| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 281 |
|
MARUTI SECURITIES LTD.
(PAN:AABCM3651M)
|
|
|
DID NOT PAY FEES TO SEBI
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 10-JUL-1998
17-JUN-1998
|
|
| 282 |
|
|
MASTER CAPITAL SERVICES LTD.
(PAN:AABCM1406A)
|
|
|
POSSIBLE VIOLATION OF MERCHANT BANKING REGULATION IN MATTER OF ACQUISITION OF SHARES OF POLO HOTELS LTD.
|
DIRECTED ENQUIRY TO BE CONDUCTED
01-AUG-2003
|
|
| 283 |
|
|
MEGA RESOURCES LTD.
(PAN:AADCM5397E)
|
|
|
DID NOT MAKE DISCLOSURE OF ACQUISITION OF SHARES OF THE BOMBAY DYEING & MFG.CO.LTD. WHILE ACTING IN CONCERT WITH ARUN BAJORIA
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-AUG-2001 TO 28-AUG-2002
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-AUG-2001 TO 28-AUG-2002
29-AUG-2001
|
SAT: APPEAL DISMISSED
|
| 284 |
|
|
MEGHRAJ FINANCIAL SERVICES (INDIA) PVT.LTD.
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE IN MATTER OF OPEN OFFER OF SRP TOOLS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
08-NOV-2006
|
|
| 285 |
|
|
MERBANC FINANCIAL SERVICES LTD.
|
|
|
DID NOT VERIFY ACCEPTANCE OF LATE APPLICATIONS BY TAMILNADU MERCANTILE BANK, BVK IYENGAR ROAD BRANCH AND CANARA BANK, BHADRA BRANCH IN PUBLIC ISSUE OF RAJESH EXPORTS LTD.
MADE IRREGULAR ALLOTMENTS TO APPLICANTS WHOSE APPLICATIONS WERE RECEIVED LATE AFTER CLOSURE OF PUBLIC ISSUE OF RAJESH EXPORTS LTD.
DID NOT VERIFY REASONS FOR DIFFERENCE IN SUBSCRIPTION FIGURES IN PUBLIC ISSUES OF RAJESH EXPORTS LTD.
|
DIRECTED LAPSES TO BE TAKEN ON RECORD FOR REVIEWING RENEWAL APPLICATION
21-JAN-2003
|
|
| 286 |
|
|
MEWAR LEASING LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 08-OCT-1998
08-OCT-1998
|
|
| 287 |
|
|
MOHIB NOMAN KHERICHA
(PAN:AGMPK8152H)
|
|
|
|
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
|
| 288 |
|
|
MONEYVISION CONSULTANTS PVT.LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 28-FEB-1999
26-MAR-1999
|
|
| 289 |
|
|
MOTOR & GENERAL FINANCE LTD.,THE
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-JUL-1998
27-AUG-1998
|
|
| 290 |
|
|
MUDRA FINANCIAL SERVICES LTD.
|
|
|
DID NOT APPLY FOR RENEWAL OF REGISTRATION
REGISTRATION EXPIRED
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 30-NOV-1998
28-DEC-1998
|
|
| 291 |
|
|
MUDRA ISPAT LTD.
|
|
|
DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 09-MAR-1998
24-MAR-1998
|
|
| 292 |
|
|
MUKTA FINVEST PVT.LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 04-MAY-1998
08-MAY-1998
|
|
| 293 |
|
|
NAFCON FINANCIAL SERVICES LTD.
(CIN:U65993DL1992PLC049693)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 08-OCT-1998
08-OCT-1998
|
|
| 294 |
|
|
NAREN V.SHETH
|
|
|
|
NAREN V.SHETH,M/S
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-DEC-1998
26-FEB-1999
|
|
| 295 |
|
|
NAREN V.SHETH
|
|
|
|
NAREN V.SHETH,M/S
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 22-SEP-1998 TILL THE REMAINING PERIOD OF REGISTRATION
29-SEP-1998
|
|
| 296 |
|
|
NAREN V.SHETH,M/S
|
|
|
|
NAREN V.SHETH
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 22-SEP-1998 TILL THE REMAINING PERIOD OF REGISTRATION
29-SEP-1998
|
|
| 297 |
|
|
NAREN V.SHETH,M/S
|
|
|
|
NAREN V.SHETH
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-DEC-1998
26-FEB-1999
|
|
| 298 |
|
|
NATH CAPITAL & FINANCIAL SERVICES LTD.
|
|
|
DID NOT SUBMIT EMPLOYEE DATABASE
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 04-AUG-1998
10-AUG-1998
|
|
| 299 |
|
|
NATIONAL CAPITAL MANAGEMENT PVT.LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-FEB-1999
26-MAR-1999
|
|
| 300 |
|
|
NAVEEN CHANDRA PANDEY
|
|
|
|
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
|
PARTLY COMPOUNDED FOR RS.10000
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
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 15 of 25
|
