| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
R.H.KASTURI
(PAN:ADDPK6263D)
|
|
|
|
KAVVERI TELECOM PRODUCTS LTD.
PAN:AAACK7399F
CIN:L85110KA1996PLC019627
|
|
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 202 |
|
|
R.K.NARENDER
|
|
|
|
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
|
| 203 |
|
|
R.K.TANDON
|
|
|
|
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
|
|
| 204 |
|
|
R.R.KUMAR
|
|
|
|
RICHIMEN SILKS LTD.
CIN:U18100AP1984PLC005033
|
|
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
|
|
| 205 |
|
|
R.T.RAVI
|
|
|
|
KREBS BIOCHEMICALS LTD.
|
|
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
MIS-STATEMENTS IN THE PROSPECTUS
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ALL ACCUSED CONVICTED AND SENTENCED TO FINE OF RS.20,000 EACH AND ON DEFAULT SIMPLE IMPRISONMENT FOR I MONTH
|
| 206 |
|
|
RAJ K.MEHTA
|
|
|
|
CHHABRA LAND & HOUSING LTD.
CIN:U65921PB1994PLC015168
|
|
MIS-STATEMENTS IN THE PROSPECTUS
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
|
PROSECUTION LAUNCHED
15-MAY-2006
|
COMPLAINT UNDER SECTION 621 READ WITH SECTION 63 AND 68 OF COMPANIES ACT AND SECTION 200 OF CR.P.C. WAS FILED BY SEBI AGAINST CHHABRA LAND AND HOUSING LTD AND ITS DIRECTORS ISSUED PROSPECTUS CONTAINING THE PATENTLY FALSE AND UNTRUE STATEMENTS AS THEY CAME OUT WITH THE PUBLIC ISSUES OF 26,40,000 EQUITY SHARES OF RS.10.00 EACH AGGREGATING TO RS.264 LACS. THE COURT FOUND NO GROUND TO PROCEED AGAINST THE ACCUSED AND DISMISSED THE COMPLAINT VIDE IMPUGNED ORDER DATED 07/01/2016. THERAFTER, REVISION PETITION WAS FILED IN SESSIONS COURT WHEREIN, WHILE DISMISSING THE REVISION PEITIONED HELD THAT UNDER SECTION 63 OF THE COMPANIES ACT, THE OFFENCE IS MADE OUT AGAINST ONE WHO HAD AUTHORISED THE ISSUESANCE OF PROSPECTUS AND FOR THAT IT WAS PARAMOUNT FOR THE COMPLAINANT TO PROVE ON RECORD THE RESOLUTION OF THE BOARD OF DIRECTORS AUTHORISING THE ISSUANCE OF THE PROSPECTUS. THE FOUNDATION OF ISSUANCE OF THE PROSPECTUS HAS NOT BEEN BROUGHT ON RECORD AND AS ALLEGED THAT THE PROSPECTUS HAD CONTAINED SOME MIS-STATEMENTS AND NON DISCLOSURE OF MATERIAL INFORMATION AND THESE ALLEGATIONS CAN ONLY BE PROVED IF THE AUTHORITY BEHIND THE ISSUANCE OF PROSPECTUS COULD BE ESTABLISHED. HENCE, THE LEARNED TRIAL COURT WHILE TAKING INTO ACCOUNT ALL THESE FACTS HAD RIGHTLY DISCHARGED THE ACCUSED VIDE THE IMPUGNED ORDER, WHICH DOES NOT SUFFER FROM ANY INFIRMITY, IMPROPRIETY OR ILLEGALITY AND THE SAME IS HEREBY UPHELD AND AFFIRMED
|
| 207 |
|
|
RAJ KUMAR DEWAN
|
|
|
|
DEWAN RUBBER INDUSTRIES LTD.
|
|
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 208 |
|
|
RAJ KUMAR KHEMKA
|
|
|
DID NOT REPAY EXCESS SHARE APPLICATION MONEY WITHIN STIPULATED PERIOD
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
VIOLATED SECTION 22 OF SEBI TAKEOVER CODE, 1997
VIOLATED SECTION 20(2) OF SEBI ACT.,1992
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JUL-2001 TO 01-JUL-2006
02-JUL-2001
|
SAT: APPEAL DISMISSED AS WITHDRAWN
PERIOD OF DEBARMENT WAS OVER ON 01/07/2006
|
| 209 |
|
|
RAJ KUMAR SHUKLA
|
|
|
|
ZED INVESTMENTS LTD.
|
|
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
MIS-STATEMENTS IN THE PROSPECTUS
|
PROSECUTION LAUNCHED
15-MAY-2006
|
A1 CONVICTED. A2 AND A3 ACQUITTED
A1 CONVICTED. A2 AND A3 ACQUITTED
|
| 210 |
|
|
RAJAN MEHTA
|
|
|
|
INDO-AMERICAN CREDIT CORP.LTD.
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
VIOLATED SECTION 11(2) (1) (1A) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ALL ACCUSED PLEADED GUILTY AND WERE CONVICTED AND SENTENCED TO FINE OF RS.1,000 EACH AND ON DEFAULT IMPRISONMENT FOR 30 DAYS
CONVICTED
|
| 211 |
|
|
RAJAN SHIVANAND SHAH
|
|
|
|
AASHI PHARMACHEM 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
|
|
| 212 |
|
|
RAJARAJU KOTHAPALLI
(DIN:01228222)
|
|
|
|
MIDFIELD INDUSTRIES LTD.
CIN:U27109AP1990PLC011353
PAN:AAACM9490M
|
|
VIOLATED SECTION 207 OF COMPANIES ACT, 1956
VIOLATED SECTION 127 OF COMPANIES ACT, 2013
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 24 (2) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-DEC-2016
|
|
| 213 |
|
|
RAJASEKHAR CHARANTIMATH
(PAN:AEYPR1486H)
|
|
|
|
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
|
|
| 214 |
|
|
RAJBIR SINGH HOODA
|
|
|
|
MAHADEV AGRO INDUSTRIES LTD.
|
|
|
MAHADEV CORP.(INDIA) LTD.
|
|
|
MAHADEV LEASING CO.LTD.
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
MIS-STATEMENTS IN THE PROSPECTUS
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACCUSED NO.1 COMPANY PROCEDED U/S 305 OF CR.P.C. (EX-PARTE) PROCEEDINGS AGAINST ACCUSED NO. 2,4,5 AND 7 WERE DROPPED VIDE ORDER DATED 20/11/2001. ACCUSED NOS 3 AND 6 PLEADED GUILTY AND COURT IMPOSED FINE OF RS.10,000 EACH
CASE DISMISSED BY COURT
CONVICTION
NOT APPEARING IN THE LIST OF CASES DISMISSED/ACCUSED DISCHARGES IN THE PROSECUTION FILED BY SEBI (AS ON 31ST MARCH 2010)
ACCUSED NO.2 PLEADED GUILTY AND LD. COURT IMPOSED A FINE OF RS.5000. NONE FOR COMPANY AND PROCEEDINGS QUA A3 AND A4 DROPPED AND FILE CONSIGNED TO RR
|
| 215 |
|
|
RAJEEV DALMIA
|
|
|
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CONVICTION
|
| 216 |
|
|
RAJEEV S.PARIKH
|
|
|
|
VATSA CORP.LTD.
|
|
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 217 |
|
|
RAJESH DEWAN
|
|
|
|
DEWAN RUBBER INDUSTRIES LTD.
|
|
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ALL ACCUSED CONVICTED AND SENTENCED TO FINE OF RS.2000 ON EACH OF THE ACCUSED AND ON DEFAULT OF PAYMENT OF FINE, SIMPLE IMPRISONMENT FOR 15 DAYS. ADDITIONALLY ACCUSED NO.1 TO 3 WERE ALSO SENTENCED TO SIMPLE IMPRISONMENT TILL RISING OF THE COURT
|
| 218 |
|
|
RAJESH KUMAR VITHABHAI PATEL
|
|
|
|
EXCELL MULTITECH LTD.
|
|
|
KARVY STOCK BROKING LTD.
PAN:AABCK5190K
(Member : BSE/NSE/HSE)
|
|
|
SEER FINLEASE PVT.LTD.
|
|
|
TAURAS INFOSYS LTD.
|
|
|
ZENET SOFTWARE LTD.
PAN:AAACZ0978K
|
|
FILED APPLICATION FOR SUBSCRIPTION AND/OR ACQUISITION OF SHARES IN FICTITIOUS NAME
VIOLATED SECTION 12A OF SEBI ACT.,1992
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SEBI DEPOSITORIES ACT, 1996
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 219 |
|
|
RAJESH SODHI
|
|
|
|
PADMINI TECHNOLOGIES LTD.
CIN:L25202DL1990PLC039395
|
|
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
|
| 220 |
|
|
RAKESH KUMAR SRIVASTAVA
|
|
|
|
ZED INVESTMENTS LTD.
|
|
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
MIS-STATEMENTS IN THE PROSPECTUS
|
PROSECUTION LAUNCHED
15-MAY-2006
|
A1 CONVICTED. A2 AND A3 ACQUITTED
A1 CONVICTED. A2 AND A3 ACQUITTED
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 11 of 18
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