| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
GOPAL PASCHISIA
|
|
|
|
SHANKAR GROWTH FUND PVT.LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE COURT ACQUITTED ALL ACCUSED
|
| 202 |
|
|
GOPAL PRASAD DOKANIA
|
|
|
|
GUJARAT NRE COKE LTD.
|
|
VIOLATED SEBI ACT, 1992
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 203 |
|
|
GOPU PARIMAL BELANI
|
|
|
|
ALKAN PROJECTS PVT.LTD.
|
|
|
M’BELLE INTERNATIONAL PVT.LTD.
|
|
|
MAYFAIR REALTORS PVT.LTD.
|
|
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 204 |
|
|
GOPU PARIMAL BELANI
|
|
|
|
M’BELLE INTERNATIONAL PVT.LTD.
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 205 |
|
|
GURUMURTHI JAYARAMAN
(PAN:AADPJ1767C)
|
|
|
|
SECUREKLOUD TECHNOLOGIES LTD.
PAN:AABCP6266D
|
|
AIDED AND ABETTED MANIPULATION OF BOOKS OF ACCOUNTS AND FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATION 3(B) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SECUREKLOUD TECHNOLOGIES LTD. (FORMERLY KNOWN AS 8K MILES SOFTWARE SERVICES LTD.)
INDULGED IN PREPARING AND SUBMITTING AND PUBLISHING FALSE & MANIPULATED CONSOLIDATED AND STANDALONE FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), (G), (H), (J), 4(2)(F)(I)(2), 4(2)(F)(II)(2), (6),(7), 4(2)(F)(III) (1)(3), (6) AND (12) READ WITH REGULATION 33(1)(A), (C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF SECUREKLOUD TECHNOLOGIES LTD. (FORMERLY KNOWN AS 8K MILES SOFTWARE SERVICES LTD.)
DID NOT DISCLOSE INCORPORATION OF FOREIGN SUBSIDIARIES VIOLATING REGULATION 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SECUREKLOUD TECHNOLOGIES LTD. (FORMERLY KNOWN AS 8K MILES SOFTWARE SERVICES LTD.)
DID NOT EXERCISE DUE DILIGENCE AS MEMBER OF AUDIT COMMITTEE VIOLATING REGULATION 18(3) READ WITH PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015
MADE FALSE STATEMENTS TO SEBI VIOLATING SECTIONS 11C(3) AND 11C(5) OF SEBI ACT, 1992 IN MATTER OF SECUREKLOUD TECHNOLOGIES LTD. (FORMERLY KNOWN AS 8K MILES SOFTWARE SERVICES LTD.)
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-AUG-2022 UNTIL FURTHER ORDERS
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 04-AUG-2022 UNTIL FURTHER ORDERS
04-AUG-2022
|
|
| 206 |
|
|
GYANNENDRA NATH JOHARI
|
|
|
|
CENTURY CONSULTANTS LTD.
|
|
|
CYBERSPACE LTD.
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 207 |
|
|
H.C.SHETH
|
|
|
|
GANGOTRI CEMENT LTD.
PAN:AAACG8488P
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SECTION 11 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 208 |
|
|
H.K.SUREKHA
|
|
|
|
NEW-LOOK SHARES & STOCKS PVT.LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SECTION 11 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 209 |
|
|
HANSA J.SHUKLA
|
|
|
|
OJAS TECHNOCHEM PRODUCTS LTD.
|
|
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
SEBI CONDUCTED INVESTIGATION INTO THE ALLEGED PRICE AND VOLUME MANIPULATION IN THE SCRIP OF OJAS TECHNOCHEM PRODUCTS LTD., DURING INVESTIGATION, INVESTIGATING AUTHORITY (IA) ISSUED SUMMONS AGAINST THE ACCUSED AND RELATED ENTITIES TO PRODUCE
DOCUMENTS/INFORMATION WHICH WAS VITAL FOR PROGRESS OF INVESTIGATION. THE ACCUSED FAILED TO RESPOND TO THE SUMMONS AND TO APPEAR BEFORE IA. PROSECUTION WAS LAUNCHED UNDER SECTION 11C(6) OF THE SEBI ACT, 1992 FOR NON-COMPLIANCE OF SUMMONS.
THE MATTER WAS DISPOSED AS SEBI RECEIVED THE ENTIRE COMPOUNDING
AMOUNT
|
| 210 |
|
|
HARGOVIND I.PATEL
|
|
|
|
ADD-LIFE PHARMA LTD.
CIN:L24230GJ1991PLC014894
PAN:AAFCA5165L
|
|
FAILED TO PAY PENALTY
VIOLATED SECTION 27 OF SEBI ACT, 1992
VIOLATED SECTION 20(2) OF SEBI DEPOSITORIES ACT, 1996
VIOLATED SECTION 21 OF SEBI DEPOSITORIES ACT, 1996
|
PROSECUTION LAUNCHED
15-JUL-2022
|
|
| 211 |
|
|
HARI KUMAR
|
|
|
|
MARISHA FINANCIAL SERVICES LTD.
|
|
VIOLATED SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
DURING THE TRIAL A21 (SHRI ASHOK KUMAR KOHLI) HAD EXPIRED, THEREFORE, PROCEEDINGS QUA HIM WAS ABATED. ACCUSED NO.20 (M/S EVERGROW FINANCIAL SERVICES PVT.LTD.) AND A22 ( SHRI PRADEEP SHARMA) FACED THE TRIAL AND THEY REMAINING ACCUSED WERE DECLARED POS. THE CAPTIONED MATTER WAS POSTED BEFORE THE LD. COURT ON JULY 30, 2012 FOR PRONOUNCEME NT OF JUDGMENT. AFTER RECORDING ITS REASONS THE COURT HELD THAT SEBI COULD NOT PROVE ITS CASE AGAINST A20 AND A22 BEYOND THE SHADOW OF ALL REASONABLE DOUBTS, AND THEREBY ACQUITTED A20 AND A22
|
| 212 |
|
|
HARI SINGH
(DIN:03609738
PAN:BEYPS1645Q)
|
|
|
|
PINCON SECURITIES LTD.
CIN:U67120WB2011PLC170424
|
|
ASSISTED/ASSOCIATED LRN FINANCE LTD. IN SUBSCRIPTION/ISSUE OF NCDS AS MERCHANT BANKER WITHOUT OBTAINING REGISTRATION UNDER MERCHANT BANKER REGULATIONS VIOLATING SECTIONS 12 OF SEBI ACT, 1992 IN MATTER OF PINCON SECURITIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 26-OCT-2021 TO 25-OCT-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-OCT-2021 TO 25-OCT-2026
RESTRAINED AND FURTHER PROHIBITED FROM HOLDING AND OCCUPYING ANY MANAGERIAL POST OR BEING ASSOCIATED DIRECTLY OR INDIRECTLY WITH ANY LISTED PUBLIC COMPANY AND/OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 26-OCT-2021 TO 25-OCT-2026
26-OCT-2021
|
|
| 213 |
|
|
HARISH JOSHI
(PAN:ADYPJ1327J)
|
|
|
|
INDIAN INFOTECH & SOFTWARE LTD.
CIN:L70100MH1982PLC027198
PAN:AAACI0350E
|
|
DID NOT PRESENT TRUE AND FAIR FINANCIAL STATEMENTS AND EXECUTED TRANSACTIONS WHICH WERE NON-GENUINE IN NATURE AND MISUSE OF ACCOUNT/FUNDS VIOLATING REGULATIONS 4(1)(C), (E) & (G), 4(2)(F)(I)(2), 4(2)(F)(II)(6), 7, 4(2)(F)(III)(1), (3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
DID NOT PRESENT TRUE AND FAIR FINANCIAL STATEMENTS AND EXECUTED TRANSACTIONS WHICH WERE NON-GENUINE IN NATURE AND MISUSE OF ACCOUNT/FUNDS VIOLATING REGULATIONS 4(1), 4(2)(F) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
DID NOT PRESENT TRUE AND FAIR FINANCIAL STATEMENTS AND EXECUTED TRANSACTIONS WHICH WERE NON-GENUINE IN NATURE AND MISUSE OF ACCOUNT/FUNDS VIOLATING SECTION 21 OF SCRA, 1956 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
DID NOT COOPEARATE WITH FORENSIC AUDITOR APPOINTED BY BSE AND DID NOT PROVIDE ANY EVIDENCE TO SUBSTANTIATE FINANCIAL TRANSACTIONS AND STATEMENTS OF COMPANY VIOLATED SECTION 24 (2) READ WITH 27 OF SEBI ACT, 1992 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 12-NOV-2020 TO 11-MAY-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
12-NOV-2020
|
|
| 214 |
|
|
HARMOHAN S.CHANDOK
|
|
|
|
GREENFIELD TRADING & FINANCE LTD.
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 215 |
|
|
HARSH JAIN
|
|
|
|
VINTEL SECURITIES PVT.LTD.
PAN:AABCV0925H
|
|
VIOLATED SECTION 24 (2) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
30-JUN-2010
|
MATTER WITHDRAWN AGAINST ACCUSED NO.2 AND COMPOUNDED AGAINST ACCUSED NO. 1,3 AND 4
|
| 216 |
|
|
HASMUKH RAY BHATT
|
|
|
|
RUSHABH SECURITES LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 217 |
|
|
HASMUKHLAL N.VORA
|
|
|
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
|
|
| 218 |
|
|
HEENA RAJNIBHAI PATEL
|
|
|
|
PARAGON INVESTMENTS PVT.LTD.
|
|
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.1,60,000 BY THE ACCUSED TO SEBI
|
| 219 |
|
|
HEERACHAND SALECHA
|
|
|
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
15-MAY-2006
|
COMPOUNDED
|
| 220 |
|
|
HEMENDRA B.SHAH
|
|
|
VIOLATED REGULATIONS 4 (A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SECTION 26 OF SEBI ACT, 1992
VIOLATED RULE 7 OF SEBI (STOCK BROKERS & SUB BROKERS) RULES, 1992
|
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. |
| |
|
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| Page 11 of 39
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