| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 2781 |
|
V.K.MANTRI
|
|
|
|
CLASSIC DEALERS & ADVANCES PVT.LTD.
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 2782 |
|
|
V.K.PANDYA
|
|
|
|
MALABAR TRADING CO.LTD.
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 6(2),6(4) AND 8(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MALABAR TRADING CO.LTD.
|
IMPOSED PENALTY RS.1,00,000
26-NOV-2007
|
|
| 2783 |
|
|
V.K.REKHI
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HERBERTSONS LTD.
|
IMPOSED PENALTY RS.15,000 ALONG WITH OTHER ENTITIES/PERSONS
24-AUG-2005
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.65,000, LEGAL EXPENSES RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
02-JUL-2009
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 24/08/2005 SET ASIDE AND BOARD WILL REFUND AMOUNT DEPOSITED BY APPELLANTS IN PURSUANCE TO IMPUGNED ORDER
SAT: APPLICANT PAID RS.65,000 TOWARDS SETTLEMENT CHARGES AND RS.5,00,000 TOWARDS LEGAL EXPENSES, AS PER CONSENT ORDER (REFERENCE APPEAL NO.154 OF 2005 DATED 02/07/2009 WITH SAT)
|
| 2784 |
|
|
V.LALITHA DEVI
(PAN:AWVPD2439D)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF THINKSOFT GLOBAL SERVICES LTD. (NOW SQS INDIA BFSI LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,40,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
01-FEB-2016
|
|
| 2785 |
|
|
V.MAHADEVAN
|
|
|
|
ZEUS MANAGEMENT CONSULTANTS PVT.LTD.
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.25,000
13-DEC-2000
|
SAT: IMPOSITION OF PENALTY MADE BY ADJUDICATING OFFICER UPHELD, APPEALS DISMISSED
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 2786 |
|
|
V.N.MEHTA
|
|
|
|
VIPUL DRUGS PVT.LTD.
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 11 B OF SEBI ACT, 1992
VIOLATED SECTION 11 (1) OF SEBI TAKEOVER CODE, 1997
VIOLATED SECTION 21 (3) OF SEBI TAKEOVER CODE, 1997
VIOLATED SECTION 44 OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 2787 |
|
|
V.N.RUIA
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF VINADITYA TRADING CO.LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 6(2),6(4) AND 8(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF VINADITYA TRADING CO.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
14-FEB-2012
|
|
| 2788 |
|
|
V.P.RAMANATHAN
(Along with : D.RAVISANKAR,
R.VALLABAI,
K.R.JAIN,
R.RAJASANKAR,
S.DURAI)
|
|
|
|
SANKAR HOMES PVT.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 ARCHANA SOFTWARE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ARCHANA SOFTWARE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF ARCHANA SOFTWARE LTD.
|
IMPOSED PENALTY RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-DEC-2015
|
|
| 2789 |
|
|
V.RAJAGOPAL
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUTOMOBILE PRODUCTS OF INDIA LTD.
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10, 11(2) AND 12 READ WITH REGULATION 14 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUTOMOBILE PRODUCTS OF INDIA LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUTOMOBILE PRODUCTS OF INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,97,33,551 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-JAN-2017
|
|
| 2790 |
|
|
V.RAMESH
|
|
|
|
SHIN HO PETROCHEMICAL (INDIA) LTD.
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.5,00,000
09-OCT-2000
|
SAT: APPEAL DISMISSED
|
| 2791 |
|
|
V.RAVICHANDRAN
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF SWARNAJYOTHI AGROTECH & POWER LTD. (FORMERLY KNOWN AS ‘OCTANT INDUSTRIES LTD.’)
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 3(1) READ WITH 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF SWARNAJYOTHI AGROTECH & POWER LTD. (FORMERLY KNOWN AS ‘OCTANT INDUSTRIES LTD.’)
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SWARNAJYOTHI AGROTECH & POWER LTD. (FORMERLY KNOWN AS ‘OCTANT INDUSTRIES LTD.’)
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
15-MAR-2018
|
|
| 2792 |
|
|
V.SRINIVASAMURTHY
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUTOMOBILE PRODUCTS OF INDIA LTD.
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10, 11(2) AND 12 READ WITH REGULATION 14 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUTOMOBILE PRODUCTS OF INDIA LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUTOMOBILE PRODUCTS OF INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,97,33,551 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-JAN-2017
|
|
| 2793 |
|
|
V.VASANTHA LAKSHMI
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF SWARNAJYOTHI AGROTECH & POWER LTD. (FORMERLY KNOWN AS ‘OCTANT INDUSTRIES LTD.’)
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 3(1) READ WITH 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF SWARNAJYOTHI AGROTECH & POWER LTD. (FORMERLY KNOWN AS ‘OCTANT INDUSTRIES LTD.’)
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SWARNAJYOTHI AGROTECH & POWER LTD. (FORMERLY KNOWN AS ‘OCTANT INDUSTRIES LTD.’)
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
15-MAR-2018
|
|
| 2794 |
|
|
VAIBHAV SHARMA
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATIONS 3(3),3(4) & 3(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 6,15,900 (25.66%) SHARES/VOTING RIGHTS OF LUMINAIRE TECHNOLOGIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.75,000, ADMINISTRATION CHARGES RS.25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
07-MAY-2009
|
|
| 2795 |
|
|
VAISHALI JIMISH SONI
(PAN:AQHPS2680R)
(Along with : JIMISH JITENDRABHAI SONI)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAIANAND COMMERCIAL LTD. (ERSTWHILE OREGON COMMERCIAL LTD.)
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-JUL-2018
|
SAT: SAT VIDE ITS ORDER DATED 28/06/2019 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.2 LACS TO BE PAID JOINTLY AND SEVERALLY FROM RS.2 LACS EACH AND AFFIRMED PENALTY AMOUNT OF RS.2 LACS ON MR.JIMISH JITENDRABHAI SONI AND DIRECTED TO PAY WITHIN FOUR WEEKS FROM THE DATE OF THIS ORDER
|
| 2796 |
|
|
VAISHALI SHARAD GAWDE
(PAN:AKZPG4168Q)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 2797 |
|
|
VAJSHIBHAI CHAGAN KESHWALA
(Along with : JAYSHRI BEN PAUN,
PENNABEN PAUN,
BHARAT BHAI PAUN,
HARJIVAN NARANDAS THAKRAR,
DEVBHAI CHAGAN KESHWALA,
VIBHA D.DATTANI,
BIJAL NATHA ODEDRA,
RANA KHIMJI KHUNTI,
RAJEN RANA KHUNTI,
BHIMA S.MAHER,
BHARATI KESHWALA)
|
|
|
|
KANT FINANCE PVT.LTD.
PAN:AABCK6817H
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ESSEN SUPPLEMENTS INDIA LTD. (KNOWN AS SQUARE FOUR PROJECTS INDIA LTD.)
|
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-AUG-2014
|
|
| 2798 |
|
|
VAJU N.KESHWALA
(PAN:BKSPK5468D)
(Along with : NATWARLAL L.KANANI,
MAYUR N.KANANI,
KISHOREKUMAR PAUN,
ASHA N.KANANI,
KIRTI BEN PAUN,
LEENA PAUN,
DINESH BHAI PAUN,
HARISH BHAI PAUN,
PIYUSH PAUN,
CHIRAG N.KANANI,
BHAVESH PAUN,
RAJUL PAUN,
LALITA BEN PAUN,
MILAP PAUN,
RAKESH K.PAUN,
NATWARLAL PAUN,
NIKUNJ PAUN,
MUKUND T.KOTECHA,
VINOD G.KOTECHA,
ANIL T.KOTECHA,
MANUBHAI T.KOTECHA,
ANIL C.THAKRAR,
KANTABEN KAKUBHAI THAKRAR,
VIPUL SURESHBHAI KOTECHA,
UTTAMBHAI KOTECHA,
SUDHA H.THAKRAR,
NALIN RASIKLAL KANANI,
JITENDRA L.KANANI,
INDUMATI BEN PAUN)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ESSEN SUPPLEMENTS INDIA LTD. (KNOWN AS SQUARE FOUR PROJECTS INDIA LTD.)
|
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-AUG-2014
|
|
| 2799 |
|
|
VALIPI REDDY RAJINI REDDY
(PAN:AELPR1820A)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) READ WITH 14(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MARG LTD.
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
21-MAY-2021
|
SAT: SAT VIDE ITS ORDER DATED 17/10/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 21/05/2021
SEBI VIDE ITS NOTICE DATED 22/11/2023 CANCELLED RECOVERY CERTIFICATE AS PER SAT ORDER DATED 17/10/2023
|
| 2800 |
|
|
VALIPI REDDY RAJINI REDDY
(PAN:AELPR1820A)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) READ WITH 14(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MARG LTD.
|
DIRECTED ACQUIRER TO MAKE REVISED PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
15-NOV-2019
|
SAT: SAT VIDE ITS ORDER DATED 17/10/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 15/11/2019
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 140 of 148
|
