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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.

PERSONS: ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person MANISH N.SHAH  
History of entity/person MANYOG INVESTMENTS PVT.LTD.
  		AIDED AND ABETTED D.K.DALAL AND PROMOTERS OF NATURAL EXPO INDUSTRIES LTD. IN PRICE MANIPULATION IN SCRIP OF NATURAL EXPO INDUSTRIES LTD.

ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION  		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-SEP-2003 TO 04-SEP-2008

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-SEP-2003 TO 04-SEP-2008

05-SEP-2003

REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

24-APR-2008 		SAT: IMPUGNED ORDER SET ASIDE AND INSTRUCTED SEBI TO ISSUE FRESH NOTICE AFTER INITIATING PROCEEDINGS

RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN ANY MANNER AND IN ANY CAPACITY FOR A PERIOD OF ONE YEAR (25/07/2007 TO 24/07/2008) IN THE MATTER OF M/S NATURAL EXPO AGRO INDUSTRIES LTD.

SAT: APPEAL STAND DISPOSED OFF, AS APPELLANT AGREED TO PAY RS.5,60,000 AS PER CONSENT ORDER
2 
History of entity/person YOGESH RUPAREL  
History of entity/person MANYOG INVESTMENTS PVT.LTD.
  		AIDED AND ABETTED D.K.DALAL AND PROMOTERS OF NATURAL EXPO INDUSTRIES LTD. IN PRICE MANIPULATION IN SCRIP OF NATURAL EXPO INDUSTRIES LTD.

ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION  		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-SEP-2003 TO 04-SEP-2008

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-SEP-2003 TO 04-SEP-2008

05-SEP-2003

REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

24-APR-2008 		SAT: IMPUGNED ORDER SET ASIDE AND INSTRUCTED SEBI TO ISSUE FRESH NOTICE AFTER INITIATING PROCEEDINGS

RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN ANY MANNER AND IN ANY CAPACITY FOR A PERIOD OF ONE YEAR (25/07/2007 TO 24/07/2008) IN THE MATTER OF M/S NATURAL EXPO AGRO INDUSTRIES LTD.

SAT: APPEAL STAND DISPOSED OFF, AS APPELLANT AGREED TO PAY RS.5,60,000 AS PER CONSENT ORDER
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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