| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ADINATH BIO-LABS LTD.
|
|
|
|
FATEH CHAND JAIN
|
|
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
|
|
| 2 |
|
|
ADINATH BIO-LABS LTD.
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ADINATH BIO-LABS 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 07-SEP-2009 TO 06-NOV-2009 VIDE CONSENT ORDER)
01-SEP-2009
|
|
| 3 |
|
|
ADINATH BIO-LABS LTD.
|
|
|
|
MANOJ KUMAR BOTHRA
|
|
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
|
|
| 4 |
|
|
ADINATH BIO-LABS LTD.
|
|
|
|
ABHISHEK KUMAR JAIN
|
|
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
|
|
| 5 |
|
|
AMBUJA ESTATE & HOLDINGS PVT.LTD.
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPOS OF VARIOUS COMPANIES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-MAR-2009 TO 28-FEB-2012
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 01-MAR-2009 TO 28-FEB-2012
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,80,00,000, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.24,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-MAR-2009 TO 28-FEB-2012 VIDE CONSENT ORDER)
10-FEB-2009
|
DIRECTED TO DISGORGE UNLAWFUL GAIN OF RS.24 LACS AND RS.180.00 LACS TOWARDS SETTLEMENT CHARGES AND UNDERGO VOLUNTARY DEBARMENT FOR 3 YEARS FROM 01/03/2009.DIRECTED NSDL TO PERMIT OPERATION OF DEMAT ACCOUNT FOR LIMITED PURPOSE OF SALE OF SPECIFIED SHARES. INSTRUCTED KARVY STOCKBROKING LTD. (DP) AND KHANDWALA INTEGRATED FINANCIAL SERVICES PVT.LTD. (STOCK BROKER) TO TAKE PRIOR CLEARANCE FROM NSDL AND AMOUNT OF SHARES SOLD SHOULD NOT EXCEED RS.2.04 CRORES.DIRECTED NSE TO PAY ENTIRE SALE PROCEEDS DIRECTLY TO SEBI WITHIN 7 DAYS. FURTHER DIRECTED TO COMPLETE SALE OF SHARES LATEST BY 20/02/2009
|
| 6 |
|
|
ASHOKA REFINERIES LTD.
|
|
|
|
ASHOK KUMAR AGRAWAL
|
|
|
HARISH VERMA
|
|
|
KAILASH CHANDRA AGRAWAL
|
|
|
SHABIR MENON
|
|
|
SUDHIR DIXIT
|
|
ALLEGED DELAY IN TRANSFER OF SHARES OF ASHOKA REFINERIES LTD.
ALLEGED INDULGENCE IN PRICE RIGGING IN SCRIP OF ASHOKA REFINERIES LTD.
|
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-JUL-2009 TO 21-JUL-2011 VIDE CONSENT ORDER)
22-JUL-2009
|
|
| 7 |
|
|
ATLANTA LTD.
|
|
|
|
SACHIN JAIN
|
|
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 ORDER DATED 22/02/2007 AMENDED TO THE EXTENT THAT THE COMPANY MAY GO AHEAD WITH ANY RESTRUCTURING OF ITS CAPITAL.EXCHANGES AND DEPOSITORIES ARE DIRECTED TO NOTE AND GIVE EFFECT TO THESE
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO PASS FINAL ORDER ON OR BEFORE 22/09/2008 TILL SUCH TIME DIRECTIONS ISSUED BY IMPUGNED ORDER WILL CONTINUE TO OPERATE WITH NO ORDER AS TO COSTS
|
| 8 |
|
|
ATN INTERNATIONAL LTD.
(PAN:AACCA5744Q)
|
|
|
|
SANTOSH KUMAR JAIN
(PAN:ACQPJ7823E)
|
|
ALLEGED INDULGENCE IN OFF-LOADING OF SHARES WHILE IN POSSESSION OF PRICE SENSITIVE INFORMATION IN MATTER OF ATN INTERNATIONAL LTD.
|
REACHED SETTLEMENT (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
|
|
| 9 |
|
|
ATN INTERNATIONAL LTD.
(PAN:AACCA5744Q)
|
|
|
ALLEGED INDULGENCE IN ISSUANCE OF MIS-LEADING ADVERTISEMENTS IN MATTER OF ATN INTERNATIONAL LTD.
ALLEGED INDULGENCE IN VIOLATION OF MODEL CODE OF CONDUCT IN SCHEDULE I UNDER REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ATN INTERNATIONAL LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 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
|
|
| 10 |
|
|
BALAXI OVERSEAS PVT.LTD.
(PAN:AAECA0526G)
|
|
|
ALLEGED FAILURE TO MAKE DISCLOSURE THAT MR.ASHISH MAHESHWARI, PROMOTER AND DIRECTOR OF THE COMPANY WAS CATEGORIZED AS A WILFULL DEFAULTER VIOLATING REGULATION 6(A) OF SAST REGULATIONS, 2011 IN MATTER OF ANANDAM RUBBER CO.LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.8,40,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-DEC-2023 TO 07-DEC-2024 VIDE CONSENT ORDER)
08-DEC-2023
|
|
| 11 |
|
|
COCHIN MALABAR ESTATES & INDUSTRIES LTD.
|
|
|
|
JIMMY JAL GAZDAR
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 8.608% SHARES OF COCHIN MALABAR ESTATE & INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-OCT-2009 TO 30-OCT-2010 VIDE CONSENT ORDER)
28-OCT-2009
|
|
| 12 |
|
|
DATASOFT APPLICATION SOFTWARE (INDIA) LTD.
(PAN:AAACD7939A)
|
|
|
ALLEGED IRREGULARITIES IN ALLOTMENT OF PREFERENTIAL SHARES VIOLATING DIRECTIVES/INSTRUCTIONS/GUIDELINES FRAMED BY THE COMPANY
|
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 13-APR-2012 TO 12-APR-2013 VIDE CONSENT ORDER)
13-APR-2012
|
|
| 13 |
|
|
DEEPMALA DEALER LTD.
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS IN SCRIP OF ATN INTERNATIONAL LTD.
|
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 19-OCT-2009 TO 18-APR-2010 VIDE CONSENT ORDER)
14-OCT-2009
|
|
| 14 |
|
|
DIVINE ENTERTAINMENT LTD.
(PAN:AAACD6670J)
|
|
|
ALLEGED INDULGENCE IN ISSUANCE OF FALSE/MISLEADING PRESS RELEASES IN MATTER OF DIVINE ENTERTAINMENT 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 23-JUL-2013 TO 22-JUL-2017 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM RAISING FRESH CAPITAL FOR A PERIOD OF ONE YEAR)
23-JUL-2013
|
|
| 15 |
|
|
G.G.AUTOMOTIVE GEARS LTD.
|
|
|
|
KENNEDY R.GAJRA
|
|
|
R.S.GAJRA
|
|
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
|
| 16 |
|
|
GRAVITY (INDIA) LTD.
|
|
|
|
RASIKLAL D.THAKKAR
|
|
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
|
|
| 17 |
|
|
GRAVITY TEXTILES PVT.LTD.
|
|
|
|
RASIKLAL D.THAKKAR
|
|
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
|
|
| 18 |
|
|
HAKEEM AUTO LTD.
|
|
|
ALLEGED VIOLATION OF DIRECTIVES/INSTRUCTIONS/GUIDELINES AND ORDER OF SEBI IN MATTER OF VERONICA LABORATORIES 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 27-JAN-2009 TO 26-JAN-2012 VIDE CONSENT ORDER)
27-JAN-2009
|
|
| 19 |
|
|
KINETIC CAPITAL SERVICES LTD.
|
|
|
|
DEEPAK KUMAR GUPTA
|
|
|
SANJIV KHURANA
|
|
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
|
|
| 20 |
|
|
MANSUN CONSULTANCY PVT.LTD.
(PAN:AALCM1703G)
|
|
|
|
MANGAYARKARASI SUNDAR
(PAN:AMPPM2461E)
|
|
|
P.R.SUNDAR
(PAN:ANTPP8886F)
|
|
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
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
| |
| Page 1 of 3
|
