| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 181 |
|
P.K.JAIN
|
|
|
|
XEDD TELECOM LTD.
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
DID NOT REPAY EXCESS SHARE APPLICATION MONEY WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACCUSED NO.1 & 2 WERE CONVICTED AND SENTENCED TO FINE OF RS.53,150 AND ON DEFAULT SIMPLE IMPRISONMENT FOR 6 MONTHS. ACCUSED 3 ACQUITTED AND CASE AGAINSTACCUSED NO.4 & 5 SPLIT UP. APPEAL FILED BY ACCUSED 1&2 HAS ALSO BEEN DISMISSED
|
| 182 |
|
|
P.L.SIVRAM
|
|
|
|
OMNITEL INDUSTRIES LTD.
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 183 |
|
|
P.VIJAYAN
|
|
|
|
PREMIER PLANTATIONS LTD.
CIN:U01119KL1990PLC005900
|
|
DID NOT REPAY EXCESS SHARE APPLICATION MONEY WITHIN STIPULATED PERIOD
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CASE DISMISSED BY COURT. APPEAL IS FILED BY SEBI AGAINST THE SAID ORDER WHICH IS PENDING BEFORE THE BOMBAY HIGH COURT
|
| 184 |
|
|
PARAG D.MEHTA
|
|
|
|
BARODA AGRO INDUSTRIES LTD.
|
|
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CASE DISMISSED
|
| 185 |
|
|
PARAS NATH SHARMA
(DIN:03142304)
|
|
|
|
INDUS WEIR INDUSTRIES LTD.
PAN:AACCI4265N
CIN:U15410DL2010PLC207057
|
|
MOBILIZED FUNDS OF RS.33.40 CRORE THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 32,454 INVESTORS VIOLATING SECTIONS 67(3), 73(2), 73(3), 56(1), 56(3) AND 60 READ WITH SECTION 2(36) OF THE COMPANIES ACT, 1956
MOBILIZED FUNDS OF RS.33.40 CRORE THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 32,454 INVESTORS VIOLATING REGULATION 16(1) OF SEBI (ISSUE AND LISTING OF NCRPS) REGULATIONS, 2013
DID NOT MAKE APPLICATION FOR LISTING UNDER SECTION 73(1) OF COMPANIES ACT, 1956
DID NOT PROVIDE CORRECT STATUS OF REFUND DONE TO INVESTORS
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 08-MAY-2024 TO 07-MAY-2027
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-MAY-2024 TO 07-MAY-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-MAY-2024 TO 07-MAY-2027
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 08-MAY-2024 TO 07-MAY-2027
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 08-MAY-2024 TO 07-MAY-2027
DIRECTED TO PROVIDE COMPLETE DETAILS OF ALL RPS OR ANY OTHER SECURITIES ISSUED BY COMPANY AFTER 31/07/2013
DIRECTED TO PROVIDE COMPLETE DETAILS OF ALL REFUNDS MADE TO INVESTORS IN RESPECT OF OFFER AND ALLOTMENT OF RPS
25-MAY-2023
|
SEBI VIDE ITS ORDER DATED 08/05/2024 DIRECTED TO A) RESTRAINED FROM DIRECTLY OR INDIRECTLY, ACCESSING CAPITAL MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR THREE YEARS FROM DATE OF THIS ORDER B) DURING PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING MUTUAL FUNDS UNITS TO REMAIN FROZEN
|
| 186 |
|
|
PARITOSH K.DEB
|
|
|
|
ACE LABORATORIES LTD.
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 187 |
|
|
PARTHASARATHY SRIKANTH
(PAN:AAQPS9253H)
|
|
|
|
ZYLOG SYSTEMS LTD.
|
|
MADE FALSE, INCORRECT AND MISLEADING DISCLOSURES ABOUT PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES AND MEDIA IN MATTER OF ZYLOG SYSTEMS LTD.
ACQUIRED SHARES OF ZYLOG SYSTEMS LTD. BEYOND THRESHOLD LIMIT AS STIPULATED UNDER REGULATION 3(2) OF SEBI TAKEOVER CODE, 1997 WITHOUT MAKING OPEN OFFER
PROVIDED FUNDS TO PROMOTER ENTITY AND OTHERS FOR DEALING IN SHARES OF ZYLOG SYSTEMS LTD. VIOLATING SECTION 77(2) OF COMPANIES ACT, 1956
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-JUN-2021 TO 13-JUN-2023
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 14-JUN-2021 TO 13-JUN-2023
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 14-JUN-2021 TO 13-JUN-2023
13-JUN-2013
|
SEBI VIDE ITS ORDER DATED 30/07/2015 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 13/06/2013
WHOLE TIME MEMBER SEBI VIDE ITS ORDER DATED 07/06/2016 DIRECTED SEBI TO INVESTIGATE THE ALLEGATIONS PERTAINING TO TAKEOVER REGULATIONS LEVELLED AGAINST MR.RAMANUJAM SESHARATHNAM, MR.SUDARSHAN VENKATARAMAN, MR.PARTHASARATHY SRIKANTH, MS.SRIPRIYA SRIKANTH & STHITHI INSURANCE SERVICES PVT.LTD. AND ALSO ADVISED TO EXPEDITIOUSLY COMPLETE THE INVESTIGATION. NOTICEES ARE ALSO DIRECTED TO CO-OPERATE WITH SEBI IN ON-GOING INVESTIGATION AND PROVIDE ALL INFORMATION AND DOCUMENTS THAT MAY BE SOUGHT BY SEBI IN THIS REGARD
SEBI VIDE ITS ORDER DATED 14/06/2021 DIRECTED TO A) MAKE PUBLIC OFFER WITHIN 45 DAYS OF DATE OF THIS ORDER, THROUGH A MERCHANT BANKER TO ACQUIRE THE SHARES OF THE COMPANY FROM PUBLIC SHAREHOLDERS B) PAY INTEREST @ 10% P.A. ALONG WITH OFFER PRICE FOR THE PERIOD STARTING FROM THE DATE WHEN BECAME LIABLE TO MAKE OPEN OFFER FOR THE FIRST TIME I.E. FROM 10/07/2012 TILL THE DATE OF PAYMENT OF CONSIDERATION TO THE SHAREHOLDERS WHO WERE HOLDING SHARES OF ZSL ON THE DATE OF VIOLATION AND WHOSE SHARES ARE ACCEPTED IN THE OPEN OFFER AFTER ADJUSTMENT OF DIVIDEND PAID, IF ANY C) DIRECTED BSE TO FACILITATE VALUATION OF SHARES TO BE PURCHASED D) RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM THE PUBLIC AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, FROM DATE OF THIS ORDER TILL EXPIRY OF TWO YEARS FROM DATE OF COMPLETION OF OPEN OFFER D) RESTRAINED FROM HOLDING THE POST OF DIRECTOR OR ANY KEY MANAGERIAL POSITION OR ASSOCIATING THEMSELVES IN ANY CAPACITY WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM THE DATE OF THIS ORDER TILL EXPIRY OF TWO YEARS FROM DATE OF COMPLETION OF OPEN OFFER
|
| 188 |
|
|
PARTHASARATHY SRIKANTH
(PAN:AAQPS9253H)
|
|
|
VIOLATED SECTION 207 OF COMPANIES ACT, 1956
VIOLATED SECTION 127 OF COMPANIES ACT, 2013
|
PROSECUTION LAUNCHED
15-DEC-2016
|
|
| 189 |
|
|
PARTHSARTHI ADHIKARI
(DIN:03128071
PAN:AHPPA3304H)
|
|
|
|
INDUS WEIR INDUSTRIES LTD.
PAN:AACCI4265N
CIN:U15410DL2010PLC207057
|
|
MOBILIZED FUNDS OF RS.33.40 CRORE THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 32,454 INVESTORS VIOLATING SECTIONS 67(3), 73(2), 73(3), 56(1), 56(3) AND 60 READ WITH SECTION 2(36) OF THE COMPANIES ACT, 1956
MOBILIZED FUNDS OF RS.33.40 CRORE THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 32,454 INVESTORS VIOLATING REGULATION 16(1) OF SEBI (ISSUE AND LISTING OF NCRPS) REGULATIONS, 2013
DID NOT MAKE APPLICATION FOR LISTING UNDER SECTION 73(1) OF COMPANIES ACT, 1956
DID NOT PROVIDE CORRECT STATUS OF REFUND DONE TO INVESTORS
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 08-MAY-2024 TO 07-MAY-2027
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-MAY-2024 TO 07-MAY-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-MAY-2024 TO 07-MAY-2027
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 08-MAY-2024 TO 07-MAY-2027
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 08-MAY-2024 TO 07-MAY-2027
DIRECTED TO PROVIDE COMPLETE DETAILS OF ALL RPS OR ANY OTHER SECURITIES ISSUED BY COMPANY AFTER 31/07/2013
DIRECTED TO PROVIDE COMPLETE DETAILS OF ALL REFUNDS MADE TO INVESTORS IN RESPECT OF OFFER AND ALLOTMENT OF RPS
25-MAY-2023
|
SEBI VIDE ITS ORDER DATED 08/05/2024 DIRECTED TO A) RESTRAINED FROM DIRECTLY OR INDIRECTLY, ACCESSING CAPITAL MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR THREE YEARS FROM DATE OF THIS ORDER B) DURING PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING MUTUAL FUNDS UNITS TO REMAIN FROZEN
|
| 190 |
|
|
PRABHAKAR BALKRISHNA GADGIL
|
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 191 |
|
|
PRABIR HALDAR
|
|
|
|
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
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 192 |
|
|
PRADEEP M.VAKIL
|
|
|
|
VATSA CORP.LTD.
|
|
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 193 |
|
|
PRAFUL N.BAROT
|
|
|
|
ZILLION PHARMA CHEM LTD.
CIN:L24231GJ1992PLC017496
|
|
DID NOT REPAY EXCESS SHARE APPLICATION MONEY WITHIN STIPULATED PERIOD
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 194 |
|
|
PRAKASH GAGGAR
|
|
|
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
MIS-STATEMENTS IN THE PROSPECTUS
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 195 |
|
|
PRASHANT GOUDAR
(PAN:AHZPG7768H)
|
|
|
|
RAVINDRA ENERGY LTD.
PAN:AAACR2065D
|
|
ALLEGED ISSUANCE AND ALLOTMENT OF EQUITY SHARES TO MORE THAN 49 PERSONS ON 5 OCCASIONS VIOLATING SECTIONS 73, 2(36) READ WITH 60 AND SECTIONS 56 READ WITH 67 OF THE COMPANIES ACT, 1956 IN MATTER OF RAVINDRA ENERGY LTD.
ALLEGED ISSUANCE AND ALLOTMENT OF EQUITY SHARES TO MORE THAN 49 PERSONS ON 5 OCCASIONS VIOLATING REGULATIONS 4(2) (D) & (E), 5(1),(2), (5) & (7), 6(1), 7, 26(1),(2) & (6), 32(1), 36, 37, 46, 47, 49, 57, 58 AND 63 OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF RAVINDRA ENERGY LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.99,60,938 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-APR-2020
|
|
| 196 |
|
|
PRAVEEN KUMAR JAIN
|
|
|
|
PADMINI TECHNOLOGIES LTD.
CIN:L25202DL1990PLC039395
|
|
VIOLATED SEBI ACT, 1992
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
COMPOUNDED. THE VIOLATIONS WERE COMPOUNDED BY CLB AND ACCORDINGLY THE COMPLAINT WAS DIPOSED OF BY HON'BLE COURT. ORDER COPY IS AWAITED
|
| 197 |
|
|
PRINCE RANA
(DIN:02694162
PAN:AQXPR2438L)
|
|
|
|
INDUS WEIR INDUSTRIES LTD.
PAN:AACCI4265N
CIN:U15410DL2010PLC207057
|
|
MOBILIZED FUNDS OF RS.33.40 CRORE THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 32,454 INVESTORS VIOLATING SECTIONS 67(3), 73(2), 73(3), 56(1), 56(3) AND 60 READ WITH SECTION 2(36) OF THE COMPANIES ACT, 1956
MOBILIZED FUNDS OF RS.33.40 CRORE THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 32,454 INVESTORS VIOLATING REGULATION 16(1) OF SEBI (ISSUE AND LISTING OF NCRPS) REGULATIONS, 2013
DID NOT MAKE APPLICATION FOR LISTING UNDER SECTION 73(1) OF COMPANIES ACT, 1956
DID NOT PROVIDE CORRECT STATUS OF REFUND DONE TO INVESTORS
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 08-MAY-2024 TO 07-MAY-2027
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-MAY-2024 TO 07-MAY-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-MAY-2024 TO 07-MAY-2027
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 08-MAY-2024 TO 07-MAY-2027
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 08-MAY-2024 TO 07-MAY-2027
DIRECTED TO PROVIDE COMPLETE DETAILS OF ALL RPS OR ANY OTHER SECURITIES ISSUED BY COMPANY AFTER 31/07/2013
DIRECTED TO PROVIDE COMPLETE DETAILS OF ALL REFUNDS MADE TO INVESTORS IN RESPECT OF OFFER AND ALLOTMENT OF RPS
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 08-MAY-2024 TO 07-MAY-2027
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 08-MAY-2024 TO 07-MAY-2027
DIRECTED TO PROVIDE CERTIFICATE FROM CHARTERED ACCOUNTANT IN PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
25-MAY-2023
|
SEBI VIDE ITS ORDER DATED 08/05/2024 DIRECTED TO A) REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF RPS WITH INTEREST @ 8% P.A. FROM DATE OF RECEIPT OF MONEY TILL DATE OF REFUND THROUGH BANK DEMAND DRAFT OR PAY ORDER B) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND C) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR THREE YEARS OR TILL THE DATE OF REFUND OF MONEY TO ALLOTTEES D) RESTRAINED FROM DIRECTLY OR INDIRECTLY, ACCESSING CAPITAL MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC FOR THREE YEARS OR TILL DATE OF REFUND OF MONEY TO ALLOTTEES E) RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR THREE YEARS OR TILL DATE OF REFUND OF MONEY TO ALLOTTEES F) DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS & PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF MUTUAL FUNDS/SHARES/SECURITIES, IF HELD IN PHYSICAL FORM AND DEMAT FORM WITHIN FIFTEEN DAYS FROM DATE OF THIS ORDER G) PERMITTED TO SELL ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM OF THE COMPANY FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK H) FILE REPORT OF SUCH COMPLETION WITH SEBI DULY CERTIFIED FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION I) DURING PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING MUTUAL FUNDS UNITS TO REMAIN FROZEN
|
| 198 |
|
|
PUSHPA DEVI CHATLY
|
|
|
|
SHREE DEWAN STEELS (INDIA) LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACCUSED NO. 4 AND 5 ARE DISCHARGED BY THE TRIAL COURT ON THE GROUND THAT SEBI FAILED TO PROVE THAT THERE WAS ANY AUTHORIZATION BY A4&5 FOR THE PROSPECTUS OR THERE WAS ANY SIGNATURE ON THE PROSPECTUS
|
| 199 |
|
|
R.ANAND
|
|
|
|
READY FOODS LTD.
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 200 |
|
|
R.B.KALLA
|
|
|
|
WEST COAST BREWERS & DISTILLERS LTD.
|
|
DID NOT REPAY EXCESS SHARE APPLICATION MONEY WITHIN STIPULATED PERIOD
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 10 of 18
|
