| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 401 |
|
PKP CONSULTANTS LTD.
|
|
|
|
NIRMAL GUPTA
|
|
|
PRAKASH GUPTA
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 402 |
|
|
POORVA TREXIM PVT.LTD.
(PAN:AACCP0015D)
|
|
|
|
AMIT DUTTA
|
|
|
PIYUSH KUMAR CHHAPARIA
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
31-MAR-2014
|
CONVICTION
|
| 403 |
|
|
POWERFLOW HOLDING & TRADING PVT.LTD.
|
|
|
|
ASHOK KUMAR SHARMA
|
|
|
MANOJ KUMAR BALOTHIA
|
|
|
MANOJ KUMAR BHALOTIA
|
|
|
S.RANJITH KUMAR
|
|
FAILED TO PAY PENALTY
VIOLATED SECTION 27 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 404 |
|
|
PRABHU STEEL INDUSTRIES LTD.
(PAN:AABCP0025E)
|
|
|
|
GANGA RAM AGGARWAL
|
|
|
KRISHNA KUMAR AGGARWAL
|
|
|
RADHESHYAM L.AGGARWAL
|
|
VIOLATED REGULATION 3 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CHIEF METROPOLITAN MAGISTRATE ESPLANADE COURT MUMBAI VIDE ITS ORDER DATED 12/02/2014 DISPOSED OFF THE CASE
|
| 405 |
|
|
PRAGATI MERCHANT PVT.LTD.
|
|
|
VIOLATED REGULATION 4(A) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 4(B) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 406 |
|
|
PRAKASH CERAMICS LTD.
|
|
|
|
RAJESH JAIN
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 407 |
|
|
PRAKASH FOTRAN SOFTECH LTD.
|
|
|
|
RAJESH JAIN
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 408 |
|
|
PRECESION DRUGS LTD.
|
|
|
|
NIKHIL R.SHARMA
|
|
|
RAJKUMAR B.SHARMA
|
|
|
SHEKHAR R.IYER
|
|
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
|
|
| 409 |
|
|
PREMIER PLANTATIONS LTD.
(CIN:U01119KL1990PLC005900)
|
|
|
|
C.M.SUBAIR
|
|
|
K.P.BASHEER
|
|
|
P.VIJAYAN
|
|
|
T.A.LATIF
|
|
|
T.P.MURALEEDHARAN
|
|
|
V.K.SYAMASUNDARAN
|
|
DID NOT REPAY EXCESS SHARE APPLICATION MONEY WITHIN STIPULATED PERIOD
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CASE DISMISSED BY COURT. APPEAL IS FILED BY SEBI AGAINST THE SAID ORDER WHICH IS PENDING BEFORE THE BOMBAY HIGH COURT
|
| 410 |
|
|
PRIYA HOLDINGS LTD.
|
|
|
|
ARUN R.MEHTA
|
|
|
K.F.SHARMA
|
|
|
RAJIV R. JAVERI
|
|
|
SANJAY P.MEHTA
|
|
|
TRUPTI S. MEHTA
|
|
|
UMESH P.MEHTA
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.1,00,000 BY THE ACCUSED TO SEBI
|
| 411 |
|
|
PROFILE INVESTMENT
|
|
|
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 412 |
|
|
PROTOCHEM LTD.
|
|
|
|
A.K.GUPTA
|
|
|
G.B.MATHUR
|
|
|
MANISHA MATHUR
|
|
|
NANDINI MATHUR
|
|
|
R.K.MATHUR
|
|
|
R.S.MATHUR
|
|
|
RAM S.GUPTA
|
|
MIS-STATEMENTS IN THE PROSPECTUS
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.5000/ BY EACH OF THE ACCUSED
|
| 413 |
|
|
PUKHRAJ HOLDINGS PVT.LTD.
|
|
|
|
ANIL KANODIA
|
|
|
ANIL RAI
|
|
|
B.M.JOSHI
|
|
|
T.S.NAIR
|
|
|
VINAY RAI
|
|
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
|
|
| 414 |
|
|
PUNJAB WOOLCOMBERS LTD.
(CIN:L17117PB1976PLC003630
PAN:AAACP9846Q)
|
|
|
|
NEELAM KUMAR OSWAL
|
|
VIOLATED SECTION 20(2) OF SEBI DEPOSITORIES ACT, 1996
|
PROSECUTION LAUNCHED
31-MAR-2014
|
WITHDRAWN
|
| 415 |
|
|
PUNJAB WOOLCOMBERS LTD.
(CIN:L17117PB1976PLC003630
PAN:AAACP9846Q)
|
|
|
|
JANGILAL OSWAL
|
|
|
NEELAM KUMAR OSWAL
|
|
|
S.L.GOEL
|
|
|
SURINDER NATH SHARMA
|
|
VIOLATED SECTION 19 OF SEBI DEPOSITORIES ACT, 1996
VIOLATED SECTION 20 OF SEBI DEPOSITORIES ACT, 1996
VIOLATED SECTION 21 OF SEBI DEPOSITORIES ACT, 1996
VIOLATED SECTION 22 OF SEBI DEPOSITORIES ACT, 1996
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 416 |
|
|
PUNJWANI PACKING LTD.
|
|
|
|
AMAR LAL CHUGH
|
|
|
KAMAL PUNJAWANI
|
|
|
NAMDEV PUNJAWANI
|
|
|
SHYAM SUNDER PANDIT
|
|
|
SUJATA VARMA
|
|
DID NOT REPAY EXCESS SHARE APPLICATION MONEY WITHIN STIPULATED PERIOD
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 417 |
|
|
R.C.GUPTA & CO.PVT.LTD.
|
|
|
|
C.V.R.RAO
|
|
|
GAURAV BANSAL
|
|
|
GAURAV KUMAR
|
|
|
KAUSHAL AGGARWAL
|
|
|
NAVNEET KUMAR
|
|
|
PRAMOD KUMAR
|
|
|
R.P.GUPTA
|
|
|
RAKESH SONI
|
|
|
RAVI KRISHNAMOORTHI
|
|
|
SANDEEP KUMAR GUPTA
|
|
|
SANJAY AGGARWAL
|
|
|
VINOD KUMAR
|
|
|
VIVEK NAGPAL
|
|
VIOLATED SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 418 |
|
|
R.C.OVERSEAS PVT.LTD.
|
|
|
|
DEEPAK
|
|
|
OM PRAKASH
|
|
|
RAJENDER SINGH RAWAT
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
31-MAR-2013
|
|
| 419 |
|
|
RADHIKA SPINNING MILLS LTD.
|
|
|
|
DINESH KUMAR AGARWAL
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CASE DISMISSED
|
| 420 |
|
|
RAI CHEMICALS PVT.LTD.
(CIN:U00304BR1989PTC003656)
|
|
|
|
A.MUKHERJEE
|
|
|
DIGAMBAR MANDAL
|
|
|
M.C.MALOO
|
|
|
S.L.MALOO
PAN:AAAPM0844N
|
|
FAILED TO PAY PENALTY
|
PROSECUTION LAUNCHED
31-MAR-2010
|
THE OFFENCE WAS COMPOUNDED
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 21 of 32
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