| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AUSTRAL COKE & PROJECTS LTD.
(PAN:AABCN1393B)
|
|
|
PROVIDED MANIPULATED BOOKS OF ACCOUNTS/RECORDS TO INCOME TAX DEPARTMENT IN MATTER OF AUSTRAL COKE & PROJECTS LTD.
|
PROHIBITED FROM RAISING ANY FURTHER CAPITAL IN ANY MANNER, DIRECTLY OR INDIRECTLY FROM 01-SEP-2009 TILL FURTHER ORDERS
01-SEP-2009
|
|
| 2 |
|
|
BHARATIYA GLOBAL INFOMEDIA LTD.
(CIN:L74999DL1994PLC062967
PAN:AABCB8175B)
|
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|
|
ANIL KAPOOR
|
|
|
ARTI BHATIA
PAN:AFCPB5056J
|
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|
HARJEET ANAND
DIN:03168663
PAN:AABPA2410K
|
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JAYA MISHRA
PAN:AAJPM6407E
|
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RAJEEV KUMAR AGARWAL
PAN:AGGPA0436L
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RAKESH BHATIA
PAN:AHYPB7406Q
|
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SANJAY KAPOOR
PAN:AIXPK2530Q
|
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SANJEEV KUMAR MITTAL
PAN:AIVPM0122A
|
|
MISUTILIZED ISSUE PROCEEDS
|
PROHIBITED FROM RAISING ANY FURTHER CAPITAL IN ANY MANNER, DIRECTLY OR INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED COMPANY TO CALL BACK ICDS AND/OR OTHER AMOUNTS AND DEPOSIT THE SAME IN AN INTEREST BEARING ESCROW ACCOUNT
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 05/10/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 28/12/2011
|
| 3 |
|
|
BROOKS LABORATORIES LTD.
(PAN:AACCB5316P)
|
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|
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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LALIT MAHAJAN
PAN:ABQPM1176L
|
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MONIKA SABHARWAL
PAN:ALZPS2887D
|
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PARVINDER KAUR
PAN:BNQPK5210E
|
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RAJESH MAHAJAN
PAN:AFGPM8060D
|
|
|
VIVEK SHARMA
PAN:ABFPS9096N
|
|
MISUTILIZED ISSUE PROCEEDS
|
PROHIBITED FROM RAISING ANY FURTHER CAPITAL IN ANY MANNER, DIRECTLY OR INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED COMPANY TO CALL BACK ICDS AND/OR OTHER AMOUNTS AND DEPOSIT THE SAME IN AN INTEREST BEARING ESCROW ACCOUNT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-DEC-2011 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 09/07/2013 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011 TILL FURTHER ORDERS FROM SEBI
SAT: SAT VIDE ITS ORDER DATED 01/03/2017 DISPOSED OFF THE APPEAL, AS THE SAME HAS BECOME INFRUCTUOUS. NO COSTS
|
| 4 |
|
|
KELVIN FINCAP LTD.
(PAN:AAACD1881H)
|
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BHAVIK SATISH BADANI
PAN:ALRPB9295L
|
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BIPIN BHIKHABHAI PATEL
PAN:AIDPP3653M
|
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SUREKHABEN K.SHAH
PAN:BORPS0804Q
|
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VISHAL KUMAR SHAH
PAN:AYBPS0534J
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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 31/03/2015 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 14/08/2014
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
|
| 5 |
|
|
PG ELECTROPLAST LTD.
(PAN:AACCP9321Q)
|
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ANURAG GUPTA
PAN:AAHPG5647E
|
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KAUSHAL CHAND SINGHAL
PAN:AECPS1626L
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PRAMOD GUPTA
PAN:AAHPG5646F
|
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PRAMOD KUMAR MITRA
PAN:ACMPM1421D
|
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PREM PAL MALHOTRA
PAN:AAEPM8187A
|
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SURESH CHANDRA GUPTA
PAN:AACPG1306P
|
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VIKAS GUPTA
PAN:AAHPG5644H
|
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VISHAL GUPTA
PAN:AAHPG5643A
|
|
MISUTILIZED ISSUE PROCEEDS
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PG ELECTROPLAST LTD.
|
PROHIBITED FROM RAISING ANY FURTHER CAPITAL IN ANY MANNER, DIRECTLY OR INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED COMPANY TO CALL BACK ICDS AND/OR OTHER AMOUNTS AND DEPOSIT THE SAME IN AN INTEREST BEARING ESCROW ACCOUNT
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
INTERIM DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011 SHALL CONTINUE TILL FURTHER DIRECTIONS AS PER SEBI ORDER DATED 31/10/2012
SEBI VIDE ITS ORDER DATED 11/03/ 2014 DIRECTED PG ELECTROPLAST LTD. TO TAKE URGENT AND EFFECTIVE MEASURES TO RECOVER ALL THE MONEYS RECOVERABLE ON ACCOUNT OF INVESTMENTS IN ICDS, CONTRACTS FOR PURCHASE OF LAND WHICH HAVE NOT FRUCTIFIED TILL NOW, ETC. PROGRESS IN THIS REGARD SHALL BE REPORTED TO SEBI ON OR BEFORE MAY 10, 2014, ON THE BASIS OF WHICH FURTHER DIRECTIONS SHALL BE CONSIDERED
|
| 6 |
|
|
RDB RASAYANS LTD.
(CIN:007878
PAN:AABCR2313M)
|
|
|
|
MAHENDRA PRATAP SINGH
PAN:AIGPS3833B
|
|
|
SACHIN SHRIDHAR
PAN:AQGPS1313N
|
|
|
SANDEEP BAID
PAN:ADEPB3749A
|
|
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SHANTI LAL BAID
PAN:AECPB8148Q
|
|
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SUNDER LAL DUGAR
PAN:ADRPD6905F
|
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|
SWETA PUNJABI
PAN:AWIPP1581H
|
|
MISUTILIZED ISSUE PROCEEDS
UTILIZED IPO PROCEEDS TO FUND CLIENTS WHO HAD INCURRED LOSSES IN IPO OF RDB RASAYANS LTD.
|
PROHIBITED FROM RAISING ANY FURTHER CAPITAL IN ANY MANNER, DIRECTLY OR INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED COMPANY TO CALL BACK ICDS AND/OR OTHER AMOUNTS AND DEPOSIT THE SAME IN AN INTEREST BEARING ESCROW ACCOUNT
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
|
| 7 |
|
|
TAKSHEEL SOLUTIONS LTD.
(CIN:U72200TG1999PLC032556
PAN:AAACI7325P)
|
|
|
|
DURGA DEVI KUCHANA
PAN:AVRPK4234G
|
|
|
PAVAN KUMAR KUCHANA
DIN:00912842
PAN:ATAPK6144L
|
|
|
RAVI KUSAM
PAN:AKCPK0569Q
|
|
MISUTILIZED ISSUE PROCEEDS
|
PROHIBITED FROM RAISING ANY FURTHER CAPITAL IN ANY MANNER, DIRECTLY OR INDIRECTLY FROM 15-NOV-2017 TO 14-NOV-2020
DIRECTED COMPANY TO CALL BACK ICDS AND/OR OTHER AMOUNTS AND DEPOSIT THE SAME IN AN INTEREST BEARING ESCROW ACCOUNT
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-NOV-2017 TO 14-NOV-2020
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-NOV-2017 TO 14-NOV-2020
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 25/10/2013 CONFIRMED ITS DIRECTIONS ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 23/12/2011 TILL FURTHER ORDERS
SEBI VIDE ITS ORDER DATED 15/11/2017 RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH THE SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR A PERIOD OF THREE YEARS FROM THE DATE OF THIS ORDER
|
| 8 |
|
|
TIJARIA POLYPIPES LTD.
(PAN:AACCT4796M)
|
|
|
|
ALOK JAIN TIJARIA
PAN:ABJPJ3116C
|
|
|
PADAM PRAKASH SOMPRAKASH BHATNAGAR
PAN:ABTPJ9846M
|
|
|
PANA CHAND JAIN
PAN:AABPB8773G
|
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|
PAWAN KUMAR JAIN
PAN:AALPJ1084G
|
|
|
PRAVEEN JAIN TIJARIA
PAN:ABTPJ8112G
|
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SANTOSH KUMAR
PAN:ABJPJ3148G
|
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TEJ KUMAR JAIN
PAN:ACQPJ1281L
|
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VIKAS JAIN TIJARIA
PAN:ABTPJ8056D
|
|
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VINEET JAIN TIJARIA
PAN:ABTPJ8166C
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF TIJARIA POLYPIPES LTD.
UTILIZED IPO PROCEEDS TO MAKE GOOD LOSSES OF ENTITIES WHO SUPPORTED THE PRICE OF FUND CLIENTS WHO INCURRED LOSSES WHILE TRANSACTED IN SCRIP OF TIJARIA POLYPIPES LTD.
FUNDED PERSONS/ENTITIES WHO PROVIDED EXIT ROUTE TO QIBS AND/OR RETAIL ALLOTTEES AT A PREMIUM TO THE ISSUE PRICE
|
PROHIBITED FROM RAISING ANY FURTHER CAPITAL IN ANY MANNER, DIRECTLY OR INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED COMPANY TO CALL BACK ICDS AND/OR OTHER AMOUNTS AND DEPOSIT THE SAME IN AN INTEREST BEARING ESCROW ACCOUNT
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 13/06/2013 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
SAT: SAT VIDE ITS ORDER DATED 07/03/2014 DIRECTED THE APPELLANTS TO FILE REPLY TO THE SHOW CAUSE NOTICE WITHIN A PERIOD OF TWO WEEKS FROM TODAY IF NOT ALREADY FILED AND FURTHER DIRECTED SEBI TO DISPOSE OFF SHOW CAUSE NOTICE DATED 13/06/2013 WITHIN A PERIOD OF THREE MONTHS FROM THE DATE OF RECEIVING REPLY TO THE SHOW CAUSE NOTICE
|
| 9 |
|
|
TIJARIA POLYPIPES LTD.
(PAN:AACCT4796M)
|
|
|
|
ALOK JAIN TIJARIA
PAN:ABJPJ3116C
|
|
|
PRAVEEN JAIN TIJARIA
PAN:ABTPJ8112G
|
|
|
VIKAS JAIN TIJARIA
PAN:ABTPJ8056D
|
|
|
VINEET JAIN TIJARIA
PAN:ABTPJ8166C
|
|
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
DIRECTED COMPANY TO CALL BACK RS.20.40 CRORES FROM THE ENTITIES TO WHOM IPO PROCEEDS WERE FOUND TO HAVE BEEN DIVERTED
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
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
