| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 321 |
|
OLYMPIC MANAGEMENT & FINANCE SERVICES LTD.
(PAN:AAACO1768Q)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 22-JUL-1998
27-JUL-1998
|
|
| 322 |
|
|
ONELIFE CAPITAL ADVISORS LTD.
(PAN:AAACO9540L)
(Member : BSE)
|
|
|
|
A.P.SHUKLA
PAN:AECPS3296Q
|
|
|
DHANANJAY CHANDRAKANT PARIKH
PAN:ACTPP2402L
|
|
|
PANDOO PRABHAKAR NAIG
PAN:ACNPN2800J
|
|
|
T.S.RAGHAVAN
PAN:AAFPR1521A
|
|
|
THIRUVIDAIMARUDUR KRISHNA PRABHAKAR NAIG
PAN:ABIPN2653D
|
|
|
TUSHAR SHIRDHARANI
PAN:AAIPS0065M
|
|
MISUTILIZED ISSUE PROCEEDS
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
|
DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 28-DEC-2011 TILL FURTHER ORDERS
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
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED COMPANY TO CALL BACK ICDS AND/OR OTHER AMOUNTS AND DEPOSIT THE SAME IN AN INTEREST BEARING ESCROW ACCOUNT
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SAT: APPEAL DISPOSED OFF WITH NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 15/02/2012 MODIFIED ITS EARLIER ORDER DATED 28/12/2011 BY ALLOWING TO DEAL IN SHARES FOR LIMITED PURPOSE OF FULFILLING THEIR EXISTING OBLIGATIONS OF UNDERWRITING FOR MINIMUM SUBSCRIPTION
SAT: SAT VIDE ITS ORDER DATED 25/06/2012 DIRECTED SEBI TO COMPLETE THE INVESTIGATIONS AS EXPEDITIOUSLY AS POSSIBLE AND IN ANY CASE BEFORE 31/10/2012. NO COSTS
SEBI VIDE ITS ORDER DATED 16/01/2013 CONFIRMED ITS DIRECTIONS ISSUED IN PARAGRAPHS 14.3, 14.4, 14.5, 14.6, 14.8 AND 14.9 OF EX-PARTE ORDER DATED 28/12/2011 READ WITH ORDER DATED 15/02/2012
SAT: DIRECTED SEBI TO ISSUE SHOW CAUSE NOTICE WITHIN FIVE WEEKS AND PASS FINAL ORDER WITHIN A PERIOD OF FOUR MONTHS FROM THE DATE OF THIS ORDER OTHERWISE INTERIM ORDER PASSED BY SEBI SHALL STAND VACATED
SEBI VIDE ITS ORDER DATED 30/08/2013 DIRECTED ONELIFE CAPITAL ADVISORS LTD. AND ITS MANAGING DIRECTOR MR. PANDOO P.NAIG 1.TO BRING JOINTLY AND SEVERALLY RS.35.25 CRORES I.E. DIVERTED IPO PROCEEDS INTO COMPANY FROM FINCARE, PRECISE AND KPT WITHIN SIX MONTHS FROM DATE OF THIS ORDER 2.DIRECTED ITS BOARD OF DIRECTORS TO ENSURE COMPLIANCE OF ABOVE DIRECTION AND SUBMIT A MONTHLY PROGRESS REPORT TO SEBI AND ALSO TO FURNISH TO SEBI A COMPLIANCE REPORT DULY CERTIFIED BY SEBI REGISTERED MERCHANT BANKER WITHIN TWO WEEKS OF COMPLIANCE OF ABOVE DIRECTION; 3.TO RESTRAINED AND PROHIBITED FROM ACCESSING SECURITIES MARKET AND ALSO PROHIBITED FROM BUYING, SELLING AND OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER, FOR A PERIOD OF 3 YEARS FROM DATE OF INTERIM ORDER
|
| 323 |
|
|
ONELIFE CAPITAL ADVISORS LTD.
(PAN:AAACO9540L)
(Member : BSE)
|
|
|
ALLEGED VIOLATION OF REGULATION 6 (GG) OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 READ WITH SCHEDULE II OF SEBI (INTERMEDIARIES) REGULATIONS, 2008
ALLEGED VIOLATION OF REGULATION 5 (E) READ WITH 5A OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.16,80,000 VIDE CONSENT ORDER)
09-FEB-2017
|
|
| 324 |
|
|
ONEVIEW CORPORATE ADVISORS PVT.LTD.
(PAN:AAHCS5232N)
|
|
|
DID NOT MAINTAIN STRUCTURED DIGITAL DATABASE (SDD) CONTAINING NATURE OF UPSI AND NAMES OF SUCH PERSONS OR ENTITIES WITH WHOM UPSI WAS SHARED VIOLATING REGULATIONS 3(5) AND 9 READ WITH SCHEDULE C OF SEBI (PIT) REGULATIONS, 2015
DID NOT UPLOAD DISCLOSURE FOR INVESTOR COMPLAINTS ON ITS WEBSITE
DELAY IN UPLOADING DISCLOSURE OF INVESTOR COMPLAINTS ON ITS WEBSITE
AUTHORISED PERSONS DID NOT HAVE NISM CERTIFICATION
|
IMPOSED PENALTY RS.5,00,000
07-OCT-2025
|
|
| 325 |
|
|
ORIENT FINCORP LTD.
|
|
|
DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 21-NOV-1997
28-NOV-1997
|
|
| 326 |
|
|
ORION CAPITAL SERVICES LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 30-APR-1998
09-JUN-1998
|
|
| 327 |
|
|
P.C.BAFNA & CO.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 30-APR-1998
09-JUN-1998
|
|
| 328 |
|
|
P.H.AGRAWAL & CO.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-MAY-1998
09-JUN-1998
|
|
| 329 |
|
|
PADMAKSHI FINANCIAL SERVICES PVT.LTD.
(PAN:AABCP2260K)
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 30-JUN-1998
27-JUL-1998
|
|
| 330 |
|
|
PALLONJI LEASING PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 28-FEB-1998
20-AUG-1998
|
|
| 331 |
|
|
PAMWI FINANCE LTD.
|
|
|
DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 04-DEC-1997
15-DEC-1997
|
|
| 332 |
|
|
PANTHER FINCAP & MANAGEMENT SERVICES LTD.
(PAN:AAACP3045P)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIPS OF MASCON GLOBAL LTD.AND DSQ BIOTECH LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-DEC-2003 TO 11-DEC-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-DEC-2003 TO 11-DEC-2017
23-SEP-2010
|
|
| 333 |
|
|
PANTHER FINCAP & MANAGEMENT SERVICES LTD.
(PAN:AAACP3045P)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY/STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7 OF SEBI TAKEOVER CODE , 1997 IN MATTER OF ACQUISITION OF SHARES OF ADANI EXPORTS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,25,000 VIDE CONSENT ORDER)
24-JAN-2008
|
|
| 334 |
|
|
PANTHER FINCAP & MANAGEMENT SERVICES LTD.
(PAN:AAACP3045P)
|
|
|
|
JAYANT N.PAREKH
|
|
|
KARTIK KIRTIKUMAR PAREKH
DIN:00009502
|
|
|
KETAN VINAYCHANDRA PAREKH
DIN:00009468
PAN:AADPP1505A
|
|
|
KIRTIKUMAR NARBHERAM PAREKH
DIN:00009494
|
|
|
NAVINCHANDRA NARBHERAM PAREKH
DIN:00009547
|
|
|
VIPUL DINESH PAREKH
|
|
VIOLATED SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
DISMISSED
ACCUSED NO.2 KARTIK KIRTIKUMAR PAREKH AND ACCUSED NO.5 KETAN VINAYCHANDRA PAREKH RESPECTIVELY ARE HEREBY HELD GUILTY ARE HEREBY SENTENCED TO UNDERGO RIGOROUS IMPRISONMENT FOR THREE YEARS AND SHALL FURTHER PAY A FINE OF RS.5,00,000.00 EACH ACCUSED NO.3 NAVINCHANDRA NARBHERAM PAREKH AND ACCUSED NO.4 KIRTIKUMAR NARBHERAM PAREKH ARE HEREBY ACQUITTED
|
| 335 |
|
|
PANTHER FINCAP & MANAGEMENT SERVICES LTD.
(PAN:AAACP3045P)
|
|
|
|
KARTIK KIRTIKUMAR PAREKH
DIN:00009502
|
|
|
KETAN VINAYCHANDRA PAREKH
DIN:00009468
PAN:AADPP1505A
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF HFCL, ZEE, ADANI, GTL, RANBAXY, SAB TV, SHONKH, PADMINI (FORMERLY PADMINI POLYMERS LTD.) AND AFTEK WITH KP ENTITIES
INDULGED IN MANIPULATIVE ACTIVITIES LIKE SYNCHRONIZED TRADING
FINANCED TRANSACTIONS TO GIVE SEMBLANCE OF PURCHASE AND SALE OF SHARES AT THE EXCHANGES
INDULGED IN CIRCULAR TRADING
CREATED ARTIFICIAL MARKET
BENCHMARKED PRICES OF CERTAIN SCRIPS BY EXECUTING NON-GENUINE TRANSACTIONS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-DEC-2003 TO 11-DEC-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-DEC-2003 TO 11-DEC-2017
12-DEC-2003
|
|
| 336 |
|
|
PANTHER FINCAP & MANAGEMENT SERVICES LTD.
(PAN:AAACP3045P)
|
|
|
|
KARTIK KIRTIKUMAR PAREKH
DIN:00009502
|
|
|
KETAN VINAYCHANDRA PAREKH
DIN:00009468
PAN:AADPP1505A
|
|
MANIPULATED PRICE IN SCRIP OF LUPIN LABORATORIES LTD.
INDULGED IN MANIPULATIVE ACTIVITIES LIKE SYNCHRONIZED TRADING
FINANCED TRANSACTIONS TO GIVE SEMBLANCE OF PURCHASE AND SALE OF SHARES AT THE EXCHANGES
INDULGED IN CIRCULAR TRADING
CREATED ARTIFICIAL MARKET
BENCHMARKED PRICES OF CERTAIN SCRIPS BY EXECUTING NON-GENUINE TRANSACTIONS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-DEC-2003 TO 11-DEC-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-DEC-2003 TO 11-DEC-2017
12-DEC-2003
|
SAT: APPEAL DISMISSED
|
| 337 |
|
|
PANTHER FINCAP & MANAGEMENT SERVICES LTD.
(PAN:AAACP3045P)
|
|
|
|
KARTIK KIRTIKUMAR PAREKH
DIN:00009502
|
|
|
KETAN VINAYCHANDRA PAREKH
DIN:00009468
PAN:AADPP1505A
|
|
|
KIRTIKUMAR NARBHERAM PAREKH
DIN:00009494
|
|
|
NAVINCHANDRA NARBHERAM PAREKH
DIN:00009547
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-JUN-2003 TILL INVESTIGATIONS COMPLETED
06-JUN-2003
|
|
| 338 |
|
|
PANTHER FINCAP & MANAGEMENT SERVICES LTD.
(PAN:AAACP3045P)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
|
| 339 |
|
|
PANTHER INVESTRADE LTD.
(PAN:AAACP3259R)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
|
| 340 |
|
|
PARESH J.KHANDWALA
|
|
|
|
KHANDWALA SECURITIES LTD.
PAN:AAACK2214P
|
|
MULTIPLE LEGAL PROCEEDINGS PENDING AGAINST THE COMPANY
|
REJECTED APPLICATION FOR REGISTRATION AS UNDERWRITER
11-OCT-2004
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 17 of 25
|
