| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
AJAY KUMAR
|
|
|
|
SAMRIDHI GREEN FOREST 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
|
ACCUSED MOBILIZED RS.0.2 LAKH. TWO ACCUSED (1 AND 2) CONVICTED AND SENTENCED TO FINE OF RS.1500 EACH AND ON DEFAULT SIMPLE IMPRISONMENT FOR 1 MONTH. ALL OTHER ACCUSED DECLARED AS PROCLAIMED OFFENDERS AND KEPT IN DORMANT FILE
|
| 122 |
|
|
AJAY KUMAR AGARWAL
|
|
|
|
KIRTI AGROCOM 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
|
|
| 123 |
|
|
AJAY KUMAR AGGARWAL
|
|
|
|
HIMGIRI PLANTATIONS LTD.
|
|
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
DIRECTED TO WIND UP CIS AND REFUND MONEY TO THE INVESTORS FROM 29-JUL-2002 TO 29-JUL-2007
REJECTED APPLICATION FOR REGISTRATION OF CIS
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-JUL-2002 TO 29-JUL-2007
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
29-JUL-2002
|
|
| 124 |
|
|
AJAY KUMAR OGLE
|
|
|
|
SATPURA 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
02-JUL-2001
|
|
| 125 |
|
|
AJAY KUMAR PANDEY
(PAN:AXLPP7767R)
|
|
|
|
PEERS ALLIED CORP.LTD.
PAN:AAECP5032C
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
DIRECTED NOT TO COLLECT ANY MONEY AND/OR FEE FROM THE INVESTORS FROM 14-MAR-2016 TO 13-MAR-2020
DIRECTED NOT TO LAUNCH ANY NEW SCHEMES FROM 14-MAR-2016 TO 13-MAR-2020
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 14-MAR-2016 TO 13-MAR-2020
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 14-MAR-2016 TO 13-MAR-2020
DIRECTED TO SUBMIT LIST OF INVESTORS WITH FULL PARTICULARS SUCH AS PAN NUMBER, ADDRESS ETC.
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-MAR-2016 TO 13-MAR-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-MAR-2016 TO 13-MAR-2020
23-APR-2014
|
SEBI VIDE ITS ORDER DATED 29/02/2016 DIRECTED 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) DIRECTED TO PROVIDE FULL INVENTORY OF ALL ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, OR HELD IN PHYSICAL FORM 3) RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET FOR A PERIOD OF FOUR YEARS
|
| 126 |
|
|
AJAY KUMAR PANDEY
|
|
|
|
BANDHABGARH AGRO FORESTRY 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
|
|
| 127 |
|
|
AJAY KUMAR PANDEY
|
|
|
|
NSR PLANTATIONS (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
|
LD. COURT CONVICTED ACCUSED NO.1,2,3,6 AND 9 AND IMPOSED FINE OF RS.25000 EACH HOWEVER, ACCUSED NO.5 AND 7 HAVE BEEN ACQUITTED FROM ALL THE CHARGES. FURTHER, ACCUSED NO. 4, 8 10, 11 AND 13 ARE PO
|
| 128 |
|
|
AJAY KUMAR RAKTALE
|
|
|
|
SUGANDHA GREEN FORESTS 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
|
|
| 129 |
|
|
AJAY KUMAR SHARMA
|
|
|
|
PIONEER 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
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
10-MAY-2001
|
THE COURT AFTER CONSIDERING THE ARGUMENT, MATERIAL AVAILABLE ON RECORD, QUANTUM OF AMOUNT MOBILISED AND THE ROLE PLAYED BY EACH CONVICT SENTENCED THE A 2 AND A 3 RIGOROUS IMPRISONMENT FOR A PERIOD OF ONE YEAR AND A FINE OF RUPEES FIVE LAC EACH IN DEFAULT FURTHER THREE MONTHS SI FOR THE OFFENCE PUNISHABLE UNDER SECTION 24(1) R/W SECTION 27(1) & 27(2) OF UNDER SECTION 24(1) OF THE SEBI ACT WHEREAS ACCUSED NO. 4,7 AND 8 WERE BURDENED WITH A FINE OF INR 2.00 LAC EACH IN DEFAULT ONE MONTH SI FOR THE OFFENCE PUNISHABLE UNDER SECTION 24(1) R/W SECTION 27(1) & 27(2) OF UNDER SECTION 24(1) OF THE SEBI ACT. THE FINE AMOUNT WAS PAID BY ALL THE CONVICTS IN THE COURT
|
| 130 |
|
|
AJAY KUMAR SHARMA
|
|
|
|
DWAPER 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 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 CONVICTED ALL ACCUSED SENTENCED TO PAY A FINE OF RS.10,000 EACH
|
| 131 |
|
|
AJAY KUMAR SHARMA
|
|
|
|
KALPTARU AGRO (INDIA) LTD.
CIN:U65923UP1995PLC019165
|
|
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
DIRECTED TO WIND UP CIS AND REFUND MONEY TO THE INVESTORS FROM 10-APR-2003 TO 10-APR-2008
REJECTED APPLICATION FOR REGISTRATION OF CIS
REQUESTED DCA TO INITIATE WINDING UP OF ENTITY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-APR-2003 TO 10-APR-2008
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
10-APR-2003
|
ACCUSED NOS.2,6,7,8, AND 9 ARE HELD GUILTY FOR VIOLATION OF SECTION 12 (1B) OF SEBI ACT, 1992 AND REGULATIONS 5(1), 68 (1), 73 AND 74 OF SEBI (CIS) REGULATIONS, 1999 AND ACCUSED NOS.3, 4, 5 AND 10 ARE ACQUITTED
|
| 132 |
|
|
AJAY KUMAR SRIVASTAB
|
|
|
|
KOLKATA WEIR INDUSTRIES LTD.
|
|
APPROCHED 105809 INVESTORS TO MOBILIZE RS.47.90 CRORES THROUGH OFFER OF REDEEMABLE PREFERENCE SHARES ON PRIVATE PLACEMENT BASIS IN MATTER OF KOLKATA WEIR INDUSTRIES LTD.VIOLATING SECTION 67(3) OF COMPANIES ACT, 1956
|
DIRECTED NOT TO COLLECT MONEY FROM INVESTORS THROUGH ISSUANCE OF SECURITIES IN ANY MANNER WHATSOEVER FROM 14-AUG-2013 TILL FURTHER ORDERS
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 14-AUG-2013 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 14-AUG-2013 TILL FURTHER ORDERS
14-AUG-2013
|
SEBI VIDE ITS ORDER DATED 30/04/2014 DIRECTED COMPANY AND ITS DIRECTORS 1. TO REFUND MONEY COLLECTED THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES WITH INTEREST OF 15% PER ANNUM FROM DATE OF RECEIPT OF MONEY IN CASH THROUGH DEMAND DRAFT OR PAY ORDER 2. TO ADVISE OR TRANSFER INVESTMENTS OF INVESTORS MADE IN COMPANY TO ANY OTHER COMPANY/SOCIETY 3. DEBAR / RESTRAIN FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES) FOR THREE YEARS 4. DEBAR/RESTRAIN FROM BUYING/SELLING/ DEALING IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FOR THREE YEARS
SEBI VIDE ITS ORDER DATED 30/04/2014 DIRECTED TO RESTRAIN FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC TILL EXPIRY OF THREE YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
SEBI VIDE ITS NOTICE DATED 11/03/2015 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 01/12/2016 PROHIBITED DEFAULTERS FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES AND DIRECTED DEFAULTERS TO FURNISH COMPLETE DETAILS OF ALL THE MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, IF ANY, DULY CERTIFIED BY THE BOARD OF DIRECTORS ALONG WITH ORIGINAL TITLE DEEDS PERTAINING TO PROPERTIES, WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, EASTERN REGIONAL OFFICE, KOLKATA. FURTHER DIRECTED INSPECTORS GENERAL OF REGISTRATION OF ALL THE STATES AND UNION TERRITORIES AND CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTARS OF THE RESPECTIVE AREAS. WITH DIRECTION NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED/HELD BY THE DEFAULTERS, IF PRESENTED FOR REGISTRATION
|
| 133 |
|
|
AJAY KUMAR TOMAR
|
|
|
|
BASANT FARMS & RESORTS 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 05-OCT-2001 TO 05-OCT-2006
REFERRED TO STATE GOVERNMENTS FOR FILING OF CIVIL/CRIMINAL PROCEEDINGS FOR FRAUD, CHEATING, CRIMINAL BREACH OF TRUST AND MIS-APPROPRIATION OF PUBLIC FUNDS
05-OCT-2001
|
|
| 134 |
|
|
AJAY PANDEY
|
|
|
|
YOUTH AGRO & HOUSING DEVELOPMENT 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
|
|
| 135 |
|
|
AJAY SHRIVASTAVA
|
|
|
|
TEEM ORCHARD (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
02-JUL-2001
|
ACCUSED MOBILIZED RS.0.4 LAKH. ACCUSED NO.1, 2 AND 4 PLEADED GUILTY AND CONVICTED AND SENTENCED TO FINE OF RS.5000 EACH AND ALSO SENTENCED TILL THE RISING OF THE COURT ACCUSED NOS.3 AND 5 WERE DECLARED AS PROCLAIMED OFFENDER AND KEPT IN DORMANT FILE
|
| 136 |
|
|
AJAY SINGH
|
|
|
|
SJM AGRO 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
|
ACCUSED NO.3 SENTENCED TO UNDERGO RIGOROUS IMPRISONMENT FOR 6 MONTHS AND ALSO TO PAY A FINE OF RS.100000 AND ON DEFAULT SIMPLE IMPRISONMENT FOR 3 MONTHS. AS REGARDS ACCUSED NOS.1 AND 4 EACH SHALL PAY A FINE OF RS.100000 EACH ON DEFAULT
SIMPLE IMPRISONMENT FOR 2 MONTHS. ACCUSED NO.2 DECLARED AS PROCLAIMED OFFENDER
FURTHER, ORDERED THE ACCUSED NO.1 TO FILE WRR WITH SEBI WITHIN 2 MONTHS
|
| 137 |
|
|
AJAY SINGH
|
|
|
|
HINDUSTAN SUNRISE AGRO 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
|
|
| 138 |
|
|
AJAY SINGH
|
|
|
|
HELP (INDIA) PLANTATION & DEVELOPMENT
|
|
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
|
ACCUSED MOBILIZED RS.0.9 LAKH. ALL ACCUSED CONVICTED AND SENTENCED TO FINE OF
RS.5000 EACH AND ON DEFAULT SIMPLE IMPRISONMENT FOR 2 MONTHS
|
| 139 |
|
|
AJAY SONI
|
|
|
|
OASIS PLANTATION 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
|
|
| 140 |
|
|
AJAY VOHRA
|
|
|
|
ACCORD PLANTATION 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
|
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
|
| 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 7 of 262
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