| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 321 |
|
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
|
|
| 322 |
|
|
PAMWI FINANCE LTD.
|
|
|
DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 04-DEC-1997
15-DEC-1997
|
|
| 323 |
|
|
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
|
|
| 324 |
|
|
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
|
|
| 325 |
|
|
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
|
|
| 326 |
|
|
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
|
| 327 |
|
|
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
|
| 328 |
|
|
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
|
|
| 329 |
|
|
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
|
|
| 330 |
|
|
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
|
|
| 331 |
|
|
PARESH J.KHANDWALA
|
|
|
|
KHANDWALA SECURITIES LTD.
PAN:AAACK2214P
|
|
MULTIPLE LEGAL PROCEEDINGS PENDING AGAINST THE COMPANY
|
REJECTED APPLICATION FOR REGISTRATION AS UNDERWRITER
11-OCT-2004
|
|
| 332 |
|
|
PAUL MERCHANTS LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-JAN-1999
26-FEB-1999
|
|
| 333 |
|
|
PEARL CORPORATE FINANCIAL SERVICES PVT.LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 27-JUL-1998 TILL THE REMAINING PERIOD OF REGISTRATION
05-AUG-1998
|
|
| 334 |
|
|
PECIFIC CAPITAL MARKET PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 28-FEB-1998
20-AUG-1998
|
|
| 335 |
|
|
PEGASUS CAPITAL & ALLIED SERVICES LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-DEC-1998
26-FEB-1999
|
|
| 336 |
|
|
PEGASUS CAPITAL & ALLIED SERVICES LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 27-JUL-1998 TILL THE REMAINING PERIOD OF REGISTRATION
05-AUG-1998
|
|
| 337 |
|
|
PERCEPT FINANCIAL CONSULTANTS PVT.LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 17-JUL-1998
24-JUL-1998
|
|
| 338 |
|
|
PERCEPT FINANCIAL SERVICES LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-DEC-1998
26-FEB-1999
|
|
| 339 |
|
|
PEREGRINE CAPITAL INDIA PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-JUL-1998
27-AUG-1998
|
|
| 340 |
|
|
PHOENIX INTERNATIONAL FINANCE LTD.
|
|
|
DID NOT FULFILL UNDERWRITING OBLIGATION IN PUBLIC ISSUE OF KANAN STEELS LTD.
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 13-APR-1999 TO 31-JUL-1999
13-APR-1999
|
|
| 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 17 of 25
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