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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – CONSENT ORDERS/ PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS
PERIOD COVERED : 30-OCT-2007 TO 13-JUL-2024

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.

COMPANIES: INTRODUCED UNLISTED SHARES IN THE MARKET

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person DESIGN AUTO SYSTEMS LTD.  
History of entity/person PRASHANT S.RAJGARHIA
History of entity/person RAJENDRA TARE
History of entity/person RITA GARG
History of entity/person SARVESH GARG
  		VIOLATED REGULATIONS 3 AND 4 OF PFUTP, REGULATIONS, 1995

VIOLATED REGULATIONS 4(A) AND (C) OF PFUTP REGULATIONS, 1995

INDULGED IN CREATING ARTIFICIAL PRICE RISE IN UNLISTED SHARES OF DESIGN AUTO SYSTEMS LTD.

VIOLATED SEBI TAKEOVER REGULATIONS IN MATTER OF DESIGN AUTO LTD.  		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-MAR-2007 TO 05-MAR-2014

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-MAR-2007 TO 05-MAR-2014

06-MAR-2007

REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

30-JUL-2008 		SAT: APPLICANT AGREED TO PAY RS.10,00,000 TOWARDS SETTLEMENT CHARGES AS PER CONSENT ORDER DATED 30/07/2008

SAT: DIRECTED APPLICANT TO PROCURE REMAINING QUANTITY OF SHARES ON OR BEFORE 31/08/2009 AND MAKE THEM AVAILABLE TO COMPANY FOR CANCELLATION, FAILING WHICH CONSENT APPLICATION FILED BEFORE SEBI SHALL BE DEEMED TO HAVE BEEN REJECTED. APPEAL STANDS DISPOSE OFF ACCORDINGLY
2 
History of entity/person LUMINANT INVESTMENTS PVT.LTD.  
  DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION

ACTED IN CONCERT TO CREATE ARTIFICIAL VOLUMES AND PRICES BY USING PARTLY PAID AND UNLISTED SHARES IN THE MARKET FOR RAISING FUNDS THROUGH SYNCHRONIZED TRADING IN THE CASE OF DSQ BIOTECH LTD.  		IMPOSED PENALTY RS.1,00,00,000

22-NOV-2005

REACHED SETTLEMENT (SETTLEMENT CHARGES RS.24,09,850, LEGAL EXPENSES RS.90,150 VIDE CONSENT ORDER)

30-OCT-2007 		SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.25,00,000 FROM RS.1,00,00,000
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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