| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 2141 |
|
VEDANT STEEL CASTING & FORGING PVT.LTD.
|
|
|
|
P.K.RAO
|
|
|
R.P.SHARMA
|
|
|
SANJAY GUPTA
|
|
|
V.K.AGARWAL
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 2142 |
|
|
VEENA INVESTMENTS PVT.LTD.
(PAN:AAACV6436A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO SEBI AS REQUIRED UNDER REGULATION 3(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SITI CABLES NETWORK LTD. (FORMERLY KNOWN AS "WIRE & WIRELESS (INDIA) LTD.")
|
IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-DEC-2014
|
|
| 2143 |
|
|
VEENA INVESTMENTS PVT.LTD.
(PAN:AAACV6436A)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATIONS 3(3) AND 3(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ESSEL PROPACK LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
17-DEC-2013
|
|
| 2144 |
|
|
VENTURE BUSINESS ADVISORS PVT.LTD.
(PAN:AAACV7487P)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 3(3) AND DELAY IN MAKING DISCLOSURE TO SEBI AS REQUIRED UNDER REGULATION 3(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF TEMPTATION FOODS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
28-APR-2010
|
|
| 2145 |
|
|
VERTEX INVESTMENTS PVT.LTD.
(PAN:AAACV5673K)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PREMIER CAPITAL SERVICES LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PREMIER CAPITAL SERVICES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PREMIER CAPITAL SERVICES LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 MATTER OF PREMIER CAPITAL SERVICES LTD.
|
IMPOSED PENALTY RS.11,50,000
14-SEP-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 2146 |
|
|
VERTEX INVESTMENTS PVT.LTD.
(PAN:AAACV5673K)
(Along with : R.G.AGRAWAL (HUF),
R.K.AGRAWAL (HUF),
G.L.AGRAWAL (HUF),
VASTU COMMODITIES PVT.LTD.,
PREMIER PROTEINS LTD.)
|
|
|
|
BIMLA AGRAWAL
PAN:AEXPA0451N
|
|
|
RAJESH AGRAWAL
PAN:ADCPA5339F
|
|
|
RAM GOPAL AGRAWAL
PAN:ABFPA4632G
|
|
|
SANGEETA AGRAWAL
PAN:ABDPA5797Q
|
|
|
SUMAN AGARWAL
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 MATTER OF PREMIER CAPITAL SERVICES LTD.
|
IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
14-SEP-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: SAT VIDE ITS ORDER DATED 17/10/2019 PARTLY ALLOWED THE APPEAL AND DIRECTED AO TO RECALCULATE PENALTY TO BE PAID WITHIN 30 DAYS FROM DATE OF SUCH COMMUNICATION. NO COSTS
|
| 2147 |
|
|
VERTEX SECURITIES LTD.
(PAN:AAACV7979E)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 6(2) AND 8(3) OF SEBI TAKEOVER CODE, 1997 FOR YEARS 1998 TO 2007
|
IMPOSED PENALTY RS.3,00,000
03-AUG-2009
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,00,000, LEGAL EXPENSES RS.1,00,000 VIDE CONSENT ORDER)
05-JAN-2010
|
SAT: AS APPLICANT PAID RS.6,00,000 TOWARDS SETTLEMENT CHARGES AND 1,00,000 TOWARDS LEGAL EXPENSES, AS PER CONSENT ORDER,ORDER DISPOSED OFF
|
| 2148 |
|
|
VERTEX SECURITIES LTD.
(PAN:AAACV7979E)
|
|
|
|
DILIP VERGHESE
|
|
|
GEORGE VARKEY THALODY
|
|
|
IVAN J.COELHO
|
|
|
KUNJUMOL PHILIP
|
|
|
LUCIYAMMA THALODY
|
|
|
RANJAN VERGHESE
|
|
|
THOMAS ALAPPAT
|
|
|
THRESSIYAMMA NEMRI
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1) AND 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 1105250 (17.50%) SHARES/VOTING RIGHTS OF VERTEX SECURITIES LTD.
|
IMPOSED PENALTY RS.48,00,000 ALONG WITH OTHER ENTITIES/PERSONS
08-JUL-2009
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
|
| 2149 |
|
|
VERTEX SECURITIES LTD.
(PAN:AAACV7979E)
|
|
|
|
DILIP VERGHESE
|
|
|
GEORGE VARKEY THALODY
|
|
|
IVAN J.COELHO
|
|
|
KUNJUMOL PHILIP
|
|
|
LUCIYAMMA THALODY
|
|
|
RANJAN VERGHESE
|
|
|
THOMAS ALAPPAT
|
|
|
THRESSIYAMMA NEMRI
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 6(1),6(3),7(1A),8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES VERTEX SECURITIES LTD.
|
IMPOSED PENALTY RS.30,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUN-2009
|
SAT: APPEAL FAILED AND DISMISSED. SINCE EACH APPELLANT VIOLATED PROVISIONS OF TAKEOVER CODE. APPELLANT SHALL BE LIABLE TO PAY THE AMOUNT PROPORTIONATELY
|
| 2150 |
|
|
VESUVIUS HOLDINGS LTD.
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1), 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF FOSECO INDIA LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF FOSECO INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.68,63,010 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
10-NOV-2017
|
|
| 2151 |
|
|
VFSL CAPITAL LTD.
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10,11(1) AND 12 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF VERONICA LABORATORIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
15-JUN-2009
|
|
| 2152 |
|
|
VFSL CAPITAL LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1), 7(1A) READ WITH 7(2) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF VERONICA LABORATORIES LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1) AND 13 [(3) READ WITH (5)] OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF VERONICA LABORATORIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
27-JAN-2009
|
|
| 2153 |
|
|
VFSL CAPITAL LTD.
|
|
|
|
NAZIR HAKEEM
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1),(1A),(2) AND 8 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF VERONICA LABORATORIES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
06-JAN-2011
|
|
| 2154 |
|
|
VIBHAVARI FINANCE & INVESTMENT CO.PVT.LTD.
|
|
|
|
INDRANIL DAS
|
|
|
S.P.S.KHURANA
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 2155 |
|
|
VIBHUT BUILDERS & ENGINEERING PVT.LTD.
(PAN:AACCV7326D)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(2) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF ERA INFRA ENGINEERING LTD.
|
IMPOSED PENALTY RS.5,00,000
20-AUG-2013
|
SAT: SAT VIDE ITS ORDER DATED 20/04/2017 SET ASIDED IMPUGNED ORDER DATED 30/12/2015 AND RESTORED THE MATTER TO FILE OF AO OF SEBI TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
|
| 2156 |
|
|
VIDYUT INVESTMENTS LTD.
|
|
|
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 TO 24-JAN-2009
31-DEC-2002
|
INTERIM ORDER DATED 31/12/2002 REVOKED BY SEBI
FINAL ORDER PASSED IN CONTINUTATION TO INTERIM ORDER DATED 31/12/2002 & 12/06/2004
|
| 2157 |
|
|
VIJAL SHIPPING PVT.LTD.
(Along with : BHARAT FERTILIZER INDUSTRIES LTD.)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHARES OF BHARAT FERTILISER INDUSTRIES LTD.
|
IMPOSED PENALTY RS.40,000 ALONG WITH OTHER ENTITIES/PERSONS
23-OCT-2007
|
|
| 2158 |
|
|
VIKAS VATSAL GARG (HUF)
(PAN:AAAHV8230K)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-OCT-2011 TO 03-OCT-2013
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 04-OCT-2011 TO 03-OCT-2013
04-OCT-2011
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
AD-INTERIM EX-PARTE ORDER DATED 28/07/2009 DISPOSED OFF, AS APPLICANT PAID RS.10,00,000 VIDE DEMAND DRAFT NO.859008 DATED 30/08/2011 DRAWN ON STATE BANK OF INDIA TOWARDS SETTLEMENT CHARGES AND AGREED FOR VOLUNTARY DEBARMENT FROM SECURITIES MARKET FOR A PERIOD OF TWO YEARS FROM DATE OF THIS CONSENT ORDER DATED 04/10/2011
|
| 2159 |
|
|
VIKAS WSP LTD.
(CIN:L24139HR1988PLC030300
PAN:AAACV7816Q)
|
|
|
|
ANCHI DEVI JINDAL
|
|
|
B.D.AGARWAL
|
|
|
B.L.JINDAL
|
|
|
BABULAL JINDAL
|
|
|
BIMLA DEVI JINDAL
PAN:ABSPJ6495R
|
|
|
J.D.AGARWAL
|
|
|
KOSHAL PATODI
|
|
|
KRISHNA JINDAL
|
|
|
LALITA DEVI JINDAL
|
|
|
MANJOO JINDAL
|
|
|
NARENDRA JINDAL
|
|
|
RAMESH CHAND JINDAL
|
|
|
SITA DEVI JINDAL
|
|
|
SONIA JINDAL
|
|
|
SUSHIL JINDAL
|
|
DID NOT MAKE CORRECT DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BSE & DELHI STOCK EXCHANGE IN RESPECT OF HOLDINGS OF PROMOTERS OR PERSONS(S) HAVING CONTROL OVER COMPANY AS ON 31ST MARCH AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-SEP-2004
|
|
| 2160 |
|
|
VIKRAM HIMATSINGKA (HUF)
(PAN:AADHV8276J)
|
|
|
DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PH TRADING LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
24-APR-2015
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 108 of 114
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