| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 221 |
|
ECO FRIENDLY FOOD PROCESSING PARK LTD.
(CIN:L45209DL2008PLC181131
PAN:AACCE0416B)
|
|
|
|
AMAR SINGH BISHT
PAN:AKOPB4144J
|
|
|
BRIJ KISHORE SABHARWAL
PAN:AAXPS6830P
|
|
|
VINOD KUMAR GARG
PAN:AAAPG4116B
|
|
MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSPECTUS VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF ECO FRIENDLY FOOD PROCESSING PARK LTD.
DID NOT SUBMIT INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF IPO OF ECO FRIENDLY FOOD PROCESSING PARK LTD.
DID NOT UTILIZE IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS AND MADE WRONG DISCLOSURE TO STOCK EXCHANGES WITH RESPECT TO IPO PROCEEDS VIOLATING REGULATION 57(1) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF ECO FRIENDLY FOOD PROCESSING PARK LTD.
DID NOT UTILIZE IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS AND GAVE WRONG DISCLOSURES WITH RESPECT TO IPO PROCEED TO STOCK EXCHANGES VIOLATING CLAUSES 45 AND 46 OF THE LISTING AGREEMENT FOR SMES READ WITH SECTION 21 OF SCRA ACT, 1956
|
IMPOSED PENALTY RS.13,00,000
29-JUL-2022
|
SAT: SAT VIDE ITS ORDER DATED 23/03/2023 ALLOWED RESPONDENT FURTHER TWO WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 01/05/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 17/09/2024 DIRECTED TO PAY RS.13,98,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 20/01/2025 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS NOTICE DATED 22/05/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.14,86,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 222 |
|
|
ECO FRIENDLY FOOD PROCESSING PARK LTD.
(CIN:L45209DL2008PLC181131
PAN:AACCE0416B)
|
|
|
DID NOT SUBMIT INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF ESTEEM BIO FOOD PROCESSING LTD.
|
IMPOSED PENALTY RS.10,00,000
10-MAR-2021
|
SEBI VIDE ITS NOTICE DATED 02/11/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS ORDER DATED 30/11/2021 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNT OF ECO FRIENDLY FOOD PROCESSING PARK LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 223 |
|
|
EDC SECURITIES PVT.LTD.
(PAN:AAACE9165D)
|
|
|
INDULGED IN OFF-MARKET TRANSACTIONS IN SCRIP OF BANK OF RAJASTHAN LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF BANK OF RAJASTHAN LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF BANK OF RAJASTHAN LTD.
|
IMPOSED PENALTY RS.15,00,000
14-FEB-2013
|
SAT: SAT VIDE ITS ORDER DATED 11/02/2014 UPHELD PENALTY IMPOSED UNDER SECTIONS 15HA AND 15A(B) AND SET ASIDE PENALTY IMPOSED UNDER SECTION 15 A(A) OF SEBI ACT.
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 224 |
|
|
EDSERV SOFTSYSTEMS LTD.
(CIN:L72200TN2001PLC046789
PAN:AAACL7131L)
|
|
|
|
GANAPATHY GITA
PAN:AAGPG2647F
|
|
|
IIANGO BALAKRISHNA
PAN:AAJPI0688K
|
|
|
S.ARVIND
PAN:AACPA7943E
|
|
|
S.GIRIDHARAN
PAN:AAGPG2646E
|
|
|
T.S.RAVICHANDRAN
PAN:AAJPR0108F
|
|
DID NOT MAKE DISCLOSURE OF FUNDS RAISED THROUGH ICDS IN THE NATURE OF A BRIDGE LOAN IN THE MATTER OF IPO OF EDSERV SOFTSYSTEMS LTD.
DID NOT MAKE DISCLOSURE OF PLACING OF ORDERS WITH SUPPLIERS FOR THE ESTABLISHMENT OF HEAL LABORATORIES IN THE MATTER OF IPO OF EDSERV SOFTSYSTEMS LTD.
INDULGED IN SIPHONING AND DIVERSION OF IPO PROCEEDS IN THE MATTER OF IPO OF EDSERV SOFTSYSTEMS LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF EDSERV SOFTSYSTEMS LTD.
|
PROHIBITED FROM RAISING ANY FURTHER CAPITAL FROM SECURITIES MARKET, IN ANY MANNER WHATSOEVER FROM 11-APR-2016 TO 10-APR-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-APR-2016 TO 10-APR-2019
11-APR-2016
|
|
| 225 |
|
|
ELBEE SERVICES LTD.
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.6,00,000
22-APR-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 226 |
|
|
ELEXI CONSULTANCY SERVICES PVT.LTD.
(PAN:AABCE3525A)
|
|
|
|
GOPI CHAND BANSHAL
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF G.R.INDUSTRIES & FINANCE LTD.
|
IMPOSED PENALTY RS.2,00,000
28-MAR-2011
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 227 |
|
|
ELEXI CONSULTANCY SERVICES PVT.LTD.
(PAN:AABCE3525A)
|
|
|
|
RAJENDRA BUBNA
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF G.R.INDUSTRIES & FINANCE LTD.
|
IMPOSED PENALTY RS.2,00,000
28-MAR-2011
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 228 |
|
|
ELITE INVESTMENT ADVISORY SERVICES
(PAN:BZZPS6587H)
|
|
|
|
RAJIV KUMAR SINGH
PAN:BZZPS6587H
|
|
DID NOT HAVE REQUISITE NISM CERTIFICATES AT ALL TIMES TO PROVIDE INVESTMENT ADVICE
DID NOT INTIMATE SEBI ABOUT MATERIAL CHANGE IN INFORMATION
DID NOT FULFIL GENERAL RESPONSIBILITIES OF INVESTMENT ADVISER AND DID NOT MAINTAIN CLIENT LEVEL SEGREGATION OF ADVISORY AND DISTRIBUTION SERVICES
DID NOT UNDERTAKE RISK PROFILING OF CLIENTS
DID NOT PROVIDE DOCUMENTED PROCESS FLOW AND DETAIL QUESTIONNAIRE FOR RISK PROFILING CLIENT
CHARGED EXTRA MONEY FROM CLIENTS/INVESTORS
DID NOT MAKE DISCLOSURE OF MATERIAL INFORMATION TO CLIENTS
DID NOT MAINTAIN RECORDS AS PER KNOW YOUR CLIENTS (KYC) PROCEDURES
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
ATTEMPTED DELIBERATELY TO PREVENT AND HINDER THE INSPECTION
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 25-MAR-2026
25-MAR-2026
|
|
| 229 |
|
|
ELITE INVESTMENT ADVISORY SERVICES
(PAN:BZZPS6587H)
|
|
|
|
RAJIV KUMAR SINGH
PAN:BZZPS6587H
|
|
DID NOT PROVIDE MATERIAL INFORMATION TO SEBI
DID NOT ASSESS SUITABILITY OF INVESTMENT ADVICE AND MAINTAIN APPROPRIATE STANDARDS OF CONDUCT
DID NOT MAKE DISCLOSURE OF MATERIAL INFORMATION TO CLIENTS
DID NOT UPLOAD CKYC DETAILS OF CLIENTS IN CERSAI PORTAL
DID NOT PROVIDE INFORMATION TO SEBI
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JAN-2024
|
SEBI VIDE ITS NOTICE DATED 08/05/2024 DIRECTED TO PAY RS.6,31,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 05/12/2024 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS NOTICE DATED 16/01/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.6,79,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 230 |
|
|
ELITE INVESTMENT ADVISORY SERVICES
(PAN:BZZPS6587H)
|
|
|
|
RAJIV KUMAR SINGH
PAN:BZZPS6587H
|
|
DID NOT SUBMIT MATERIAL INFORMATION TO SEBI
DID NOT MAINTAIN REGISTER WITH CKYC AGENCY CERSAI AND DID NOT EXECUTE RESPONSIBILITIES TOWARDS MAINTENANCE OF KYC RECORDS WITH CERSAI
DID NOT ASSESS SUITABILITY OF INVESTMENT ADVICE AND MAINTAIN APPROPRIATE STANDARDS OF CONDUCT
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT PROVIDE INFORMATION TO SEBI
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT OR CONTRACT OR LAUNCH A NEW SCHEME FROM 29-MAY-2024 TO 28-NOV-2024
29-MAY-2024
|
|
| 231 |
|
|
ELITE INVESTMENT ADVISORY SERVICES
(PAN:BZZPS6587H)
|
|
|
|
RAJIV KUMAR SINGH
PAN:BZZPS6587H
|
|
REPRESENTATIVES/EMPLOYEES/AUTHORISED PERSONS DID NOT HAVE REQUISITE QUALIFICATION AND CERTIFICATION
DID NOT TAKE REGISTRATION AS NON-INDIVIDUAL INVESTMENT ADVISER DESPITE EXCEEDING THE LIMIT OF 150 CLIENTS
DID NOT PROVIDE BANK DETAILS AND STATEMENTS OF FAMILY MEMBERS, KNOW YOUR CLIENT FORMS OF CLIENTS AND DID NOT MAKE AGREEMENTS WITH VARIOUS OTHER CLIENTS
CHARGED EXTRA MONEY FROM CLIENTS/INVESTORS
DID NOT PROVIDE DOCUMENTED PROCESS FLOW AND DETAIL QUESTIONNAIRE FOR RISK PROFILING CLIENT
DID NOT MAKE DISCLOSURE OF MATERIAL INFORMATION TO CLIENTS
DID NOT MAINTAIN RECORDS OF COMMUNICATION WITH CLIENTS DURING RISK PROFILING AND SUITABILITY ASSESSMENT OF ADVICE/SELECTION OF ADVISORY PRODUCT/SERVICES
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
|
IMPOSED PENALTY RS.35,00,000 ALONG WITH OTHER ENTITIES/PERSONS
18-JUL-2025
|
SEBI VIDE ITS NOTICE DATED 10/02/2026 DIRECTED TO PAY RS.37,81,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 232 |
|
|
ELITE INVESTMENTS & HOLDINGS PVT.LTD.
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF CAUVERY SOFTWARE ENGINEERING SYSTEMS LTD.
|
IMPOSED PENALTY RS.15,00,000
30-JUL-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 233 |
|
|
ELPRO MACHINERY PVT.LTD.
(PAN:AABCE7495B)
|
|
|
INDULGED IN OFF-MARKET TRANSACTIONS IN SCRIP OF BANK OF RAJASTHAN LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF BANK OF RAJASTHAN LTD.
|
IMPOSED PENALTY RS.5,00,000
14-FEB-2013
|
SAT: SAT VIDE ITS ORDER DATED 11/02/2014 UPHELD PENALTY IMPOSED UNDER SECTIONS 15HA AND 15H(II) AND SET ASIDE PENALTY IMPOSED UNDER SECTION 15 A(A) OF SEBI ACT.
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 234 |
|
|
ENAKSHI IMPEX PVT.LTD.
(PAN:AACCE2529H)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF MAHAN INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF MAHAN INDUSTRIES LTD.
|
IMPOSED PENALTY RS.6,50,000
29-SEP-2015
|
SEBI VIDE ITS NOTICE DATED 15/03/2016 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS ORDER DATED 30/03/2017 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS/LOCKERS/DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 15/03/2016
|
| 235 |
|
|
ENNORE PROCON PVT.LTD.
(PAN:AABCE7402Q)
|
|
|
INDULGED IN OFF-MARKET TRANSACTIONS IN SCRIP OF BANK OF RAJASTHAN LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF BANK OF RAJASTHAN LTD.
|
IMPOSED PENALTY RS.5,00,000
14-FEB-2013
|
SAT: SAT VIDE ITS ORDER DATED 11/02/2014 UPHELD PENALTY IMPOSED UNDER SECTIONS 15HA AND 15H(II) AND SET ASIDE PENALTY IMPOSED UNDER SECTION 15 A(A) OF SEBI ACT.
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 236 |
|
|
ESKAY K'N'IT (INDIA) LTD.
(CIN:L18109DN1987PLC000034
PAN:AABCS1363G)
|
|
|
|
NARAYAN RAMCHANDRA GHUMATKAR
DIN:01717979
PAN:AKKPG0652L
|
|
|
NAVEEN KUMAR TAYAL
PAN:AABPT2833K
|
|
|
PRAVIN KUMAR TAYAL
PAN:AAEPT9210B
|
|
INDULGED IN OFF-MARKET TRANSACTIONS IN SCRIP OF BANK OF RAJASTHAN LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF BANK OF RAJASTHAN LTD.
|
IMPOSED PENALTY RS.13,00,000
14-FEB-2013
|
SAT: SAT VIDE ITS ORDER DATED 11/02/2014 SET ASIDE PENALTY IMPOSED UNDER SECTIONS 15HA AND 15 A(A) OF SEBI ACT.
|
| 237 |
|
|
ESKAY K'N'IT (INDIA) LTD.
(CIN:L18109DN1987PLC000034
PAN:AABCS1363G)
|
|
|
MISREPRESENTED FINANCIALS AND/OR BUSINESS AND MISUSED FUNDS/BOOKS OF ACCOUNTS OF ESKAY AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 8, 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ESKAY K'N'IT (INDIA) LTD.
DID NOT APPOINT QUALIFIED AND EXPERIENCE COMPLIANCE OFFICER AND/OR COMPANY SECRETARY
DID NOT FURNISH INFORMATION SOUGHT BY FORENSIC AUDITOR
|
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 17-FEB-2020 TO 16-FEB-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.40,00,000
11-AUG-2021
|
|
| 238 |
|
|
ESQUIRE MONEY GUARANTEES LTD.
(PAN:AAACE1075E)
|
|
|
|
JAI BOTHRA
|
|
|
M.D.DALAL
|
|
|
MOOLCHAND SUTHAR
|
|
|
MURARI TULSIAN
|
|
|
SURESH JAJODIA
|
|
VIOLATED SEBI PREFERENTIAL ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES BY NOT INFORMING STOCK EXCHANGE THE ALLOTMENT OF SHARES OF ESQUIRE MONEY GUARANTEE LTD. RESULTING SHARES NOT LISTED WITH STOCK EXCHANGE
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
DID NOT FURNISH INFORMATION, RETURN ETC. TO SEBI
|
IMPOSED PENALTY RS.12,00,000
28-DEC-2006
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 239 |
|
|
ESSKEY RUBBER INDUSTRIES PVT.LTD.
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF KONKAN TYRES LTD.
|
IMPOSED PENALTY RS.3,00,000
26-AUG-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 240 |
|
|
ESTEEM BIO ORGANIC FOOD PROCESSING LTD.
(CIN:L74899DL1995PLC071220
PAN:AAACE1925D)
|
|
|
|
BRIJ KISHORE SABHARWAL
PAN:AAXPS6830P
|
|
|
VINOD KUMAR GARG
PAN:AAAPG4116B
|
|
DID NOT UTILIZE IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS AND GAVE WRONG DISCLOSURES WITH RESPECT TO IPO PROCEED TO STOCK EXCHANGES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(C), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF ESTEEM BIO ORGANIC FOOD PROCEESING LTD.
MISUTILIZED IPO PROCEEDS FOR REPAYING LOANS VIOLATING REGULATION 57(1) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF IPO OF ESTEEM BIO ORGANIC FOOD PROCEESING LTD.
DID NOT ADHERE TO REGULATION 14(1) OF SEBI (ICDR) REGULATIONS, 2009
DID NOT UTILIZE IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS AND GAVE WRONG DISCLOSURES WITH RESPECT TO IPO PROCEED TO STOCK EXCHANGES VIOLATING CLAUSES 45 AND 46 OF THE LISTING AGREEMENT FOR SMES READ WITH SECTION 21 OF SCRA ACT, 1956
DID NOT SUBMIT INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF ESTEEM BIO FOOD PROCESSING LTD.
|
IMPOSED PENALTY RS.17,00,000
28-APR-2022
|
SEBI VIDE ITS NOTICE DATED 16/08/2023 DIRECTED TO PAY RS.19,90,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 13/09/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS NOTICE DATED 19/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.20,24,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 12 of 44
|
