| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 301 |
|
GRANTVIEW PROPERTIES PVT.LTD.
(PAN:AADCG0799G)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF MAHAN INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MAHAN INDUSTRIES LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF MAHAN INDUSTRIES LTD.
|
IMPOSED PENALTY RS.9,00,000
30-SEP-2015
|
SEBI VIDE ITS NOTICE DATED 15/03/2016 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
SAT: SAT VIDE ITS ORDER DATED 14/07/2016 QUASHED AND SET ASIDED PENALTY IMPOSED UNDER SECTION ALLEGEDLY VIOLATING 1997 REGULATIONS AND PIT REGULATIONS. PENALTY IMPOSED UNDER SECTION 15A (A) OF SEBI ACT VIOLATING SECTION 11C(3) AND SECTION 11C(5) OF SEBI ACT UPHELD AND DIRECTED TO WITHIN SIX WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 25/10/2016 CONDONED THE DELAY OF 6-7 DAYS IN PAYING THE PENALTY AMOUNT OF RS.4 LAC. NO COSTS
SEBI VIDE ITS ORDER DATED 22/11/2016 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS/LOCKERS/DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 15/03/2016
|
| 302 |
|
|
GREENFIELD INVESTMENTS PVT.LTD.
|
|
|
DID NOT SUBMIT REQUIRED INFORMATION TO SEBI IN THE CASE OF SCRIP OF DSQ BIOTECH LTD.
|
IMPOSED PENALTY RS.10,00,000
05-FEB-2008
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 303 |
|
|
GROVALUE FINANCIAL SERVICES PVT.LTD.
(PAN:AAFCG8218G)
|
|
|
DID NOT SUBMIT RELEVANT DATA/INFORMATION FOR INSPECTION PERIOD
DID NOT MAKE DISCLOSURE OF CHANGE OF REGISTERED OFFICE ADDRESS TO SEBI
DID NOT PAY OF FEE WITH RESPECT TO RENEWAL OF CERTIFICATE
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
IMPOSED PENALTY RS.3,00,000
27-MAR-2024
|
SEBI VIDE ITS NOTICE DATED 16/07/2024 DIRECTED TO PAY RS.3,16,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 28/08/2024 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 03/10/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.3,25,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 304 |
|
|
GROVALUE FINANCIAL SERVICES PVT.LTD.
(PAN:AAFCG8218G)
|
|
|
DID NOT SUBMIT RELEVANT DATA/INFORMATION FOR INSPECTION PERIOD
DID NOT MAKE DISCLOSURE OF CHANGE OF REGISTERED OFFICE ADDRESS TO SEBI
DID NOT PAY OF FEE WITH RESPECT TO RENEWAL OF CERTIFICATE
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
CANCELLED REGISTRATION AS RESEARCH ANALYST FROM 14-JUN-2024
14-JUN-2024
|
|
| 305 |
|
|
GROWMORE SOLVENT LTD.
|
|
|
|
MAGANBHAI M.PATEL
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.1,00,00,000
08-OCT-2004
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.50,000 FROM RS.1,00,00,000
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 306 |
|
|
GUINESS COMMODITIES PVT.LTD.
(PAN:AAACG9869L)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF STEEL EXCHANGE INDIA LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF STEEL EXCHANGE INDIA LTD.
|
IMPOSED PENALTY RS.10,00,000
29-JAN-2021
|
|
| 307 |
|
|
GUINESS FINANCE & LEASING PVT.LTD.
(PAN:AABCK1388B)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF STEEL EXCHANGE INDIA LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF STEEL EXCHANGE INDIA LTD.
|
IMPOSED PENALTY RS.10,00,000
29-JAN-2021
|
|
| 308 |
|
|
GUJARAT TEXSPIN LTD.
(CIN:L17110GJ1992PLC018186)
|
|
|
|
JIVRAJBHAI M.PATEL
|
|
|
MUKUND KRISHNASWAMI RAO
|
|
|
TARIK HAJI GAFFAR
|
|
|
TAUFIK HAJI GAFFAR
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
COMMITTED IRREGULARITIES IN EFFECTING TRANSFERS
CONTRAVENED PROVISIONS OF REGULATION 3 AND 6(C) OF SEBI (PFUTP) IN THE SCRIP OF GUJARAT TEXSPIN LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-AUG-2007 TO 26-AUG-2012
27-AUG-2007
|
|
| 309 |
|
|
GUJARAT TEXSPIN LTD.
(CIN:L17110GJ1992PLC018186)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
PROHIBITED FROM ACCESSING SECURITIES MARKET OR FROM SEEKING LISTING FOR ANY EQUITY SHARES FROM 23-JUL-2017 TO 22-JUL-2027
28-JUN-2019
|
|
| 310 |
|
|
GULISTAN VANIJYA PVT.LTD.
(PAN:AACCG5385R)
|
|
|
DID NOT SUBMIT REQUIRED DETAILS/INFORMATION/RECORDS/DOCUMENTS SOUGHT VIDE SUMMONS DATED 29/01/2014 AND 03/06/2014 IN MATTER OF RAVI KUMAR DISTILLERIES LTD.
|
IMPOSED PENALTY RS.5,00,000
26-SEP-2018
|
|
| 311 |
|
|
GURUPATH MERCHANDISE PVT.LTD.
|
|
|
|
PRADEEP KUMAR JAIN
|
|
|
PRAKASH SHUKLA
|
|
DID NOT SUBMIT REPORT TO SEBI
|
IMPOSED PENALTY RS.20,000
31-JAN-2005
|
|
| 312 |
|
|
HABISCUS INVESTMENTS PVT.LTD.
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.30,000
01-JUN-2005
|
|
| 313 |
|
|
HABISCUS INVESTMENTS PVT.LTD.
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ROOFIT INDUSTRIES LTD.
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
DID NOT PROVIDE INFORMATION TO SEBI
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-JAN-2007 TO 08-JUL-2007
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-JAN-2007 TO 08-JUL-2007
09-JAN-2007
|
|
| 314 |
|
|
HANIL ERA TEXTILES LTD.
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
DID NOT REDRESS INVESTOR GRIEVANCES DESPITE BEING DIRECTED BY SEBI
|
IMPOSED PENALTY RS.10,00,000
21-NOV-2005
|
SAT: CALL UPON APPLICANT TO PRODUCE DOCUMENT AND MATERIAL THEN ADJUDICATION OFFICER WILL PASS A FRESS ORDER
|
| 315 |
|
|
HANUMAN CULTIVATION PVT.LTD.
(PAN:AACCH0995A)
|
|
|
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
|
| 316 |
|
|
HARPAL ASSOCIATES PVT.LTD.
|
|
|
INDULGED IN PRICE MANIPULATION AND CREATION OF ARTIFICIAL MARKET IN SCRIP OF SHONKH TECHNOLOGIES INTERNATIONAL LTD.
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
|
ORDER TO BE PASSED AFTER PERSONAL HEARING
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-MAR-2007
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-MAR-2007
09-MAR-2007
|
FINAL ORDER PASSED ON 16/10/2007 RESTRAINED FORM ACCESSING SECURITIES MARKET FOR A PERIOD OF FIVE YEARS AND PROHIBITED FROM BUYING, SELLING OR DEALING IN SECURITIES EITHER DIRECTLY OR INDIRECTLY
|
| 317 |
|
|
HARPAL ASSOCIATES PVT.LTD.
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.15,000
31-MAY-2005
|
SEBI VIDE ITS NOTICE DATED 16/11/2017 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 318 |
|
|
HDK INTERNATIONAL PVT.LTD.
(PAN:AABCH7897J)
|
|
|
INDULGED IN DIVERSION OF IPO MONEY AND DID NOT DEPLOY IPO PROCEEDS FOR STATED OBJECTS OF ISSUE AS DISCLOSED IN PROSPECTUS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT. 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ACROPETAL TECHNOLOGY LTD.
DID NOT FURNISH CORRECT AND COMPLETE INFORMATION IN RESPONSE TO SUMMONS ISSUED IN MATTER OF ACROPETAL TECHNOLOGY LTD.
|
IMPOSED PENALTY RS.3,00,000
31-MAR-2022
|
SEBI VIDE ITS NOTICE DATED 19/08/2022 DIRECTED TO PAY RS.3,16,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 08/09/2022 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
SEBI VIDE ITS ORDER DATED 14/11/2022 DIRECTED ALL THE BANKS TO REMIT RS.3,25,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF HDK INTERNATIONAL PVT.LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS NOTICE DATED 02/12/2022 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 08/09/2022
SEBI VIDE ITS ORDER DATED 02/12/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.5377 OF 2022 DATED 19/08/2022
|
| 319 |
|
|
HEM STOCKS & SHARES SERVICES PVT.LTD.
(CIN:U67120GJ2009PTC057437
PAN:AACCH2327J)
|
|
|
INDULGED IN SIPHONING OFF IPO PROCEEDS IN MATTER OF MIDVALLEY ENTERTAINMENT LTD.
DID NOT PROVIDE INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF MIDVALLEY ENTERTAINMENT LTD.
|
IMPOSED PENALTY RS.7,00,000
31-MAY-2022
|
SEBI VIDE ITS NOTICE DATED 16/09/2022 DIRECTED TO PAY RS.7,25,855.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 10/10/2023 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
SEBI VIDE ITS NOTICE DATED 18/03/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.8,55,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 320 |
|
|
HERANBA FINVEST SERVICES PVT.LTD.
(PAN:AABCH4523R)
|
|
|
DID NOT SUBMIT REQUIRED DETAILS/INFORMATION/DOCUMENTS/RECORDS SOUGHT VIDE SUMMON DATED 04/12/2014 IN MATTER OF RAVI KUMAR DISTILLERIES LTD.
|
IMPOSED PENALTY RS.5,00,000
27-SEP-2018
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 16 of 44
|
