| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
BHUWANIA VINIMAY PVT.LTD.
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PRIME CAPITAL MARKET LTD.
DID NOT FURNISH TIMELY AND ACCURATE INFORMATION TO SEBI TO COMPLY WITH SUMMONS ISSUED IN SCRIP OF PRIME CAPITAL MARKET LTD.
|
IMPOSED PENALTY RS.1,00,00,000
30-MAY-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.8,00,000, LEGAL EXPENSES RS.65,000 VIDE CONSENT ORDER)
13-MAR-2008
|
SAT: APPEAL ALLOWED AS APPLICANT AGREED TO PAY RS.8,65,000 AS PER CONSENT ORDER
|
| 2 |
|
|
CLASSIC FINANCE
|
|
|
ALLEGED FAILURE IN APPEARING PERSONALLY AND/OR PROVIDING NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF DENIM ENTERPRISES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
19-JAN-2011
|
|
| 3 |
|
|
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
|
| 4 |
|
|
INDIA INFOLINE LTD.
|
|
|
ALLEGED FAILURE IN PROVIDING INFORMATION/COOPERATION WITH PROCEEDINGS
ALLEGED FAILURE IN MAINTAINING UNIFORMITY IN DOCUMENTS REQUIRED FOR TRADING VIOLATING SEBI CIRCULAR NO.SEBI/MIRSD/DPS-1/CIR31/2004 DATED 26/08/2004
ALLEGED FAILURE IN COMPLIANCE WITH RULES 8 (1) (F) AND 8(3)(F) OF SCRA ,1957 RELATING TO FUND BASED ACTIVITIES OF STOCK BROKERS VIOLATING SEBI CIRCULAR NO.SEBI/POLICY/CIR-6/97 DATED 07/05/1997
ALLEGED FAILURE IN COMPLIANCE WITH RULES OF MARGIN TRADING AND SECURITIES LENDING AND BORROWING VIOLATING SEBI CIRCULAR NO.SEBI/MRD/SE/SU/CIR-15/04 DATED 19/03/2004
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, INDULGED IN SPECULATIVE BUSINESS AND SUBMITTED FALSE OR MISLEADING RETURNS TO SEBI AND STOCK EXCHANGE VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(4) AND C(6) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,00,000 VIDE CONSENT ORDER)
18-MAY-2010
|
|
| 5 |
|
|
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
|
| 6 |
|
|
NISAR & KUMAR,M/S
|
|
|
|
M.N.AHMED
(PAN:ABLPA9796K)
|
|
ALLEGED INDULGENCE IN ISSUANCE OF UNMODIFIED AUDIT REPORT AND UNQUALIFIED CERTIFICATE OF CORPORATE GOVERNANCE DURING FINANCIAL YEARS 2008-09 AND 2013-14 VIOLATING SECTION 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(C), (D) AND 4(1), 4(2)(E), K & R OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ABG SHIPYARD LTD.
ALLEGED FAILURE IN APPEARING PERSONALLY AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF ABG SHIPYARD LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.27,54,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
08-MAY-2019
|
|
| 7 |
|
|
PRAVEEN DAGA (HUF)
|
|
|
ALLEGED SUBMISSION OF FALSE INFORMATION TO INSPECTION OFFICIALS
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,50,000 VIDE CONSENT ORDER)
16-OCT-2012
|
|
| 8 |
|
|
RAMAKANT SALES & SERVICES PVT.LTD.
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS AND SELF TRADES IN SCRIP OF CYBER FAMILY.COM LTD.
ALLEGED FAILURE IN PROVIDING NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF CYBER FAMILY.COM LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
31-MAY-2011
|
|
| 9 |
|
|
RASHEL AGRO TECH LTD.
|
|
|
ALLEGED FAILURE IN COMPLYING WITH SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.50,000
13-SEP-2004
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.86,000 VIDE CONSENT ORDER)
20-JUL-2009
|
ORDER DATED 13/09/2004 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.50,000 TOWARDS AO PENALTY AND RS.36,000 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 20/07/2009
|
| 10 |
|
|
SHARP INDUSTRIES LTD.
|
|
|
ALLEGED VIOLATION OF PREFERENTIAL ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES IN ALLOTMENT OF SHARES OF SHARP INDUSTRIES LTD.
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,03,857, ADMINISTRATION CHARGES RS.20,000 VIDE CONSENT ORDER)
28-NOV-2008
|
|
| 11 |
|
|
SHARP INDUSTRIES LTD.
|
|
|
|
VINOD T.SHETH
|
|
ALLEGED VIOLATION OF PREFERENTIAL ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES IN ALLOTMENT OF SHARES OF SHARP INDUSTRIES LTD.
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,964, ADMINISTRATION CHARGES RS.10,000 VIDE CONSENT ORDER)
28-NOV-2008
|
|
| 12 |
|
|
SHARP INDUSTRIES LTD.
|
|
|
|
RAJESH T.SHETH
|
|
ALLEGED VIOLATION OF PREFERENTIAL ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES IN ALLOTMENT OF SHARES OF SHARP INDUSTRIES LTD.
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,964, ADMINISTRATION CHARGES RS.10,000 VIDE CONSENT ORDER)
28-NOV-2008
|
|
| 13 |
|
|
SHARP INDUSTRIES LTD.
|
|
|
|
HASMUKH T.SHETH
|
|
ALLEGED VIOLATION OF PREFERENTIAL ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES IN ALLOTMENT OF SHARES OF SHARP INDUSTRIES LTD.
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,964, ADMINISTRATION CHARGES RS.10,000 VIDE CONSENT ORDER)
28-NOV-2008
|
|
| 14 |
|
|
SPACE AGE POLYMERS PVT.LTD.
|
|
|
ALLEGED FAILURE IN APPEARING PERSONALLY AND/OR PROVIDING NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF PEACOCK INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
10-MAY-2011
|
|
| 15 |
|
|
ZENSER MERCHANDISE PVT.LTD.
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PRIME CAPITAL MARKET LTD.
DID NOT FURNISH TIMELY AND ACCURATE INFORMATION TO SEBI TO COMPLY WITH SUMMONS ISSUED IN SCRIP OF PRIME CAPITAL MARKET LTD.
|
IMPOSED PENALTY RS.20,00,000
30-MAY-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000, LEGAL EXPENSES RS.65,000 VIDE CONSENT ORDER)
13-MAR-2008
|
SAT: APPEAL ALLOWED AS APPLICANT AGREED TO PAY RS.2,65,000 AS PER CONSENT ORDER
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
