| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AMIT KUMAR KHEMKA
(PAN:AQRPK7830M)
|
|
|
|
COMFORT SECURITIES LTD.
PAN:AABCC9625R
|
|
|
RAVI KUMAR DISTILLERIES LTD.
PAN:AABCR4195D
|
|
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.1,20,00,000
21-AUG-2020
|
SEBI VIDE ITS NOTICE DATED 12/04/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1.ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) BY WHATEVER NAME CALLED INCLUDING LOCKERS 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
SAT: SAT VIDE ITS ORDER DATED 10/05/2021 DISPOSED OFF THE APPLICATION AND DIRECTED APPELLANT TO DEPOSIT RS.20 LACS WITHIN THREE WEEKS FROM DATE OF THIS ORDER
|
| 2 |
|
|
ANIL BENIPRASAD AGRAWAL
(PAN:ACTPA6034D)
|
|
|
|
COMFORT SECURITIES LTD.
PAN:AABCC9625R
|
|
|
RAVI KUMAR DISTILLERIES LTD.
PAN:AABCR4195D
|
|
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 22/06/2021 ALLOWED RESPONDENT TWO WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 22/07/2022 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
|
| 3 |
|
|
ANNU ANIL AGRAWAL
(PAN:ADMPA0248F)
|
|
|
|
COMFORT SECURITIES LTD.
PAN:AABCC9625R
|
|
|
RAVI KUMAR DISTILLERIES LTD.
PAN:AABCR4195D
|
|
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.1,20,00,000
21-AUG-2020
|
|
| 4 |
|
|
BASANTH AGARWAL
|
|
|
|
BASAN FINANCIAL SERVICES LTD.
|
|
DID NOT ADHERE TO ELIGIBILITY CRITERIA AND CONDITIONS FOR GRANT OF OR HOLDING THE CERTIFICATE OF REGISTRATION AS MERCHANT BANKER VIOLATING REGULATIONS 6(AA) AND 6(B) OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
DID NOT MAINTAIN RECORDS AND DOCUMENTS PERTAINING TO DUE DILIGENCE EXERCISED IN SME ISSUE OF SUBH TEX LTD. VIOLATING REGULATION 14(E) READ WITH 16 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
DID NOT PROVIDE DESIRED ASSISTANCE TO SEBI INSPECTION TEAM DURING INSPECTION VIOLATING REGULATIONS 14(E) READ WITH 16, 31(1), 31)(2) & 31(4) AND CLAUSE 3, 21 AND 29 OF CODE OF CONDUCT SPECIFIED IN SCHEDULE III READ WITH REGULATION 13 OF SEBI (MERCHANT BANKER) REGULATIONS, 1992
|
PROHIBITED FROM BEING EMPLOYED OR ASSOCIATED WITH ANY REGISTERED INTERMEDIARIES OR OTHER REGISTERED PERSON
05-JUL-2021
|
|
| 5 |
|
|
BASUDEO AGARWAL
|
|
|
|
V.R.MATHUR MASS COMMUNICATIONS LTD.
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACCUSED NO.1 TO 5 WERE ACQUITTED BY COURT
|
| 6 |
|
|
BHARAT NANUBHAI SHIROYA
(PAN:ALLPS7688G)
|
|
|
|
COMFORT SECURITIES LTD.
PAN:AABCC9625R
|
|
|
RAVI KUMAR DISTILLERIES LTD.
PAN:AABCR4195D
|
|
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.1,20,00,000
21-AUG-2020
|
|
| 7 |
|
|
CHANDRAKALA PUROHIT
(PAN:AFUPP1827R)
|
|
|
|
COMFORT SECURITIES LTD.
PAN:AABCC9625R
|
|
|
RAVI KUMAR DISTILLERIES LTD.
PAN:AABCR4195D
|
|
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.1,20,00,000
21-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 10/05/2021 DISPOSED OFF THE APPLICATION AND DIRECTED APPELLANT TO DEPOSIT RS.20 LACS WITHIN THREE WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 10/06/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1.ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) BY WHATEVER NAME CALLED INCLUDING LOCKERS 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 |
|
|
GAJENDRA NAGPAL
(PAN:AADPN5511A)
|
|
|
|
UNICON CAPITAL SERVICES PVT.LTD.
CIN:U74140DL2008PTC181236
PAN:AABCU0157G
|
|
PROVIDED FALSE DECLARATION AND UNDERTAKING TO BSE OF THAT IT WAS A SEBI REGISTERED MERCHANT BANKER VIOLATING REGULATION 106-O (2) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
ACTED AS AN UNREGISTERED MERCHANT BANKER FOR SME PUBLIC ISSUES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-DEC-2014 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-DEC-2014 TILL FURTHER ORDERS
08-DEC-2014
|
SEBI VIDE ITS ORDER DATED 31/03/2016 DISPOSED OFF THE EX-PARTE AD INTERIM ORDER DATED 08/12/2014 WITHOUT ANY FURTHER DIRECTIONS
|
| 9 |
|
|
GAURAV JAIN
(PAN:AEYPJ4410R)
|
|
|
|
EXPERT GLOBAL CONSULTANTS PVT.LTD.
PAN:AABCF5715E
|
|
DID NOT EXERCISE PROPER DUE DILIGENCE IN OPEN OFFER OF DIGGI MULTITRADE LTD.
DID NOT SUBMIT PERIODIC REPORTS TO SEBI
DID NOT INTIMATE CHANGES IN DIRECTORS AND KEY MANAGERIAL PERSONNEL TO SEBI
DID NOT HAVE VALID NCFM/NISM CERTIFICATE
DID NOT ADOPT CODE OF CONDUCT, MAINTENANCE OF STRUCTURAL DIGITAL DATABASE (SDD) AND DESIGNATING ANY COMPLIANCE OFFICER TO MONITOR COMPLIANCES AS REQUIRED UNDER SEBI (PIT) REGULATIONS, 2015
MADE MISLEADING DISCLOSURES/STATEMENT ON WEBSITE
DID NOT DISPLAY INVESTOR CHARTER ON ITS WEBSITE
|
IMPOSED PENALTY RS.7,00,000
17-DEC-2024
|
|
| 10 |
|
|
JUGAL CHANDRAKANT THACKER
(PAN:ABCPT8861F)
|
|
|
|
COMFORT SECURITIES LTD.
PAN:AABCC9625R
|
|
|
RAVI KUMAR DISTILLERIES LTD.
PAN:AABCR4195D
|
|
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.1,20,00,000
21-AUG-2020
|
|
| 11 |
|
|
KAMLESH M.SHAH
|
|
|
|
MONARCH PROJECT & FINMARKETS LTD.
PAN:AAACM8214F
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SCHEDULE III OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 12 |
|
|
NIKHIL AGARWAL
|
|
|
|
BASAN FINANCIAL SERVICES LTD.
|
|
DID NOT ADHERE TO ELIGIBILITY CRITERIA AND CONDITIONS FOR GRANT OF OR HOLDING THE CERTIFICATE OF REGISTRATION AS MERCHANT BANKER VIOLATING REGULATIONS 6(AA) AND 6(B) OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
DID NOT MAINTAIN RECORDS AND DOCUMENTS PERTAINING TO DUE DILIGENCE EXERCISED IN SME ISSUE OF SUBH TEX LTD. VIOLATING REGULATION 14(E) READ WITH 16 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
DID NOT PROVIDE DESIRED ASSISTANCE TO SEBI INSPECTION TEAM DURING INSPECTION VIOLATING REGULATIONS 14(E) READ WITH 16, 31(1), 31)(2) & 31(4) AND CLAUSE 3, 21 AND 29 OF CODE OF CONDUCT SPECIFIED IN SCHEDULE III READ WITH REGULATION 13 OF SEBI (MERCHANT BANKER) REGULATIONS, 1992
|
PROHIBITED FROM BEING EMPLOYED OR ASSOCIATED WITH ANY REGISTERED INTERMEDIARIES OR OTHER REGISTERED PERSON
05-JUL-2021
|
|
| 13 |
|
|
PANDOO PRABHAKAR NAIG
(PAN:ACNPN2800J)
|
|
|
|
ONELIFE CAPITAL ADVISORS LTD.
PAN:AAACO9540L
|
|
DID NOT EXERCISE DUE DILIGENCE WITH RESPECT TO DISCLOSURE MADE IN IPO PROSPECTUS VIOLATING CLAUSES 1 TO 4, 6, 7, 11 TO 13 AND 18 OF CODE OF CONDUCT UNDER SCHEDULE III READ WITH REGULATION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 IN MATTER OF PARAMOUNT PRINTPACKAGING LTD.
DID NOT MAKE DISCLOSURE OF MATERIAL CONFLICT OF INTEREST INFORMATION MADE IN IPO PROSPECTUS VIOLATING CLAUSES 1 TO 4, 6, 7, 11 TO 13 AND 18 OF CODE OF CONDUCT UNDER SCHEDULE III READ WITH REGULATION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 IN MATTER OF PARAMOUNT PRINTPACKAGING LTD.
DID NOT EXERCISE DUE DILIGENCE WITH RESPECT TO DISCLOSURE MADE IN IPO PROSPECTUS VIOLATING REGULATION 64(1) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF PARAMOUNT PRINTPACKAGING LTD.
DID NOT MAKE DISCLOSURE OF MATERIAL CONFLICT OF INTEREST INFORMATION MADE IN IPO PROSPECTUS VIOLATING REGULATION 64(1) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF PARAMOUNT PRINTPACKAGING LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-DEC-2022
|
SAT: SAT VIDE ITS ORDER DATED 05/06/2023 ALLOWED THE APPEAL AND QUASHED THE IMPUGNED ORDER DATED 30/12/2022
|
| 14 |
|
|
PAWAN DHANUKA
(PAN:ADDPD9749D)
|
|
|
|
UNICON CAPITAL SERVICES PVT.LTD.
CIN:U74140DL2008PTC181236
PAN:AABCU0157G
|
|
ACTED AS AN UNREGISTERED MERCHANT BANKER FOR SME PUBLIC ISSUES
PROVIDED FALSE DECLARATION AND UNDERTAKING TO BSE OF THAT IT WAS A SEBI REGISTERED MERCHANT BANKER VIOLATING REGULATION 106-O (2) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2016 TO 30-MAR-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2016 TO 30-MAR-2019
08-DEC-2014
|
SEBI VIDE ITS ORDER DATED 31/03/2016 MR.PAWAN DHANUKA AND MR.PRITAM PANDYA DIRECTED TO RESTRAINED FROM ACCESSING SECURITES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHASTSOEVER, FOR A PERIOD OF THREE YEARS
|
| 15 |
|
|
PAWAN KUMAR AGARWAL
|
|
|
|
V.R.MATHUR MASS COMMUNICATIONS LTD.
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACCUSED NO.1 TO 5 WERE ACQUITTED BY COURT
|
| 16 |
|
|
PRITAM PANDYA
(PAN:AORPP5179A)
|
|
|
|
UNICON CAPITAL SERVICES PVT.LTD.
CIN:U74140DL2008PTC181236
PAN:AABCU0157G
|
|
ACTED AS AN UNREGISTERED MERCHANT BANKER FOR SME PUBLIC ISSUES
PROVIDED FALSE DECLARATION AND UNDERTAKING TO BSE OF THAT IT WAS A SEBI REGISTERED MERCHANT BANKER VIOLATING REGULATION 106-O (2) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2016 TO 30-MAR-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2016 TO 30-MAR-2019
08-DEC-2014
|
SEBI VIDE ITS ORDER DATED 31/03/2016 MR.PAWAN DHANUKA AND MR.PRITAM PANDYA DIRECTED TO RESTRAINED FROM ACCESSING SECURITES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHASTSOEVER, FOR A PERIOD OF THREE YEARS
|
| 17 |
|
|
RAM AGGARWAL
|
|
|
|
KANORIA SECURITIES & FINANCIAL SERVICES LTD.
|
|
VIOLATED SEBI (MERCHANT BANKER) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 18 |
|
|
RAM MOHAN GUPTA
(PAN:AGDPG7175M)
|
|
|
|
UNICON CAPITAL SERVICES PVT.LTD.
CIN:U74140DL2008PTC181236
PAN:AABCU0157G
|
|
ACTED AS AN UNREGISTERED MERCHANT BANKER FOR SME PUBLIC ISSUES
PROVIDED FALSE DECLARATION AND UNDERTAKING TO BSE OF THAT IT WAS A SEBI REGISTERED MERCHANT BANKER VIOLATING REGULATION 106-O (2) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2016 TO 30-MAR-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2016 TO 30-MAR-2021
08-DEC-2014
|
SEBI VIDE ITS ORDER DATED 31/03/2016 UNICON CAPITAL SERVICES PVT.LTD. AND MR.RAM MOHAN GUPTA DIRECTED TO RESTRAINED FROM ACCESSING SECURITES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHASTSOEVER, FOR A PERIOD OF FIVE YEARS
|
| 19 |
|
|
SARTHAK VIJLANI
(PAN:ADMPV9381J)
|
|
|
INDULGED IN MIS-STATEMENTS AND DID NOT MAKE DISCLOSURE OF BRIDGE LOAN OF RS.14.89 CRORES TAKEN FROM COMFORT INTECH LTD. AND FACT ENTERPRISES LTD. IN IPO PROSPECTUS VIOLATING REGULATIONS 64(1) AND 8(2) (B), (E) AND (F) OF SEBI ICDR REGULATIONS, 2009 IN MATTER OF RAVI KUMAR DISTILLERIES LTD.
INDULGED IN MIS-STATEMENTS AND DID NOT MAKE DISCLOSURE OF BRIDGE LOAN OF RS.14.89 CRORES TAKEN FROM COMFORT INTECH LTD. AND FACT ENTERPRISES LTD. IN IPO PROSPECTUS VIOLATING CLAUSES 1 TO 4, 6, 7 AND 21 OF CODE OF CONDUCT SPECIFIED UNDER SCHEDULE III OF SEBI MERCHANT BANKERS REGULATIONS, 1992 IN MATTER OF RAVI KUMAR DISTILLERIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-FEB-2020 TO 13-FEB-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-FEB-2020 TO 13-FEB-2021
14-FEB-2020
|
|
| 20 |
|
|
SARTHAK VIJLANI
(PAN:ADMPV9381J)
|
|
|
|
COMFORT SECURITIES LTD.
PAN:AABCC9625R
|
|
|
RAVI KUMAR DISTILLERIES LTD.
PAN:AABCR4195D
|
|
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.1,00,000
21-AUG-2020
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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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