| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AADHAAR VENTURES INDIA LTD.
(CIN:L67120GJ1995PLC024449
PAN:AABCP4155F)
|
|
|
|
JILS RAICHAND MADAN
PAN:AGKPM3175A
|
|
|
JYOTI MUNVER
PAN:ALSPM2060P
|
|
|
OMPRAKASH ANANDILAL KHANDELWAL
PAN:ABGPK4008D
|
|
ENGAGED IN FRAUDULENT SCHEME OF FUND RAISING VIOLATING REGULATION 77(1) OF CHAPTER VII OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF AADHAAR VENTURES INDIA LTD.
ENGAGED IN FRAUDULENT SCHEME OF FUND RAISING VIOLATING SECTIONS
12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF AADHAAR VENTURES INDIA LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-FEB-2023
|
SEBI VIDE ITS NOTICE DATED 04/05/2023 DIRECTED TO PAY RS.6,25,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 18/08/2023 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
|
| 2 |
|
|
AANSAL SECURITIES SERVICES PVT.LTD.
(PAN:AAFCA3926K)
|
|
|
RECEIVED WARRANTS/SHARES ON BASIS OF PREFERENTIAL ALLOTMENT FROM COMPANY WITHOUT MAKING PAYMENT OF FULL CONSIDERATION VIOLATING SECTION 12A (A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SECUNDERABAD HEALTHCARE LTD.
RECEIVED WARRANTS/SHARES ON BASIS OF PREFERENTIAL ALLOTMENT FROM COMPANY WITHOUT MAKING PAYMENT OF FULL CONSIDERATION VIOLATING REGULATIONS 77(1) AND 77(3) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF SECUNDERABAD HEALTHCARE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-APR-2021 TO 29-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-APR-2021 TO 29-APR-2023
DIRECTED TO PAY BALANCE CONSIDERATION TO SECUNDERABAD HEALTHCARE LTD.
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-APR-2021
|
SAT: SAT VIDE ITS ORDER DATED 14/07/2021 ALLOWED RESPONDENT TO FILE REPLY TO THE MEMO OF APPEALS WITHIN THREE WEEKS FROM DATE OF THIS ORDER. REJOINDER MAY BE FILED ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 01/10/2021 ALLOWED THE APPEAL AND SET ASIDE MATTER AND REMITTED APPEALS TO WTM FOR RECONSIDERATION OF THE ISSUE AFTER CONSIDERING THE ANNUAL REPORTS AND SUCH OTHER EVIDENCE
|
| 3 |
|
|
AARYA GLOBAL SHARES & SECURITIES LTD.
(PAN:AABCP3445J)
|
|
|
ALLEGED VIOLATION OF REGULATION 95(1) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,01,742 VIDE CONSENT ORDER)
21-MAY-2018
|
|
| 4 |
|
|
ABM INTERNATIONAL LTD.
(PAN:AAACD4075H)
|
|
|
DID NOT COMPLETE BONUS ISSUE WITHIN STIPULATED TIME AS PRESCRIBED UNDER REGULATION 95 OF SEBI (ICDR) REGULATIONS, 2009
|
IMPOSED PENALTY RS.5,00,000
21-JUL-2014
|
|
| 5 |
|
|
ACROPETAL TECHNOLOGIES LTD.
(CIN:L72900KA2001PLC028944
PAN:AADCA1623M)
|
|
|
|
JAMILI JALAIAH
PAN:ACTPJ7423K
|
|
|
S.SUDHEER
|
|
|
SHOBHA SUDHAKAR ACHARYA
PAN:AJLPA3219K
|
|
DID NOT MAKE CORRECT DISCLOSURE OF UTILLIZATION OF BRIDGE LOAN OF RS.20.00 CRORES IN IPO PROSPECTUS VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO (D), 4(1), 4(2)(F) AND (K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ACROPETAL TECHNOLOGIES LTD.
DID NOT MAKE CORRECT DISCLOSURE OF UTILLIZATION OF BRIDGE LOAN OF RS.20.00 CRORES IN IPO PROSPECTUS VIOLATING REGULATIONS 57(1) AND 60(7)(A) OF ICDR REGULATIONS READ WITH CLAUSE (2)(IX)(B)(12) (A)(V) PART A OF SCHEDULE VIII OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF ACROPETAL TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-SEP-2019 TO 26-SEP-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-SEP-2019 TO 26-SEP-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
27-SEP-2019
|
|
| 6 |
|
|
ACROPETAL TECHNOLOGIES LTD.
(CIN:L72900KA2001PLC028944
PAN:AADCA1623M)
|
|
|
|
RAVI KUMAR DORAISWAMY
PAN:ACNPK9304L
DIN:01557904
|
|
DID NOT MAKE CORRECT DISCLOSURE OF UTILLIZATION OF BRIDGE LOAN OF RS.20.00 CRORES IN IPO PROSPECTUS VIOLATING REGULATIONS 57(1) AND 60(7)(A) OF ICDR REGULATIONS READ WITH CLAUSE (2)(IX)(B)(12) (A)(V) PART A OF SCHEDULE VIII OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF ACROPETAL TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAR-2022
|
SEBI VIDE ITS NOTICE DATED 22/08/2022 DIRECTED TO PAY RS.15,76,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 11/10/2022 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 |
|
|
ACROPETAL TECHNOLOGIES LTD.
(CIN:L72900KA2001PLC028944
PAN:AADCA1623M)
|
|
|
|
RAVI KUMAR DORAISWAMY
PAN:ACNPK9304L
DIN:01557904
|
|
DID NOT MAKE CORRECT DISCLOSURE OF UTILLIZATION OF BRIDGE LOAN OF RS.20.00 CRORES IN IPO PROSPECTUS VIOLATING REGULATIONS 57(1) AND 60(7)(A) OF ICDR REGULATIONS READ WITH CLAUSE (2)(IX)(B)(12) (A)(V) PART A OF SCHEDULE VIII OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF ACROPETAL TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAR-2022
|
SEBI VIDE ITS NOTICE DATED 22/08/2022 DIRECTED TO PAY RS.15,76,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 11/10/2022 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
|
| 8 |
|
|
AUSTRAL COKE & PROJECTS LTD.
(PAN:AABCN1393B)
|
|
|
|
RAJENDRA KUMAR KHAITAN
PAN:AGBPK7497A
|
|
|
RATAN LAL TAMAKHUWALA
PAN:ACUPT7280P
|
|
|
RISHIRAJ AGARWAL
PAN:AEQPA0755E
|
|
|
SHYAM KISHORE CHOWDHARY
PAN:ACQPC6525N
|
|
MADE WRONG DISCLOSURE REGARDING CAPACITY OF LAM COKE PLANT OF AUSTRAL COKE IN RHP AND REASON OF DIS-ASSOCIATION OF ITS CHAIRMAN & MD FROM GUJARAT NRE COKE LTD. VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D), 4(1), 4(2), (E), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF AUSTRAL COKE & PROJECTS LTD. (NOW KNOWN AS GREENEARTH RESOURCES & PROJECTS LTD.)
MISUTILISED IPO PROCEEDS BY ROUTING BACK RS.29.42 CRORE TO PROMOTER CONTROLLED ENTITY VIOLATING CLAUSE 6.2 OF DIP GUIDELINES READ WITH REGULATIONS 57(1) AND 111(2) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF AUSTRAL COKE & PROJECTS LTD. (NOW KNOWN AS GREENEARTH RESOURCES & PROJECTS LTD.)
|
DIRECTED TO UNDERTAKE THE MEASURES OF BRING BACK OR RECOVER OUTSTANDING RS. 29.42 CRORE OF IPO PROCEEDS WITHIN ONE YEAR
DIRECTED TO TAKE APPROPRIATE STEPS FOR COMPLIANCE OF DIRECTIONS
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 05-DEC-2022 TO 04-MAY-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
05-DEC-2022
|
SAT: SAT VIDE ITS ORDER DATED 28/02/2023 ALLOWED RESPONDENT FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 14/06/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 9 |
|
|
AUSTRAL COKE & PROJECTS LTD.
(PAN:AABCN1393B)
|
|
|
|
RATANLAL BRIJLAL TAMAKHUWALA
PAN:ACUPT7280P
|
|
|
RISHIRAJ AGARWAL
PAN:AEQPA0755E
|
|
MADE WRONG DISCLOSURE REGARDING CAPACITY OF LAM COKE PLANT OF AUSTRAL COKE IN RHP AND REASON OF DIS-ASSOCIATION OF ITS CHAIRMAN & MD FROM GUJARAT NRE COKE LTD. VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D), 4(1), 4(2), (E), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF AUSTRAL COKE & PROJECTS LTD. (NOW KNOWN AS GREENEARTH RESOURCES & PROJECTS LTD.)
MISUTILISED IPO PROCEEDS BY ROUTING BACK RS.29.42 CRORE TO PROMOTER CONTROLLED ENTITY VIOLATING CLAUSE 6.2 OF DIP GUIDELINES READ WITH REGULATIONS 57(1) AND 111(2) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF AUSTRAL COKE & PROJECTS LTD. (NOW KNOWN AS GREENEARTH RESOURCES & PROJECTS LTD.)
|
IMPOSED PENALTY RS.11,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-JUL-2022
|
|
| 10 |
|
|
BHAGYASHREE LEASING & FINANCE LTD.
(PAN:AAACB4719L
CIN:L65910PN1994PLC138655)
|
|
|
ALLEGED FAILURE IN MAKING CORRECT DISCLOSURE OF EQUITY SHARES ISSUED ON PREFERENTIAL BASIS VIOLATING CLAUSE 13.4.2 OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2009
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING PATTERN IN PRE AND POST PREFERENTIAL ISSUE VIOLATING CLAUSE 13.1A (III) (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,65,000 VIDE CONSENT ORDER)
06-NOV-2017
|
|
| 11 |
|
|
BIRLA PACIFIC MEDSPA LTD.
(CIN:L85100MH2008PLC184689
PAN:AADCB5167F)
|
|
|
|
ABHIJIT PRABHAKAR DESAI
PAN:AEKPD9806M
|
|
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ANOJ MENON
PAN:AHTPM6650N
|
|
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MOHANDAS SHENOY ADIGE
PAN:AARPA3809L
|
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PALAPARTHY VENKATA RAMANA MURTHY
PAN:ABRPM1271B
|
|
|
RAJESH V.SHAH
PAN:AAGPS9485D
|
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TUSHAR DEY
PAN:AHEPD2060J
|
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UPKAR SINGH KOHLI
PAN:AAIPK0833F
|
|
|
VENKATESHWARALU NELABHOTLA
PAN:AADPV8720H
|
|
|
YASHOVARDHAN BIRLA
PAN:AAJPB2505N
|
|
INDULGED IN SIPHONING OFF/DIVERSION OF FUNDS AND MIS-UTILISATION OF IPO PROCEEDS VIOLATING REGULATIONS 57(1), 57(2) (A) READ WITH CLAUSE 2 (XVI) (B) (2) PART A OF SCHEDULE VIII READ WITH REGULATION 57(2)(A) OF SEBI (ICDR) REGULATIONS, 2009 IN THE MATTER OF BIRLA PACIFIC MEDSPA 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 23-OCT-2020 TO 22-OCT-2022
23-OCT-2020
|
|
| 12 |
|
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BIRLA PACIFIC MEDSPA LTD.
(CIN:L85100MH2008PLC184689
PAN:AADCB5167F)
|
|
|
|
KHYATI HEMANG DANANI (AKA.KHYATI VINODBHAI MASHRU)
PAN:AOVPM3715M
|
|
|
KHYATI VINODBHAI MASHRU (AKA.KHYATI HEMANG DANANI)
PAN:AOVPM3715M
|
|
INDULGED IN SIPHONING OFF/DIVERSION OF FUNDS AND MIS-UTILISATION OF IPO PROCEEDS VIOLATING REGULATIONS 57(1), 57(2) (A) READ WITH CLAUSE 2 (XVI) (B) (2) PART A OF SCHEDULE VIII READ WITH REGULATION 57(2)(A) OF SEBI (ICDR) REGULATIONS, 2009 IN THE MATTER OF BIRLA PACIFIC MEDSPA 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 23-OCT-2020 TO 22-APR-2021
23-OCT-2020
|
|
| 13 |
|
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BRH WEALTH KREATORS LTD.
(CIN:100717
PAN:AACCB5141L)
|
|
|
ISSUED EQUITY SHARES BY INVITING APPLICATIONS FROM GENERAL PUBLIC WITHOUT
FILING THE SAME WITH SEBI
DID NOT FILE ANY PROSPECTUS WITH SEBI IN CONNECTION WITH THE ISSUE OF SECURITIES
DID NOT GET SECURITIES LISTED WITH THE STOCK EXCHANGE
DID NOT REFUND THE COLLECTED MONEY
|
IMPOSED PENALTY RS.10,00,000
29-AUG-2022
|
SEBI VIDE ITS NOTICE DATED 24/08/2023 DIRECTED TO PAY RS.11,31,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 13/09/2023 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
|
| 14 |
|
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BROOKS LABORATORIES LTD.
(PAN:AACCB5316P)
|
|
|
|
ATUL RANCHAL
PAN:ADMPR5359L
|
|
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DURGA SHANKAR MAITY
PAN:AHNPM4221B
|
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KETAN SHAH
PAN:BIUPS7078D
|
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PARVINDER KAUR
PAN:BNQPK5210E
|
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RAJESH MAHAJAN
PAN:AFGPM8060D
|
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INDULGED IN ROUND TRIPPING OF FUNDS/SIPHONING OF FUNDS FROM IPO PROCEEDS, MIS-UTILISATION OF IPO PROCEEDS ALONGWITH NON DISCLOSURES AND WRONG DISCLOSURES OF MATERIAL INFORMATION OF AVAILING ICDS TO TUNE OF RS.30.40 CRORES, APPOINTMENT OF SURYAMUKHI AS PROJECT CONTRACTOR AND NEO POWER AS FOREIGN SUPPLIER ETC IN MATTER OF BROOKS LABORATORIES LTD.
|
IMPOSED PENALTY RS.15,00,000
12-JAN-2015
|
SAT: SAT VIDE ITS ORDER DATED 21/03/2018 MODIFIED SEBI'S ORDER DATED 12/01/2015 BY REDUCING PENALTY AMOUNT TO RS.15 LACS FROM RS.1.00 CRORES. NO COSTS
|
| 15 |
|
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BUTTERFLY AGRI PRODUCTS PVT.LTD.
(PAN:AAACB8388D)
|
|
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ALLEGED DELAY IN OBTAINING IN-PRINCIPLE APPROVAL AND SOLD THE SHARES IN LOCK-IN PERIOD VIOLATING REGULATION 78(6) OF SEBI (ICDR) REGULATIONS, 2009
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
21-JUL-2014
|
|
| 16 |
|
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CHANNEL NINE ENTERTAINMENT LTD.
(PAN:AABCC8801H)
|
|
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GAJRAJ SINGH
PAN:BEKPS1235N
|
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KIRTI
PAN:BBAPK7304P
|
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INDULGED IN EMPLOYED A SCHEME WITH THE HELP OF FUNDING GROUP ENTITIES TO GET LISTING ON THE STOCK EXCHANGES VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D), 4(1), 4(2)(C), (F), (K) AND 4(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF CHANNEL NINE ENTERTAINMENT LTD.
GAVE FALSE AND MISLEADING INFORMATION OF OBJECTS OF THE IPO AND DID NOT MAKE DISCLOSURE OF LOAN TAKEN BY THE COMPANY VIOLATING REGULATION 57(1) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF IPO OF CHANNEL NINE ENTERTAINMENT LTD.
|
IMPOSED PENALTY RS.12,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2022
|
SAT: SAT VIDE ITS ORDER DATED 28/06/2022 CONDONED THE DELAY IN FILING OF REPLY AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 29/08/2022 DIRECTED TO PAY RS.12,85,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 17 |
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COMFORT SECURITIES LTD.
(PAN:AABCC9625R)
|
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AMIT KUMAR KHEMKA
PAN:AQRPK7830M
|
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ANIL BENIPRASAD AGRAWAL
PAN:ACTPA6034D
|
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ANNU ANIL AGRAWAL
PAN:ADMPA0248F
|
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BHARAT NANUBHAI SHIROYA
PAN:ALLPS7688G
|
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CHANDRAKALA PUROHIT
PAN:AFUPP1827R
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JUGAL CHANDRAKANT THACKER
PAN:ABCPT8861F
|
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SARTHAK VIJLANI
PAN:ADMPV9381J
|
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DID NOT EXERCISE DUE DILIGENCE, SKILL AND CARE AS INDEPENDENT PROFESSIONAL JUDGEMENT WHILE ACTING AS BOOK RUNNING LEAD MANAGER VIOLATING REGULATIONS 64(1), 8(2) (B), (E) AND (F) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF IPO OF RAVI KUMAR DISTILLERIES LTD.
DID NOT EXERCISE DUE DILIGENCE, SKILL AND CARE AS INDEPENDENT PROFESSIONAL JUDGEMENT WHILE ACTING AS BOOK RUNNING LEAD MANAGER VIOLATING REGULATIONS 64(1), 8(2) (B), (E) AND (F) AND REGULATION 13 READ WITH CLAUSES 1 TO 4, 6, 7 AND 21 OF THE CODE OF CONDUCT SPECIFIED UNDER SCHEDULE III OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 IN MATTER OF IPO OF RAVI KUMAR DISTILLERIES LTD.
INDULGED IN SIPHONING OFF/DIVERSION OF RS.33.83 CRORES IN IPO PROCEEDS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF RAVI KUMAR DISTILLERIES LTD.
|
IMPOSED PENALTY RS.6,00,00,000
21-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 01/12/2020 CONDONED THE DELAY OF 29 DAYS IN FILING OF APPEAL. ALLOWED TWO WEEKS TIME TO RESPONDENT TO FILE REPLY AND APPELLANT TO FILE REJOINDER A WEEK THEREAFTER
|
| 18 |
|
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COPPERTRENZS
(PAN:AAHFC0652P)
|
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|
ISSUED FALSE, MISLEADING AND DISTORTED INFORMATION/DECLARATIONS IN MATTER OF ISSUANCE OF CONVERTIBLE PREFERENCE SHARES OF SGI RESEARCH & ANALYSIS LTD.
ALLOTTED CONVERTIBLE PREFERENCE SHARES TO 162 INVESTORS VIOLATING SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 IN MATTER OF SGI RESEARCH & ANALYSIS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JAN-2013 TO 10-JAN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2013 TO 10-JAN-2023
DIRECTED TO REFUND MONEY COLLECTED TOWARDS SUBSCRIPTION OF CONVERTIBLE PREFERENCE SHARES ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
11-JAN-2013
|
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| 19 |
|
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DEVANSH KAYAN BENEFICIARY TRUST
(PAN:AABTD6118R)
|
|
|
MOBILIZED RS.25.99 CRORES THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 978 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60(1) AND 73 READ WITH 67 OF THE COMPANIES ACT, 1956 AND SECTION 465(2) OF THE COMPANIES ACT, 2013 IN MATTER OF TRINITY TRADELINK LTD.(EARLIER KNOWN AS OMNITECH PETROLEUM LTD.)
MOBILIZED RS.25.99 CRORES THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 978 INVESTORS VIOLATING REGULATIONS 4(2)(D), 4(2)(E) 5(1), 5(2), 5(5), 5(7), 6(1), 7, 26(1), 26(2), 32(1), 36, 37, 46(1), 47(1), 49(1), 57(1), 58(1), 58(2), 63 AND 115(2) OF ICDR REGULATIONS, 2009 IN MATTER OF TRINITY TRADELINK LTD.(EARLIER KNOWN AS OMNITECH PETROLEUM LTD.)
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PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 19-MAR-2020 TO 18-MAR-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-MAR-2020 TO 18-MAR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-MAR-2020 TO 18-MAR-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
19-MAR-2020
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| 20 |
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DHARMENDRA RIKHAVCHAND SHAH (HUF)
(PAN:AAEHD6246F)
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DID NOT PAY CONSIDERATION AMOUNT TOWARDS SAHRES ALLOTTED IN PREFERENTIAL ALLOTMENT VIOLATING REGULATION 77(1) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 IN MATTER OF SMS TECHSOFT (INDIA) LTD.
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IMPOSED PENALTY RS.2,00,000
29-MAR-2019
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| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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