| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 281 |
|
MALOO BUILDING MATERIALS PVT.LTD.
(PAN:AABCM0619D)
|
|
|
|
ANANT SURESHCHANDRA MALOO
PAN:ACSPM2958D
|
|
|
MANAN VIDHYAPATI PATEL
PAN:AFJPP0452P
|
|
INDULGED IN PLANTING UNSOLICITED AND MISLEADING ADVICE RECOMMENDING PURCHASE OF SHARES IN MATTER OF TIMBOR HOME LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 20-NOV-2020 TO 19-NOV-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
20-NOV-2020
|
SAT: SAT VIDE ITS ORDER DATED 04/02/2022 CONDONED DELAY IN FILING OF APPEAL. APPEAL DISMISSED AS INFRUCTUOUS
SAT: SAT VIDE ITS ORDER DATED 20/04/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 282 |
|
|
MALVICA ENGINEERING LTD.
(CIN:U29110GJ1989PLC011883)
|
|
|
|
P.Y.JHALA
|
|
PUBLISHED FALSE AND MISLEADING STATEMENTS RELATED TO PERFORMANCE OF COMPANY IN MATTER OF MALVICA ENGINEERING LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-JUL-2010 TO 14-JUL-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-JUL-2010 TO 14-JUL-2012
15-JUL-2010
|
|
| 283 |
|
|
MALVICA ENGINEERING LTD.
(CIN:U29110GJ1989PLC011883)
|
|
|
|
P.Y.JHALA
|
|
PUBLISHED FALSE AND MISLEADING STATEMENTS RELATED TO PERFORMANCE OF COMPANY IN MATTER OF MALVICA ENGINEERING LTD.
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF MALVICA ENGINEERING LTD.
|
IMPOSED PENALTY RS.16,00,000
24-AUG-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 284 |
|
|
MALVICA ENGINEERING LTD.
(CIN:U29110GJ1989PLC011883)
|
|
|
PUBLISHED FALSE AND MISLEADING STATEMENTS RELATED TO PERFORMANCE OF COMPANY IN MATTER OF MALVICA ENGINEERING LTD.
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF MALVICA ENGINEERING LTD.
|
IMPOSED PENALTY RS.13,00,000
24-AUG-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 285 |
|
|
MANAN TRADING PVT.LTD.
|
|
|
|
JITENDRA K.JAIN
|
|
|
PRAKASH JAIN
|
|
|
RAJENDRA KUMAR RANKA
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
SAT: SAT VIDE ITS ORDER DATED 04/04/2012 STAYED THE OPERATION OF EX-PARTE AD-INTERIM ORDER DATED 23/04/2009. NO COSTS
SEBI VIDE ITS ORDER DATED 11/11/2013 REVOKED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 23/04/2009 WITH IMMEDIATE EFFECT
|
| 286 |
|
|
MANGALAM INDIA LTD.
|
|
|
ACTED IN CONCERT WITH GROUP ENTITIES TO GIVE MISLEADING IMPRESSION OF SUCCESSFUL SUBSCRIPTION OF PREFERENTIAL ALLOTMENT THROUGH RECIRCULATING MONEY AMONG THEMSELVES IN CASE OF AASTHA BROADCASTING NETWORK LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-JAN-2004 TO 14-JAN-2007
06-SEP-2005
|
SEBI VIDE ITS ORDER DATED 06/09/2005 PROHIBITED FROM BUYING, SELLING & DEALING IN SECURITIES AND ACCESSING THE CAPITAL MARKET FROM 06/09/2005 TO 14/01/2007. PROHIBITION PERIOD HAS BEEN COMPLETED ON 14/01/2017
|
| 287 |
|
|
MANISH ENTERPRISES
|
|
|
|
RAMU PEMA GUJJAR
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
AD-INTERIM EX-PARTE ORDER DATED 23/04/2009 CONFIRMED VIDE ORDER DATED 12/01/2010
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 288 |
|
|
MANN IMPEX
|
|
|
|
BHAGWAN SINGH
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
AD-INTERIM EX-PARTE ORDER DATED 23/04/2009 CONFIRMED VIDE ORDER DATED 12/01/2010
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 289 |
|
|
MANORAMA TRADING LTD.
(Along with : KOLAR BIOTECH LTD.)
|
|
|
INDULGED IN DISSEMINATION OF MISLEADING INFORMATION LEADING TO PRICE MANIPULATION IN THE SCRIP OF KOLAR BIOTECH LTD., SOUNDCRAFT INDUSTRIES LTD. & ADAM COMSOF LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2004 TILL INVESTIGATIONS COMPLETED
30-SEP-2004
|
|
| 290 |
|
|
MANORAMA TRADING LTD.
|
|
|
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND COMPANY AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS VIOLATING CLAUSE 15.1.6 OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-OCT-2009 TO 15-OCT-2010
16-OCT-2009
|
|
| 291 |
|
|
MARTANDA FINLEASE PVT.LTD.
(CIN:U65923MH2004PTC090782)
|
|
|
ACTED IN CONCERT WITH GROUP ENTITIES TO GIVE MISLEADING IMPRESSION OF SUCCESSFUL SUBSCRIPTION OF PREFERENTIAL ALLOTMENT THROUGH RECIRCULATING MONEY AMONG THEMSELVES IN CASE OF AASTHA BROADCASTING NETWORK LTD.
|
DIRECTED TO FREEZE DEMAT ACCOUNT OF A SPECIFIED SCRIP
07-JUN-2006
|
DIRECTED TO PERMANENTLY FREEZE DEMAT ACCOUNT W.E.F. 19/01/2007
|
| 292 |
|
|
MASTER FINLEASE LTD.
(PAN:AAACM6050D)
|
|
|
USED OWN FUNDS INDIRECTLY FOR SUBSCRIPTION OF ITS OWN EQUITY SHARES IN PREFERENTIAL ALLOTMENT
MISLED PUBLIC AND STOCK EXCHANGES BY PROVIDING WRONG INFORMATION OF NUMBER AND IDENTITIES OF PREFERENTIAL ALLOTTEES
MISLED INVESTORS BY MAKING FALSE ANNOUNCEMENT OF BUY BACK OF SHARES
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF VITAL COMMUNICATIONS LTD.
DID NOT MAKE OPEN OFFER TO ACQUIRE SHARES FROM PUBLIC VIOLATING REGULATIONS 10 AND 11 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF VITAL COMMUNICATIONS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-NOV-2018 TO 12-NOV-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-NOV-2018 TO 12-NOV-2023
DIRECTED TO FREEZE ALL DEMAT ACCOUNTS WHEREIN EQUITY SHARES ALLOTTED UNDER PREFERENTIAL OFFER WERE LYING
DIRECTED NOT TO GIVE EFFECT TO TRANSFER OF ANY SHARES ACQUIRED AND HELD BY PREFERENTIAL ALLOTTEES IN PREFERENTIAL ALLOTMENT
RESTRAINED PREFERENTIAL ALLOTTEES FROM EXERCISING ANY VOTING RIGHTS (THROUGH NOMINEE OR PROXY) OR OTHER RIGHTS ATTACHED TO SHARES ACQUIRED AND HELD IN PREFERENTIAL ALLOTMENT FROM 13-NOV-2018 TO 12-NOV-2023
31-JUL-2014
DIRECTED TO DISGORGE RS.4,55,91,232 ALONG WITH OTHER ENTITIES/PERSONS
28-SEP-2018
|
SEBI VIDE ITS ORDER DATED 28/09/2018 DIRECTED TO 1) DISGORGE WRONGFUL GAIN OF RS.4,55,91,232.00 ALONG WITH INTEREST @ 10% P.A. FROM 01/08/2002 TILL DATE OF PAYMENT WITHIN 45 DAYS FROM DATE OF RECEIPT OF THIS ORDER 2) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESSING THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR A PERIOD OF FIVE YEARS FROM END OF THE TIME OF 45 DAYS
SAT: SAT VIDE ITS ORDER DATED 20/12/2021 QUASHED IMPUGNED ORDER DATED 28/09/2018 AND ALLOWED THE APPEAL WITH COST OF RS.2.0 LAC EACH TO BE PAID BY SEBI TO APPELLANTS WITHIN EIGHT WEEK FROM DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 22/05/2019 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
SAT: SAT VIDE ITS ORDER DATED 17/05/2021 ALLOWED APPELLANTS TO THREE WEEKS FURTHER TIME TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 27/01/2022 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 22/05/2019
|
| 293 |
|
|
MASTER SURVEYORS & CONTRACTORS
|
|
|
|
SURESH THANAGE
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 294 |
|
|
MASTERMIND MERCANTILE CO-OP.LTD.
|
|
|
ISSUED FALSE AND MISLEADING CORPORATE ANNOUNCEMENTS RELATED TO ISSUANCE OF EQUITY SHARES THROUGH PREFERENTIAL ALLOTMENT, ISSUANCE OF REDEEMABLE PREFERENCE SHARES, INTERIM DIVIDEND AND BONUS SHARES IN MATTER OF ADAM COMSOF LTD.
|
IMPOSED PENALTY RS.4,00,000
12-MAR-2010
|
SEBI VIDE ITS ORDER DATED 11/07/2014 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS ORDER DATED 28/03/2023 DIRECTED ALL THE BANKS TO REMIT RS.4,05,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MASTERMIND MERCANTILE CO-OP.LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS NOTICE DATED 04/12/2025 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 11/07/2014
|
| 295 |
|
|
MASTERMIND MERCANTILE CO-OP.LTD.
|
|
|
|
ASPI B.BHESANIA
|
|
|
HIRALAL YADAV
|
|
|
MAHESH RAMDAS ADSUL
PAN:AGGPA2537E
|
|
|
R.K.MAHESHWARI
|
|
|
RAJKUMAR C.BASANTANI
PAN:AESPB2834F
|
|
|
UMESH R.KHARIWALA
|
|
|
VIKAS SETH
|
|
|
VINOD R.HINGORANI
|
|
|
VITHAL PATIL
|
|
INDULGED IN DISSEMINATION OF MISLEADING INFORMATION LEADING TO PRICE MANIPULATION IN THE SCRIP OF KOLAR BIOTECH LTD., SOUNDCRAFT INDUSTRIES LTD. & ADAM COMSOF LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2004 TILL INVESTIGATIONS COMPLETED
30-SEP-2004
|
|
| 296 |
|
|
MASTERMIND MERCANTILE CO-OP.LTD.
|
|
|
|
VILAS CHOWGLE
|
|
ISSUED FALSE AND MISLEADING CORPORATE ANNOUNCEMENTS RELATED TO ISSUANCE OF EQUITY SHARES THROUGH PREFERENTIAL ALLOTMENT, ISSUANCE OF REDEEMABLE PREFERENCE SHARES, INTERIM DIVIDEND AND BONUS SHARES IN MATTER OF ADAM COMSOF LTD.
|
IMPOSED PENALTY RS.1,00,000
19-MAR-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 297 |
|
|
MASTERMIND MERCANTILE CO-OP.LTD.
|
|
|
|
VITHAL PATIL
|
|
ISSUED FALSE AND MISLEADING CORPORATE ANNOUNCEMENTS RELATED TO ISSUANCE OF EQUITY SHARES THROUGH PREFERENTIAL ALLOTMENT, ISSUANCE OF REDEEMABLE PREFERENCE SHARES, INTERIM DIVIDEND AND BONUS SHARES IN MATTER OF ADAM COMSOF LTD.
|
IMPOSED PENALTY RS.1,00,000
19-MAR-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 298 |
|
|
MASTERMIND MERCANTILE CO-OP.LTD.
|
|
|
|
RAJKUMAR C.BASANTANI
PAN:AESPB2834F
|
|
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND COMPANY AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS VIOLATING CLAUSE 15.1.6 OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-OCT-2009 TO 15-OCT-2010
16-OCT-2009
|
|
| 299 |
|
|
MATHEW EASOW FINANCIAL SERVICES
|
|
|
|
MATHEW EASOW
|
|
MISLED INVESTORS ON PUBLICLY ACCESSIBLE MEDIA BY GIVING INVESTMENT ADVICE/RECOMMENDATIONS CONTRARY TO SELF HOLDINGS
DID NOT DISCLOSE SELF INTEREST AND POSITIONS IN SECURITIES WHILE MAKING INVESTMENT RECOMMENDATIONS ON A PUBLIC ACCESSIBLE MEDIA
|
IMPOSED PENALTY RS.20,00,000
26-SEP-2006
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE
|
| 300 |
|
|
MATHEW EASOW FISCAL SERVICES LTD.
|
|
|
|
MATHEW EASOW
|
|
MISLED INVESTORS ON PUBLICLY ACCESSIBLE MEDIA BY GIVING INVESTMENT ADVICE/RECOMMENDATIONS CONTRARY TO SELF HOLDINGS
DID NOT DISCLOSE SELF INTEREST AND POSITIONS IN SECURITIES WHILE MAKING INVESTMENT RECOMMENDATIONS ON A PUBLIC ACCESSIBLE MEDIA
|
IMPOSED PENALTY RS.20,00,000
26-SEP-2006
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE
|
| 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 15 of 31
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