| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
ASKA INVESTMENTS PVT.LTD.
|
|
|
|
BIPUL MITTAL
|
|
|
GOPAL KRISHNA MITTAL
|
|
|
RAM AVTAR MITTAL
|
|
|
RAVINDRA KUMAR MITTAL
|
|
|
SATYANARAN MITTAL
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2005
|
SAT: APPEAL FAILED AND DISMISSED
|
| 202 |
|
|
ASKA ROADWAYS PVT.LTD.
|
|
|
|
BIPUL MITTAL
|
|
|
GOPAL KRISHNA MITTAL
|
|
|
KANTA MITTAL
|
|
|
RAVINDRA KUMAR MITTAL
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2005
|
SAT: APPEAL FAILED AND DISMISSED
|
| 203 |
|
|
ASMAN INVESTMENTS LTD.
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN MATTER OF HITACHI HOME & LIFE SOLUTIONS (INDIA) LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-APR-2004 TO 16-APR-2006
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-APR-2004 TO 16-APR-2006
17-APR-2004
|
SAT: IMPUGNED ORDER SET ASIDE
|
| 204 |
|
|
ASPEN SECURITIES PVT.LTD.
|
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
04-JUN-2002
|
SAT: APPEAL ALLOWED BY WAY OF REMAND
|
| 205 |
|
|
ASSAM TIMBER PRODUCTS PVT.LTD.
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ARCHIDPLY INDUSTRIES LTD.
|
IMPOSED PENALTY RS.11,00,000 ALONG WITH OTHER ENTITIES/PERSONS
22-AUG-2017
|
|
| 206 |
|
|
ASTER MERCANTILE PVT.LTD.
|
|
|
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 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 11/05/2012 RESTRAINED THE NOTICEE FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES FOR A PERIOD OF TWO YEARS I.E. FROM 11/05/2012 TO 10/05/2014
|
| 207 |
|
|
ATCOM TECHNOLOGIES LTD.
(PAN:AABCA2058C)
|
|
|
|
SURENDRA JAIN
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN MATTER OF ACQUISITION OF 1.04% SHARES TO REACH 77.33% SHAREHOLDING OF NHN CORPORATION LTD.
|
IMPOSED PENALTY RS.50,000
23-JUN-2005
|
|
| 208 |
|
|
ATLANTA LTD.
(Along with : ADHUNIK FINANCE PVT.LTD.,
AMBALAL P.BAROT (HUF),
EDEN REALTY PVT.LTD.,
ELLIS EQUITY ADVISORS PVT.LTD.,
EMERGING CAPITAL ADVISORS LTD.,
HEM-KANAK MERCANTILE PVT.LTD.,
HIM REALTY PVT.LTD.,
MAYROSE CAPFIN PVT.LTD.,
NEOL EQUITY RESEARCH PVT.LTD.,
RAJENDRA A.BAROT (HUF),
SAMRADHA FINSTOCK PVT.LTD.,
SPARKLINE MERCANTILE CO.PVT.LTD.,
SPOT LIGHT SECURITIES PVT.LTD.,
STRATEGIC RESEARCH INTELLIGENCE LTD.,
WINSTAR E-COM PVT.LTD.)
|
|
|
|
BHAVANA R.BBAROT
|
|
|
DILIP NABERA
|
|
|
JAY THAKURAL
|
|
|
KISHORE THAKURAL
|
|
|
MANISH MARWAH
|
|
|
MITUL M.DOSHI
|
|
|
MUKUND C.DOSHI
|
|
|
PRAKASH J.MODI
|
|
|
RAJHOO BBAROT
|
|
|
RIDHIMA M.DOSHI
|
|
|
RIKIN R.BBAROT
|
|
|
SADHANA DILIP NABERA
|
|
|
SHADILAL CHOPRA
PAN:AAAPC6067F
|
|
|
SMITA M.DOSHI
|
|
|
VIKRAMKUMAR DEVICHAND JAIN
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 22-FEB-2007 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
|
AD-INTERIM ORDER DATED 22/02/2007 AMENDED TO THE EXTENT THAT THE COMPANY MAY GO AHEAD WITH ANY RESTRUCTURING OF ITS CAPITAL.EXCHANGES AND DEPOSITORIES ARE DIRECTED TO NOTE AND GIVE EFFECT TO THESE
AD INTERIM ORDER DATED 22/02/2007 AMENDED TO THE EXTENT THAT THE COMPANY MAY GO AHEAD WITH ANY RESTRUCTURING OF ITS CAPITAL.EXCHANGES AND DEPOSITORIES ARE DIRECTED TO NOTE AND GIVE EFFECT TO THESE
AS NO PRIMA FACIE CASE AGAINST APPLICANTS AND NO MATERIAL TO PROCEED FURTHER, NO NEED TO CONTINUE INTERIM DIRECTIONS DATED 22/02/2007 AND THE SAME IS HEREBY REVOKED
AS NO PRIMA FACIE CASE AGAINST APPLICANTS HENCE EARLIER ORDER DATED 22/02/2007 AS MODIFIED VIDE ORDER DATED 27/09/2007 CEASED TO EXIST NOW AND REVOKED
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO PASS FINAL ORDER ON OR BEFORE 22/09/2008 TILL SUCH TIME DIRECTIONS ISSUED BY IMPUGNED ORDER WILL CONTINUE TO OPERATE WITH NO ORDER AS TO COSTS
|
| 209 |
|
|
ATLANTA LTD.
(Along with : ADHUNIK FINANCE PVT.LTD.,
AMBALAL P.BAROT (HUF),
EDEN REALTY PVT.LTD.,
ELLIS EQUITY ADVISORS PVT.LTD.,
EMERGING CAPITAL ADVISORS LTD.,
HEM-KANAK MERCANTILE PVT.LTD.,
HIM REALTY PVT.LTD.,
MAYROSE CAPFIN PVT.LTD.,
NEOL EQUITY RESEARCH PVT.LTD.,
RAJENDRA A.BAROT (HUF),
SAMRADHA FINSTOCK PVT.LTD.,
SPARKLINE MERCANTILE CO.PVT.LTD.,
SPOT LIGHT SECURITIES PVT.LTD.,
STRATEGIC RESEARCH INTELLIGENCE LTD.,
WINSTAR E-COM PVT.LTD.)
|
|
|
|
BHAVANA R.BBAROT
|
|
|
DILIP NABERA
|
|
|
JAY THAKURAL
|
|
|
KISHORE THAKURAL
|
|
|
MANISH MARWAH
|
|
|
MITUL M.DOSHI
|
|
|
MUKUND C.DOSHI
|
|
|
PRAKASH J.MODI
|
|
|
RAJHOO BBAROT
|
|
|
RIDHIMA M.DOSHI
|
|
|
RIKIN R.BBAROT
|
|
|
SADHANA DILIP NABERA
|
|
|
SHADILAL CHOPRA
PAN:AAAPC6067F
|
|
|
SMITA M.DOSHI
|
|
|
VIKRAMKUMAR DEVICHAND JAIN
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,91,850, ADMINISTRATION CHARGES RS.12,294 VIDE CONSENT ORDER)
26-JUN-2009
|
AD INTERIM ORDER DATED 22/02/2007 AMENDED TO THE EXTENT THAT THE COMPANY MAY GO AHEAD WITH ANY RESTRUCTURING OF ITS CAPITAL.EXCHANGES AND DEPOSITORIES ARE DIRECTED TO NOTE AND GIVE EFFECT TO THESE
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO PASS FINAL ORDER ON OR BEFORE 22/09/2008 TILL SUCH TIME DIRECTIONS ISSUED BY IMPUGNED ORDER WILL CONTINUE TO OPERATE WITH NO ORDER AS TO COSTS
AS NO PRIMA FACIE CASE AGAINST APPLICANTS AND NO MATERIAL TO PROCEED FURTHER, NO NEED TO CONTINUE INTERIM DIRECTIONS DATED 22/02/2007 AND THE SAME IS HEREBY REVOKED
AS NO PRIMA FACIE CASE AGAINST APPLICANTS HENCE EARLIER ORDER DATED 22/02/2007 AS MODIFIED VIDE ORDER DATED 27/09/2007 CEASED TO EXIST NOW AND REVOKED
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO PASS FINAL ORDER ON OR BEFORE 22/09/2008 TILL SUCH TIME DIRECTIONS ISSUED BY IMPUGNED ORDER WILL CONTINUE TO OPERATE WITH NO ORDER AS TO COSTS
|
| 210 |
|
|
ATLANTA LTD.
(Along with : ADHUNIK FINANCE PVT.LTD.,
AMBALAL P.BAROT (HUF),
EDEN REALTY PVT.LTD.,
ELLIS EQUITY ADVISORS PVT.LTD.,
EMERGING CAPITAL ADVISORS LTD.,
HEM-KANAK MERCANTILE PVT.LTD.,
HIM REALTY PVT.LTD.,
MAYROSE CAPFIN PVT.LTD.,
NEOL EQUITY RESEARCH PVT.LTD.,
RAJENDRA A.BAROT (HUF),
SAMRADHA FINSTOCK PVT.LTD.,
SPARKLINE MERCANTILE CO.PVT.LTD.,
SPOT LIGHT SECURITIES PVT.LTD.,
STRATEGIC RESEARCH INTELLIGENCE LTD.,
WINSTAR E-COM PVT.LTD.)
|
|
|
|
BHAVANA R.BBAROT
|
|
|
DILIP NABERA
|
|
|
JAY THAKURAL
|
|
|
KISHORE THAKURAL
|
|
|
MANISH MARWAH
|
|
|
MITUL M.DOSHI
|
|
|
MUKUND C.DOSHI
|
|
|
PRAKASH J.MODI
|
|
|
RAJHOO BBAROT
|
|
|
RIDHIMA M.DOSHI
|
|
|
RIKIN R.BBAROT
|
|
|
SADHANA DILIP NABERA
|
|
|
SHADILAL CHOPRA
PAN:AAAPC6067F
|
|
|
SMITA M.DOSHI
|
|
|
VIKRAMKUMAR DEVICHAND JAIN
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,22,338, ADMINISTRATION CHARGES RS.27,065 VIDE CONSENT ORDER)
26-JUN-2009
|
AD INTERIM ORDER DATED 22/02/2007 AMENDED TO THE EXTENT THAT THE COMPANY MAY GO AHEAD WITH ANY RESTRUCTURING OF ITS CAPITAL.EXCHANGES AND DEPOSITORIES ARE DIRECTED TO NOTE AND GIVE EFFECT TO THESE
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO PASS FINAL ORDER ON OR BEFORE 22/09/2008 TILL SUCH TIME DIRECTIONS ISSUED BY IMPUGNED ORDER WILL CONTINUE TO OPERATE WITH NO ORDER AS TO COSTS
AS NO PRIMA FACIE CASE AGAINST APPLICANTS AND NO MATERIAL TO PROCEED FURTHER, NO NEED TO CONTINUE INTERIM DIRECTIONS DATED 22/02/2007 AND THE SAME IS HEREBY REVOKED
AS NO PRIMA FACIE CASE AGAINST APPLICANTS HENCE EARLIER ORDER DATED 22/02/2007 AS MODIFIED VIDE ORDER DATED 27/09/2007 CEASED TO EXIST NOW AND REVOKED
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO PASS FINAL ORDER ON OR BEFORE 22/09/2008 TILL SUCH TIME DIRECTIONS ISSUED BY IMPUGNED ORDER WILL CONTINUE TO OPERATE WITH NO ORDER AS TO COSTS
|
| 211 |
|
|
ATLANTA LTD.
(Along with : ADHUNIK FINANCE PVT.LTD.,
AMBALAL P.BAROT (HUF),
EDEN REALTY PVT.LTD.,
ELLIS EQUITY ADVISORS PVT.LTD.,
EMERGING CAPITAL ADVISORS LTD.,
HEM-KANAK MERCANTILE PVT.LTD.,
HIM REALTY PVT.LTD.,
MAYROSE CAPFIN PVT.LTD.,
NEOL EQUITY RESEARCH PVT.LTD.,
RAJENDRA A.BAROT (HUF),
SAMRADHA FINSTOCK PVT.LTD.,
SPARKLINE MERCANTILE CO.PVT.LTD.,
SPOT LIGHT SECURITIES PVT.LTD.,
STRATEGIC RESEARCH INTELLIGENCE LTD.,
WINSTAR E-COM PVT.LTD.)
|
|
|
|
BHAVANA R.BBAROT
|
|
|
DILIP NABERA
|
|
|
JAY THAKURAL
|
|
|
KISHORE THAKURAL
|
|
|
MANISH MARWAH
|
|
|
MITUL M.DOSHI
|
|
|
MUKUND C.DOSHI
|
|
|
PRAKASH J.MODI
|
|
|
RAJHOO BBAROT
|
|
|
RIDHIMA M.DOSHI
|
|
|
RIKIN R.BBAROT
|
|
|
SADHANA DILIP NABERA
|
|
|
SHADILAL CHOPRA
PAN:AAAPC6067F
|
|
|
SMITA M.DOSHI
|
|
|
VIKRAMKUMAR DEVICHAND JAIN
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
REACHED SETTLEMENT ( CONSENT ORDER)
26-JUN-2009
|
AD INTERIM ORDER DATED 22/02/2007 AMENDED TO THE EXTENT THAT THE COMPANY MAY GO AHEAD WITH ANY RESTRUCTURING OF ITS CAPITAL.EXCHANGES AND DEPOSITORIES ARE DIRECTED TO NOTE AND GIVE EFFECT TO THESE
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO PASS FINAL ORDER ON OR BEFORE 22/09/2008 TILL SUCH TIME DIRECTIONS ISSUED BY IMPUGNED ORDER WILL CONTINUE TO OPERATE WITH NO ORDER AS TO COSTS
AS NO PRIMA FACIE CASE AGAINST APPLICANTS AND NO MATERIAL TO PROCEED FURTHER, NO NEED TO CONTINUE INTERIM DIRECTIONS DATED 22/02/2007 AND THE SAME IS HEREBY REVOKED
AS NO PRIMA FACIE CASE AGAINST APPLICANTS HENCE EARLIER ORDER DATED 22/02/2007 AS MODIFIED VIDE ORDER DATED 27/09/2007 CEASED TO EXIST NOW AND REVOKED
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO PASS FINAL ORDER ON OR BEFORE 22/09/2008 TILL SUCH TIME DIRECTIONS ISSUED BY IMPUGNED ORDER WILL CONTINUE TO OPERATE WITH NO ORDER AS TO COSTS
|
| 212 |
|
|
ATLANTA LTD.
(Along with : ADHUNIK FINANCE PVT.LTD.,
AMBALAL P.BAROT (HUF),
EDEN REALTY PVT.LTD.,
ELLIS EQUITY ADVISORS PVT.LTD.,
EMERGING CAPITAL ADVISORS LTD.,
HEM-KANAK MERCANTILE PVT.LTD.,
HIM REALTY PVT.LTD.,
MAYROSE CAPFIN PVT.LTD.,
NEOL EQUITY RESEARCH PVT.LTD.,
RAJENDRA A.BAROT (HUF),
SAMRADHA FINSTOCK PVT.LTD.,
SPARKLINE MERCANTILE CO.PVT.LTD.,
SPOT LIGHT SECURITIES PVT.LTD.,
STRATEGIC RESEARCH INTELLIGENCE LTD.,
WINSTAR E-COM PVT.LTD.)
|
|
|
|
BHAVANA R.BBAROT
|
|
|
DILIP NABERA
|
|
|
JAY THAKURAL
|
|
|
KISHORE THAKURAL
|
|
|
MANISH MARWAH
|
|
|
MITUL M.DOSHI
|
|
|
MUKUND C.DOSHI
|
|
|
PRAKASH J.MODI
|
|
|
RAJHOO BBAROT
|
|
|
RIDHIMA M.DOSHI
|
|
|
RIKIN R.BBAROT
|
|
|
SADHANA DILIP NABERA
|
|
|
SHADILAL CHOPRA
PAN:AAAPC6067F
|
|
|
SMITA M.DOSHI
|
|
|
VIKRAMKUMAR DEVICHAND JAIN
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.12,89,114 VIDE CONSENT ORDER)
08-JAN-2010
|
AD INTERIM ORDER DATED 22/02/2007 AMENDED TO THE EXTENT THAT THE COMPANY MAY GO AHEAD WITH ANY RESTRUCTURING OF ITS CAPITAL.EXCHANGES AND DEPOSITORIES ARE DIRECTED TO NOTE AND GIVE EFFECT TO THESE
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO PASS FINAL ORDER ON OR BEFORE 22/09/2008 TILL SUCH TIME DIRECTIONS ISSUED BY IMPUGNED ORDER WILL CONTINUE TO OPERATE WITH NO ORDER AS TO COSTS
AS NO PRIMA FACIE CASE AGAINST APPLICANTS AND NO MATERIAL TO PROCEED FURTHER, NO NEED TO CONTINUE INTERIM DIRECTIONS DATED 22/02/2007 AND THE SAME IS HEREBY REVOKED
AS NO PRIMA FACIE CASE AGAINST APPLICANTS HENCE EARLIER ORDER DATED 22/02/2007 AS MODIFIED VIDE ORDER DATED 27/09/2007 CEASED TO EXIST NOW AND REVOKED
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO PASS FINAL ORDER ON OR BEFORE 22/09/2008 TILL SUCH TIME DIRECTIONS ISSUED BY IMPUGNED ORDER WILL CONTINUE TO OPERATE WITH NO ORDER AS TO COSTS
|
| 213 |
|
|
ATLANTA LTD.
|
|
|
|
SACHIN JAIN
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
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DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2008 TO 29-SEP-2009
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 30-SEP-2008 TO 29-SEP-2009
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 30-SEP-2008 TO 29-SEP-2009
30-SEP-2008
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AD-INTERIM ORDER DATED 22/02/2007 AMENDED TO THE EXTENT THAT THE COMPANY MAY GO AHEAD WITH ANY RESTRUCTURING OF ITS CAPITAL.EXCHANGES AND DEPOSITORIES ARE DIRECTED TO NOTE AND GIVE EFFECT TO THESE
SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO PASS FINAL ORDER ON OR BEFORE 22/09/2008 TILL SUCH TIME DIRECTIONS ISSUED BY IMPUGNED ORDER WILL CONTINUE TO OPERATE WITH NO ORDER AS TO COSTS
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| 214 |
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ATLANTA THAKURAL CONSTRUCTIONS
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JAY THAKURAL
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KISHORE THAKURAL
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INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
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DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
REACHED SETTLEMENT ( CONSENT ORDER)
22-SEP-2008
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SAT: APPEAL DISPOSED OFF, WITH DIRECTION TO SEBI TO PASS FINAL ORDER ON OR BEFORE 22/09/2008 TILL SUCH TIME DIRECTIONS ISSUED BY IMPUGNED ORDER WILL CONTINUE TO OPERATE WITH NO ORDER AS TO COSTS
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| 215 |
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ATLAS JEWELLERY INDIA LTD.
(PAN:AAACG5890R)
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DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
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IMPOSED PENALTY RS.3,00,000
30-JUN-2014
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| 216 |
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ATN INTERNATIONAL LTD.
(CIN:L65993WB1983PLC080793
PAN:AACCA5744Q)
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DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
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IMPOSED PENALTY RS.20,00,000
09-AUG-2004
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SAT: ORDER MODIFIED BY REDUCING AMOUNT TO RS.40,000 FROM RS.20,00,000
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| 217 |
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AUGHT INVESTMENTS PVT.LTD.
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ALLEGED DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 14 (1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 19,53,234 SHARES OF ANIL PRODUCT LTD.
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
06-OCT-2010
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| 218 |
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AUSTRAL COKE & PROJECTS LTD.
(PAN:AABCN1393B)
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RATAN LAL TAMAKHUWALA
PAN:ACUPT7280P
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RISHIRAJ AGARWAL
PAN:AEQPA0755E
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DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GREMACH INFRASTRUCTURE EQUIPMENTS & PROJECTS LTD. (PRESENTLY KNOWN AS SANCIA GLOBAL INFRAPROJECTS LTD.)
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DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-FEB-2019 UNTIL DISCHARGE LIABILITY BY MAKING PUBLIC ANNOUNCEMENT
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-FEB-2019 UNTIL DISCHARGE LIABILITY BY MAKING PUBLIC ANNOUNCEMENT
06-FEB-2019
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| 219 |
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AUTOMOBILE PRODUCTS OF INDIA LTD.
(PAN:AABCA0725C)
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ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,63,000 VIDE CONSENT ORDER)
25-NOV-2014
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| 220 |
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AUTOMOTIVE STAMPINGS & ASSEMBLIES LTD.
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ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 6(2),6(4) FOR YEAR 1997 AND 8(3) FOR YEARS 1999 AND 2001 OF SEBI TAKEOVER CODE, 1997
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,10,000 VIDE CONSENT ORDER)
25-AUG-2009
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| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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| Page 11 of 114
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