| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
K.R.MAITHANI
|
|
|
|
MITHILA STEEL INDUSTRIES LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
|
| 202 |
|
|
K.S.V.RAAMAN
|
|
|
|
XEDD TELECOM LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
|
| 203 |
|
|
K.T.RAMALINGASETTY
|
|
|
|
MUKERIAN PAPERS LTD.
CIN:L21012PB1975PLC003615
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.15,000
21-OCT-2004
|
INCLUDED IN SEBI LIST DATED 31/03/2011, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 204 |
|
|
K.THIPPERSWAMY
|
|
|
|
RICHIMEN SILKS LTD.
CIN:U18100AP1984PLC005033
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
|
| 205 |
|
|
KALPESH BHAGWANDAS SHETH
(DIN:05236067)
|
|
|
|
KUSHAL DIAMONDS LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-MAR-2016 TILL OBTAINS SCORES AUTHENTICATION
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-MAR-2016 TILL OBTAINS SCORES AUTHENTICATION
18-MAR-2016
|
|
| 206 |
|
|
KALPESH RAMESHCHANDRA KHOKHANI
|
|
|
|
SHAMROCK INDUSTRIAL CO.LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-FEB-2016 TILL RESOLVES ALL THE INVESTOR GRIEVANCES
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-FEB-2016 TILL RESOLVES ALL THE INVESTOR GRIEVANCES
09-FEB-2016
|
AS PER SCORES WEBSITE NO PENDING INVESTOR COMPLAINT AGAINST THE COMPANY AS ON 15/01/2018
SAT: SAT VIDE ITS ORDER DATED 14/09/2018 CONDONED THE DELAY OF 723 DAYS IN FILING OF APPEAL. FURTHER, IMPUGNED ORDER DATED 09/02/2016 VACATED. NO COSTS
|
| 207 |
|
|
KAMAL C.JAIN
|
|
|
|
KESHARIA SPINNERS LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-NOV-2016 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-NOV-2016 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
01-NOV-2016
|
|
| 208 |
|
|
KAMAL KISHORE KABRA
|
|
|
|
ENKAY TEXOFOOD INDUSTRIES LTD.
PAN:AAACE0833A
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-OCT-2003 TO 09-OCT-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-OCT-2003 TO 09-OCT-2008
10-OCT-2003
|
|
| 209 |
|
|
KAMAL PANJWANI
|
|
|
|
PANJWANI PACKAGINGS LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-DEC-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-DEC-2010
15-DEC-2010
|
|
| 210 |
|
|
KAMLESH RAMESHCHANDRA KHOKHANI
|
|
|
|
SHAMROCK INDUSTRIAL CO.LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-FEB-2016 TILL RESOLVES ALL THE INVESTOR GRIEVANCES
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-FEB-2016 TILL RESOLVES ALL THE INVESTOR GRIEVANCES
09-FEB-2016
|
AS PER SCORES WEBSITE NO PENDING INVESTOR COMPLAINT AGAINST THE COMPANY AS ON 15/01/2018
SAT: SAT VIDE ITS ORDER DATED 14/09/2018 CONDONED THE DELAY OF 723 DAYS IN FILING OF APPEAL. FURTHER, IMPUGNED ORDER DATED 09/02/2016 VACATED. NO COSTS
|
| 211 |
|
|
KAMLESH SHAH
|
|
|
|
CORE HEALTHCARE LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.1,00,000
31-MAR-2005
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.50,000 FROM RS.1,00,000
|
| 212 |
|
|
KANAIYALAL J.THAKKAR
|
|
|
|
KANEL OIL & EXPORT INDUSTRIES LTD.
PAN:AAECA8724C
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-OCT-2003 TO 09-OCT-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-OCT-2003 TO 09-OCT-2008
10-OCT-2003
|
AS PER SCORES WEBSITE NO PENDING INVESTOR COMPLAINT AGAINST THE COMPANY AS ON 11/09/2018
|
| 213 |
|
|
KANCHAN MANSINGHANI
(Along with : ASHOK DESWANI,
SURENDRA GAMA YADAV,
SUNIL MANSINGHANI)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
FAILED TO DELIVER SHARES TO CLIENTS
DID NOT MAKE PAYMENT TO CLIENTS
DEFAULTED IN MAINTENANCE OF BOOKS/DOCUMENTS
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT PRODUCE BOOKS OF ACCOUNTS TO SEBI FOR INSPECTION
SUBMITTED WRONG INFORMATION TO SEBI
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-JAN-2009 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
DIRECTED BSE, NSE, OTCEI AND THEIR CLEARING HOUSES NOT TO RELEASE FUNDS OR SECURITIES
DIRECTED BSE, NSE, OTCEI AND THEIR CLEARING HOUSES TO SECURE ALL ASSETS INCLUDING REALIZATION OF BANK GUARANTEES
30-JAN-2009
DIRECTED TO DISGORGE RS.24,11,28,108 ALONG WITH OTHER ENTITIES/PERSONS
02-JUN-2026
|
AD-INTERIM EX-PARTE ORDER DATED 30/01/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 23/04/2014 1.RESTRAINED SUNCHAN SECURITIES LTD.(SUNCHAN) AND ITS DIRECTORS MR.SUNIL MANSINGHANI, MS.KANCHAN MANSINGHANI, MR.ASHOK DASWANI, MR.SURENDRA GAMA YADAV AND COMPLIANCE OFFICER MR.RIYAZ ISMAIL SHAIKH FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESSING SECURITIES MARKET DIRECTLY OR INDIRECTLY FOR A PERIOD OF SEVEN YEARS 2.RESTRAINED ALL ITS DIRECTORS AND COMPLIANCE OFFICER FROM HOLDING POSITION OF DIRECTOR OR COMPLIANCE OFFICER IN ANY LISTED COMPANY OR BEING ASSOCIATED WITH ANY INTERMEDIARY OR ENTITY REGISTERED WITH SEBI FOR A PERIOD OF SEVEN YEARS 3.DIRECTED SUNCHAN AND ITS DIRECTORS AND COMPLIANCE OFFICER TO REPLENISH INVESTOR PROTECTION FUND (IPF) OF BSE TO THE EXTENT OF RS.1,86,93,149.00 AND IPF OF NSE TO THE EXTENT OF RS.2,58,32,823.72, I.E. AMOUNT DISBURSED FROM IPF TOWARDS CLAIMS OF INVESTORS OF SUNCHAN AS A STOCK BROKER 5.DIRECTED SUNCHAN AND ITS DIRECTORS TO COMPENSATE INVESTORS TO THE EXTENT THEIR CLAIMS WERE NOT FULLY MET OUT OF IPF OF RS.5,30,96,338.27 (RS.1,68,47,272.87 + RS.3,62,49,065.40) I.E. THE CLAIM ADMITTED LESS AMOUNT DISBURSED OUT OF IPF. SUNCHAN AND ITS DIRECTORS ARE JOINTLY AND SEVERALLY LIABLE TO MAKE THE PAYMENTS
SEBI VIDE ITS NOTICE DATED 02/06/2026 DIRECTED TO PAY RS.24,11,28,108.15 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 214 |
|
|
KAUSHAL KUMARI NAGPAL
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
FRAUDULENTLY TRANSFERRED CLIENTS’ SECURITIES TO GROUP ENTITIES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DIVERTED FUNDS FOR UTILIZATION BY ITSELF AND ITS GROUP COMPANIES/ASSOCIATE COMPANIES
EXTENDED MARGIN TRADING FACILITY TO ITS CLIENTS WITHOUT OBTAINING REQUISITE APPROVAL FROM STOCK EXCHANGES
DID NOT CARRY OUT ACTUAL PERIODIC SETTLEMENT OF FUNDS AND SECURITIES OF ITS CLIENTS
DID NOT ENSURE DELIVERY OF SECURITIES AND MAKING PAYMENT OF AMOUNTS DUE TO ITS CLIENTS
DID NOT PROVIDE STATEMENTS OF ACCOUNTS IN RESPECT OF FUNDS OF ITS CLIENTS
DID NOT PROVIDE PERIODIC STATEMENT OF TRANSACTIONS IN SECURITIES AND RESULTANT SHAREHOLDING TO THE BENEFICIAL OWNERS OF SUCH SECURITIES
DID NOT HAVE PERIODIC INTERNAL AUDIT CONDUCTED OF ITS STOCK BROKING AND DEPOSITORY PARTICIPANT OPERATIONS
DID NOT OBTAIN PRIOR APPROVAL FROM SEBI FOR THE CHANGE IN MANAGEMENT AND CONTROL
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-MAR-2016 TO 24-MAR-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-MAR-2016 TO 24-MAR-2026
15-MAR-2016
|
SAT: SAT VIDE ITS ORDER DATED 02/05/2018 PERMITTED APPEALLANTS TO WITHDRAW THE APPEAL. DIRECTED A) APPELLANTS TO ADDRESS A LETTER ON OR BEFORE 09/05/2018 TO SEBI SETTING OUT IN DETAIL COPIES OF THE DOCUMENTS THAT THEY NEED FOR THESE APPEALS B) SEBI TO FURNISH TO APPELLANTS COPIES OF THE DOCUMENTS SO DEMANDER ON OR BEFORE 30/05/2018 SO.NO COSTS
SAT: SAT VIDE ITS ORDER DATED 09/11/2020 DISPOSED OFF MISC.APPLICATION AS THE APPELLANT HAS DIED
|
| 215 |
|
|
KAVIL VENKATACHALAM GOURISHANKAR
(PAN:ACCPG6678E)
|
|
|
|
VISTAAR CAPITAL ADVISORS LTD.
PAN:AACCV6540K
|
|
DID NOT WINDUP SCHEME OF FUND ON EXPIRY OF TENURE/TERM
DID NOT MAINTAIN BOOKS OF ACCOUNT AND OTHER DOCUMENTS
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT SUBMIT REPORT TO SEBI
|
DIRECTED TO ENSURE THAT THE SCHEME OF FUND WOUND UP BY PROVIDING EXIT TO ITS INVESTORS/UNIT HOLDERS
DIRECTED TO OBTAIN TWO SEPARATE VALUATIONS OF ALL REMAINING ASSETS OF SCHEME OF FUND FROM TWO INDEPENDENT AND/OR REGISTERED VALUERS
DIRECTED TO DETERMINE NAV OF THE SCHEME OF THE FUND BASED ON VALUATION REPORTS BY ADOPTING HIGHER OF VALUATION ARRIVED AT IN TWO VALUATION REPORTS
DIRECTED TO PROVIDE EXIT TO INVESTORS/UNIT HOLDERS FIRST BY OFFERING OPTION TO EXISTING INVESTORS/UNIT HOLDERS TO TAKE EXIT BY WAY OF IN SPECIE DISTRIBUTION OF INTEREST/RIGHTS/STAKES/SHARES, ETC. IN INVESTEE COMPANIES/PROJECTS
DIRECTED INVESTORS/UNIT HOLDERS WHO DO NOT EXERCISE THEIR OPTION FOR IN SPECIE DISTRIBUTION, TO BE GIVEN EXIT ON BASIS OF NAV DETERMINED AS PER DIRECTIONS
DIRECTED TO COMPLETE ENTIRE PROCESS OF WINDING UP OF SCHEME OF FUND AND PROVIDING EXIT TO INVESTORS/UNIT HOLDERS
DIRECTED TO FILE REPORT CERTIFIED BY CHARTERED ACCOUNTANT DECLARING THAT ALL THE INVESTORS OF SCHEME HAVE BEEN PROVIDED EXIT AND SCHEME OF FUND STANDS WOUND UP AND REPORT TO BE FILED WITHIN THREE WEEKS AFTER COMPLETION OF THE EXIT AND REPAYMENT TO INVESTORS/UNIT HOLDERS OF SCHEME
RESTRAINED FROM ASSOCIATING DIRECTLY OR INDIRECTLY, WITH ANY REGISTERED INTERMEDIARIES INCLUDING SEBI REGISTERED FUNDS SUCH AS MUTUAL FUNDS, ALTERNATIVE INVESTMENT FUNDS, PORTFOLIO MANAGEMENT SERVICES ETC. WHICH DEAL WITH INVESTOR’S MONEY IN ANY MANNER FROM 24-MAY-2023 TO 23-MAY-2024
24-APR-2023
|
SAT: SAT VIDE ITS ORDER DATED 06/10/2025 ACCEPTED APPELLANTS AFFIDAVITS AND DISPOSED OF APPEAL . NO COSTS
|
| 216 |
|
|
KETAN NAVINCHANDRA SHAH
|
|
|
|
VATSA CORP.LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS REGARDING DELAY IN TRANSFER OF SHARES
FAILED TO PAY DIVIDENDS TO SHAREHOLDERS
|
LAUNCHED CRIMINAL PROSECUTION
19-JUN-1998
|
|
| 217 |
|
|
KETAN NAVINCHANDRA SHAH
|
|
|
|
VATSA CORP.LTD.
|
|
ALLEGED FAILURE IN REDRESSAL OF INVESTOR GRIEVANCE
ALLEGED FAILURE IN FURNISHING OF ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
SHOW CAUSE NOTICE ISSUED
06-NOV-2009
|
|
| 218 |
|
|
KHESE S.UMESH
|
|
|
|
KANEL OIL & EXPORT INDUSTRIES LTD.
PAN:AAECA8724C
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
15-DEC-2010
|
ACTION TAKEN REPORT DATED 13/05/2011 FILED BY COMPANY WITH SEBI ON 16/05/2011
SEBI VIDE ITS ORDER DATED 27/06/2011 HAS REVOKED THE DIRECTIONS ISSUED VIDE ORDER DATED 15/12/2010
|
| 219 |
|
|
KIRIT MATHURADAS MEHTA
|
|
|
|
MONALISA INFOTECH LTD.
CIN:U25209DD1994PLC001584
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-NOV-2016 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-NOV-2016 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
01-NOV-2016
|
|
| 220 |
|
|
KISHORE GURBUX MOTWANI
(DIN:02417178
PAN:AAJPM2980N)
|
|
|
|
ROOFIT INDUSTRIES LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-SEP-2017 TILL RESOLVE ALL INVESTOR GRIEVANCE PENDING
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-SEP-2017 TILL RESOLVE ALL INVESTOR GRIEVANCE PENDING
21-SEP-2017
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 11 of 27
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