| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 261 |
|
LKS MURTHY INVESTMENTS & FINANCE CONSULTANTS PVT.LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-JAN-1999
26-FEB-1999
|
|
| 262 |
|
|
LKS MURTHY INVESTMENTS & FINANCE CONSULTANTS PVT.LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 20-AUG-1998 TILL THE REMAINING PERIOD OF REGISTRATION
28-AUG-1998
|
|
| 263 |
|
|
LYONS CORPORATE MARKETS LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-FEB-1999
26-MAR-1999
|
|
| 264 |
|
|
M & V ASSOCIATES
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 19-JUN-1998 TO 30-JUN-1999
09-JUL-1998
|
|
| 265 |
|
|
M.K.PHERWANI & CO.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-APR-1998
09-JUN-1998
|
|
| 266 |
|
|
M.MUNSHI CONSULTANTS PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-APR-1998
09-JUN-1998
|
|
| 267 |
|
|
M.N.PADAM
|
|
|
|
HOFFLAND FINANCE LTD.
(Member : BGSE/JSE)
|
|
VIOLATED SECTION 26 OF SEBI ACT, 1992
VIOLATED 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
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.
DURING THE TRIAL A21 (SHRI ASHOK KUMAR KOHLI) HAD EXPIRED, THEREFORE, PROCEEDINGS QUA HIM WAS ABATED. ACCUSED NO.20 (M/S EVERGROW FINANCIAL SERVICES PVT.LTD.) AND A22 ( SHRI PRADEEP SHARMA) FACED THE TRIAL AND THEY REMAINING ACCUSED WERE DECLARED POS. THE CAPTIONED MATTER WAS POSTED BEFORE THE LD. COURT ON JULY 30, 2012 FOR PRONOUNCEME NT OF JUDGMENT. AFTER RECORDING ITS REASONS THE COURT HELD THAT SEBI COULD NOT PROVE ITS CASE AGAINST A20 AND A22 BEYOND THE SHADOW OF ALL REASONABLE DOUBTS, AND THEREBY ACQUITTED A20 AND A22
|
| 268 |
|
|
MADAN FINANCIAL SERVICES LTD.
|
|
|
DID NOT APPLY FOR RENEWAL OF REGISTRATION
REGISTRATION EXPIRED
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-AUG-1998
06-OCT-1998
|
|
| 269 |
|
|
MADHUMILAN FINCORP LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-JUN-1998
09-JUL-1998
|
|
| 270 |
|
|
MADHUSUDAN LEASING & FINANCE LTD.
(PAN:AAACM7658R)
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-FEB-1999
26-MAR-1999
|
|
| 271 |
|
|
MAGMA LEASING LTD.
|
|
|
DID NOT APPLY FOR RENEWAL OF REGISTRATION
REGISTRATION EXPIRED
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 30-NOV-1998
28-DEC-1998
|
|
| 272 |
|
|
MAGMA LEASING LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 25-AUG-1998 TILL THE REMAINING PERIOD OF REGISTRATION
01-SEP-1998
|
|
| 273 |
|
|
MAHARASHTRA STATE FINANCIAL CORP.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-DEC-1997
08-JAN-1998
|
|
| 274 |
|
|
MANISH DALAL
|
|
|
|
MANISH DALAL,M/S
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-JUN-1998
27-JUL-1998
|
|
| 275 |
|
|
MANISH DALAL
|
|
|
|
MANISH DALAL,M/S
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 04-MAY-1998
08-MAY-1998
|
|
| 276 |
|
|
MANISH DALAL,M/S
|
|
|
|
MANISH DALAL
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-JUN-1998
27-JUL-1998
|
|
| 277 |
|
|
MANISH DALAL,M/S
|
|
|
|
MANISH DALAL
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 04-MAY-1998
08-MAY-1998
|
|
| 278 |
|
|
MANOJ KUMAR RAMRAKHYANI
(PAN:AGFPR0472E)
|
|
|
|
CHARTERED CAPITAL & INVESTMENT LTD.
PAN:AAACC6247L
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
DID NOT EXERCISE DUE DILIGENCE IN IPO OF RDB RASAYANS LTD.
|
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 28-DEC-2011 TILL FURTHER ORDERS
28-DEC-2011
|
SAT: APPEAL DISPOSED OFF WITH A DIRECTION TO BOARD TO COMPLETE THE INVESTIGATION, QUA THE APPELLANTS, WITHIN A PERIOD OF TWO WEEKS FROM THE DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATE 07/09/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
SAT: SAT VIDE ITS ORDER DATED 25/10/2012 SET ASIDE THE IMPUGNED ORDER DATED 07/09/2012 VIDE WHICH SEBI CONFIRMED EX-PARTE AD-INTERIM ORDER DATED 31/12/2011. DIRECTED SEBI TO COMPLETE THE INVESTIGATION AND TAKE APPROPRIATE DECISION BY 31/12/2012
|
| 279 |
|
|
MANSUKHBHAI J.SHAH & CO.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-DEC-1997
08-JAN-1998
|
|
| 280 |
|
|
MARG SECURITIES LTD.
|
|
|
DID NOT FULFILL UNDERWRITING OBLIGATION IN PUBLIC ISSUES OF RITESH POLYESTERS LTD.
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FOR UNDERWRITING FROM 09-JUN-1997 TO 08-JUN-1999
09-JUN-1997
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
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| Page 14 of 25
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