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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 03-JUL-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

BANKERS: VIOLATED SEBI PUBLIC ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person BANK OF BARODA

(PAN:AAACB1534F)  
  COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF JALTARANG MOTELS LTD.

ALLOWED WITHDRAWAL OF FUNDS FROM PUBLIC ISSUE ACCOUNT BY ISSUER COMPANY WITHOUT ENSURING THAT EACH STOCK EXCHANGE MENTIONED IN PROSPECTUS HAD ACCORDED PERMISSION FOR LISTING   		DIRECTED TO REFUND MONEY COLLECTED IN PUBLIC ISSUE

27-JAN-2000 		SAT: APPEAL DISMISSED  
2
History of entity/person CANARA BANK  
  ACCEPTED SHARE APPLICATIONS AFTER CLOSURE OF PUBLIC ISSUE OF FINE AGROMATICS LTD.   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

18-DEC-2009 		 
3
History of entity/person CANARA BANK  
Click here to view complete history of this specific entity/person DENIS RODRIQUES
  		ACCEPTED 200 APPLICATIONS ACCOMPANIED BY ANTE-DATED STOCKINVESTS OF VALUE OF RS. 17.50 LACS AFTER CLOSURE OF THE PUBLIC ISSUE OF RAJESH EXPORTS LTD.   SUSPENDED REGISTRATION AS BANKER TO ISSUE FROM 31-OCT-2002 TO 31-JAN-2003

10-OCT-2002 		 
4
History of entity/person CANARA BANK  
  COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF INCAP FINANCIAL SERVICES LTD.   DEBARRED FROM CARRYING ACTIVITIES AS BANKERS TO ISSUES FROM 20-MAR-2000 TO 19-JUN-2000

03-APR-2000 		 
5
History of entity/person CORPORATION BANK  
Click here to view complete history of this specific entity/person N.SUBRAMANIAM
  		COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF ADINATH EXPORTS LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

12-FEB-2003 		 
6
History of entity/person CORPORATION BANK  
  COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF GOLD MULTIFAB LTD.

ACCEPTED APPLICATIONS AFTER CLOSURE OF PUBLIC ISSUE OF DHANLAXMI LEASE FINANCE LTD.

COMPANY DID NOT RECEIVE MINIMUM SUBSCRIPTION BEFORE CLOSURE OF THE ISSUE

FUNDS TRANSFERRED FROM PUBLIC ISSUE ACCOUNT OF COMPANY EVEN WHEN CHEQUES WERE ISSUED FROM CURRENT ACCOUNT OF COMPANY   		DEBARRED FROM CARRYING ACTIVITIES AS BANKERS TO ISSUES FROM 18-FEB-2000 TO 17-AUG-2000

18-FEB-2000 		 
7
History of entity/person PUNJAB NATIONAL BANK  
  COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF INCAP FINANCIAL SERVICES LTD.   DEBARRED FROM CARRYING ACTIVITIES AS BANKERS TO ISSUES FROM 20-MAR-2000 TO 19-JUN-2000

03-APR-2000 		 
8
History of entity/person PUNJAB NATIONAL BANK  
  ACCEPTED APPLICATIONS AFTER CLOSURE OF PUBLIC ISSUE OF DHANLAXMI LEASE FINANCE LTD.

DID NOT EXERCISE DUE DILIGENCE IN WEEDING OUT MULTIPLE APPLICATIONS

DID NOT EXERCISE DUE DILIGENCE IN WEEDING OUT BENAMI APPLICATIONS

DEFAULTED IN MAINTENANCE OF DATE-WISE RECORDS OF NUMBER OF APPLICATIONS RECEIVED

DEFAULTED IN MAINTENANCE OF DATE-WISE RECORDS OF NAMES OF INVESTORS

DEFAULTED IN MAINTENANCE OF DATE-WISE RECORDS OF AMOUNT RECEIVED   		DEBARRED FROM CARRYING ACTIVITIES AS BANKERS TO ISSUES FROM 18-OCT-2002 TO 17-APR-2003

18-OCT-2002 		 
9
History of entity/person PUNJAB NATIONAL BANK  
  COMMITTED IRREGULARITIES IN APPLICATIONS ACCOMPANIED BY STOCKINVESTS IN PUBLIC ISSUE OF ELVIS INDIA LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

03-SEP-2002 		 
10
History of entity/person PUNJAB NATIONAL BANK  
Click here to view complete history of this specific entity/person S.K.MOHANTY
  		COMMITTED IRREGULARITIES IN ISSUANCE OF STOCKINVEST WHICH ENABLED GROWMORE SOLVENTS LTD. TO CLAIM RECEIPT OF MINIMUM SUBSCRIPTION OF 90% IN ITS PUBLIC ISSUE AND ENABLED AN OTHERWISE INELIGIBLE ISSUE TO GET LISTED AT STOCK EXCHANGE (ORDER PASSED AGAINST NAVRANGPURA BRANCH OF THE BANK)   DEBARRED FROM CARRYING ACTIVITIES AS BANKERS TO ISSUES FROM 11-AUG-2004 TO 10-SEP-2004

21-JUL-2004 		 
11
History of entity/person PUNJAB NATIONAL BANK  
Click here to view complete history of this specific entity/person S.K.MOHANTY
Click here to view complete history of this specific entity/person V.P.GOSWAMI
Click here to view complete history of this specific entity/person VASUDEVAN
  		COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF MAHA CHEMICALS LTD.

ACCEPTED APPLICATIONS FROM CERTAIN INVESTORS ACCOMPANIED BY STOCKINVESTS, MUCH AFTER ISSUE CLOSURE DATE   		DEBARRED FROM CARRYING ACTIVITIES AS BANKERS TO ISSUES FROM 01-OCT-2003 TO 30-NOV-2003

10-SEP-2003 		 
12
History of entity/person STATE BANK OF HYDERABAD  
  ACCEPTED APPLICATIONS AFTER CLOSURE OF PUBLIC ISSUE OF DHANLAXMI LEASE FINANCE LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

15-DEC-1999 		 
13
History of entity/person UCO BANK

(PAN:AAACU3561B)  
  COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF RAJESH EXPORTS LTD.   SUSPENDED REGISTRATION AS BANKER TO ISSUE FROM 09-SEP-1999 TO 08-DEC-1999

20-SEP-1999 		 
14
History of entity/person UCO BANK

(PAN:AAACU3561B)  
  ACCEPTED APPLICATIONS AFTER CLOSURE OF PUBLIC ISSUE OF DHANLAXMI LEASE FINANCE LTD.   DEBARRED FROM CARRYING ACTIVITIES AS BANKERS TO ISSUES FROM 19-AUG-1999 TO 18-AUG-2000

07-FEB-2000 		 
15
History of entity/person UNION BANK OF INDIA  
  COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF JALTARANG MOTELS LTD.

ALLOWED WITHDRAWAL OF FUNDS FROM PUBLIC ISSUE ACCOUNT BY ISSUER COMPANY WITHOUT ENSURING THAT EACH STOCK EXCHANGE MENTIONED IN PROSPECTUS HAD ACCORDED PERMISSION FOR LISTING   		DIRECTED TO REFUND MONEY COLLECTED IN PUBLIC ISSUE

27-JAN-2000 		SAT: APPEAL DISMISSED  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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