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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: PROSECUTION UNDER SECTION 209(5) OF COMPANIES ACT: IMPRISONMENT OF EVERY CONCERNED PERSON UPTO 6 MONTHS OR FINE OF UPTO RS.10,000 OR BOTH

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
101
History of entity/person S.I.SALAUDEEN  
History of entity/person SOLAR SOLVENT EXTRACTIONS LTD.
  		DID NOT KEEP PROPER BOOKS OF ACCOUNTS AT REGISTERED OFFICE OF THE COMPANY (SECTION 209(1))   PROSECUTION UNDER SECTION 209(5) OF COMPANIES ACT: PENALTY IMPOSED RS.750

31-MAR-2008 		-  
102
History of entity/person S.K.CHAPALIKA  
History of entity/person AUROMA COKE LTD.
  		DEFAULTED IN KEEPING BOOKS OF ACCOUNT BY THE COMPANY (SECTION 209)   PROSECUTION UNDER SECTION 209(5) OF COMPANIES ACT: PENALTY IMPOSED RS.1800

21-MAR-2003 		 
103
History of entity/person SAMBHU PRASAD KEDIA  
History of entity/person PRUDENTIAL EQUITY FUND LTD.
  		DEFAULTED IN PURCHASE BY COMPANY OF SHARES, ETC., OF OTHER COMPANIES (SECTION 372)

DEFAULTED IN KEEPING BOOKS OF ACCOUNT BY THE COMPANY (SECTION 209)

DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)

DEFAULTED IN RELATION TO INTER-CORPORATE LOANS & INVESTMENTS (SECTION 372A)   		PROSECUTION UNDER SECTION 374 & SECTION 209(5) & SECTION 211(7) & SECTION 372A(9) OF COMPANIES ACT: PENALTY IMPOSED RS.10300

12-AUG-2002 		 
104
History of entity/person SANJAY GUPTA  
History of entity/person SHIRPUR GOLD REFINERY LTD.
  		DEFAULTED IN KEEPING BOOKS OF ACCOUNT BY THE COMPANY (SECTION 209)   PROSECUTION UNDER SECTION 209(5) OF COMPANIES ACT: NO PENALTY IMPOSED

24-MAY-2005 		FINAL ORDER PASSED ON 17.03.2005 AS MATTER IS COMPOUNDED  
105
History of entity/person SANJAY JAIN  
History of entity/person NAVKA INTERNATIONAL LTD.
  		DID NOT MAINTAIN BOOKS OF ACCOUNTS ON ACCRUAL BASIS AND ACCORDING TO DOUBLE ENTRY SYSTEM OF ACCOUNTING (SECTION 209(3)(B))   PROSECUTION UNDER SECTION 209(5) OF COMPANIES ACT: PENALTY IMPOSED RS.4000

09-AUG-2004 		 
106
History of entity/person SANJAY KHEMANI  
History of entity/person KHEMANI SECURITIES PVT.LTD.
  		DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)

DEFAULTED IN KEEPING BOOKS OF ACCOUNT BY THE COMPANY (SECTION 209)

DEFAULTED IN PUBLICATION OF NAME BY COMPANY OUTSIDE ITS REGISTERED OFFICE (SECTION 147)   		PROSECUTION UNDER SECTION 211(7) & SECTION 209(5) & SECTION 147(2) OF COMPANIES ACT: PENALTY IMPOSED RS.5750

02-JUL-2002 		 
107
History of entity/person SANJOY KUMAR GOYAL  
History of entity/person DHEERAJ CONSTRUCTION & INDUSTRIES LTD.
  		DEFAULTED IN KEEPING BOOKS OF ACCOUNT BY THE COMPANY (SECTION 209)

DID NOT APPOINT WHOLE-TIME SECRETARY (SECTION 383A(1))   		PROSECUTION UNDER SECTION 209(5) OF COMPANIES ACT: IMPRISONMENT OF EVERY CONCERNED PERSON UPTO 6 MONTHS OR FINE OF UPTO RS.10, 000 OR BOTH

PROSECUTION UNDER SECTION 383A(1A) OF COMPANIES ACT: FINE OF UPTO RS.500 ON THE COMPANY AND EVERY CONCERNED PERSON FOR EVERY DAY FOR WHICH THE DEFAULT CONTINUES

02-JUN-2004 		 
108
History of entity/person SAVITA O.GOEL  
History of entity/person WOODSTOCK SECURITIES PVT.LTD.
  		DID NOT MAINTAIN BOOKS OF ACCOUNTS ON ACCRUAL BASIS AND ACCORDING TO DOUBLE ENTRY SYSTEM OF ACCOUNTING (SECTION 209(3)(B))   PROSECUTION UNDER SECTION 209(5) OF COMPANIES ACT: NO PENALTY IMPOSED

21-JUN-2006 		COMPOUNDED  
109
History of entity/person SHAILESH DOLATRAI SHAH  
History of entity/person SHAILESH SHAH SECURITIES PVT.LTD.
  		DID NOT MAINTAIN BOOKS OF ACCOUNTS ON ACCRUAL BASIS AND ACCORDING TO DOUBLE ENTRY SYSTEM OF ACCOUNTING (SECTION 209(3)(B))   PROSECUTION UNDER SECTION 209(5) OF COMPANIES ACT: NO PENALTY IMPOSED

15-DEC-2005 		COMPOUNDED  
110
History of entity/person SHYAM SUNDAR AGARWAL  
History of entity/person QST LTD.
  		DID NOT MAINTAIN BOOKS OF ACCOUNTS ON ACCRUAL BASIS AND ACCORDING TO DOUBLE ENTRY SYSTEM OF ACCOUNTING (SECTION 209(3)(B))

DID NOT ADHERE TO PROVISIONS SECTION 209(5)   		PROSECUTION UNDER SECTION 209(5) OF COMPANIES ACT: PENALTY IMPOSED RS.9000

08-APR-2004 		PENALTY AMOUNT OF RS.9,000.00 PAID BY COMPANY ON 07/04/2004 VIDE RECEIPTS NO.510446 AND 510447 DATED 07/04/2004  
111
History of entity/person SIMON KURUVILLA  
History of entity/person UNITED TROPICAL VENEERS LTD.
  		BOOKS OF ACCOUNTS NOT PROVIDING TRUE AND FAIR VIEW OF STATE OF AFFAIRS OF COMPANY AND IMPROPERLY MAINTAINED (SECTION 209(3) R/W SCH.VI)

DID NOT PREPARE BALANCE SHEET SHOWING TRUE & FAIR VIEW (SECTION 211(1) R/W SCH.VI)   		PROSECUTION UNDER SECTION 209(5) OF COMPANIES ACT: PENALTY IMPOSED RS.30000

08-MAR-2006 		-  
112
History of entity/person SITARAM KHEMANI  
History of entity/person KHEMANI SECURITIES PVT.LTD.
  		DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)

DEFAULTED IN KEEPING BOOKS OF ACCOUNT BY THE COMPANY (SECTION 209)

DEFAULTED IN PUBLICATION OF NAME BY COMPANY OUTSIDE ITS REGISTERED OFFICE (SECTION 147)   		PROSECUTION UNDER SECTION 211(7) & SECTION 209(5) & SECTION 147(2) OF COMPANIES ACT: PENALTY IMPOSED RS.5750

02-JUL-2002 		 
113
History of entity/person SUBHASH J.TIWARI  
History of entity/person WOODSTOCK SECURITIES PVT.LTD.
  		DID NOT MAINTAIN BOOKS OF ACCOUNTS ON ACCRUAL BASIS AND ACCORDING TO DOUBLE ENTRY SYSTEM OF ACCOUNTING (SECTION 209(3)(B))   PROSECUTION UNDER SECTION 209(5) OF COMPANIES ACT: NO PENALTY IMPOSED

21-JUN-2006 		COMPOUNDED  
114
History of entity/person SURESH K.JAJOO  
History of entity/person WOODSTOCK SECURITIES PVT.LTD.
  		DID NOT MAINTAIN BOOKS OF ACCOUNTS ON ACCRUAL BASIS AND ACCORDING TO DOUBLE ENTRY SYSTEM OF ACCOUNTING (SECTION 209(3)(B))   PROSECUTION UNDER SECTION 209(5) OF COMPANIES ACT: NO PENALTY IMPOSED

21-JUN-2006 		COMPOUNDED  
115
History of entity/person SURINDER PATHANIA  
History of entity/person SHIRPUR GOLD REFINERY LTD.
  		DEFAULTED IN KEEPING BOOKS OF ACCOUNT BY THE COMPANY (SECTION 209)   PROSECUTION UNDER SECTION 209(5) OF COMPANIES ACT: NO PENALTY IMPOSED

24-MAY-2005 		FINAL ORDER PASSED ON 17.03.2005 AS MATTER IS COMPOUNDED  
116
History of entity/person SUSIL KUMAR DAS  
History of entity/person PRUDENTIAL EQUITY FUND LTD.
  		DEFAULTED IN PURCHASE BY COMPANY OF SHARES, ETC., OF OTHER COMPANIES (SECTION 372)

DEFAULTED IN KEEPING BOOKS OF ACCOUNT BY THE COMPANY (SECTION 209)

DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)

DEFAULTED IN RELATION TO INTER-CORPORATE LOANS & INVESTMENTS (SECTION 372A)   		PROSECUTION UNDER SECTION 374 & SECTION 209(5) & SECTION 211(7) & SECTION 372A(9) OF COMPANIES ACT: PENALTY IMPOSED RS.10300

12-AUG-2002 		 
117
History of entity/person T.K.KABRA  
History of entity/person TEGA INDIA LTD.
  		DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)

BOOKS OF ACCOUNTS NOT PROVIDING TRUE AND FAIR VIEW OF STATE OF AFFAIRS OF COMPANY AND IMPROPERLY MAINTAINED (SECTION 209(3) R/W SCH.VI)   		PROSECUTION UNDER SECTION 211(7) & SECTION 209(5) OF COMPANIES ACT: NO PENALTY IMPOSED

16-JUL-2002 		 
118
History of entity/person T.N.BALASUBRAMANIAN  
History of entity/person BESPOKE FINVEST LTD.
  		DID NOT MAINTAIN BOOKS OF ACCOUNTS ON ACCRUAL BASIS AND ACCORDING TO DOUBLE ENTRY SYSTEM OF ACCOUNTING (SECTION 209(3)(B))   PROSECUTION UNDER SECTION 209(5) OF COMPANIES ACT: NO PENALTY IMPOSED

04-NOV-2004 		COMPOUNDED  
119
History of entity/person T.P.SUBRAMANIAN  
History of entity/person HASYA TRADING & INVESTMENT PVT.LTD.
  		DEFAULTED IN KEEPING BOOKS OF ACCOUNT BY THE COMPANY (SECTION 209)   PROSECUTION UNDER SECTION 209(5) OF COMPANIES ACT: NO PENALTY IMPOSED

08-AUG-2007 		CONDONATION APPLICATION REJECTED ON 15/12/2006  
120
History of entity/person T.P.SUBRAMANIAN  
History of entity/person HASYA TRADING & INVESTMENT PVT.LTD.
  		DID NOT MAINTAIN BOOKS OF ACCOUNTS ON ACCRUAL BASIS AND ACCORDING TO DOUBLE ENTRY SYSTEM OF ACCOUNTING (SECTION 209(3)(B))   PROSECUTION UNDER SECTION 209(5) OF COMPANIES ACT: IMPRISONMENT OF EVERY CONCERNED PERSON UPTO 6 MONTHS OR FINE OF UPTO RS.10, 000 OR BOTH

05-JUL-2001 		DISMISSED AS TIME BARRED. APPEAL FILED AGAINST DISMISSAL IS PENDING IN THE COURT  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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