| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 2901 |
|
VINOD G.KOTECHA
(Along with : NATWARLAL L.KANANI,
MAYUR N.KANANI,
KISHOREKUMAR PAUN,
VAJU N.KESHWALA,
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,
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
|
|
| 2902 |
|
|
VINOD KUMAR BAJAJ
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF NIVEDITA MERCANTILE & FINANCING LTD.
|
IMPOSED PENALTY RS.85,000
29-JUN-2010
|
|
| 2903 |
|
|
VINOD KUMAR BOOB
|
|
|
|
VINOD SECURITIES & INVESTMENTS PVT.LTD.
CIN:U67120KA1995PTC018343
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND COMPANY AS REQUIRED UNDER REGULATIONS 7(1A) AND 7(2) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
07-JUN-2010
|
|
| 2904 |
|
|
VINOD KUMAR HARLALKA
(PAN:AAAPH4317F)
|
|
|
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 RAJLAXMI INDUSTRIES 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 RAJLAXMI INDUSTRIES LTD.
DELAY IN MAKING 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 RAJLAXMI INDUSTRIES LTD.
|
IMPOSED PENALTY RS.7,00,000
31-JUL-2014
|
SAT: APPEAL DISMISSED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 16/02/2016 ALLOWED APPEAL TO BE WITHDRAWN AND PERMITTED APPELLANT TO PAY AMOUNT OF PENALTY WITHIN A PERIOD OF THREE MONTHS FROM THE DATE OF THIS ORDER. NO COSTS
|
| 2905 |
|
|
VINOD KUMAR LUTHRA
|
|
|
|
MAHARASHTRA DISTILLERIES LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 2906 |
|
|
VINOD KUMAR NAVKAR
(PAN:ADLPN9668D)
|
|
|
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
|
| 2907 |
|
|
VINOD R.HINGORANI
|
|
|
|
ADAM COMSOF LTD.
PAN:AABCA2067R
|
|
|
ADSUL TRADING PVT.LTD.
|
|
|
CAVALIER SECURITIES LTD.
PAN:AAACC6370Q
|
|
|
KOLAR SHAREX PVT.LTD.
PAN:AAACK6474D
|
|
|
MASTERMIND MERCANTILE CO-OP.LTD.
|
|
|
MILLION INVESTRADE LTD.
|
|
|
SANGAM INFOTECH PVT.LTD.
PAN:AAGCS2995F
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
30-SEP-2011
|
|
| 2908 |
|
|
VINOD SONAWANI
|
|
|
CONSOLIDATED HOLDINGS WITHOUT MAKING MANDATORY PUBLIC ANNOUNCEMENT AND PUBLIC OFFER OF WASHINGTON SOFTWARE LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JUL-2008
|
|
| 2909 |
|
|
VINOD SONAWANI
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF WASHINGTON SOFTWARES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-MAR-2010 TO 28-APR-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-MAR-2010 TO 28-APR-2010
29-MAR-2010
|
|
| 2910 |
|
|
VINODBHAI N.DESAI
|
|
|
|
SHALIBHADRA INFOSEC LTD.
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AND REQUISITE DISCLOSURE AS REQUIRED UNDER REGULATIONS 7,10,11,13(3) & 15 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHALIBHADRA INFOSEC LTD.
|
IMPOSED PENALTY RS.1,50,000 ALONG WITH OTHER ENTITIES/PERSONS
30-APR-2005
|
|
| 2911 |
|
|
VINODBHAI N.DESAI
|
|
|
|
SHALIBHADRA INFOSEC LTD.
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AND DID NOT MAKE DISCLOSURE OF SHAREHOLDING PATTERN IN MATTER OF SHALIBHADRA INFOSEC LTD. IN EXCESS OF STIPULATED LIMITS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-MAR-2008 TO 02-MAR-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-MAR-2008 TO 02-MAR-2009
03-MAR-2008
|
|
| 2912 |
|
|
VINODKUMAR MAHABIRPRASAD PODDAR
|
|
|
|
GOVIND RUBBER LTD.
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GOVIND RUBBER LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF GOVIND RUBBER LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 10(7) OF SAST REGULATIONS, 2011 IN MATTER OF GOVIND RUBBER LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,91,581 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-FEB-2019
|
|
| 2913 |
|
|
VINODRAI V.VALIA
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF VAS INFRASTRUCTURE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF VAS INFRASTRUCTURE LTD
|
IMPOSED PENALTY RS.32,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-DEC-2017
|
SAT: SAT VIDE ITS ORDER DATED 15/05/2019 PARTLY ALLOWED THE APPEAL BY MODIFYING IMPUGNED ORDER DATED 29/12/2017 BY REDUCING PENALTY TO RS.30 LACS FROM RS.1.00 CRORE UNDER SECTION 15H(II) WITHIN SIX WEEKS FROM DATE OF THIS ORDER
|
| 2914 |
|
|
VIPIN KUMAR BHATNAGAR
(PAN:AJCPK4281A)
|
|
|
ACTED IN CONCERT WITH PROMOTERS OF THE BANK OF RAJASTHAN LTD.FOR THE PURPOSE OF ACQUISITION OF SHARES/VOTING RIGHTS INDIRECTLY FOR PROMOTERS FOR THE PURPOSE OF CONCEALMENT OF THEIR ACQUISITION OF SHARES VIOLATING SEBI TAKEOVER CODE, 1997
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-MAR-2010 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-MAR-2010 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
08-MAR-2010
|
SEBI VIDE ITS ORDER DATED 26/03/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS ORDER DATED 08/03/2010
|
| 2915 |
|
|
VIPUL SHANTILAL TRIVEDI
(PAN:ADNTP1112G)
|
|
|
|
RUDRA SECURITIES & CAPITAL LTD.
PAN:AACCR2292G
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PLATINUM CORP.LTD.
|
IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-JAN-2012
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 31/12/2013, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 2916 |
|
|
VIPUL SURESHBHAI KOTECHA
(Along with : NATWARLAL L.KANANI,
MAYUR N.KANANI,
KISHOREKUMAR PAUN,
VAJU N.KESHWALA,
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,
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
|
|
| 2917 |
|
|
VIRAJ T.MAHADEVIA
(PAN:ACVPM2311D)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF TAK MACHINERY & LEASING LTD. (NOW KNOWN AS MANGAL CREDIT & FINCORP LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,81,525 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
29-OCT-2014
|
|
| 2918 |
|
|
VIRAT SEVANTILAL SHAH
(PAN:AAGPS1075B)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHREE SURGOVIND TRADELINK LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SHREE SURGOVIND TRADELINK LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-DEC-2013
|
SAT: APPEAL DISMISSED. NO COSTS
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 2919 |
|
|
VIREN C.MIKSHITA
|
|
|
|
PRIME PROPERTY DEVELOPMENT CORP.LTD.
|
|
MADE FALSE REPRESENTATION THROUGH CORPORATE ANNOUNCEMENTS TO MISLEAD/INDUCE INVESTORS
DID NOT MAKE DISCLOSURE OF SHAREHOLDING, CONTROL AND SALE OF SHARES OF PROMOTERS/PERSONS ACTING IN CONCERT
ACTED IN CONCERT TO CREATE FALSE MARKET TO SELL THEIR OWN HOLDINGS AT AN ARTIFICIALLY INFLATED PRICE
DID NOT INFORM APPOINTMENT OF REGISTRAR AND TRANSFER AGENT TO STOCK EXCHANGE
DID NOT SUBMIT CORPORATE GOVERNANCE REPORT TO STOCK EXCHANGE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-SEP-2005 TILL FURTHER ORDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-SEP-2005 TILL FURTHER ORDERS
29-SEP-2005
|
REVOKED AD-INTERIM EX-PARTE ORDER DATED 29/09/2005
|
| 2920 |
|
|
VIRENDRA PANDEY
(DIN:00425357)
|
|
|
|
TAKESHI MARKETING PVT.LTD.
|
|
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 FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 11/05/2012 RESTRAINED THE NOTICEE FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES FOR A PERIOD OF TWO YEARS I.E. FROM 11/05/2012 TO 10/05/2014
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 146 of 148
|
