAL CHOKSI
|
|
|
NIRANJAN K.PATEL
|
|
|
PARAG D.MEHTA
|
|
|
RAVINDRA M.PATEL
|
|
|
SANJAY A.CHOKSI
|
|
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CASE DISMISSED
|
| 8 |
|
|
BRAHASPATI FINANCERS LTD.
|
|
|
|
K.N.GUPTA
|
|
|
S.K.GUPTA
|
|
|
SUMAN GUPTA
|
|
MIS-STATEMENTS IN THE PROSPECTUS
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 9 |
|
|
CANARA STEEL LTD.
|
|
|
|
A.K.SINGH
|
|
|
A.VASUDEVA PRABHU
|
|
|
B.S.NAYAK
|
|
|
K.K.RAO
|
|
|
KISHORE RAO
|
|
|
SHANTHANARAMAN
|
|
|
T.RAMESH PAI
|
|
|
T.SHAMANNA
|
|
|
T.SUDHAKAR PAI
|
|
|
U.SURESH RAO
|
|
|
U.V.KINI
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CC NO. 2943/1997 AGAINST ACCUSED NO.3 STANDS ACQUITTED. CASE AGAINST ACCUSEDNO.1,2,6,7 SPLIT UP AND STILL PENDING. CASE AGAINST ACCUSED NO.5,8 TO 12 QUASHED BY HIGH COURT. A-4 DEAD, HENCE, PROCEEDING AGAINST A-4 ABATED
|
| 10 |
|
|
CHANDIGARH PACKAGING PRODUCTS LTD.
|
|
|
|
GURPREET KAUR DHILLON
|
|
|
HARMAL SINGH
|
|
|
HARPREET SINGH SANDHU
|
|
|
M.S.JAGANNATHAN
|
|
|
RIPJIT SINGH BRAR
|
|
|
SUKHDEV SINGH DHILLON
|
|
DID NOT REPAY EXCESS SHARE APPLICATION MONEY WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 11 |
|
|
CHHABRA LAND & HOUSING LTD.
(CIN:U65921PB1994PLC015168)
|
|
|
|
ANIL CHHABRA
|
|
|
DALJIT RAHEJA
|
|
|
KRISHAN LAL CHHABRA
|
|
|
RAJ K.MEHTA
|
|
|
SEEMA CHHABRA
DIN:02677885
|
|
|
SUNIL CHHABRA
DIN:05125665
|
|
MIS-STATEMENTS IN THE PROSPECTUS
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
|
PROSECUTION LAUNCHED
15-MAY-2006
|
COMPLAINT UNDER SECTION 621 READ WITH SECTION 63 AND 68 OF COMPANIES ACT AND SECTION 200 OF CR.P.C. WAS FILED BY SEBI AGAINST CHHABRA LAND AND HOUSING LTD AND ITS DIRECTORS ISSUED PROSPECTUS CONTAINING THE PATENTLY FALSE AND UNTRUE STATEMENTS AS THEY CAME OUT WITH THE PUBLIC ISSUES OF 26,40,000 EQUITY SHARES OF RS.10.00 EACH AGGREGATING TO RS.264 LACS. THE COURT FOUND NO GROUND TO PROCEED AGAINST THE ACCUSED AND DISMISSED THE COMPLAINT VIDE IMPUGNED ORDER DATED 07/01/2016. THERAFTER, REVISION PETITION WAS FILED IN SESSIONS COURT WHEREIN, WHILE DISMISSING THE REVISION PEITIONED HELD THAT UNDER SECTION 63 OF THE COMPANIES ACT, THE OFFENCE IS MADE OUT AGAINST ONE WHO HAD AUTHORISED THE ISSUESANCE OF PROSPECTUS AND FOR THAT IT WAS PARAMOUNT FOR THE COMPLAINANT TO PROVE ON RECORD THE RESOLUTION OF THE BOARD OF DIRECTORS AUTHORISING THE ISSUANCE OF THE PROSPECTUS. THE FOUNDATION OF ISSUANCE OF THE PROSPECTUS HAS NOT BEEN BROUGHT ON RECORD AND AS ALLEGED THAT THE PROSPECTUS HAD CONTAINED SOME MIS-STATEMENTS AND NON DISCLOSURE OF MATERIAL INFORMATION AND THESE ALLEGATIONS CAN ONLY BE PROVED IF THE AUTHORITY BEHIND THE ISSUANCE OF PROSPECTUS COULD BE ESTABLISHED. HENCE, THE LEARNED TRIAL COURT WHILE TAKING INTO ACCOUNT ALL THESE FACTS HAD RIGHTLY DISCHARGED THE ACCUSED VIDE THE IMPUGNED ORDER, WHICH DOES NOT SUFFER FROM ANY INFIRMITY, IMPROPRIETY OR ILLEGALITY AND THE SAME IS HEREBY UPHELD AND AFFIRMED
|
| 12 |
|
|
CRANES SOFTWARE INTERNATIONAL LTD.
|
|
|
|
ASIF KHADER
|
|
|
MUEED KHADER
|
|
|
MUKKARAM JAN
|
|
|
RUDRA PRATAP
|
|
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 13 |
|
|
DECCAN CHRONICLE HOLDINGS LTD.
(CIN:L22122TG2002PLC040110
PAN:AABCD6737D)
|
|
|
|
KARTHIK IYER PARASURAMAN
DIN:00294035
PAN:AFTPK1261M
|
|
|
N.KRISHNAN
PAN:AAQPK7339C
|
|
|
TIKKAVARAPU VENKATRAM REDDY
PAN:AAWPT6829M
|
|
|
TIKKAVARAPU VINAYAK RAVI REDDY
PAN:ABAPT1371Q
|
|
|
V.SHANKAR
PAN:AAZPS3984J
|
|
MADE PUBLIC ANNOUNCEMENT FOR BUY BACK OF ITS EQUITY SHARES WITHOUT HAVING ADEQUATE FREE RESERVES MISLED INVESTORS/SHAREHOLDERS ABOUT PERCEIVED VALUATION/STRONG FINANCIAL POSITION OF COMPANY VIOLATING SECTIONS 68 AND 77A OF COMPANIES ACT, 1956 AND SECTION 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
CARRIED OUT BUYBACK OF ITS EQUITY SHARES MORE THAN 25% OF ITS TOTAL PAID UP CAPITAL LIMIT DURING FY.2011-12 VIOLATING SECTIONS 68 AND 77A OF COMPANIES ACT, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT MAKE DISCLOSURE OF MATERIAL PRICE SENSITIVE INFORMATION ON DATE OF ENTERING INTO AGREEMENT WITH DECCAN CHRONICLE MARKETERS VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
ISSUED MISLEADING FINANCIAL INFORMATION (I.E.UNDERSTATEMENT OF INTEREST AND FINANCE CHARGES ON OUTSTANDING LOANS AND THEREBY OVERSTATEMENT OF PROFITS) IN ITS ANNUAL REPORT FOR FY.2008-09 TO 2010-11 VIOLATING CLAUSE 41 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DELAY IN FILING OF SHAREHOLDING PATTERN TO STOCK EXCHANGES FOR QUARTERS ENDED SEPTEMBER-2012 AND DECEMBER-2012 VIOLATING CLAUSE 35 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT PROVIDE UPDATED INFORMATION ON SHAREHOLDING PATTERN FROM QUARTER ENDED MARCH-2013 ONWARDS ON ITS WEBSITE VIOLATING CLAUSE 54 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT APPOINT NEW COMPANY SECRETARY SUBSEQUENT TO RESIGNATION OF EXISTING COMPANY SECRETARY VIOLATING CLAUSE 47(A) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT MAKE DISCLOSURE RELATED PARTY TRANSACTIONS OF RS.99.45 CRORES ADVANCED TO FLYINGTON FREIGHTORS LTD. VIOLATING CLAUSE 32 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
|
IMPOSED PENALTY RS.4,00,00,000
22-MAR-2022
|
SAT: SAT VIDE ITS ORDER DATED 16/06/2022 ADJOURNED THE MATTER AND STAYED THE EFFECT AND OPERATION OF THE IMPUGNED ORDER SHALL REMAIN SAME
SAT: SAT VIDE ITS ORDER DATED 01/08/2022 ALLOWED APPELLANT THREE WEEKS TO FILE
|
| 14 |
|
|
DEWAN RUBBER INDUSTRIES LTD.
|
|
|
|
JAGDISH CHANDER DEWAN
|
|
|
K.C.DEWAN
|
|
|
KASTURI DEWAN
DIN:02861294
|
|
|
RAJ KUMAR DEWAN
|
|
|
RAJESH DEWAN
|
|
|
VIDYA SAGAR DEWAN
|
|
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 15 |
|
|
D-LINK (INDIA) LTD.
|
|
|
|
DATTARAJ V.SALGAOCAR
|
|
|
K.G.PRABHU
|
|
|
K.R.NAIK
|
|
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 16 |
|
|
EXCELL MULTITECH LTD.
|
|
|
|
BHUPENDRA T.JOSHI
|
|
|
COMANDUR PARTHASARATHY
PAN:AAFPC7617L
|
|
|
GAUTAMBHAI KARSANBHAI PATEL
|
|
|
HEMLATABEN VINUBHAI PATEL
|
|
|
JAGDISHBHAI GOVINDLAL SHETH
|
|
|
KIRITBEN RAJESH PATEL
|
|
|
M.S.RAMAKRISHNA
|
|
|
M.YAGUANDHAR
|
|
|
MANHARLAL KANTALILAL KOTADIA
|
|
|
NILESH RAMANLAL SHAH
|
|
|
RAJESH KUMAR VITHABHAI PATEL
|
|
|
RAKESH SURESHCHANDRA SHAH
|
|
|
SOAYUBEN H.VORA
|
|
|
VIPINCHANDRA GORDHANBHAI PATEL
|
|
FILED APPLICATION FOR SUBSCRIPTION AND/OR ACQUISITION OF SHARES IN FICTITIOUS NAME
VIOLATED SECTION 12A OF SEBI ACT.,1992
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SEBI DEPOSITORIES ACT, 1996
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 17 |
|
|
GREENFIELD TRADING & FINANCE LTD.
|
|
|
|
AMARJEET S.CHANDOK
|
|
|
ARUN PRANJIVANDAS GANDHI
|
|
|
HARMOHAN S.CHANDOK
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 18 |
|
|
GUJARAT DEHYD FOODS LTD.
|
|
|
|
ANIL KOTHARI
|
|
|
KASHYAP BAXI
|
|
|
SHAILESH BAKSHI
|
|
|
TUSHAR JALA
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 19 |
|
|
GUJARAT FUN N WATER PARK LTD.
|
|
|
|
D.H.BAROT
|
|
|
DHARMENDRA PATEL
|
|
|
YOGINI VYAS
|
|
FAILED TO PAY PENALTY
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
VIOLATED REGULATION 6 SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 20 |
|
|
INDO-AMERICAN CREDIT CORP.LTD.
|
|
|
|
AKBARKHAN NUSURULLAHKHAN PATHAN
|
|
|
AMIT NAGINBHAI SHAH
|
|
|
DIPAK WALJIBHAI CHOUDHARY
|
|
|
DIPTI SHAH
|
|
|
LALITABEN SHAH
|
|
|
MAHESHBHAI SHANTILAL PATEL
|
|
|
RAJAN MEHTA
|
|
|
Y.D.DESAI
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
VIOLATED SECTION 11(2) (1) (1A) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ALL ACCUSED PLEADED GUILTY AND WERE CONVICTED AND SENTENCED TO FINE OF RS.1,000 EACH AND ON DEFAULT IMPRISONMENT FOR 30 DAYS
CONVICTED
|
| 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 4
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