| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 241 |
|
ETL INFRASTRUCTURE FINANCE LTD.
(PAN:AAACE5567B)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF PG ELECTROPLAST LTD.
|
IMPOSED PENALTY RS.1,00,000
02-AUG-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 242 |
|
|
EUPHARMA LABORATORIES LTD.
|
|
|
|
ASHOK SAXENA
|
|
|
RAMANLAL V.SHAH
|
|
|
SHRENIK R.SHAH
|
|
|
SUDHIR K.AGARWAL
|
|
SHARES ALLOTTED ON PREFERENTIAL BASIS WITHOUT ADEQUATE CONSIDERATION AND SHOWN AS ISSUED TO NON-PROMOTERS TO AVOID LOCK-IN PERIOD IN MATTER OF EUPHARMA LABORATORIES LTD.
DID NOT CO-OPERATE WITH SEBI IN MATTER OF EUPHARMA LABORATORIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JAN-2009 TO 12-JAN-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JAN-2009 TO 12-JAN-2010
13-JAN-2009
|
|
| 243 |
|
|
EUPHORIA MULTITRADE PVT.LTD.
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF SEAGULL LEAFIN LTD.
|
IMPOSED PENALTY RS.5,00,000
29-NOV-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 28/03/2018 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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
|
| 244 |
|
|
EVERFRAME TRADING CO.PVT.LTD.
|
|
|
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.8,00,000
14-FEB-2013
|
SAT: SAT VIDE ITS ORDER DATED 11/02/2014 UPHELD PENALTY IMPOSED UNDER SECTIONS 15HA, 15A (A) AND 15H(II) OF SEBI ACT.
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 23/03/2017 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 NOTICE DATED 16/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.18,17,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 245 |
|
|
EVERLON ESTATE PVT.LTD.
(PAN:AABCE7403R)
|
|
|
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
|
| 246 |
|
|
EVERLONE MACHINERY PVT.LTD.
(PAN:AABCE7494A)
|
|
|
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
|
| 247 |
|
|
EVERREADY MARKETING PVT.LTD.
(PAN:AACCE2069E)
|
|
|
DID NOT SUBMIT REQUIRED INFORMATION/DOCUMENTS/RECORDS SOUGHT VIDE SUMMONS DATED 29/01/2014 AND 04/06/2014 IN MATTER OF RAVI KUMAR DISTILLERIES LTD.
|
IMPOSED PENALTY RS.5,00,000
29-JUN-2018
|
|
| 248 |
|
|
EXCEL VYAPAAR INDIA PVT.LTD.
|
|
|
|
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
|
| 249 |
|
|
EXCEL VYAPAAR INDIA PVT.LTD.
|
|
|
|
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
|
| 250 |
|
|
EXELON INFRASTRUCTURE LTD.
(PAN:AAACM2862M)
|
|
|
MADE MISLEADING ANNOUNCEMENTS/ADVERTISEMENTS IN MATTER OF EXELON INFRASTRUCTURE LTD.
DID NOT ADHERE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF EXELON INFRASTRUCTURE LTD.
|
IMPOSED PENALTY RS.10,00,000
23-AUG-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 12/07/2018 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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 NOTICE DATED 26/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.17,51,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 251 |
|
|
EXPRO CONSTRUCTIONS PVT.LTD.
(PAN:AABCE7940B)
|
|
|
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
|
| 252 |
|
|
FACT ENTERPRISE LTD.
(PAN:AAACF0955A)
|
|
|
DID NOT SUBMIT REQUIRED DETAILS/INFORMATION/RECORDS/DOCUMENTS SOUGHT VIDE SUMMONS DATED 02/07/2014 AND 04/12/2014 IN MATTER OF RAVI KUMAR DISTILLERIES LTD.
|
IMPOSED PENALTY RS.1,00,000
31-DEC-2018
|
SAT: DISMISSED THE APPEAL FOR WANT OF PROSECUTION
|
| 253 |
|
|
FALCON TYRES LTD.
(CIN:L25114KA1973PLC002455
PAN:AAACF7258E)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS/NOTICES/LETTERS
|
IMPOSED PENALTY RS.35,00,000
21-SEP-2018
|
|
| 254 |
|
|
FAST TRACK ENTERTAINMENT LTD.
(PAN:AAACF7961Q)
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED TO PROVIDE INFORMATION AND TO APPEAR IN PERSON IN MATTER OF FAST TRACK ENTERTAINMANT LTD.
DID NOT HANDLE & MAINTAIN AT A SINGLE POINT ALL MATTERS RELATED TO TRANSFER OF SECURITY AND MAINTENANCE OF RECORDS ETC. IN MATTER OF FAST TRACK ENTERTAINMENT LTD.
|
IMPOSED PENALTY RS.20,00,000
31-JAN-2011
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 255 |
|
|
FINCARE FINANCIAL & CONSULTANCY SERVICES PVT.LTD.
(PAN:AAACF6005D)
|
|
|
DID NOT FURNISH INFORMATION IN RESPONSE TO SUMMONS ISSUED IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
SUBMITTED WRONG INFORMATION TO SEBI
|
IMPOSED PENALTY RS.10,00,000
23-DEC-2014
|
|
| 256 |
|
|
FINELINE MERCANTILE CO.PVT.LTD.
(PAN:AAACF8758K)
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF MILLENIUM CYBERTECH LTD.
|
IMPOSED PENALTY RS.2,00,000
28-OCT-2010
|
SEBI VIDE ITS NOTICE DATED 17/07/2014 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS ORDER DATED 03/08/2020 DIRECTED ALL THE BANKS TO REMIT RS.4,35,805.00 TO THE EXTENT LYING IN THE ACCOUNT FINELINE MERCANTILE CO.PVT.LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS NOTICE DATED 26/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.5,15,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 257 |
|
|
FINETRADE MERCHANTILE PVT.LTD.
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PRIME CAPITAL MARKET LTD.
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.2,00,000
09-MAY-2007
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 258 |
|
|
FIRST FINANCIAL SERVICES LTD.
(PAN:AAACF1145J)
|
|
|
|
NIRMAL SINGH MERTIA
PAN:AKHPM8437G
|
|
|
PONUSWAMMY NATARAJAN
PAN:AAAPN9499G
|
|
|
S.KRISHNA RAO
PAN:AGWPR3410R
|
|
PROVIDED WRONG AND MISLEADING INFORMATION BY NOT PROVIDING EXPLANATION REGARDING VARIATION IN PROPOSED AND ACTUAL UTILIZATION OF FUNDS IN DIRECTORS' REPORT IN ANNUAL REPORTS, EGMS AND DISCLOSE TO AUDIT COMMITTEE, USES/APPLICATIONS OF FUNDS (CAPITAL EXPENDITURE, SALES AND MARKETING, WORKING CAPITAL ETC.) ON QUARTERLY BASIS DECLARATION OF FINANCIAL RESULTS
DID NOT PROVIDE NOTICE OF EGMS, EXPLANATION REGARDING VARIATION IN PROPOSED AND ACTUAL UTILIZATION OF FUNDS IN DIRECTORS REPORT IN ANNUAL REPORTS VIOLATING CLAUSES 28 AND 43 AND SUB-CLAUSES IL(D)(5A) AND IV(D) OF CLAUSE 49 OF LISTING AGREEMENT READ WITH SECTION 21 OF THE SCRA, 1956
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH PREFERENTIAL ALLOTMENT OF EQUITY SHARES IN SCRIP OF FIRST FINANCIAL SERVICES LTD.
|
IMPOSED PENALTY RS.11,00,000
30-SEP-2022
|
|
| 259 |
|
|
FLANKING RESEARCH & INVESTMENT ADVISOR
(PAN:BBDPC8554N)
|
|
|
|
TARUN CHANDANI
PAN:BBDPC8554N
|
|
DID NOT CO-OPERATE AND NOT SUBMITTED DOCUMENTS DURING INSPECTION
DID NOT INTIMATE SEBI ABOUT MATERIAL CHANGE IN INFORMATION
DID NOT REDRESS INVESTOR COMPLAINTS
PROVIDED ADVICE WITHOUT PROPER RATIONALE TO RISK PROFILE OF CLIENTS
CHARGED UNREASONABLE, ARBITRARILY AND INCONSISTENT FEE
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
NOT A FIT & PROPER PERSON TO ACT AS AN INVESTMENT ADVISOR
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 19-DEC-2022
19-DEC-2022
|
|
| 260 |
|
|
FLANKING RESEARCH & INVESTMENT ADVISOR
(PAN:BBDPC8554N)
|
|
|
|
TARUN CHANDANI
PAN:BBDPC8554N
|
|
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT INTIMATE SEBI ABOUT MATERIAL CHANGE IN INFORMATION
DISPLAYED INCORRECT NUMBER OF PENDING COMPLAINTS ON WEBSITE
CHARGED UNREASONABLE, ARBITRARILY AND INCONSISTENT FEE
DISSEMINATED FALSE INFORMATION AND SOLD TO CLIENTS
PROVIDED ADVICE WITHOUT PROPER RATIONALE TO RISK PROFILE OF CLIENTS
ENGAGED IN ACTIVITIES OTHER THAN PROVIDING INVESTMENT ADVICE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-NOV-2022 TO 29-NOV-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-NOV-2022 TO 29-NOV-2027
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 30-NOV-2022 TO 29-NOV-2027
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI FROM 30-NOV-2022 TO 29-NOV-2027
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
DIRECTED NOT TO COLLECT ANY MONEY AND/OR FEE FROM THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
IMPOSED PENALTY RS.35,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-NOV-2022
|
SEBI VIDE ITS NOTICE DATED 13/01/2025 DIRECTED TO PAY RS.44,11,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 17/02/2025 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 25/03/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.44,81,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES 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 13 of 44
|
