SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE � PRESS RELEASES/ CHAIRMAN�S AND MEMBER�S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 21-NOV-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.

MERCHANT BANKERS: VIOLATED SEBI ACT, 1992

S.No.

ENTITY

PERSONS

REGULATORY CHARGES

REGULATORY ACTION(S) / DATE OF ORDER

FURTHER DEVELOPMENTS

ARYAMAN FINANCIAL SERVICES LTD.

ALLEGED INDULGENCE IN VIOLATION OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000

ALLEGED INDULGENCE IN VIOLATION OF SEBI TAKEOVER CODE, 1997

ALLEGED INDULGENCE IN VIOLATION OF SEBI (BUY-BACK OF SECURITIES) REGULATIONS, 1998

ALLEGED INDULGENCE IN VIOLATION OF SEBI ACT, 1992

ALLEGED INDULGENCE IN SEBI (MERCHANT BANKER) REGULATIONS, 1992

REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)

02-SEP-2009

FIRST GLOBAL FINANCE PVT.LTD.

VIOLATED SECTION 11 (3) OF SEBI ACT, 1992

PROSECUTION LAUNCHED

15-MAY-2006

HOFFLAND FINANCE LTD.

A.SUBBA RAO

BRIJ BHUSHAN SHARMA

M.N.PADAM

NAVEEN CHANDRA PANDEY

NAVIN PANDEY

SURAJ PAL SHARMA

VIOLATED SECTION 26 OF SEBI ACT, 1992

VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993

ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SEBI (PFUTP) REGULATIONS, 1995

VIOLATED SEBI (MERCHANT BANKER) REGULATIONS, 1992

PROSECUTION LAUNCHED

15-MAY-2006

A1 AND A2 CONVICTED. A3 ACQUITTED. A4 EXPIRED, THUS, PROCEEDINGS ABATED. PROCEEDINGS AGAINST A5 QUASHED. A6 DECLARED PO. A7 COMPOUNDED (VIDE ORDER DT.21.02.2008). FILE BE CONSIGNED TO RECORD ROOM

PANTHER FINCAP & MANAGEMENT SERVICES LTD.

JAYANT N.PAREKH

KARTIK KIRTIKUMAR PAREKH

KETAN VINAYCHANDRA PAREKH

KIRTIKUMAR NARBHERAM PAREKH

NAVINCHANDRA NARBHERAM PAREKH

VIPUL DINESH PAREKH

VIOLATED SEBI ACT, 1992

PROSECUTION LAUNCHED

15-MAY-2006

The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.