| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 221 |
|
KRISHNAMURTHY NARENDRANATH
(PAN:AAAPN1873E)
|
|
|
ALLEGED INVESTMENT IN MUTUAL FUNDS CATEGORIZED AS LARGE CAPITAL FUNDS
ALLEGED FAILURE IN MAKING DISCLOSURE TO INVESTORS THE LEVEL OF LEVERAGE ARISING FROM POSITION HELD IN FUTURES
ALLEGED DELAY IN OBTAINING SCORES LOGIN AND PASSWORD
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.49,40,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
01-AUG-2023
|
SEBI VIDE ITS ORDER DATED 18/12/2023 DISPOSED OF THE APPEAL AS THE SETTLEMENT AMOUNT OF RS.49.40 LAC HAS BEEN PAID AS PER THE SETTLEMENT ORDER DATED 01/08/2023 READ WITH ADDENDUM DATED 05/12/2023
|
| 222 |
|
|
KRISHNKUMAR DEVIPRASAD KHANDELWAL
|
|
|
|
KHANDELWAL HERMAN ELECTRONICS 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
|
|
| 223 |
|
|
LAL GOYAL
|
|
|
|
WEST COAST BREWERS & DISTILLERS LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-SEP-2017 TILL RESOLVES ALL THE INVESTOR GRIEVANCE PENDING
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-SEP-2017 TILL RESOLVES ALL THE INVESTOR GRIEVANCE PENDING
22-SEP-2017
|
SAT: SAT VIDE ITS ORDER DATED 06/01/2023 CONDONED THE DELAY IN FILING OF APPEAL
|
| 224 |
|
|
LALIT KUMAR MISHRA
|
|
|
|
JAYANT VITAMINS 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
|
|
| 225 |
|
|
LALIT O.JOGANI
|
|
|
|
LIBRA FILAMENTS 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 29-JUN-2016 TILL OBTAINS SCORES AUTHENTICATION AND RESOLVES INVESTORS GRIEVANCES
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JUN-2016 TILL OBTAINS SCORES AUTHENTICATION AND RESOLVES INVESTORS GRIEVANCES
29-JUN-2016
|
|
| 226 |
|
|
LALITABEN N.SHAH
|
|
|
|
INDO-AMERICAN OPTICS LTD.
CIN:U26109GJ1991PLC015349
|
|
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
|
|
| 227 |
|
|
LALITABEN SHAH
|
|
|
|
INDO-AMERICAN CREDIT CORP.LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS REGARDING DELAY IN TRANSFER OF SHARES
FAILED TO PAY DIVIDENDS TO SHAREHOLDERS
|
LAUNCHED CRIMINAL PROSECUTION
20-NOV-1998
|
|
| 228 |
|
|
LAXMIKANT SHARMA
(PAN:BNYPS4320M)
|
|
|
|
HIGHBROW MARKET RESEARCH PVT.LTD.
PAN:AACCH8077M
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
SOLD MULTIPLE PACKAGES TO CLIENTS WITH THREAT OF FORFEITURE AND CHARGED
UNREASONABLE AND UNDISCLOSED FEE
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE
SPLIT THE FEE AMONG RELATIVES OF CLIENT AND DENIED TO ACKNOWLEDGE CLIENTS EVEN AFTER RECEIVING PAYMENT AND FORCEFULLY CAPTURED CARD DETAILS
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
IMPOSED PENALTY RS.1,00,000
31-MAR-2023
|
SEBI VIDE ITS NOTICE DATED 20/07/2023 DIRECTED TO PAY RS.1,06,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 24/08/2023 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
SAT: SAT VIDE ITS ORDER DATED 09/01/2024 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND FILE REJOINDER THREE WEEKS THEREAFTER. DIRECTED APPELLANTS TO DEPOSIT A CHEQUE TO THE RESPONDENT TO THE NEEDFUL AND THE ACCOUNT WILL BE DEFREEZED ONCE THE CHEQUE IS CREDITED TO SEBI’S ACCOUNT
SEBI VIDE ITS NOTICE DATED 21/02/2024 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 24/08/2023
SEBI VIDE ITS ORDER DATED 21/02/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6921 OF 2023 DATED 20/07/2023
SAT: SAT VIDE ITS ORDER DATED 21/02/2024 GRANTED ADDITIONAL THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 29/04/2024 ALLOWED THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 12/06/2024 GRANTED TWO WEEKS TO FILE REJOINDER
|
| 229 |
|
|
M.A.MENON
|
|
|
|
ALPINE INDUSTRIES LTD.
|
|
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
|
|
| 230 |
|
|
M.C.GUPTA
|
|
|
|
INFORMATION TECHNOLOGIES (INDIA) LTD.
CIN:U65910UP1994PLC017049
PAN:AAACI1891E
|
|
DID NOT REDRESS INVESTOR GRIEVANCES DESPITE BEING DIRECTED BY SEBI
|
IMPOSED PENALTY RS.1,00,00,000
06-MAY-2005
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 231 |
|
|
M.C.JAYARAMAN
|
|
|
|
RANE COMPUTERS CONSULTANCY 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 13-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
13-DEC-2010
|
|
| 232 |
|
|
M.K.BAKSHI
|
|
|
|
GUJARAT DEHYD FOODS LTD.
|
|
DID NOT TRANSFER SHARE CERTIFICATES WITHIN STIPULATED TIME
FAILED TO PAY DIVIDENDS TO SHAREHOLDERS
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
27-SEP-2001
|
|
| 233 |
|
|
M.K.KATARA
|
|
|
|
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
|
| 234 |
|
|
M.N.ACHARYA
|
|
|
|
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
|
|
| 235 |
|
|
M.N.CHAUDHARY
|
|
|
|
INFORMATION TECHNOLOGIES (INDIA) LTD.
CIN:U65910UP1994PLC017049
PAN:AAACI1891E
|
|
DID NOT REDRESS INVESTOR GRIEVANCES DESPITE BEING DIRECTED BY SEBI
|
IMPOSED PENALTY RS.1,00,00,000
06-MAY-2005
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 236 |
|
|
M.S.JAGANNATHAN
|
|
|
|
CHANDIGARH PACKAGING PRODUCTS LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
|
| 237 |
|
|
M.S.SUNDARARAJAN
(PAN:AAFPM4934N)
|
|
|
ALLEGED INVESTMENT IN MUTUAL FUNDS CATEGORIZED AS LARGE CAPITAL FUNDS
ALLEGED FAILURE IN MAKING DISCLOSURE TO INVESTORS THE LEVEL OF LEVERAGE ARISING FROM POSITION HELD IN FUTURES
ALLEGED DELAY IN OBTAINING SCORES LOGIN AND PASSWORD
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.49,40,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
01-AUG-2023
|
SEBI VIDE ITS ORDER DATED 18/12/2023 DISPOSED OF THE APPEAL AS THE SETTLEMENT AMOUNT OF RS.49.40 LAC HAS BEEN PAID AS PER THE SETTLEMENT ORDER DATED 01/08/2023 READ WITH ADDENDUM DATED 05/12/2023
|
| 238 |
|
|
MAFATLAL GORDHANBHAI PATEL
|
|
|
|
PANCHMAHAL CEMENT LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.1,00,000
09-OCT-2004
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 239 |
|
|
MAHESH K.PODDAR
|
|
|
|
VIKAS WSP LTD.
CIN:L24139HR1988PLC030300
PAN:AAACV7816Q
|
|
DID NOT REDRESS INVESTOR GRIEVANCES DESPITE BEING DIRECTED BY SEBI
|
IMPOSED PENALTY RS.1,00,000
01-NOV-2004
|
SAT: APPEAL FAILED AND DISMISSED
|
| 240 |
|
|
MAHESH K.PODDAR
|
|
|
|
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
|
| 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 12 of 27
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