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SOURCE OF INFORMATION

SOURCE OF INFORMATION : MINISTRY OF CORPORATE AFFAIRS, REGISTRARS OF COMPANIES - LIST OF FINAL COURT ORDERS PASSED
PERIOD COVERED : 27-JAN-2001 TO 04-SEP-2015

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.

PERSONS: PROVIDED LOANS TO DIRECTORS, ETC WITHOUT OBTAINING PRIOR APPROVAL OF THE CENTRAL GOVERNMENT (SECTION 295(1))

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
21
History of entity/person HARSHA HARENDRA SHAH  
History of entity/person DOLAT CAPITAL MARKET PVT.LTD.
  		PROVIDED LOANS TO DIRECTORS, ETC WITHOUT OBTAINING PRIOR APPROVAL OF THE CENTRAL GOVERNMENT (SECTION 295(1))   PROSECUTION UNDER SECTION 295(4) OF COMPANIES ACT: NO PENALTY IMPOSED

02-SEP-2004 		COMPOUNDED  
22
History of entity/person HARSHA HARENDRA SHAH  
History of entity/person DOLAT CAPITAL MARKET PVT.LTD.
  		PROVIDED LOANS TO DIRECTORS, ETC WITHOUT OBTAINING PRIOR APPROVAL OF THE CENTRAL GOVERNMENT (SECTION 295(1))   PROSECUTION UNDER SECTION 295(4) OF COMPANIES ACT: NO PENALTY IMPOSED

02-SEP-2004 		COMPOUNDED  
23
History of entity/person HARSHA HARENDRA SHAH  
History of entity/person DOLAT CAPITAL MARKET PVT.LTD.
  		PROVIDED LOANS TO DIRECTORS, ETC WITHOUT OBTAINING PRIOR APPROVAL OF THE CENTRAL GOVERNMENT (SECTION 295(1))   PROSECUTION UNDER SECTION 295(4) OF COMPANIES ACT: NO PENALTY IMPOSED

29-SEP-2005 		COMPOUNDED  
24
History of entity/person HARSHA HARENDRA SHAH  
History of entity/person DOLAT CAPITAL MARKET PVT.LTD.
  		PROVIDED LOANS TO DIRECTORS, ETC WITHOUT OBTAINING PRIOR APPROVAL OF THE CENTRAL GOVERNMENT (SECTION 295(1))   PROSECUTION UNDER SECTION 295(4) OF COMPANIES ACT: NO PENALTY IMPOSED

29-SEP-2005 		COMPOUNDED  
25
History of entity/person JEETENDRA N.SHETH  
History of entity/person SHETH DEVELOPERS PVT.LTD.
  		PROVIDED LOANS TO DIRECTORS, ETC WITHOUT OBTAINING PRIOR APPROVAL OF THE CENTRAL GOVERNMENT (SECTION 295(1))   PROSECUTION UNDER SECTION 295(4) OF COMPANIES ACT: NO PENALTY IMPOSED

04-NOV-2004 		COMPOUNDED  
26
History of entity/person K.B.AGARWAL  
History of entity/person KRISHNA SECURITIES LTD.
  		DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)

DID NOT DISCLOSE INTEREST IN ANY CONTRACT BY THE DIRECTOR (SECTION 299)

DID NOT MAINTAIN REGISTER OF CONTRACTS, COMPANIES AND FIRMS IN WHICH DIRECTORS ARE INTERESTED (SECTION 301)

DID NOT APPOINT WHOLE-TIME SECRETARY (SECTION 383A(1))

DEFAULTED IN NOTIFICATION OF REGISTERED OFFICE OF COMPANY OR OF CHANGES THERETO (SECTION 146)

DEFAULTED IN PUBLICATION OF NAME BY COMPANY OUTSIDE ITS REGISTERED OFFICE (SECTION 147)

NON-FULFILMENT OF DUTIES BY AUDITOR (SECTION 227)

DID NOT OBTAIN SANCTION OF BOARD OF DIRECTORS FOR CERTAIN CONTRACTS IN WHICH PARTICULAR DIRECTORS ARE INTERESTED (SECTION 297)

PROVIDED LOANS TO DIRECTORS, ETC WITHOUT OBTAINING PRIOR APPROVAL OF THE CENTRAL GOVERNMENT (SECTION 295(1))   		PROSECUTION UNDER SECTION 211(7) & SECTION 299(4) & SECTION 301(4) & SECTION 383A(1A) & SECTION 146(4) & SECTION 147 & SECTION 233 & SECTION 629A & SECTION 295(4) OF COMPANIES ACT: PENALTY IMPOSED RS.24600

02-MAY-2002 		 
27
History of entity/person K.D.BAHATI  
History of entity/person BURLINGTON FINANCE LTD.
  		DEFAULTED IN FILING OF COPIES OF BALANCE SHEET, ETC. WITH THE REGISTRAR (SECTION 220)

DID NOT FILE CONSENT OF THE CANDIDATE FOR DIRECTORSHIP WITH COMPANY AND CONSENT TO ACT AS DIRECTOR WITH THE REGISTRAR (SECTION 264)

DEFAULTED IN FILING ANNUAL RETURNS (SECTION 159)

DID NOT KEEP REGISTER OF DIRECTORS OR FAILED TO FILE WITH THE REGISTRAR, RETURN OF DIRECTORS, MANAGING DIRECTOR, MANAGER AND SECRETARY (SECTION 303)

PROVIDED LOANS TO DIRECTORS, ETC WITHOUT OBTAINING PRIOR APPROVAL OF THE CENTRAL GOVERNMENT (SECTION 295(1))

DID NOT ATTACH BOARD'S REPORT ALONG WITH BALANCE SHEET OF THE COMPANY (SECTION 217(1))

DID NOT INCLUDE ANY MATERIAL CHANGES OCCURRED DURING FINANCIAL YEAR IN BOARD'S REPORT (SECTION 217(2))   		PROSECUTION UNDER SECTION 192(5) & SECTION 220(3) READ WITH SECTION 162 & SECTION 629 & SECTION 162 & SECTION 303(3) & SECTION 295(4) & SECTION 217(5) OF COMPANIES ACT: PENALTY IMPOSED RS.18700

01-OCT-2002 		 
28
History of entity/person K.E.MOIDU  
History of entity/person P.K.STEEL CASTINGS PVT.LTD.
  		PROVIDED LOANS TO DIRECTORS, ETC WITHOUT OBTAINING PRIOR APPROVAL OF THE CENTRAL GOVERNMENT (SECTION 295(1))   PROSECUTION UNDER SECTION 295(4) OF COMPANIES ACT: PENALTY IMPOSED RS.4200

03-FEB-2005 		-  
29
History of entity/person K.E.SHANAVAZ  
History of entity/person P.K.STEEL CASTINGS PVT.LTD.
  		PROVIDED LOANS TO DIRECTORS, ETC WITHOUT OBTAINING PRIOR APPROVAL OF THE CENTRAL GOVERNMENT (SECTION 295(1))   PROSECUTION UNDER SECTION 295(4) OF COMPANIES ACT: PENALTY IMPOSED RS.4200

03-FEB-2005 		-  
30
History of entity/person K.M.KURIEN  
History of entity/person SOLAR SOLVENT EXTRACTIONS LTD.
  		PROVIDED LOANS TO DIRECTORS, ETC WITHOUT OBTAINING PRIOR APPROVAL OF THE CENTRAL GOVERNMENT (SECTION 295(1))   PROSECUTION UNDER SECTION 295(4) OF COMPANIES ACT: PENALTY IMPOSED RS.3500

31-MAR-2008 		-  
31
History of entity/person L.C.RAHEJA  
History of entity/person DOLAT CAPITAL MARKET PVT.LTD.
  		PROVIDED LOANS TO DIRECTORS, ETC WITHOUT OBTAINING PRIOR APPROVAL OF THE CENTRAL GOVERNMENT (SECTION 295(1))   PROSECUTION UNDER SECTION 295(4) OF COMPANIES ACT: NO PENALTY IMPOSED

29-SEP-2005 		COMPOUNDED  
32
History of entity/person MANISH MUDGAL  
History of entity/person KRISHNA SECURITIES LTD.
  		DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)

DID NOT DISCLOSE INTEREST IN ANY CONTRACT BY THE DIRECTOR (SECTION 299)

DID NOT MAINTAIN REGISTER OF CONTRACTS, COMPANIES AND FIRMS IN WHICH DIRECTORS ARE INTERESTED (SECTION 301)

DID NOT APPOINT WHOLE-TIME SECRETARY (SECTION 383A(1))

DEFAULTED IN NOTIFICATION OF REGISTERED OFFICE OF COMPANY OR OF CHANGES THERETO (SECTION 146)

DEFAULTED IN PUBLICATION OF NAME BY COMPANY OUTSIDE ITS REGISTERED OFFICE (SECTION 147)

NON-FULFILMENT OF DUTIES BY AUDITOR (SECTION 227)

DID NOT OBTAIN SANCTION OF BOARD OF DIRECTORS FOR CERTAIN CONTRACTS IN WHICH PARTICULAR DIRECTORS ARE INTERESTED (SECTION 297)

PROVIDED LOANS TO DIRECTORS, ETC WITHOUT OBTAINING PRIOR APPROVAL OF THE CENTRAL GOVERNMENT (SECTION 295(1))   		PROSECUTION UNDER SECTION 211(7) & SECTION 299(4) & SECTION 301(4) & SECTION 383A(1A) & SECTION 146(4) & SECTION 147 & SECTION 233 & SECTION 629A & SECTION 295(4) OF COMPANIES ACT: PENALTY IMPOSED RS.24600

02-MAY-2002 		 
33
History of entity/person MUKESH R.PATEL  
History of entity/person ENPAK MOTORS LTD.
  		PROVIDED LOANS TO DIRECTORS, ETC WITHOUT OBTAINING PRIOR APPROVAL OF THE CENTRAL GOVERNMENT (SECTION 295(1))   PROSECUTION UNDER SECTION 295(4) OF COMPANIES ACT: NO PENALTY IMPOSED

05-AUG-2004 		COMPOUNDED  
34
History of entity/person MUKUL AGARWAL  
History of entity/person KRISHNA SECURITIES LTD.
  		DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)

DID NOT DISCLOSE INTEREST IN ANY CONTRACT BY THE DIRECTOR (SECTION 299)

DID NOT MAINTAIN REGISTER OF CONTRACTS, COMPANIES AND FIRMS IN WHICH DIRECTORS ARE INTERESTED (SECTION 301)

DID NOT APPOINT WHOLE-TIME SECRETARY (SECTION 383A(1))

DEFAULTED IN NOTIFICATION OF REGISTERED OFFICE OF COMPANY OR OF CHANGES THERETO (SECTION 146)

DEFAULTED IN PUBLICATION OF NAME BY COMPANY OUTSIDE ITS REGISTERED OFFICE (SECTION 147)

NON-FULFILMENT OF DUTIES BY AUDITOR (SECTION 227)

DID NOT OBTAIN SANCTION OF BOARD OF DIRECTORS FOR CERTAIN CONTRACTS IN WHICH PARTICULAR DIRECTORS ARE INTERESTED (SECTION 297)

PROVIDED LOANS TO DIRECTORS, ETC WITHOUT OBTAINING PRIOR APPROVAL OF THE CENTRAL GOVERNMENT (SECTION 295(1))   		PROSECUTION UNDER SECTION 211(7) & SECTION 299(4) & SECTION 301(4) & SECTION 383A(1A) & SECTION 146(4) & SECTION 147 & SECTION 233 & SECTION 629A & SECTION 295(4) OF COMPANIES ACT: PENALTY IMPOSED RS.24600

02-MAY-2002 		 
35
History of entity/person NIRUPAMA PANKAJ SHAH  
History of entity/person DOLAT CAPITAL MARKET PVT.LTD.
  		PROVIDED LOANS TO DIRECTORS, ETC WITHOUT OBTAINING PRIOR APPROVAL OF THE CENTRAL GOVERNMENT (SECTION 295(1))   PROSECUTION UNDER SECTION 295(4) OF COMPANIES ACT: NO PENALTY IMPOSED

29-SEP-2005 		COMPOUNDED  
36
History of entity/person NIRUPAMA PANKAJ SHAH  
History of entity/person DOLAT CAPITAL MARKET PVT.LTD.
  		PROVIDED LOANS TO DIRECTORS, ETC WITHOUT OBTAINING PRIOR APPROVAL OF THE CENTRAL GOVERNMENT (SECTION 295(1))   PROSECUTION UNDER SECTION 295(4) OF COMPANIES ACT: NO PENALTY IMPOSED

29-SEP-2005 		COMPOUNDED  
37
History of entity/person NIRUPAMA PANKAJ SHAH  
History of entity/person DOLAT CAPITAL MARKET PVT.LTD.
  		PROVIDED LOANS TO DIRECTORS, ETC WITHOUT OBTAINING PRIOR APPROVAL OF THE CENTRAL GOVERNMENT (SECTION 295(1))   PROSECUTION UNDER SECTION 295(4) OF COMPANIES ACT: NO PENALTY IMPOSED

02-SEP-2004 		COMPOUNDED  
38
History of entity/person NIRUPAMA PANKAJ SHAH  
History of entity/person DOLAT CAPITAL MARKET PVT.LTD.
  		PROVIDED LOANS TO DIRECTORS, ETC WITHOUT OBTAINING PRIOR APPROVAL OF THE CENTRAL GOVERNMENT (SECTION 295(1))   PROSECUTION UNDER SECTION 295(4) OF COMPANIES ACT: NO PENALTY IMPOSED

02-SEP-2004 		COMPOUNDED  
39
History of entity/person P.K.AHAMED  
History of entity/person P.K.STEEL CASTINGS PVT.LTD.
  		PROVIDED LOANS TO DIRECTORS, ETC WITHOUT OBTAINING PRIOR APPROVAL OF THE CENTRAL GOVERNMENT (SECTION 295(1))   PROSECUTION UNDER SECTION 295(4) OF COMPANIES ACT: PENALTY IMPOSED RS.4200

03-FEB-2005 		-  
40
History of entity/person PANKAJ DOLATRAI SHAH  
History of entity/person SHAILESH SHAH SECURITIES PVT.LTD.
  		PROVIDED LOANS TO DIRECTORS, ETC WITHOUT OBTAINING PRIOR APPROVAL OF THE CENTRAL GOVERNMENT (SECTION 295(1))   PROSECUTION UNDER SECTION 295(4) OF COMPANIES ACT: NO PENALTY IMPOSED

15-DEC-2005 		COMPOUNDED  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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