| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 281 |
|
VIKAS JAIN TIJARIA
(PAN:ABTPJ8056D)
|
|
|
DID NOT MAKE DISCLOSURE OF MATERIAL INFORMATION WITH REGARD TO RAISING OF FUNDS THROUGH ICDS IN IPO PROSPECTUS VIOLATING REGULATIONS 57(1) AND 57(2) (A) READ WITH SCHEDULE VIII PART A(16) OF SEBI (ICDR) REGULATIONS, 2009 AND REGULATIONS 59, 60(4) AND 60(7)(A) IN MATTER OF IPO OF TIJARIA POLYPIPES LTD.
|
IMPOSED PENALTY RS.2,00,000
09-MAR-2021
|
SEBI VIDE ITS NOTICE DATED 21/02/2022 DIRECTED TO PAY RS.2,23,948.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 14/01/2022 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
|
| 282 |
|
|
VIKAS SAINI
(DIN:06503769
PAN:BEZPS2003H)
|
|
|
|
EDYNAMICS SOLUTIONS LTD.
CIN:L74900DL2000PLC106755
PAN:AAACE7849N
|
|
MOBILIZED RS.6.92 CRORES FROM PUBLIC THROUGH ISSUANCE OF 69,20,000 EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 365 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60 READ WITH 67 OF THE COMPANIES ACT, 1956
MOBILIZED RS.6.92 CRORES FROM PUBLIC THROUGH ISSUANCE OF 69,20,000 EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 365 INVESTORS VIOLATING REGULATIONS 4(2)(D), 4(2)(E), 5, 6, 7, 25, 26, 36, 37,46, 47, 57 AND 59 OF SEBI (ICDR) REGULATIONS, 2009
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 22-APR-2021 TO 21-APR-2022
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-APR-2021 TO 21-APR-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-APR-2021 TO 21-APR-2022
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 22-APR-2021 TO 21-APR-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
22-APR-2021
|
|
| 283 |
|
|
VIKAS SAINI
(DIN:06503769
PAN:BEZPS2003H)
|
|
|
|
EDYNAMICS SOLUTIONS LTD.
CIN:L74900DL2000PLC106755
PAN:AAACE7849N
|
|
MADE APPLICATION TO ONE OR MORE RECOGNISED STOCK EXCHANGES FOR LISTING OF SPECIFIED SECURITIES
ENTERED INTO AGREEMENT WITH A DEPOSITORY FOR DEMATERIALIZATION OF SPECIFIED SECURITIES
DID NOT APPOINT MERCHANT BANKER AND OTHER INTERMEDIARIES
DID NOT FILE DRAFT OFFER DOCUMENTS WITH SEBI, DESIGNATED STOCK EXCHANGE AND ROC
DID NOT OBTAIN IN-PRINCIPLE APPROVAL FROM RECOGNISED STOCK EXCHANGE IN WHICH SPECIFIED SECURITIES TO BE LISTED
DID NOT SATISFY CONDITIONS OF INITIAL PUBLIC OFFER
DID NOT SPECIFY SECURITIES HELD BY PROMOTERS TO BE LOCKED-IN FOR A CERTAIN PERIOD IN CASE OF IPO
DID NOT LOCK-IN ENTIRE PRE-ISSUE CAPITAL HELD BY PERSONS OTHER THAN PROMOTERS FOR ONE YEAR IN CASE OF IPO
DID NOT KEEP PUBLIC ISSUE OPEN FOR SPECIFIED PERIOD
DID NOT DO PRE ISSUE ADVERTISEMENT FOR PUBLIC ISSUE
DID NOT MAKE DISCLOSURES IN OFFER DOCUMENT
OFFERED INCENTIVE FOR MAKING APPLICATION FOR ALLOTMENT OF SPECIFIED SECURITIES
|
IMPOSED PENALTY RS.3,00,000
21-DEC-2022
|
SEBI VIDE ITS NOTICE DATED 11/04/2023 DIRECTED TO PAY RS.3,16,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 01/06/2023 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
|
| 284 |
|
|
VIKRANT KAYAN
(DIN:00761044
PAN:AFJPK8437M)
|
|
|
|
TRINITY TRADELINK LTD.
CIN:L11103MH1985PLC035826
PAN:AAFCS8117C
|
|
MOBILIZED RS.25.99 CRORES THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 978 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60(1) AND 73 READ WITH 67 OF THE COMPANIES ACT, 1956 AND SECTION 465(2) OF THE COMPANIES ACT, 2013 IN MATTER OF TRINITY TRADELINK LTD.(EARLIER KNOWN AS OMNITECH PETROLEUM LTD.)
MOBILIZED RS.25.99 CRORES THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 978 INVESTORS VIOLATING REGULATIONS 4(2)(D), 4(2)(E) 5(1), 5(2), 5(5), 5(7), 6(1), 7, 26(1), 26(2), 32(1), 36, 37, 46(1), 47(1), 49(1), 57(1), 58(1), 58(2), 63 AND 115(2) OF ICDR REGULATIONS, 2009 IN MATTER OF TRINITY TRADELINK LTD.(EARLIER KNOWN AS OMNITECH PETROLEUM LTD.)
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 19-MAR-2020 TO 18-MAR-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-MAR-2020 TO 18-MAR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-MAR-2020 TO 18-MAR-2023
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 19-MAR-2020 TO 18-MAR-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
19-MAR-2020
|
|
| 285 |
|
|
VIMAL BHANDARI
(PAN:ABJPB8612R)
|
|
|
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2, 4.11, 4.14, 5.3.1, 5.4.1, 5.6A, 5.6.2, 6 TO 6.15 AND 8.8.1 OF SEBI (DISCLOSURE & INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2, 4.11, 4.14, 5.3.1, 5.4.1, 5.6A, 5.6.2, 6 TO 6.15 AND 8.8.1 OF SEBI (DISCLOSURE & INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING SEBI (ISSUE OF CAPITAL & DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING SEBI (ISSUE OF CAPITAL & DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.47,60,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-MAY-2016
|
|
| 286 |
|
|
VINEET JAIN TIJARIA
(PAN:ABTPJ8166C)
|
|
|
DID NOT MAKE DISCLOSURE OF MATERIAL INFORMATION WITH REGARD TO RAISING OF FUNDS THROUGH ICDS IN IPO PROSPECTUS VIOLATING REGULATIONS 57(1) AND 57(2) (A) READ WITH SCHEDULE VIII PART A(16) OF SEBI (ICDR) REGULATIONS, 2009 AND REGULATIONS 59, 60(4) AND 60(7)(A) IN MATTER OF IPO OF TIJARIA POLYPIPES LTD.
|
IMPOSED PENALTY RS.2,00,000
09-MAR-2021
|
SEBI VIDE ITS NOTICE DATED 21/02/2022 DIRECTED TO PAY RS.2,23,948.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 14/01/2022 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
|
| 287 |
|
|
VINIT KAMLESHKUMAR SHAH
(PAN:BOIPS2506E)
|
|
|
DID NOT PAY CONSIDERATION AMOUNT TOWARDS SAHRES ALLOTTED IN PREFERENTIAL ALLOTMENT VIOLATING REGULATION 77(1) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 IN MATTER OF SMS TECHSOFT (INDIA) LTD.
|
IMPOSED PENALTY RS.2,00,000
29-MAR-2019
|
SEBI VIDE ITS NOTICE DATED 17/02/2022 DIRECTED TO PAY RS.2,70,436.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 21/07/2022 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
|
| 288 |
|
|
VINOD KANJI SHAH
(PAN:AAEPS7502F)
|
|
|
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING REGULATION 57(1) AND 57(2) READ WITH CLAUSE 2(VII)(G) AND (XVI)(B)(2) OF PART A OF SCHEDULE VIII OF SEBI ICDR REGULATIONS, 2009 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-AUG-2018 TO 05-AUG-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-AUG-2018 TO 05-AUG-2022
06-AUG-2018
|
SAT: SAT VIDE ITS ORDER DATED 10/10/2019 PARTLY ALLOWED THE APPEAL BY LIMITING RESTRICTIONS ON ASSOCIATING AS DIRECTORS OR KMPS ETC HOLDING ANY FRESH POSITION IN SUCH CAPACITY FOR THREE YEARS FROM 01/01/2019
SAT: SAT VIDE ITS ORDER DATED 06/02/2020 REJECTED REVIEW APPLICATION
|
| 289 |
|
|
VINOD KANJI SHAH
(PAN:AAEPS7502F)
|
|
|
|
INVENTURE GROWTH & SECURITIES LTD.
PAN:AAACI2044K
|
|
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING REGULATION 57(1) AND 57(2) READ WITH CLAUSE 2(VII)(G) AND (XVI)(B)(2) OF PART A OF SCHEDULE VIII OF SEBI ICDR REGULATIONS, 2009 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) & 4(1) AND 4(2)(K) & (R) OF PFUTP REGULATIONS, 2003 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
|
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 01-JAN-2019 TO 31-DEC-2022
06-AUG-2018
|
SAT: SAT VIDE ITS ORDER DATED 10/10/2019 PARTLY ALLOWED THE APPEAL BY LIMITING RESTRICTIONS ON ASSOCIATING AS DIRECTORS OR KMPS ETC HOLDING ANY FRESH POSITION IN SUCH CAPACITY FOR THREE YEARS FROM 01/01/2019
SAT: SAT VIDE ITS ORDER DATED 06/02/2020 REJECTED REVIEW APPLICATION
|
| 290 |
|
|
VINOD KANJI SHAH
(PAN:AAEPS7502F)
|
|
|
|
INVENTURE GROWTH & SECURITIES LTD.
PAN:AAACI2044K
|
|
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) & 4(1) AND 4(2)(K) & (R) OF PFUTP REGULATIONS, 2003 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING REGULATION 57(1) AND 57(2) READ WITH CLAUSE 2(VII)(G) AND (XVI)(B)(2) OF PART A OF SCHEDULE VIII OF SEBI ICDR REGULATIONS, 2009 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
|
IMPOSED PENALTY RS.15,00,000
30-AUG-2019
|
|
| 291 |
|
|
VINOD KUMAR GARG
(PAN:AAAPG4116B)
|
|
|
|
ECO FRIENDLY FOOD PROCESSING PARK LTD.
CIN:L45209DL2008PLC181131
PAN:AACCE0416B
|
|
MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSPECTUS VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF ECO FRIENDLY FOOD PROCESSING PARK LTD.
DID NOT UTILIZE IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS AND MADE WRONG DISCLOSURE TO STOCK EXCHANGES WITH RESPECT TO IPO PROCEEDS VIOLATING REGULATION 57(1) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF ECO FRIENDLY FOOD PROCESSING PARK LTD.
|
IMPOSED PENALTY RS.6,00,000
29-JUL-2022
|
SAT: SAT VIDE ITS ORDER DATED 13/09/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 10/10/2022 DIRECTED TO FILE THE REJOINDER AFFIDAVIT WITHIN A WEEK
|
| 292 |
|
|
VINOD KUMAR GARG
(PAN:AAAPG4116B)
|
|
|
|
ESTEEM BIO ORGANIC FOOD PROCESSING LTD.
CIN:L74899DL1995PLC071220
PAN:AAACE1925D
|
|
DID NOT UTILIZE IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS AND GAVE WRONG DISCLOSURES WITH RESPECT TO IPO PROCEED TO STOCK EXCHANGES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(C), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF ESTEEM BIO ORGANIC FOOD PROCEESING LTD.
MISUTILIZED IPO PROCEEDS FOR REPAYING LOANS VIOLATING REGULATION 57(1) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF IPO OF ESTEEM BIO ORGANIC FOOD PROCEESING LTD.
|
IMPOSED PENALTY RS.6,00,000
28-APR-2022
|
|
| 293 |
|
|
VINOD PUKHRAJ JAIN
(PAN:AEDPJ4235P)
|
|
|
DID NOT PAY CONSIDERATION AMOUNT TOWARDS SAHRES ALLOTTED IN PREFERENTIAL ALLOTMENT VIOLATING REGULATION 77(1) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 IN MATTER OF SMS TECHSOFT (INDIA) LTD.
|
IMPOSED PENALTY RS.2,00,000
29-MAR-2019
|
SEBI VIDE ITS NOTICE DATED 02/09/2022 DIRECTED TO PAY RS.2,83,389.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 16/11/2023 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
|
| 294 |
|
|
VIPUL VORA
(PAN:AAZPV5436G)
|
|
|
|
RUSHIL DECOR LTD.
PAN:AABCR3005N
|
|
DID NOT MAKE DISCLOSURE OF BRIDGE LOAN OF RS.7.06 CRORE IN IPO PROSPECTUS VIOLATING PROVISIONS OF REGULATION 57(1) AND 57(2)(A) READ WITH CLAUSE 2(VII)(G) AND (XVI)(B)(2) OF PART A OF SCHEDULE VIII OF SEBI ICDR REGULATIONS, 2009 IN MATTER OF RUSHIL DÉCOR LTD.
|
IMPOSED PENALTY RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS
12-MAY-2017
|
|
| 295 |
|
|
VIRENDRA DUDHNATH SINGH
(PAN:AAVPS0709B)
|
|
|
|
INVENTURE GROWTH & SECURITIES LTD.
PAN:AAACI2044K
|
|
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING REGULATION 57(1) AND 57(2) READ WITH CLAUSE 2(VII)(G) AND (XVI)(B)(2) OF PART A OF SCHEDULE VIII OF SEBI ICDR REGULATIONS, 2009 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) & 4(1) AND 4(2)(K) & (R) OF PFUTP REGULATIONS, 2003 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
|
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 01-JAN-2019 TO 31-DEC-2022
06-AUG-2018
|
SAT: SAT VIDE ITS ORDER DATED 10/10/2019 PARTLY ALLOWED THE APPEAL BY LIMITING RESTRICTIONS ON ASSOCIATING AS DIRECTORS OR KMPS ETC HOLDING ANY FRESH POSITION IN SUCH CAPACITY FOR THREE YEARS FROM 01/01/2019
SAT: SAT VIDE ITS ORDER DATED 06/02/2020 DISMISSED REVIEW APPLICATION
|
| 296 |
|
|
VIRENDRA DUDHNATH SINGH
(PAN:AAVPS0709B)
|
|
|
|
INVENTURE GROWTH & SECURITIES LTD.
PAN:AAACI2044K
|
|
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) & 4(1) AND 4(2)(K) & (R) OF PFUTP REGULATIONS, 2003 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING REGULATION 57(1) AND 57(2) READ WITH CLAUSE 2(VII)(G) AND (XVI)(B)(2) OF PART A OF SCHEDULE VIII OF SEBI ICDR REGULATIONS, 2009 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
|
IMPOSED PENALTY RS.15,00,000
30-AUG-2019
|
|
| 297 |
|
|
VIRENDRA DUDHNATH SINGH
(PAN:AAVPS0709B)
|
|
|
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING REGULATION 57(1) AND 57(2) READ WITH CLAUSE 2(VII)(G) AND (XVI)(B)(2) OF PART A OF SCHEDULE VIII OF SEBI ICDR REGULATIONS, 2009 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-AUG-2018 TO 05-AUG-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-AUG-2018 TO 05-AUG-2022
06-AUG-2018
|
SAT: SAT VIDE ITS ORDER DATED 10/10/2019 PARTLY ALLOWED THE APPEAL BY LIMITING RESTRICTIONS ON ASSOCIATING AS DIRECTORS OR KMPS ETC HOLDING ANY FRESH POSITION IN SUCH CAPACITY FOR THREE YEARS FROM 01/01/2019
SAT: SAT VIDE ITS ORDER DATED 06/02/2020 DISMISSED REVIEW APPLICATION
|
| 298 |
|
|
VISHAL GUPTA
(PAN:AAHPG5643A)
|
|
|
|
PG ELECTROPLAST LTD.
PAN:AACCP9321Q
|
|
DID NOT MAKE DISCLOSURE OF CERTAIN MATERIAL INFORMATION IN OFFER DOCUMENT OF PG ELECTROPLAST LTD.
DIVERTED IPO PROCEEDS AND OTHER FUNS TO ENTITIES WHICH PURCHASED THE SHARES OF THE COMPANY TO ENSURE FULL SUBSCRIPTION TO IPO IN MATTER OF PG ELECTROPLAST LTD.
|
IMPOSED PENALTY RS.1,00,00,000
02-AUG-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: SAT VIDE ITS ORDER DATED 02/08/2019 ALLOWED THE APPEAL AND SET ASIDED PENALTY RS.1 CRORE EACH ON APPELLANTS. NO COSTS
|
| 299 |
|
|
VISHWANATHAN MATHUR
(PAN:ADGPM7842M)
|
|
|
|
RAVINDRA ENERGY LTD.
PAN:AAACR2065D
|
|
ALLEGED ISSUANCE AND ALLOTMENT OF EQUITY SHARES TO MORE THAN 49 PERSONS ON 5 OCCASIONS VIOLATING SECTIONS 73, 2(36) READ WITH 60 AND SECTIONS 56 READ WITH 67 OF THE COMPANIES ACT, 1956 IN MATTER OF RAVINDRA ENERGY LTD.
ALLEGED ISSUANCE AND ALLOTMENT OF EQUITY SHARES TO MORE THAN 49 PERSONS ON 5 OCCASIONS VIOLATING REGULATIONS 4(2) (D) & (E), 5(1),(2), (5) & (7), 6(1), 7, 26(1),(2) & (6), 32(1), 36, 37, 46, 47, 49, 57, 58 AND 63 OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF RAVINDRA ENERGY LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.99,60,938 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-APR-2020
|
|
| 300 |
|
|
VISHWAVIR AHUJA
(PAN:AAAPA0792P)
|
|
|
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2, 4.11, 4.14, 5.3.1, 5.4.1, 5.6A, 5.6.2, 6 TO 6.15 AND 8.8.1 OF SEBI (DISCLOSURE & INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2, 4.11, 4.14, 5.3.1, 5.4.1, 5.6A, 5.6.2, 6 TO 6.15 AND 8.8.1 OF SEBI (DISCLOSURE & INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING SEBI (ISSUE OF CAPITAL & DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING SEBI (ISSUE OF CAPITAL & DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.47,60,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-MAY-2016
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| 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 16
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