If you are an Existing User, please enter your Username & Password below

Forgot Password?

Are you a New User? Click here to enrol

close

Click here to visit old website
Co-Sponsors

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 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.

PERSONS: REACHED SETTLEMENT (CONSENT ORDER)

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person A.A.PATIL

(PAN:ABPPP6269C)  
  ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956

ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956

ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2, 4.11, 4.14, 5.3.1, 5.4.1, 5.6A, 5.6.2, 6 TO 6.15 AND 8.8.1 OF SEBI (DISCLOSURE & INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000

ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2, 4.11, 4.14, 5.3.1, 5.4.1, 5.6A, 5.6.2, 6 TO 6.15 AND 8.8.1 OF SEBI (DISCLOSURE & INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000

ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING SEBI (ISSUE OF CAPITAL & DISCLOSURE REQUIREMENTS) REGULATIONS, 2009

ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING SEBI (ISSUE OF CAPITAL & DISCLOSURE REQUIREMENTS) REGULATIONS, 2009  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.47,60,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

30-MAY-2016
2 
History of entity/person A.C.MUTHIAH  
  ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUTOMOBILE PRODUCTS OF INDIA LTD.

ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10, 11(2) AND 12 READ WITH REGULATION 14 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUTOMOBILE PRODUCTS OF INDIA LTD.  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,97,33,551 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

17-JAN-2017
3 
History of entity/person A.K.KRISHNA

(PAN:AJRPK5921A)  
  ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF THINKSOFT GLOBAL SERVICES LTD. (NOW SQS INDIA BFSI LTD.)  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,40,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

01-FEB-2016
4 
History of entity/person A.K.LATHA

(PAN:AAUPL2315D)  
  ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF THINKSOFT GLOBAL SERVICES LTD. (NOW SQS INDIA BFSI LTD.)  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,40,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

01-FEB-2016
5 
History of entity/person A.K.SINGH  
  ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 6(1),6(3) FOR YEAR 1997 AND 8(1),8(2) FOR YEARS 1997 TO 2006,OF SEBI TAKEOVER CODE, 1997  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000, ADMINISTRATION CHARGES RS.5,000 VIDE CONSENT ORDER)

20-JAN-2009
6 
History of entity/person A.K.ZAVERI

(PAN:AALFA3878M)  
  ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,20,000 VIDE CONSENT ORDER)

19-AUG-2024
7 
History of entity/person A.M.NAIK

(PAN:AAAPN6700G)  
  ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF LARSEN & TOUBRO LTD.  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,72,500 VIDE CONSENT ORDER)

30-JAN-2018
8 
History of entity/person A.R.VADIA  
  DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HERBERTSONS LTD.  IMPOSED PENALTY RS.15,000 ALONG WITH OTHER ENTITIES/PERSONS

24-AUG-2005

REACHED SETTLEMENT (SETTLEMENT CHARGES RS.65,000, LEGAL EXPENSES RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

02-JUL-2009 		SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 24/08/2005 SET ASIDE AND BOARD WILL REFUND AMOUNT DEPOSITED BY APPELLANTS IN PURSUANCE TO IMPUGNED ORDER

SAT: APPLICANT PAID RS.65,000 TOWARDS SETTLEMENT CHARGES AND RS.5,00,000 TOWARDS LEGAL EXPENSES, AS PER CONSENT ORDER (REFERENCE APPEAL NO.154 OF 2005 DATED 02/07/2009 WITH SAT)
9 
History of entity/person A.S.CHOPADE

(PAN:AAUPC1927E)  
  ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956

ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956

ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2, 4.11, 4.14, 5.3.1, 5.4.1, 5.6A, 5.6.2, 6 TO 6.15 AND 8.8.1 OF SEBI (DISCLOSURE & INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000

ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2, 4.11, 4.14, 5.3.1, 5.4.1, 5.6A, 5.6.2, 6 TO 6.15 AND 8.8.1 OF SEBI (DISCLOSURE & INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000

ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING SEBI (ISSUE OF CAPITAL & DISCLOSURE REQUIREMENTS) REGULATIONS, 2009

ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING SEBI (ISSUE OF CAPITAL & DISCLOSURE REQUIREMENTS) REGULATIONS, 2009  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.47,60,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

30-MAY-2016
10 
History of entity/person A.SHANMUGASUNDARAM  
  ALLEGED VIOLATION OF REGULATIONS 3(1) AND 3(2) OF SEBI (SETTLEMENT OF ADMINISTRATIVE AND CIVIL PROCEEDINGS) REGULATIONS, 2014 IN MATTER OF SAKTHI FINANCE LTD.  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.27,62,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

14-SEP-2016
11 
History of entity/person A.V.ASVINI KUMAR

(PAN:ABKPK1768J)  
  ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF THINKSOFT GLOBAL SERVICES LTD. (NOW SQS INDIA BFSI LTD.)  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,40,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

01-FEB-2016
12 
History of entity/person A.V.VISWANADHAN  
  ALLEGED INDULGENCE IN NON-GENUINE TRANSACTIONS IN SCRIP OF GEOJIT SECURITIES LTD.  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)

25-MAR-2010
13 
History of entity/person AADITYA BANKA

(PAN:AMZPB5541L)  
  ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

08-MAR-2023
14 
History of entity/person AAKANKSHA AGARWAL

(PAN:BGUPA5600F)  
  ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

08-MAR-2023
15 
History of entity/person AAKASH BANSAL

(PAN:BNUPB9674H)  
  ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

08-MAR-2023
16 
History of entity/person AAKASH JAIN

(PAN:APKPJ6117J)  
  ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

08-MAR-2023
17 
History of entity/person AAKASH PRAKASH SHAH

(PAN:BFCPS3505J)  
  ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)

08-MAR-2023
18 
History of entity/person AAKRITI AGARWAL

(PAN:BGUPA5797D)  
  ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

08-MAR-2023
19 
History of entity/person AANCHAL JAIN

(PAN:AWDPJ5984F)  
  ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

08-MAR-2023
20 
History of entity/person AANCHAL KEJRIWAL

(PAN:AIMPG7943E)  
  ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

08-MAR-2023
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
First Next Last
Page 1 of 431

This website is not comprehensive and is being updated on a regular basis. Users are requested to carefully look at the formats and the information about the coverage period that appears on search results pages.

DISCLAIMER BY NSE

NSE is the co-sponsor of this website and supportive of the initiative taken for protection of interest of investors by Praxis Consulting & Information Services Pvt.Ltd. (PRAXIS), the creator of this website. However, NSE bear no responsibility for the views/information that is available on this website and as responsibility of the contents of this website solely rests with PRAXIS. NSE shall not be responsible for, and expressly disclaims all liability for, damages of any kind arising out of use, reference to or reliance on any information available on this website. Investors/visitors of this website are also advised to read through the other general disclaimer(s) and terms and conditions available on this website before using the website.

Site designed and maintained by watchoutinvestors.com
© PRIME DATABASE GROUP 2004-2024
No part of this site may be reproduced without the explicit permission of the owners.

top