| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 221 |
|
EITA INDIA LTD.
(PAN:AAACE6410F)
|
|
|
DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.75,000
29-AUG-2018
|
|
| 222 |
|
|
ELECTRIC CONTROL GEAR (INDIA) LTD.
(CIN:L31100GJ1978PLC008624)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
IMPOSED PENALTY RS.1,00,000
07-JAN-2020
|
|
| 223 |
|
|
ELECTRONICA MACHINE TOOLS LTD.
(PAN:AAACE4196L)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.2,00,000
12-DEC-2014
|
SEBI VIDE ITS NOTICE DATED 02/08/2021 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 05/08/2021 DIRECTED ALL THE BANKS TO REMIT RS.3,10,600.00 TO THE EXTENT LYING IN THE ACCOUNT OF ELECTRONICA MACHINE TOOLS LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS ORDER DATED 26/08/2021 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 02/08/2021
|
| 224 |
|
|
ELEGANT PHARMACEUTICALS 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 17-JUL-2015 TILL RESOLVES ALL PENDING INVESTOR GRIEVANCES
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JUL-2015 TILL RESOLVES ALL PENDING INVESTOR GRIEVANCES
17-JUL-2015
|
|
| 225 |
|
|
ELEGANT PHARMACEUTICALS LTD.
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
IMPOSED PENALTY RS.2,00,000
29-JUN-2018
|
SEBI VIDE ITS NOTICE DATED 17/12/2021 DIRECTED TO PAY RS.2,84,310.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 22/11/2022 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 ORDER DATED 22/12/2022 DIRECTED ALL THE BANKS TO REMIT RS.3,11,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF ELEGANT PHARMACEUTICALS LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 226 |
|
|
ELEGANT PHARMACEUTICALS LTD.
|
|
|
DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.5,00,000
10-JAN-2018
|
SEBI VIDE ITS NOTICE DATED 06/04/2022 DIRECTED TO PAY RS.7,61,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 22/11/2022 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 ORDER DATED 22/12/2022 DIRECTED ALL THE BANKS TO REMIT RS.8,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF ELEGANT PHARMACEUTICALS LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 227 |
|
|
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
|
|
| 228 |
|
|
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
|
| 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 |
|
|
ELLENBARRIE TEA CO.LTD.
(PAN:AAACE5769M)
|
|
|
DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,00,000
16-JUL-2019
|
SEBI VIDE ITS NOTICE DATED 14/10/2020 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 19/10/2020 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL AND MUTUAL FUNDS 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 14/10/2020
|
| 231 |
|
|
ENKAY TEXOFOOD INDUSTRIES LTD.
(PAN:AAACE0833A)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS REGARDING DELAY IN TRANSFER OF SHARES
|
IMPOSED PENALTY RS.10,00,000
23-JUN-2004
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.5,00,000 FROM RS.10,00,000
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 232 |
|
|
ENKAY TEXOFOOD INDUSTRIES LTD.
(PAN:AAACE0833A)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.10,00,000
23-JAN-2004
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 233 |
|
|
ENKAY TEXOFOOD INDUSTRIES LTD.
(PAN:AAACE0833A)
|
|
|
DID NOT RESPOND TO SHOW CAUSE NOTICE REGARDING REDRESSAL OF INVESTORS GRIEVANCES
|
DIRECTED TO REDRESS INVESTOR GRIEVANCES
14-OCT-2002
|
|
| 234 |
|
|
ENKAY TEXOFOOD INDUSTRIES LTD.
(PAN:AAACE0833A)
|
|
|
|
AJAY SANTOSHRAO KADHAO
|
|
|
ATULKRISHNA B.GOYAL
|
|
|
JAIVEER SINGH BHAKER
|
|
|
KAMAL KISHORE KABRA
|
|
|
MURALIMANOHAR B.GOYAL
|
|
|
SUNIL SHANKAR RAO
|
|
|
SURESH BHAGWAT PRASAD GUPTA
|
|
|
TULSIDAS B.GOYAL
|
|
|
YESHWANT M.DESAI
|
|
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
|
|
| 235 |
|
|
ENKAY TEXOFOOD INDUSTRIES LTD.
(PAN:AAACE0833A)
|
|
|
|
HARINARAYAN SHARMA
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
IMPOSED PENALTY RS.30,00,000
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2010
31-MAR-2010
|
SEBI VIDE ITS ORDER DATED 06/07/2011 RESTRAINED COMPANY AND ITS DIRECTOR MR.HARINARAYAN SHARMA FROM ACCESSING SECURITIES MARKET AND PROHIBIT FROM BUYING,SELLING OR OTHERWISE DEALING IN SECURITIES,DIRECTLY OR INDIRECTLY,TILL ALL PENDING INVESTOR GRIEVANCES AGAINST COMPANY ARE RESOLVED AND SAME IS REPORTED TO AND CONFIRMED BY SEBI
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 236 |
|
|
ENKAY TEXOFOOD INDUSTRIES LTD.
(PAN:AAACE0833A)
|
|
|
|
ATULKRISHNA B.GOYAL
|
|
|
D.P.GUPTA
|
|
|
MURALIMANOHAR B.GOYAL
|
|
|
SURYAKUMAR AVADHNARAIN JHA
|
|
|
TULSIDAS B.GOYAL
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.10,00,000
23-JUN-2004
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 237 |
|
|
ENKAY TEXOFOOD INDUSTRIES LTD.
(PAN:AAACE0833A)
|
|
|
|
HARINARAYAN SHARMA
|
|
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 06-JUL-2011 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-JUL-2011 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
06-JUL-2011
|
SEBI VIDE ITS ORDER DATED 06/07/2011 RESTRAINED COMPANY AND ITS DIRECTOR MR.HARINARAYAN SHARMA FROM ACCESSING SECURITIES MARKET AND PROHIBIT FROM BUYING,SELLING OR OTHERWISE DEALING IN SECURITIES,DIRECTLY OR INDIRECTLY,TILL ALL PENDING INVESTOR GRIEVANCES AGAINST COMPANY ARE RESOLVED AND SAME IS REPORTED TO AND CONFIRMED BY SEBI
|
| 238 |
|
|
ENKAY TEXOFOOD INDUSTRIES LTD.
(PAN:AAACE0833A)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
DIRECTED TO REDRESS INVESTOR GRIEVANCES
14-MAY-2003
|
|
| 239 |
|
|
ENVAIR ELECTRODYNE LTD.
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
IMPOSED PENALTY RS.25,000
26-FEB-2015
|
|
| 240 |
|
|
EQUITY99
(PAN:AAFFE4984L)
|
|
|
DID NOT POSSESS NISM CERTIFICATE
DID NOT USE WORDS ‘INVESTMENT ADVISER’ IN ITS NAME
COLLECTED FEES AND RENDERED ADVICE TO CLIENTS PRIOR TO EXECUTION OF AGREEMENT
DID NOT OBTAIN CERTIFICATE OF REGISTRATION OF RESEARCH ANALYST
PROVIDED CONTRADICTING STATEMENTS WITH REGARD TO “RISK PROFILING QUESTIONNAIRE ANALYSIS PROCESS AND DID NOT COMMUNICATE TO CLIENTS
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE
DID NOT OBTAIN “KNOW YOUR CLIENTS” (KYC) DETAILS OF CLIENTS
DID NOT DISPLAY NAME AND CONTACT DETAILS OF COMPLIANCE OFFICER
DID NOT SUBMIT CORRECT DETAIL OF INVESTOR COMPLAINTS
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.3,00,000
29-NOV-2023
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 12 of 48
|
