| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
RAJESH KUMAR VITTALBHAI 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
|
|
| 62 |
|
|
RAJESH P.SHAH
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF KOSIAN INDUSTRIES 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 25-JUN-2009 TO 24-JUN-2010 VIDE CONSENT ORDER)
22-JUN-2009
|
|
| 63 |
|
|
RAJIV B.GANDHI
|
|
|
ALLEGED IRREGULAR TRADING ON BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN SCRIP OF WOCKHARDT LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-APR-2009 TO 20-OCT-2010 VIDE CONSENT ORDER)
20-APR-2009
DIRECTED NOT TO ACT AS COMPLIANCE OFFICER OF ANY LISTED COMPANY FROM 21-APR-2009 TO 20-OCT-2010
20-APR-2009
|
|
| 64 |
|
|
RAJU B.SHAH
|
|
|
ALLEGED IRREGULARITIES IN SCRIP OF GENUS COMMU-TRADE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-JUL-2008 TO 03-JUL-2009 VIDE CONSENT ORDER)
04-JUL-2008
|
|
| 65 |
|
|
RAJU BACHUBHAI SHAH
|
|
|
|
SHALIBHADRA INFOSEC LTD.
|
|
ALLEGED INDULGENCE IN ISSUANCE OF ADVERTISEMENTS IN NEWSPAPER REGARDING A PROPOSED BUYBACK OF SHARES OF SHALIBHADRA INFOSEC LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-SEP-2008 TO 17-SEP-2009 VIDE CONSENT ORDER)
18-SEP-2008
|
|
| 66 |
|
|
RAJU BACHUBHAI SHAH
|
|
|
ALLEGED INDULGENCE IN CREATION OF FALSE AND MISLEADING APPEARANCE OF TRADING IN SCRIP OF UNIVERSAL MEDIA NETWORK LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-SEP-2008 TO 17-SEP-2009 VIDE CONSENT ORDER)
18-SEP-2008
|
|
| 67 |
|
|
RAMAMURTHY SRINIVASAN
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRADING IN SCRIP OF HITECH DRILLING SERVICES LTD. BY USING UNPUBLISHED PRICE SENSITIVE INFORMATION RELATING TO TAKEOVER OF ABAN LOYD CHILES OFFSHORE LTD.AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-SEP-2009 TO 06-SEP-2011 VIDE CONSENT ORDER)
02-SEP-2009
|
|
| 68 |
|
|
RAMILABEN S.PATEL
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS AND PRICE MANIPULATION IN SCRIP OF GENUS COMMU-TRADE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.20,000 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
|
|
| 69 |
|
|
RASIKLAL D.THAKKAR
|
|
|
|
GRAVITY TEXTILES PVT.LTD.
|
|
|
GRAVITY (INDIA) LTD.
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A),(2) AND (3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GRAVITY (INDIA) LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3),13(5) AND (6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GRAVITY (INDIA) LTD.
ALLEGED INDULGENCE IN MAKING MISLEADING CORPORATE ANNOUNCEMENT AND SALE OF SHARES AFTER SAID ANNOUNCEMENT IN MATTER OF GRAVITY (INDIA) LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-APR-2009 TO 20-APR-2011 VIDE CONSENT ORDER)
20-APR-2009
|
|
| 70 |
|
|
RAVINDRA KUMAR 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.1,65,000 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
|
|
| 71 |
|
|
RIDDHI K.SHAH
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH CIRCULAR TRANSACTIONS IN SCRIP OF DATABASE FINANCE 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 01-APR-2009 TO 30-SEP-2009 VIDE CONSENT ORDER)
19-MAR-2009
|
|
| 72 |
|
|
SACHIN JAIN
|
|
|
|
ATLANTA LTD.
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2008 TO 29-SEP-2009
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 30-SEP-2008 TO 29-SEP-2009
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
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 30-SEP-2008 TO 29-SEP-2009 VIDE CONSENT ORDER)
30-SEP-2008
|
AD-INTERIM EX-PARTE ORDER DATED 22/02/2007 REVOKED AS AGREED TO PAY RS.50,000 TOWARDS SETTLEMENT CHARGES AND A BAR FROM BUYING, SELLING OR DEALING IN SECURITIES FOR ONE YEAR I.E. FROM 30/09/2008 TO 29/09/2009, AS PER CONSENT ORDER DATED 30/09/2008
|
| 73 |
|
|
SAMIR N.SHAH
|
|
|
ALLEGED INDULGENCE IN CIRCULAR TRANSACTIONS IN SCRIP OF DATABASE FINANCE 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 19-MAR-2009 TO 18-SEP-2009 VIDE CONSENT ORDER)
19-MAR-2009
|
|
| 74 |
|
|
SANDHYA R.GANDHI
|
|
|
ALLEGED IRREGULAR TRADING ON BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN SCRIP OF WOCKHARDT 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 21-APR-2009 TO 20-OCT-2010 VIDE CONSENT ORDER)
20-APR-2009
|
|
| 75 |
|
|
SANDHYA SHIRISH 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 07-SEP-2009 TO 06-MAR-2011 VIDE CONSENT ORDER)
04-SEP-2009
|
|
| 76 |
|
|
SANJAY KUMAR JAIN
|
|
|
|
SHREE TULSI ONLINE.COM 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
|
|
| 77 |
|
|
SANJAY SANGHVI
(PAN:AAIPS3640Q)
|
|
|
ALLEGED INDULGENCE IN FRONT RUNNING ACTIVITIES IN TRADING OF A NUMBER OF SCRIPS IN WHICH HDFC ASSET MANAGEMENT CO.LTD.TRADED
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-SEP-2012 TO 02-SEP-2015 VIDE CONSENT ORDER)
03-SEP-2012
|
|
| 78 |
|
|
SANJIV KHURANA
|
|
|
|
KINETIC CAPITAL SERVICES LTD.
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS THROUGH CIRCULAR TRADING IN SCRIP OF KINETIC CAPITAL SERVICES 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 28-OCT-2010 TO 27-APR-2011 VIDE CONSENT ORDER)
22-OCT-2010
|
|
| 79 |
|
|
SANTOSH KUMAR JAIN
(PAN:ACQPJ7823E)
|
|
|
|
ATN INTERNATIONAL LTD.
(PAN:AACCA5744Q)
|
|
|
SILICON VALLEY INFOTECH LTD.
(PAN:AABCP5702G)
|
|
ALLEGED INDULGENCE IN OFF-LOADING OF SHARES WHILE IN POSSESSION OF PRICE SENSITIVE INFORMATION IN MATTER OF ATN INTERNATIONAL LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.20,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES FROM 20-JUN-2011 TO 19-JUN-2013 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2011 TO 19-JUN-2013 VIDE CONSENT ORDER)
20-JUN-2011
|
|
| 80 |
|
|
SANTOSH P.GAYAKWAD
|
|
|
ALLEGED IRREGULARITIES 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 22-DEC-2008 TO 21-DEC-2011 VIDE CONSENT ORDER)
22-DEC-2008
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
| |
| Page 4 of 5
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