| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
21ST CENTURY MANAGEMENT SERVICES LTD.
|
|
|
DID NOT EXERCISE DUE DILIGENCE IN MATTER OF INDO FRENCH BIOTECH ENTERPRISES
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 09-SEP-1998
09-SEP-1998
|
|
| 2 |
|
|
A.P.CHUTTAR & CO.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-APR-1998
09-JUN-1998
|
|
| 3 |
|
|
A.P.GARG & CO.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-DEC-1998
26-FEB-1999
|
|
| 4 |
|
|
A.SUBBA RAO
|
|
|
|
HOFFLAND FINANCE LTD.
(Member : BGSE/JSE)
|
|
VIOLATED SEBI ACT, 1992
VIOLATED SECTION 26 OF 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
|
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
|
| 5 |
|
|
A.T.KHATRI & CO.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-MAY-1998
09-JUN-1998
|
|
| 6 |
|
|
ABHISHEK MAHESHWARI LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 10-JUN-1998
18-JUN-1998
|
|
| 7 |
|
|
ABHISHEK MAHESHWARI LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-JUL-1998
27-AUG-1998
|
|
| 8 |
|
|
ABIRAMI FINANCIAL SERVICES (INDIA) LTD.
|
|
|
DID NOT APPLY FOR RENEWAL OF REGISTRATION
REGISTRATION EXPIRED
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-AUG-1998
06-OCT-1998
|
|
| 9 |
|
|
ADEPT FINANCIAL & CONSULTANCY SERVICES PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-DEC-1997
08-JAN-1998
|
|
| 10 |
|
|
AD-MANUM FINANCE LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-DEC-1997
08-JAN-1998
|
|
| 11 |
|
|
AFFLUENT FINANCIAL SERVICES PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-MAY-1998
09-JUN-1998
|
|
| 12 |
|
|
AGILE MANAGEMENT & FINANCIAL CONS.PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 30-JUN-1998
27-JUL-1998
|
|
| 13 |
|
|
AGRICULTURAL FINANCE CORP.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 30-SEP-1998
27-NOV-1998
|
|
| 14 |
|
|
AJAY PURI
|
|
|
|
KHANDWALA SECURITIES LTD.
PAN:AAACK2214P
|
|
MULTIPLE LEGAL PROCEEDINGS PENDING AGAINST THE COMPANY
|
REJECTED APPLICATION FOR REGISTRATION AS UNDERWRITER
11-OCT-2004
|
|
| 15 |
|
|
ALASKA CAPITAL MARKETS PVT.LTD.
|
|
|
DID NOT APPLY FOR RENEWAL OF REGISTRATION
REGISTRATION EXPIRED
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 30-NOV-1998
28-DEC-1998
|
|
| 16 |
|
|
ALASKA CAPITAL MARKETS PVT.LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 20-SEP-1998
12-OCT-1998
|
|
| 17 |
|
|
ALCHEMIE FINANCIAL SERVICES LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 10-JUN-1998
18-JUN-1998
|
|
| 18 |
|
|
ALFA LAVAL FINANCIAL SERVICES LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-JAN-1999
26-FEB-1999
|
|
| 19 |
|
|
ALMONDZ GLOBAL SECURITIES LTD.
|
|
|
|
SANJAY DEWAN
|
|
|
VINAY MEHTA
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
DID NOT EXERCISE DUE DILIGENCE IN IPO OF PG ELECTROPLAST LTD.
DID NOT EXERCISE DUE DILIGENCE IN IPO OF BHARTIYA GLOBAL INFOMEDIA 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 SEBI TO PASS APPROPRIATE ORDER WITHIN A PERIOD OF TWO WEEKS FROM THE DATE OF THIS ORDER. IN CASE NO SUCH ORDER IS PASSED EX-PARTE INTERIM ORDER SHALL STAND VACATED. NO COSTS
SEBI VIDE ITS ORDER DATE 11/09/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
SEBI VIDE ITS ORDER DATED 03/03/2014 PROHIBITED NOTICEES FROM TAKING UP ANY NEW ASSIGNMENT OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPOS, FOLLOW-ON ISSUES ETC. IN SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR A PERIOD OF SIX MONTHS FROM THE DATE OF THIS ORDER. FURTHER DURING THIS PERIOD NOTICEES SHALL NOT TAKE ANY ASSIGNMENT OR INVOLVEMENT IN BUY-BACKS, OPEN OFFERS OR DELISTING OF SECURITIES
SEBI VIDE ITS ORDER DATED 21/03/2014 PROHIBITED NOTICEES FROM TAKING UP ANY NEW ASSIGNMENT OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPOS, FOLLOW-ON ISSUES ETC. IN SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR A PERIOD OF FIVE YEARS FROM THE DATE OF THIS ORDER. FURTHER DURING THIS PERIOD NOTICEES SHALL NOT TAKE ANY ASSIGNMENT OR INVOLVEMENT IN BUY-BACKS, OPEN OFFERS OR DELISTING OF SECURITIES. PERIOD OF PROHIBITION ALREADY UNDERGONE SHALL BE TAKEN INTO ACCOUNT FOR THE PURPOSE OF COMPUTING THE PERIOD OF PROHIBITION
SEBI VIDE ITS ORDER DATE 21/09/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
SEBI VIDE ITS ORDER DATED 11/04/2014 SUSPENDED CERTIFICATE OF REGISTRATION FOR A PERIOD OF SIX MONTHS, WHICH SHALL RUN CONCURRENTLY WITH, THE DIRECTIONS ISSUED VIDE ITS ORDER DATED 03/03/2014
SAT: APPEAL DISMISSED AS INFRUCTUOUS
SAT: SAT VIDE ITS ORDER DATED 13/05/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 20/01/2015. APPEAL ALLOWED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 13/05/2016 QUASHED REMNANT PUNISHMENT IMPOSED VIDE IMPUGNED ORDER DATED 03/03/2014. APPEAL PARTLY ALLOWED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 13/05/2016 QUASHED REMNANT PUNISHMENT IMPOSED VIDE IMPUGNED ORDER DATED 21/03/2014. THUS, APPEAL NOS.275, 276, 301 OF 2014 AND 207 OF 2015 ARE PARTLY ALLOWED. NO COSTS
|
| 20 |
|
|
ALTINA FINANCE PVT.LTD.
(PAN:AAACM5825C)
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-JAN-1999
26-FEB-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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