| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
KIRTIBEN R.PATEL
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS AND PRICE MANIPULATION IN SCRIP OF GENUS COMMU-TRADE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.30,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2008 TO 30-DEC-2010 VIDE CONSENT ORDER)
31-DEC-2008
|
|
| 42 |
|
|
KULDEEP RAWAT
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ADINATH BIO-LABS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-AUG-2009 TO 23-OCT-2009 VIDE CONSENT ORDER)
20-AUG-2009
|
|
| 43 |
|
|
KUSUM KASERA
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3,4(1),4(2)(A),(B),(G) & (N) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SBEC SUGAR LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-DEC-2008 TO 15-MAR-2009 VIDE CONSENT ORDER)
16-DEC-2008
|
|
| 44 |
|
|
MAHESH M.SHAH
|
|
|
ALLEGED ACTING AS FRONT ENTITY FOR CERTAIN ENTITIES WHO MANIPULATED PRICE OF SCRIP OF GENUS COMMU-TRADE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-MAR-2009 TO 18-MAR-2012 VIDE CONSENT ORDER)
19-MAR-2009
|
|
| 45 |
|
|
MANGAYARKARASI SUNDAR
(PAN:AMPPM2461E)
|
|
|
|
MANSUN CONSULTANCY PVT.LTD.
(PAN:AALCM1703G)
|
|
ALLEGED ACTED AS INVESTMENT ADVISOR WITHOUT SEBI REGISTRATION
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.46,80,000, DISGORGEMENT AMOUNT RS.4,59,95,763, INTEREST RS.1,47,74,100 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2023 TO 24-MAY-2024 VIDE CONSENT ORDER)
25-MAY-2023
|
|
| 46 |
|
|
MANISHA H.VORA
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF STOCKNET INTERNATIONAL LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-SEP-2009 TO 06-DEC-2009 VIDE CONSENT ORDER)
01-SEP-2009
|
|
| 47 |
|
|
MANOJ KUMAR BOTHRA
|
|
|
|
ADINATH BIO-LABS LTD.
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ADINATH BIO-LABS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-SEP-2009 TO 06-NOV-2009 VIDE CONSENT ORDER)
01-SEP-2009
|
|
| 48 |
|
|
MUSTAFA N.SAYYED
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF TODAY’S WRITING PRODUCTS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-MAY-2011 TO 23-MAY-2012 VIDE CONSENT ORDER)
24-MAY-2011
|
|
| 49 |
|
|
MUSTAFA N.SAYYED
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH CIRCULAR/SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF WELLWORTH OVERSEAS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-FEB-2010 TO 22-AUG-2010 VIDE CONSENT ORDER)
22-FEB-2010
|
|
| 50 |
|
|
MVS ANANTHAKRISHNAN
|
|
|
ALLEGED INDULGENCE IN CORNERING OF SUBSTANTIAL QUANTITY OF SHARES BY ACQUARING IN OPEN MARKET AS WELL AS BY WAY OF ALLOTMENT IN PUBLIC ISSUE OF WELLWIN INDUSTRY LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-JUN-2010 TO 14-SEP-2010 VIDE CONSENT ORDER)
15-JUN-2010
|
|
| 51 |
|
|
NARESH THAKKER
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF HITECH DRILLING SERVICES INDIA LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-MAR-2009 TO 09-MAR-2011 VIDE CONSENT ORDER)
03-MAR-2009
|
|
| 52 |
|
|
NIMISHA KADAKIA
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-AUG-2008 TO 13-NOV-2008
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 14-AUG-2008 TO 13-NOV-2008
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,34,210, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.2,65,790 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-AUG-2008 TO 13-NOV-2008 VIDE CONSENT ORDER)
12-AUG-2008
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.265790 AGAINST NOTIONAL UNDUE GAIN AND RS.134210 AGAINST SETTLEMENT CHARGES AND AGREED TO BE ON VALUNTARY BAN OF ADDITIONAL THREE MONTHS FROM DEALING IN SECURITIES MARKET AS PER CONSENT ORDER DATED 12/08/2008
|
| 53 |
|
|
NIRMAL JAGDISH PAREEK
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH SYNCHRONIZED AND CIRCULAR TRANSACTIONS AND REVERSAL OF TRADE TRANSACTIONS IN SCRIPS OF AARTI DRUGS LTD.AND HAVELLS INDIA LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.54,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUN-2009 TO 18-JUL-2009 VIDE CONSENT ORDER)
19-JUN-2009
|
|
| 54 |
|
|
NRUPESH CHAMPAKLAL SHAH
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS THROUGH CIRCULAR/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF OASIS MEDIA MATRIX COM LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUN-2009 TO 18-JUN-2011 VIDE CONSENT ORDER)
16-JUN-2009
|
|
| 55 |
|
|
P.R.SUNDAR
(PAN:ANTPP8886F)
|
|
|
|
MANSUN CONSULTANCY PVT.LTD.
(PAN:AALCM1703G)
|
|
ALLEGED ACTED AS INVESTMENT ADVISOR WITHOUT SEBI REGISTRATION
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.46,80,000, DISGORGEMENT AMOUNT RS.4,59,95,763, INTEREST RS.1,47,74,100 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2023 TO 24-MAY-2024 VIDE CONSENT ORDER)
25-MAY-2023
|
|
| 56 |
|
|
PARESH R.PATEL
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS AND PRICE MANIPULATION IN SCRIP OF GENUS COMMU-TRADE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2008 TO 30-DEC-2010 VIDE CONSENT ORDER)
31-DEC-2008
|
|
| 57 |
|
|
PRADEEP H.AMBRE
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF FAST TRACK ENTERTAINMENT LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-APR-2009 TO 14-APR-2010 VIDE CONSENT ORDER)
15-APR-2009
|
|
| 58 |
|
|
PRAVINA CHANDRAKANT SHAH
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF HIGHLAND INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-SEP-2009 TO 01-MAR-2011 VIDE CONSENT ORDER)
01-SEP-2009
|
|
| 59 |
|
|
R.PALANIAPPAN
|
|
|
|
SMR UNIVERSAL SOFTECH LTD.
|
|
ISSUED MISLEADING ADVERTISEMENT OF BUYBACK OF SHARES OF SMR UNIVERSAL SOFTECH LTD. AND ALSO FAILED TO TAKE CONCLUSIVE ACTION THEREON
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 23-JUN-2009 TO 22-JUN-2011
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-JUN-2009 TO 22-JUN-2011
25-FEB-2008
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000, LEGAL EXPENSES RS.75,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-JUN-2009 TO 22-JUN-2011 VIDE CONSENT ORDER)
23-JUN-2009
|
SAT: APPELLANT FILED AN APPEAL FOR CONSENT ORDER AND OFFERED TO DEPOSIT A SUM OF RS.1,00,000 TOWARDS SETTLEMENT CHARGES AND RS.75,000 TOWARDS LEGAL EXPENSES ALONGWITH VOLUNTARILY DEBARMENT OF TWO YEARS FROM SECURITIES MARKET. APPEAL ACCEPTED. IMPUGNED ORDER MODIFIED. NO ORDER AS TO COSTS
|
| 60 |
|
|
R.S.GAJRA
|
|
|
|
G.G.AUTOMOTIVE GEARS LTD.
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF G.G.AUTOMOTIVE GEARS LTD.
ALLEGED FAILURE IN APPEARING PERSONALLY AND/OR PROVIDING NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF G.G.AUTOMOTIVE GEARS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2011 TO 30-MAR-2013 VIDE CONSENT ORDER)
31-MAR-2011
|
COMPANY VIDE DEMAND DRAFT NO.450291 DATED 16/03/2011 DRAWN ON UNION BANK OF INDIA DEPOSITED RS 15 LACS TOWARDS SETTLEMENT CHARGES
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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| Page 3 of 5
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