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Regulatory Actions Covered By This Website

REGULATORY ACTIONS IN CHRONOLOGICAL ORDER

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.

PERSON

S.
No.		 DATE OF ORDER PERSON ENTITY COMPETENT AUTHORITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
40901 15-MAY-2006
History of entity/person   P.S.AGGARWAL 
History of entity/person P.S.AGGARWAL,M/S
  		SEBI  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 		PROSECUTION LAUNCHED

15-MAY-2006 		 
40902 15-MAY-2006
History of entity/person   P.S.BALASUBRAMANIUM 
History of entity/person DSQ BIOTECH LTD.
  		SEBI  VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992 PROSECUTION LAUNCHED

15-MAY-2006 		 
40903 15-MAY-2006
History of entity/person   P.V.NAIK 
History of entity/person ENKAY TEXOFOOD INDUSTRIES LTD.
  		SEBI  VIOLATED SECTION 19 OF SEBI DEPOSITORIES ACT, 1996

VIOLATED SECTION 20 OF SEBI DEPOSITORIES ACT, 1996

VIOLATED SECTION 21 OF SEBI DEPOSITORIES ACT, 1996

VIOLATED SECTION 22 OF SEBI DEPOSITORIES ACT, 1996 		PROSECUTION LAUNCHED

15-MAY-2006 		 
40904 15-MAY-2006
History of entity/person   P.VENKATESHWARLU 
History of entity/person KAKATIYA CEMENTS LTD.
  		SEBI  VIOLATED SECTION 24 OF SEBI ACT, 1992

VIOLATED SEBI TAKEOVER CODE, 1997 		PROSECUTION LAUNCHED

15-MAY-2006 		ALL ACCUSED WERE DISCHARGED BY COURT. SEBI FILED CR. WP IN BOMBAY HIGH COURT WHICH IS PENDING  
40905 15-MAY-2006
History of entity/person   P.VIJAYAN 
History of entity/person PREMIER PLANTATIONS LTD.
  		SEBI  DID NOT REPAY EXCESS SHARE APPLICATION MONEY WITHIN STIPULATED PERIOD

DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD 		PROSECUTION LAUNCHED

15-MAY-2006 		CASE DISMISSED BY COURT. APPEAL IS FILED BY SEBI AGAINST THE SAID ORDER WHICH IS PENDING BEFORE THE BOMBAY HIGH COURT  
40906 15-MAY-2006
History of entity/person   PADMA SURESH 
History of entity/person PENTAMEDIA GRAPHICS LTD.
  		SEBI  VIOLATED SEBI (PFUTP) REGULATIONS, 1995 PROSECUTION LAUNCHED

15-MAY-2006 		 
40907 15-MAY-2006
History of entity/person   PADMAJA VIJAY SHIRKE 
History of entity/person AKIRA INVESTMENTS PVT.LTD.
  		SEBI  VIOLATED SECTION 11 (3) OF SEBI ACT, 1992 PROSECUTION LAUNCHED

15-MAY-2006 		 
40908 15-MAY-2006
History of entity/person   PALLAVI URVISH VORA 
  SEBI  VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992 PROSECUTION LAUNCHED

15-MAY-2006 		THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.50,000 BY THE ACCUSED TO SEBI  
40909 15-MAY-2006
History of entity/person   PANKAJ A.DESAI 
History of entity/person MAYEKAR INVESTMENT PVT.LTD.
  		SEBI  ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995 		PROSECUTION LAUNCHED

15-MAY-2006 		 
40910 15-MAY-2006
History of entity/person   PANKAJ GOEL 
History of entity/person BHAGYAUDAY INVESTMENTS PVT.LTD.
  		SEBI  VIOLATED SECTION 24 OF SEBI ACT, 1992 PROSECUTION LAUNCHED

15-MAY-2006 		 
40911 15-MAY-2006
History of entity/person   PANKAJ NATWARLAL MAVANI 
History of entity/person LAXMI MOVERS
  		SEBI  VIOLATED SEBI (PFUTP) REGULATIONS, 1995 PROSECUTION LAUNCHED

15-MAY-2006 		 
40912 15-MAY-2006
History of entity/person   PANKAJ SHAH 
  SEBI  VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992 PROSECUTION LAUNCHED

15-MAY-2006 		 
40913 15-MAY-2006
History of entity/person   PANNALAL BARDIA 
History of entity/person HULDA PROPERTIES & TRADES LTD.
  		SEBI  FAILED TO PAY PENALTY PROSECUTION LAUNCHED

15-MAY-2006 		THE OFFENCE WAS COMPOUNDED RS.25,60,192.00  
40914 15-MAY-2006
History of entity/person   PANNALAL TATIA 
History of entity/person TATIA LEASING & FINANCE LTD.
  		SEBI  VIOLATED SECTION 24 OF SEBI ACT, 1992

VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995

VIOLATED SECTION 12 OF SEBI ACT, 1992 		PROSECUTION LAUNCHED

15-MAY-2006 		 
40915 15-MAY-2006
History of entity/person   PARAG D.MEHTA 
History of entity/person BARODA AGRO INDUSTRIES LTD.
  		SEBI  FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY PROSECUTION LAUNCHED

15-MAY-2006 		CASE DISMISSED  
40916 15-MAY-2006
History of entity/person   PARAG PATEL 
History of entity/person TANAYA SECURITIES LTD.
  		SEBI  VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992 PROSECUTION LAUNCHED

15-MAY-2006 		 
40917 15-MAY-2006
History of entity/person   PARAGI N.PATEL 
History of entity/person COMPUQUICK DATAMATION (INDIA) LTD.
  		SEBI  VIOLATED REGULATION 3 OF SEBI (PFUTP) REGULATIONS, 1995

VIOLATED SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATIONS, 1993 		PROSECUTION LAUNCHED

15-MAY-2006 		 
40918 15-MAY-2006
History of entity/person   PARAS D.SHAH 
History of entity/person JHUNJHUNWALA STOCK BROKERS PVT.LTD.

History of entity/person MALINI SANGHVI SECURITIES PVT.LTD.
  		SEBI  VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995

DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992

ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992 		PROSECUTION LAUNCHED

15-MAY-2006 		DISCHARGED  
40919 15-MAY-2006
History of entity/person   PARDEEP SHARMA 
History of entity/person EVERGROW FINANCIAL SERVICES PVT.LTD.
  		SEBI  VIOLATED SEBI ACT, 1992 PROSECUTION LAUNCHED

15-MAY-2006 		DURING THE TRIAL A21 (SHRI ASHOK KUMAR KOHLI) HAD EXPIRED, THEREFORE, PROCEEDINGS QUA HIM WAS ABATED. ACCUSED NO.20 (M/S EVERGROW FINANCIAL SERVICES PVT.LTD.) AND A22 ( SHRI PRADEEP SHARMA) FACED THE TRIAL AND THEY REMAINING ACCUSED WERE DECLARED POS. THE CAPTIONED MATTER WAS POSTED BEFORE THE LD. COURT ON JULY 30, 2012 FOR PRONOUNCEME NT OF JUDGMENT. AFTER RECORDING ITS REASONS THE COURT HELD THAT SEBI COULD NOT PROVE ITS CASE AGAINST A20 AND A22 BEYOND THE SHADOW OF ALL REASONABLE DOUBTS, AND THEREBY ACQUITTED A20 AND A22  
40920 15-MAY-2006
History of entity/person   PAREKH T.NAVIN 
History of entity/person INDITALIA REFCON LTD.
  		SEBI  FAILED TO PAY PENALTY

VIOLATED SECTION 27 OF SEBI ACT, 1992 		PROSECUTION LAUNCHED

15-MAY-2006 		THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.1,01,250 BY THE ACCUSED TO SEBI  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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