| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ALOK JAIN TIJARIA
(PAN:ABJPJ3116C)
|
|
|
|
TIJARIA POLYPIPES LTD.
PAN:AACCT4796M
|
|
DID NOT MAKE DISCLOSURE OF BOARD RESOLUTION DATED 10/09/2011 TO RAISE FUNDS THROUGH ICDS IN PROSPECTUS
DID NOT MAKE DISCLOSURE OF FUNDS RAISED BY TPL THROUGH ICDS IN NATURE OF BRIDGE LOAN IN PROSPECTUS
DID NOT MAKE DISCLOSURE OF FUNDS RAISED THROUGH ICDS PRIOR TO BOARD RESOLUTION DATED 10/09/2011 IN PROSPECTUS
MADE WRONG DISCLOSURE/MISSTATEMENT IN RELATION TO PROCUREMENT OF PLANT & MACHINERY (IMPORTED & INDIGENOUS) AND SUPPLIERS
MADE MIS-STATEMENTS IN PROSPECTUS BY OVERSTATING EXPENDITURE
|
PROHIBITED FROM RAISING ANY FURTHER CAPITAL IN ANY MANNER, DIRECTLY OR INDIRECTLY FROM 28-NOV-2011 TO 27-NOV-2018
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-NOV-2011 TO 27-NOV-2018
20-JUN-2014
|
SAT: SAT VIDE ITS ORDER DATED 29/06/2016 REDUCED DEBARMENT FROM SECURITIES MARKET FOR 7 YEARS TO 5 YEARS. CALLING BACK MONEY FROM ENTITIES TO WHOM THE IPO PROCEEDS HAVE BEEN USED TO REFUND ICDS CANNOT BE SUSTAINED AS IT IS FOUND THAT THESE ENTITIES DID IN FACT MAKE PAYMENTS TO TPL AND REFUND OF MONEY TO THOSE COMPANIES CANNOT BE CALLED BACK. NO COSTS
|
| 2 |
|
|
BHAVIK SATISH BADANI
(PAN:ALRPB9295L)
|
|
|
|
KELVIN FINCAP LTD.
PAN:AAACD1881H
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH MATCHED TRANSACTIONS IN SCRIP OF KELVIN FINCAP LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING PATTERN TO BSE VIOLATING SECTION 21 OF SCRA, 1956 READ WITH CLAUSE 35 OF LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-AUG-2014 TO 13-JUL-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-AUG-2014 TO 13-JUL-2021
PROHIBITED FROM RAISING ANY FURTHER CAPITAL IN ANY MANNER, DIRECTLY OR INDIRECTLY FROM 14-AUG-2014 TO 13-JUL-2021
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 14-AUG-2014 TO 13-JUL-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
14-AUG-2014
|
SEBI VIDE ITS ORDER DATED 31/08/2020 DIRECTED A) NOT TO ACCESS SECURITIES MARKET, DIRECTLY OR INDIRECTLY, BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM THE PUBLIC FOR 3 YEARS B) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER, FOR 7 YEARS
|
| 3 |
|
|
BIPIN BHIKHABHAI PATEL
(PAN:AIDPP3653M)
|
|
|
|
KELVIN FINCAP LTD.
PAN:AAACD1881H
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH MATCHED TRANSACTIONS IN SCRIP OF KELVIN FINCAP LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING PATTERN TO BSE VIOLATING SECTION 21 OF SCRA, 1956 READ WITH CLAUSE 35 OF LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-AUG-2014 TO 13-JUL-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-AUG-2014 TO 13-JUL-2021
PROHIBITED FROM RAISING ANY FURTHER CAPITAL IN ANY MANNER, DIRECTLY OR INDIRECTLY FROM 14-AUG-2014 TO 13-JUL-2021
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 14-AUG-2014 TO 13-JUL-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
14-AUG-2014
|
SEBI VIDE ITS ORDER DATED 31/08/2020 DIRECTED A) NOT TO ACCESS SECURITIES MARKET, DIRECTLY OR INDIRECTLY, BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM THE PUBLIC FOR 3 YEARS B) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER, FOR 7 YEARS
|
| 4 |
|
|
PRAVEEN JAIN TIJARIA
(PAN:ABTPJ8112G)
|
|
|
|
TIJARIA POLYPIPES LTD.
PAN:AACCT4796M
|
|
DID NOT MAKE DISCLOSURE OF BOARD RESOLUTION DATED 10/09/2011 TO RAISE FUNDS THROUGH ICDS IN PROSPECTUS
DID NOT MAKE DISCLOSURE OF FUNDS RAISED BY TPL THROUGH ICDS IN NATURE OF BRIDGE LOAN IN PROSPECTUS
DID NOT MAKE DISCLOSURE OF FUNDS RAISED THROUGH ICDS PRIOR TO BOARD RESOLUTION DATED 10/09/2011 IN PROSPECTUS
MADE WRONG DISCLOSURE/MISSTATEMENT IN RELATION TO PROCUREMENT OF PLANT & MACHINERY (IMPORTED & INDIGENOUS) AND SUPPLIERS
MADE MIS-STATEMENTS IN PROSPECTUS BY OVERSTATING EXPENDITURE
|
PROHIBITED FROM RAISING ANY FURTHER CAPITAL IN ANY MANNER, DIRECTLY OR INDIRECTLY FROM 28-NOV-2011 TO 27-NOV-2018
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-NOV-2011 TO 27-NOV-2018
20-JUN-2014
|
SAT: SAT VIDE ITS ORDER DATED 29/06/2016 REDUCED DEBARMENT FROM SECURITIES MARKET FOR 7 YEARS TO 5 YEARS. CALLING BACK MONEY FROM ENTITIES TO WHOM THE IPO PROCEEDS HAVE BEEN USED TO REFUND ICDS CANNOT BE SUSTAINED AS IT IS FOUND THAT THESE ENTITIES DID IN FACT MAKE PAYMENTS TO TPL AND REFUND OF MONEY TO THOSE COMPANIES CANNOT BE CALLED BACK. NO COSTS
|
| 5 |
|
|
SUREKHABEN K.SHAH
(PAN:BORPS0804Q)
|
|
|
|
KELVIN FINCAP LTD.
PAN:AAACD1881H
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH MATCHED TRANSACTIONS IN SCRIP OF KELVIN FINCAP LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING PATTERN TO BSE VIOLATING SECTION 21 OF SCRA, 1956 READ WITH CLAUSE 35 OF LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-AUG-2014 TO 13-JUL-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-AUG-2014 TO 13-JUL-2021
PROHIBITED FROM RAISING ANY FURTHER CAPITAL IN ANY MANNER, DIRECTLY OR INDIRECTLY FROM 14-AUG-2014 TO 13-JUL-2021
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 14-AUG-2014 TO 13-JUL-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
14-AUG-2014
|
SEBI VIDE ITS ORDER DATED 31/08/2020 DIRECTED A) NOT TO ACCESS SECURITIES MARKET, DIRECTLY OR INDIRECTLY, BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM THE PUBLIC FOR 3 YEARS B) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER, FOR 7 YEARS
|
| 6 |
|
|
VIKAS JAIN TIJARIA
(PAN:ABTPJ8056D)
|
|
|
|
TIJARIA POLYPIPES LTD.
PAN:AACCT4796M
|
|
DID NOT MAKE DISCLOSURE OF BOARD RESOLUTION DATED 10/09/2011 TO RAISE FUNDS THROUGH ICDS IN PROSPECTUS
DID NOT MAKE DISCLOSURE OF FUNDS RAISED BY TPL THROUGH ICDS IN NATURE OF BRIDGE LOAN IN PROSPECTUS
DID NOT MAKE DISCLOSURE OF FUNDS RAISED THROUGH ICDS PRIOR TO BOARD RESOLUTION DATED 10/09/2011 IN PROSPECTUS
MADE WRONG DISCLOSURE/MISSTATEMENT IN RELATION TO PROCUREMENT OF PLANT & MACHINERY (IMPORTED & INDIGENOUS) AND SUPPLIERS
MADE MIS-STATEMENTS IN PROSPECTUS BY OVERSTATING EXPENDITURE
|
PROHIBITED FROM RAISING ANY FURTHER CAPITAL IN ANY MANNER, DIRECTLY OR INDIRECTLY FROM 28-NOV-2011 TO 27-NOV-2018
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-NOV-2011 TO 27-NOV-2018
20-JUN-2014
|
SAT: SAT VIDE ITS ORDER DATED 29/06/2016 REDUCED DEBARMENT FROM SECURITIES MARKET FOR 7 YEARS TO 5 YEARS. CALLING BACK MONEY FROM ENTITIES TO WHOM THE IPO PROCEEDS HAVE BEEN USED TO REFUND ICDS CANNOT BE SUSTAINED AS IT IS FOUND THAT THESE ENTITIES DID IN FACT MAKE PAYMENTS TO TPL AND REFUND OF MONEY TO THOSE COMPANIES CANNOT BE CALLED BACK. NO COSTS
|
| 7 |
|
|
VINEET JAIN TIJARIA
(PAN:ABTPJ8166C)
|
|
|
|
TIJARIA POLYPIPES LTD.
PAN:AACCT4796M
|
|
DID NOT MAKE DISCLOSURE OF BOARD RESOLUTION DATED 10/09/2011 TO RAISE FUNDS THROUGH ICDS IN PROSPECTUS
DID NOT MAKE DISCLOSURE OF FUNDS RAISED BY TPL THROUGH ICDS IN NATURE OF BRIDGE LOAN IN PROSPECTUS
DID NOT MAKE DISCLOSURE OF FUNDS RAISED THROUGH ICDS PRIOR TO BOARD RESOLUTION DATED 10/09/2011 IN PROSPECTUS
MADE WRONG DISCLOSURE/MISSTATEMENT IN RELATION TO PROCUREMENT OF PLANT & MACHINERY (IMPORTED & INDIGENOUS) AND SUPPLIERS
MADE MIS-STATEMENTS IN PROSPECTUS BY OVERSTATING EXPENDITURE
|
PROHIBITED FROM RAISING ANY FURTHER CAPITAL IN ANY MANNER, DIRECTLY OR INDIRECTLY FROM 28-NOV-2011 TO 27-NOV-2018
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-NOV-2011 TO 27-NOV-2018
20-JUN-2014
|
SAT: SAT VIDE ITS ORDER DATED 29/06/2016 REDUCED DEBARMENT FROM SECURITIES MARKET FOR 7 YEARS TO 5 YEARS. CALLING BACK MONEY FROM ENTITIES TO WHOM THE IPO PROCEEDS HAVE BEEN USED TO REFUND ICDS CANNOT BE SUSTAINED AS IT IS FOUND THAT THESE ENTITIES DID IN FACT MAKE PAYMENTS TO TPL AND REFUND OF MONEY TO THOSE COMPANIES CANNOT BE CALLED BACK. NO COSTS
|
| 8 |
|
|
VISHAL KUMAR SHAH
(PAN:AYBPS0534J)
|
|
|
|
KELVIN FINCAP LTD.
PAN:AAACD1881H
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH MATCHED TRANSACTIONS IN SCRIP OF KELVIN FINCAP LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING PATTERN TO BSE VIOLATING SECTION 21 OF SCRA, 1956 READ WITH CLAUSE 35 OF LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-AUG-2014 TO 13-JUL-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-AUG-2014 TO 13-JUL-2021
PROHIBITED FROM RAISING ANY FURTHER CAPITAL IN ANY MANNER, DIRECTLY OR INDIRECTLY FROM 14-AUG-2014 TO 13-JUL-2021
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 14-AUG-2014 TO 13-JUL-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
14-AUG-2014
|
SEBI VIDE ITS ORDER DATED 31/08/2020 DIRECTED A) NOT TO ACCESS SECURITIES MARKET, DIRECTLY OR INDIRECTLY, BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM THE PUBLIC FOR 3 YEARS B) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER, FOR 7 YEARS
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
