| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
ACCORD PLANTATION LTD.
|
|
|
|
AJAY VOHRA
|
|
|
KRISHNA SOOD
|
|
|
MOHINDER SINGH DHALIWAL
|
|
|
P.C.THAKUR
|
|
|
PRADEEP DIWAN
|
|
|
RAJAN RAI
|
|
|
SUNITA BHAGAT
|
|
|
TEJINDER SINGH
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JUL-2001 TO 02-JUL-2006
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
LAUNCHED PROSECUTION AGAINST THE ENTITY AND ITS DIRECTORS U/S 24 AND 27 OF THE SEBI ACT
02-JUL-2001
|
ACCUSED NO.2 TO 5 CONVICTED AND SENTENCED TO RIGOROUS IMPRISONMENT FOR 6 MONTHS EACH AND PAY A FINE OF RS.1000000 (TEN LAKH) EACH AND ON DEFAULT OF PAYMENT OF FINE SIMPLE IMPRISONMENT FOR 3 MONTHS EACH. FURTHER, OUT OF THE AMOUNT OF FINE REALIZED A SUM OF RS.50000 BE PAID TO SEBI AFTER EXPIRY OF PERIOD OF REVISION, APPEAL, TOWARDS THE EXPENSES INCURRED BY IT
|
| 82 |
|
|
ACE AGRO PRODUCTS LTD.
|
|
|
|
CLIFFORD D'SILVA
|
|
|
DILIP KADAM
|
|
|
MAHENDRA CHAURASIA
|
|
|
MAXINE NETA D'SILVA
|
|
|
SANJAY P.DESAI
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JUL-2001 TO 02-JUL-2006
REFERRED TO POLICE AUTHORITIES TO FILE FIR
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
LAUNCHED PROSECUTION AGAINST THE ENTITY AND ITS DIRECTORS U/S 24 AND 27 OF THE SEBI ACT
02-JUL-2001
|
SEBI VIDE ITS NOTICE DATED 17/07/2014 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS ORDER DATED 13/04/2022 DIRECTED ALL THE BANKS TO REMIT RS.3,77,00,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF ACE AGRO PRODUCTS LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 83 |
|
|
ACHUTA PRASAD
|
|
|
|
PRAKRUTHI CREATIVE ESTATES PVT.LTD.
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JUL-2001 TO 02-JUL-2006
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
02-JUL-2001
|
|
| 84 |
|
|
ACHYUT NARAIN MANI TRIPATHI
|
|
|
|
EUCLIP FORESTRY (I) LTD.
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JUL-2001 TO 02-JUL-2006
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
LAUNCHED PROSECUTION AGAINST THE ENTITY AND ITS DIRECTORS U/S 24 AND 27 OF THE SEBI ACT
02-JUL-2001
|
ALL ACCUSED DECLARED PO
|
| 85 |
|
|
ACHYUTA KUMAR
|
|
|
|
BADRIKA PLANTATIONS LTD.
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JUL-2001 TO 02-JUL-2006
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
LAUNCHED PROSECUTION AGAINST THE ENTITY AND ITS DIRECTORS U/S 24 AND 27 OF THE SEBI ACT
02-JUL-2001
|
|
| 86 |
|
|
ADARSH SRIVASTAVA
|
|
|
|
ALAKHNANDA AGROTECH LTD.
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 07-FEB-2001 TO 07-FEB-2006
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
07-FEB-2001
|
THE COURT CONVICTED ACCUSED NO.1 COMPANY AND ACCUSED NO.7 (SHRI S.P.AWASTHI) AND SENTENCED ACCUSED NO.7 TO SIMPLE IMPRISONMENT FOR A PERIOD OF 6 MONTHS AND A FINE OF RS.2 LAKH IN DEFAULT ACCUSED NO.7 SHALL UNDERGO SIMPLE IMPRISONMENT FOR A PERIOD OF 3 MONTHS. THE COMPANY (ACCUSED NO.1 ) IS BURDENED WITH A FINE OF RS.5 LAKHS. ALL OTHER ACCUSED ARE PROCLAIMED OFFENDERS
|
| 87 |
|
|
ADEL LANDMARKS LTD.
(PAN:AABCE4642C
CIN:U45203DL2005PLC134375)
|
|
|
|
ARVIND KUMAR BIRLA
DIN:00037602
PAN:ACTPB5365J
|
|
|
MANISHA BHARANA
DIN:03342342
PAN:BCGPB5514B
|
|
|
RAKESH KUMAR GUPTA
DIN:06820178
PAN:AAAPG4298A
|
|
|
RASHMI BHARANA
PAN:AHCPB9343C
|
|
|
SANJAY CHAWLA
PAN:AAGPC0832Q
|
|
|
SUMIT BHARANA
DIN:01401758
PAN:AGYPB3210A
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
DIRECTED NOT TO COLLECT ANY MONEY AND/OR FEE FROM THE INVESTORS FROM 07-OCT-2015 TO 06-OCT-2019
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF ANY OF THE PROPERTIES OR ALIENATE (DIRECTLY OR INDIRECTLY) ASSETS OF THE SCHEME FROM 07-OCT-2015 TO 06-OCT-2019
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 07-OCT-2015 TO 06-OCT-2019
DIRECTED TO SUBMIT LIST OF INVESTORS WITH FULL PARTICULARS SUCH AS PAN NUMBER, ADDRESS ETC.
DIRECTED TO SUBMIT DETAILS OF AMOUNT MOBILIZED AND REFUNDED TILL DATE
DIRECTED TO WIND UP CIS AND REFUND MONEY TO THE INVESTORS FROM 07-OCT-2015 TO 06-OCT-2019
DIRECTED TO SUBMIT REPORT IN REGARD TO WINDING UP OF CIS AND REPAYMENT OF MONIES TO SEBI IN ACCORDANCE TO CIS REGULATIONS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-OCT-2015 TO 06-OCT-2019
05-JUN-2014
|
SEBI VIDE ITS ORDER DATED 07/10/2015 DIRECTED ADEL LANDMARKS LTD. AND ITS DIRECTORS MR.RAKESH KUMAR GUPTA, MR.SUMIT BHARANA AND MR.ARVIND KUMAR BIRLA TO 1. ABSTAIN FROM COLLECTING ANY MONEY FROM INVESTORS OR LAUNCH OR CARRY OUT ANY COLLECTIVE INVESTMENT SCHEMES INCLUDING THE SCHEMES WHICH HAVE BEEN INDENTIFIED AS A COLLECTIVE INVESTMENT SCHEME IN THIS ORDER 2. WIND UP ITS EXISTING SCHEME AND REFUND THE MONEY COLLECTED UNDER SCHEME WITH RETURNS WHICH ARE DUE TO INVESTORS AS PER TERMS OF OFFER WITHIN A PERIOD OF THREE MONTHS FROM DATE OF THIS ORDER AND SUBMIT WINDING UP AND REPAYMENT REPORT TO SEBI IN ACCORDANCE WITH SEBI (CIS) REGULATIONS, 1999, INCLUDING TRAIL OF FUNDS CLAIMED TO BE REFUNDED, BANK ACCOUNT STATEMENTS INDICATING REFUND TO INVESTORS AND RECEIPT FROM INVESTORS ACKNOWLEDGING SUCH REFUNDS 3. NOT TO ALIENATE OR DISPOSE OFF OR SELL ANY ASSETS OF COMPANY EXCEPT FOR THE PURPOSE OF MAKING REFUNDS TO ITS INVESTORS 4. PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM 5. RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET FOR A PERIOD OF FOUR YEARS
SAT: SAT VIDE ITS ORDER DATED 07/12/2017 DISPOSED OFF THE APPEAL AND DIRECTED APPELLANTS TO FURNISH LIST OF THEIR ASSETS TO SEBI WITHIN A PERIOD OF EIGHT WEEKS FROM THE DATE OF THIS ORDER AND ALSO FURNISH ANY OTHER INFORMATION/DOCUMENTS THAT MAY BE DEMANDED BY SEBI. NO COSTS
SEBI VIDE ITS ORDER DATED 19/08/2019 DIRECTED TO 1) NEWSPAPER PUBLICATION IN ONE WIDELY CIRCULATED NEWSPAPER, ONE IN ENGLISH AND HINDI EACH, INVITING COMPLAINTS/CLAIMS FROM ANY INVESTOR IN RESPECT OF COLLECTIVE INVESTMENT SCHEMES THAT ARE STILL OUTSTANDING WITHIN ONE MONTH FROM DATE OF THIS ORDER 2) NEWSPAPER PUBLICATION TO CONTAIN ADVISORY, INFORMING THE INVESTOR TO FORWARD A COPY OF SUCH COMPLAINTS/CLAIMS, WITH SUPERSCRIPTION “COMPLAINTS/CLAIMS IN MATTER OF ADEL LANDMARKS LTD.”, TO SEBI AT REGIONAL DIRECTOR NORTHERN REGIONAL OFFICE, NEW DELHI - 110001, DELHI 3) COMPANY AND DIRECTORS TO SUBMIT TO SEBI A COMPLIANCE REPORT ALONG WITH INFORMATION ON COMPLAINTS RECEIVED AND MONIES REFUNDED, WITHIN THREE MONTHS FROM DATE OF THIS ORDER 4) JOINTLY AND SEVERALLY WIND UP ITS EXISTING SCHEME AND REFUND THE MONEY COLLECTED UNDER SCHEME WITH RETURNS WHICH ARE DUE TO INVESTORS AS PER TERMS OF OFFER WITHIN THREE MONTHS FROM DATE OF THIS ORDER 5) PROHIBIT FROM ACCESSING SECURITIES MARKET AND RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET FOR 4 YEARS TILL DATE OF COMPLIANCE REPORT SUBMITTED TO SEBI
|
| 88 |
|
|
ADEL LANDMARKS LTD.
(PAN:AABCE4642C
CIN:U45203DL2005PLC134375)
|
|
|
|
A.K.SETH
PAN:AARPS6434K
|
|
|
AMARJIT GUPTA
PAN:AADPG2980N
|
|
|
ANIL KUMAR MEHTA
PAN:AAAPM6743L
|
|
|
B.K.VINAYAK
PAN:ACCPV7041A
|
|
|
BIJANDER SINGH
PAN:ADAPC6546J
|
|
|
HEM SINGH BHARANA
PAN:AAMPB6082D
|
|
|
ISHWAR SINGH GULIA
PAN:AEPPG8801A
|
|
|
J.L.KHUSHU
PAN:AAAPK3732B
|
|
|
KRISHNA KANT
PAN:AAAPK3678A
|
|
|
N.V.SINGH
PAN:ASZPS2892R
|
|
|
P.P.MAINRA
PAN:AFTPM7392D
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
DIRECTED NOT TO COLLECT ANY MONEY AND/OR FEE FROM THE INVESTORS FROM 05-JUN-2014 TILL FURTHER ORDERS
DIRECTED NOT TO LAUNCH ANY NEW SCHEMES FROM 05-JUN-2014 TILL FURTHER ORDERS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF ANY OF THE PROPERTIES OR ALIENATE (DIRECTLY OR INDIRECTLY) ASSETS OF THE SCHEME FROM 05-JUN-2014 TILL FURTHER ORDERS
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 05-JUN-2014 TILL FURTHER ORDERS
DIRECTED TO SUBMIT LIST OF INVESTORS WITH FULL PARTICULARS SUCH AS PAN NUMBER, ADDRESS ETC.
DIRECTED TO SUBMIT DETAILS OF AMOUNT MOBILIZED AND REFUNDED TILL DATE
05-JUN-2014
|
SEBI VIDE ITS ORDER DATED 07/10/2015 DIRECTED ADEL LANDMARKS LTD. AND ITS DIRECTORS MR.RAKESH KUMAR GUPTA, MR.SUMIT BHARANA AND MR.ARVIND KUMAR BIRLA TO 1. ABSTAIN FROM COLLECTING ANY MONEY FROM INVESTORS OR LAUNCH OR CARRY OUT ANY COLLECTIVE INVESTMENT SCHEMES INCLUDING THE SCHEMES WHICH HAVE BEEN INDENTIFIED AS A COLLECTIVE INVESTMENT SCHEME IN THIS ORDER 2. WIND UP ITS EXISTING SCHEME AND REFUND THE MONEY COLLECTED UNDER SCHEME WITH RETURNS WHICH ARE DUE TO INVESTORS AS PER TERMS OF OFFER WITHIN A PERIOD OF THREE MONTHS FROM DATE OF THIS ORDER AND SUBMIT WINDING UP AND REPAYMENT REPORT TO SEBI IN ACCORDANCE WITH SEBI (CIS) REGULATIONS, 1999, INCLUDING TRAIL OF FUNDS CLAIMED TO BE REFUNDED, BANK ACCOUNT STATEMENTS INDICATING REFUND TO INVESTORS AND RECEIPT FROM INVESTORS ACKNOWLEDGING SUCH REFUNDS 3. NOT TO ALIENATE OR DISPOSE OFF OR SELL ANY ASSETS OF COMPANY EXCEPT FOR THE PURPOSE OF MAKING REFUNDS TO ITS INVESTORS 4. PROVIDE FULL INVENTORY OF ALL THEIR ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM 5. RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET FOR A PERIOD OF FOUR YEARS
SAT: SAT VIDE ITS ORDER DATED 07/12/2017 DISPOSED OFF THE APPEAL AND DIRECTED APPELLANTS TO FURNISH LIST OF THEIR ASSETS TO SEBI WITHIN A PERIOD OF EIGHT WEEKS FROM THE DATE OF THIS ORDER AND ALSO FURNISH ANY OTHER INFORMATION/DOCUMENTS THAT MAY BE DEMANDED BY SEBI. NO COSTS
SEBI VIDE ITS ORDER DATED 19/08/2019 DIRECTED TO 1) NEWSPAPER PUBLICATION IN ONE WIDELY CIRCULATED NEWSPAPER, ONE IN ENGLISH AND HINDI EACH, INVITING COMPLAINTS/CLAIMS FROM ANY INVESTOR IN RESPECT OF COLLECTIVE INVESTMENT SCHEMES THAT ARE STILL OUTSTANDING WITHIN ONE MONTH FROM DATE OF THIS ORDER 2) NEWSPAPER PUBLICATION TO CONTAIN ADVISORY, INFORMING THE INVESTOR TO FORWARD A COPY OF SUCH COMPLAINTS/CLAIMS, WITH SUPERSCRIPTION “COMPLAINTS/CLAIMS IN MATTER OF ADEL LANDMARKS LTD.”, TO SEBI AT REGIONAL DIRECTOR NORTHERN REGIONAL OFFICE, NEW DELHI - 110001, DELHI 3) COMPANY AND DIRECTORS TO SUBMIT TO SEBI A COMPLIANCE REPORT ALONG WITH INFORMATION ON COMPLAINTS RECEIVED AND MONIES REFUNDED, WITHIN THREE MONTHS FROM DATE OF THIS ORDER 4) JOINTLY AND SEVERALLY WIND UP ITS EXISTING SCHEME AND REFUND THE MONEY COLLECTED UNDER SCHEME WITH RETURNS WHICH ARE DUE TO INVESTORS AS PER TERMS OF OFFER WITHIN THREE MONTHS FROM DATE OF THIS ORDER 5) PROHIBIT FROM ACCESSING SECURITIES MARKET AND RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET FOR 4 YEARS TILL DATE OF COMPLIANCE REPORT SUBMITTED TO SEBI
|
| 89 |
|
|
ADESH KUMAR
|
|
|
|
KANAK BHUMI FORESTS (INDIA) LTD.
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JUL-2001 TO 02-JUL-2006
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
02-JUL-2001
|
|
| 90 |
|
|
ADVANTAGE AGRO INDIA LTD.
|
|
|
|
BISHUN PRASAD GUPTA
|
|
|
IRA BANERJEE
|
|
|
MANOJ KUMAR GUPTA
|
|
|
NISHA GUPTA
|
|
|
PRERNA GUPTA
|
|
|
RAJEEV C.GUPTA
|
|
|
RATNA GUPTA
|
|
|
SANJEEV KUMAR GUPTA
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JUL-2001 TO 02-JUL-2006
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
LAUNCHED PROSECUTION AGAINST THE ENTITY AND ITS DIRECTORS U/S 24 AND 27 OF THE SEBI ACT
02-JUL-2001
|
COURT DECLARED ALL THE ACCUSED PO
|
| 91 |
|
|
ADVENTURE ORCHARDS LTD.
|
|
|
|
DEVANG DHOLAKIA
|
|
|
MANOHAR M SAWANT
|
|
|
SHREEKANT VASANT ADHIA
|
|
|
VIJAY DHOLAKIA
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 26-JUL-2001 TO 26-JUL-2006
REFERRED TO POLICE AUTHORITIES TO FILE FIR
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
LAUNCHED PROSECUTION AGAINST THE ENTITY AND ITS DIRECTORS U/S 24 AND 27 OF THE SEBI ACT
26-JUL-2001
|
|
| 92 |
|
|
ADYA SHANKER TIWARI
|
|
|
|
AAKAR PLANTATIONS CO.LTD.
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-OCT-2002 TO 21-OCT-2007
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
21-OCT-2002
|
|
| 93 |
|
|
AEGON RELIGARE LIFE INSURANCE CO.LTD.
|
|
|
LAUNCHED UNIT LINKED INSURANCE PRODUCTS (ULIPS) WITHOUT OBTAINING REQUISITE CERTIFICATE OF REGISTRATION FROM SEBI
|
RESTRAINED FROM ISSUING ANY OFFER DOCUMENT, ADVERTISEMENT OR BROCHURE SOLICITING MONEY FROM INVESTORS OR RAISE MONEY FROM INVESTORS BY WAY OF NEW AND/OR ADDITIONAL SUBSCRIPTION FOR ANY PRODUCT (INCLUDING ULIPS) HAVING INVESTMENT COMPONENT IN NATURE OF MUTUAL FUNDS, TILL THEY OBTAIN REQUISITE CERTIFICATE OF REGISTRATION FROM SEBI FROM 09-APR-2010
09-APR-2010
|
IRDA: IRDA VIDE ORDER DATED 10/04/2010 DIRECTED INSURANCE COMPANIES TO NOTE THAT NOT WITHSTANDING SAID ORDER OF SEBI,THEY SHALL CONTINUE TO CARRY OUT INSURANCE BUSINESS AS USUAL INCLUDING OFFERING,MARKETING AND SERVICING ULIPS IN ACCORDANCE WITH INSURANCE ACT,1938,RULES,REGULATIONS AND GUIDELINES ISSUED THEREUNDER BY IRDA
|
| 94 |
|
|
AFAQ AHMED
|
|
|
|
SAMARPAN AGRO PLANTATIONS LTD.
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 07-FEB-2001 TO 07-FEB-2006
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
07-FEB-2001
|
|
| 95 |
|
|
AFASAR KHAN
(DIN:06791975
PAN:CLHPK5064N)
|
|
|
|
FUTURE GOLD INFRABUILD INDIA LTD.
CIN:U70101MP2009PLC022305
PAN:AABCF3920E
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
DIRECTED NOT TO COLLECT ANY MONEY AND/OR FEE FROM THE INVESTORS FROM 06-NOV-2017 TO 05-NOV-2021
DIRECTED NOT TO LAUNCH ANY NEW SCHEME(S) / PLAN OR FLOAT ANY NEW COMPANY/IES/FIRM TO RAISE FRESH MONIES FROM 06-NOV-2017 TO 05-NOV-2021
DIRECTED NOT TO DISPOSE OF ANY OF THE PROPERTIES OR ALIENATE (DIRECTLY OR INDIRECTLY) ASSETS OF THE SCHEME FROM 06-NOV-2017 TO 05-NOV-2021
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 06-NOV-2017 TO 05-NOV-2021
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO SUBMIT DETAILS OF AMOUNT MOBILIZED AND REFUNDED TILL DATE
DIRECTED TO FURNISH ALL RELEVANT DOCUMENTS I.E.APPLICATION FORM, AGREEMENTS AND CERTIFICATES ETC.
DIRECTED TO SUBMIT SCHEME WISE LIST OF INVESTORS, THEIR CONTACT NUMBERS AND ADDRESS ALONG WITH LIST OF INVESTORS TO WHICH LAND HAS BEEN ALLOTTED AND GOT REGISTETED & DETAILS OF AMOUNT REFUNDED
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO SUBMIT REPORT IN REGARD TO WINDING UP OF CIS AND REPAYMENT OF MONIES TO SEBI IN ACCORDANCE TO CIS REGULATIONS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-NOV-2017 TO 05-NOV-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-NOV-2017 TO 05-NOV-2021
RESTRAINED FROM HOLDING OR OCCUPYING POSITION AS DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY FROM 06-NOV-2017 TO 05-NOV-2021
13-MAR-2015
|
SEBI VIDE ITS ORDER DATED 06/11/2017 DIRECTED TO 1) JOINTLY AND SEVEALLY WIND UP ITS EXISTING COLLECTIVE INVESTMENT SCHEMES AND REFUND THE MONEY COLLECTED UNDER SCHEMES WITH RETURNS WHICH ARE DUE TO INVESTORS AS PER TERMS OF OFFER WITHIN A PERIOD OF THREE MONTHS FROM DATE OF THIS ORDER THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT OR ELECTRONIC MODE OF TRANSFER 2) SUBMIT A WINDING UP AND REPAYMENT REPORT (WRR) TO SEBI IN ACCORDANCE WITH SEBI (CIS) REGULATIONS. WRR SHALL BE SUPPORTED BY THE PROOF OF TRAIL OF FUNDS CLAIMED TO BE REFUNDED, BANK ACCOUNT STATEMENTS INDICATING REFUND TO THE INVESTORS AND RECEIPT FROM THE INVESTORS ACKNOWLEDGING SUCH REFUNDS ALONG WITH A CERTIFICATION OF SUCH REPAYMENT FROM TWO INDEPENDENT CHARTERED ACCOUNTANTS 3) NOT TO ALIENATE OR DISPOSE OF OR SELL ANY OF THE ASSETS OF THE COMPANY EXCEPT FOR THE PURPOSE OF MAKING REFUND TO ITS INVESTORS 4) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR A PERIOD OF FOUR YEARS FROM THE DATE OF COMPLETION OF REFUNDS 4) RESTRAINED FROM HOLDING POSITION AS DIRECTORS OR KEY MANAGERIAL PERSONNEL OF ANY LISTED COMPANY FOR A PERIOD OF FOUR YEARS FROM THE DATE OF THIS ORDER
|
| 96 |
|
|
AFL AGROTECH LTD.
|
|
|
|
ANJUM JEAFFREY
|
|
|
GIRISH SHARSHA
|
|
|
NAJMA JEAFFREY
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JUL-2001 TO 02-JUL-2006
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
02-JUL-2001
|
|
| 97 |
|
|
AFROZ AHMED
|
|
|
|
CRYSTAL BIOTECH INDUSTRIES LTD.
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JUL-2001 TO 02-JUL-2006
REFERRED TO POLICE AUTHORITIES TO FILE FIR
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
LAUNCHED PROSECUTION AGAINST THE ENTITY AND ITS DIRECTORS U/S 24 AND 27 OF THE SEBI ACT
02-JUL-2001
|
PROCLAIMED OFFENDERS
|
| 98 |
|
|
AG INDIA FOREST LTD.
|
|
|
|
AMOD KUMAR
|
|
|
PRAMOD KUMAR MISHRA
|
|
|
RAM SEWAK MISHRA
|
|
|
SESH DUTT MISHRA
|
|
|
SURENDRA BAHADUR
|
|
|
VINDO KUMAR MISHRA
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JUL-2001 TO 02-JUL-2006
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
02-JUL-2001
|
COURT CONVICTED ACCUSED NO.1 TO 5 AND 7 AND SENTENCED TO A FINE OF RS.75,000 EACH. ACCUSED NO.6 DECLARED AS PROCLAIMED OFFENDER
|
| 99 |
|
|
AGARWAL ORCHARDS & PLANTATIONS PVT.LTD.
|
|
|
|
AMIT AGRAWAL
|
|
|
K.C.AGRAWAL
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JUL-2001 TO 02-JUL-2006
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
02-JUL-2001
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.85,000 BY THE ACCUSED TO SEBI
|
| 100 |
|
|
AGLOW AGROTECH & RESORTS INDIA LTD.
|
|
|
|
HARJINDER KAUR
|
|
|
HIRA SINGH MOMI
|
|
|
KIRAN BALA
|
|
|
SHASHI KANTA
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JUL-2001 TO 02-JUL-2006
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
02-JUL-2001
|
THE COURT ACQUITTED ALL THE ACCUSED
|
| 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 5 of 262
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