| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 421 |
|
MANDVI DYES & CHEMICALS CO.PVT.LTD.
(PAN:AAACM3248D)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MINDVISION CAPITAL LTD.
|
IMPOSED PENALTY RS.6,00,000
28-FEB-2019
|
|
| 422 |
|
|
MANGAL CHAND RAJENDRA KUMAR CHOPRA (HUF)
(PAN:AAAHM6901J)
|
|
|
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
|
| 423 |
|
|
MANGAL KESHAV CAPITAL LTD.
(PAN:AAECM2998N)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(1), 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MAN INDUSTRIES (INDIA) LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1), 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF MAN INDUSTRIES (INDIA) LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,26,938 VIDE CONSENT ORDER)
10-APR-2017
|
|
| 424 |
|
|
MANGAL KESHAV CAPITAL LTD.
(PAN:AAECM2998N)
|
|
|
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 ARMS PAPER LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ARMS PAPER LTD.
|
IMPOSED PENALTY RS.5,00,000
07-DEC-2015
|
|
| 425 |
|
|
MANGALAM DRUGS & ORGANICS LTD.
(PAN:AAACM7880P)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BSE AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DID NOT MAKE CORRECT DISCLOSURE OF SHAREHOLDING PATTERN TO STOCK EXCHANGES VIOLATING SECTION 21 OF SCRA, 1956 READ WITH CLAUSE 35 OF LISTING AGREEMENT
|
IMPOSED PENALTY RS.1,50,000
28-SEP-2018
|
|
| 426 |
|
|
MANGILAL JAWANMAL JAIN (HUF)
(PAN:AABHM2855E)
|
|
|
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
|
| 427 |
|
|
MANMOHAN GEMS PVT.LTD.
(PAN:AADCM6024G)
|
|
|
DID NOT MAKE 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 FLAWLESS DIAMOND INDIA LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF FLAWLESS DIAMOND INDIA LTD.
|
IMPOSED PENALTY RS.3,00,000
24-NOV-2011
|
SEBI VIDE ITS NOTICE DATED 10/06/2014 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 NOTICE DATED 18/05/2023 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 10/06/2014
|
| 428 |
|
|
MANMOHAN GEMS PVT.LTD.
(PAN:AADCM6024G)
|
|
|
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 FLAWLESS DIAMOND INDIA LTD.
DID NOT MAKE 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 FLAWLESS DIAMOND INDIA LTD.
|
IMPOSED PENALTY RS.1,00,000
28-SEP-2011
|
|
| 429 |
|
|
MANNA GLASS-TECH INDUSTRIES LTD.
(Along with : GROWTH AGRO INDUSTRIES LTD.)
|
|
|
|
AMIDHAR MAJUMDAR
|
|
|
ASHOK NAVINCHANDRA CHOKSHI
|
|
|
BEENA A.SHAH
|
|
|
NOOPUR KANSARA
DIN:03153864
|
|
|
REENA A.MAJUMDAR
|
|
|
TUSHAR A.MAJUMDAR
|
|
ALLOTTED SHARES OF MANNA GLASS TECH INDUSTRIES LTD. ON PREFERENTIAL BASIS WITHOUT ANY CONSIDERATION BEING RECEIVED IN ACTUAL AS THE COMPANY ITSELF ISSUED, CHEQUES TO ITS PROMOTER ENTITIES WHO IN TURN ISSUED CHEQUES TO ALLOTTEES AND ALLOTTEES ISSUED THE CHEQUES BACK TO COMPANY AS ALLOTMENT MONEY
MANIPULATED MARKET BY SELLING SHARES OF MANNA GLASS TECH INDUSTRIES LTD. FOR WHICH NO CONSIDERATION WAS PAID AT THE TIME OF ACQUISITION
FILED WRONG DECLARATION WITH STOCK EXCHANGE REGARDING RECEIPT OF ALLOTMENT MONEY IN PREFERENTIAL ISSUE
PUBLISHED ADVERTISEMENT OF BUYBACK IN NEWSPAPER FOR BUYBACK OF SHARES OF MANNA GLASS TECH INDUSTRIES LTD. FOR THE PURPOSE OF PRICE MANIPULATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-FEB-2006 TO 31-JAN-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-FEB-2006 TO 31-JAN-2009
01-FEB-2006
|
|
| 430 |
|
|
MANNA GLASS-TECH INDUSTRIES LTD.
|
|
|
|
DATTATRAY MARUTIRAO SAWANT
|
|
|
JAYESH BALMUKUNDBHAI MEHTA
|
|
|
NOOPUR KANSARA
DIN:03153864
|
|
|
YOGINI VYAS
|
|
PUBLISHED ADVERTISEMENT OF BUYBACK IN NEWSPAPER FOR BUYBACK OF SHARES OF MANNA GLASS TECH INDUSTRIES LTD. FOR THE PURPOSE OF PRICE MANIPULATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-AUG-2007 TO 01-AUG-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-AUG-2007 TO 01-AUG-2009
02-AUG-2007
|
|
| 431 |
|
|
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
|
|
| 432 |
|
|
MARG CAPITAL MARKETS LTD.
(PAN:AACCM9282F)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF MARG LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MARG LTD.
|
IMPOSED PENALTY RS.2,00,000
22-MAR-2018
|
|
| 433 |
|
|
MARINA DEALCOM PVT.LTD.
(PAN:AAGCM0638M)
|
|
|
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 ARVIND REMEDIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF ARVIND REMEDIES LTD.
|
IMPOSED PENALTY RS.1,00,000
20-DEC-2019
|
SEBI VIDE ITS NOTICE DATED 07/09/2021 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
|
| 434 |
|
|
MARINE DRIVE INVESTMENT & TRADING CO.PVT.LTD.
|
|
|
|
HEMENDRA J.SHROFF
|
|
|
KAMLESH J.SHROFF
|
|
|
PRADIP R.SHROFF
|
|
VIOLATED REGULATIONS 4 (A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 11 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 12 SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3 (I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 435 |
|
|
MARLEY FOODS PVT.LTD.
|
|
|
BOUGHT EQUITY SHARES ON BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATED REGULATIONS 3(I),3(II),3(A) READ WITH REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF FCGL INDUSTRIES LTD. (PRESENTLY GUJARAT NRE COKE LTD.)
|
IMPOSED PENALTY RS.1,00,00,000
29-OCT-2010
|
SAT: APPEAL ALLOWED LEAVING THE PARTIES TO BEAR THEIR OWN COSTS.
|
| 436 |
|
|
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
|
|
| 437 |
|
|
MATANGI TRADERS & INVESTORS PVT.LTD.
|
|
|
BOUGHT EQUITY SHARES ON BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATED REGULATIONS 3(I),3(II),3(A) READ WITH REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF FCGL INDUSTRIES LTD. (PRESENTLY GUJARAT NRE COKE LTD.)
|
IMPOSED PENALTY RS.20,00,000
29-OCT-2010
|
SAT: APPEAL ALLOWED LEAVING THE PARTIES TO BEAR THEIR OWN COSTS.
|
| 438 |
|
|
MATUNGA INVESTMENT & TRADING CO.PVT.LTD.
|
|
|
|
HEMENDRA J.SHROFF
|
|
|
KAMLESH J.SHROFF
|
|
|
MANOJ T.SHROFF
|
|
VIOLATED REGULATIONS 4 (A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 11 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 12 SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3 (I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 439 |
|
|
MAVI INVESTMENT FUND LTD.
(PAN:AAECM5148A)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES FOR PERIOD 2006-2007 AS REQUIRED UNDER REGULATIONS 7(1),7(1)A AND 8(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF SOMA TEXTILES & INDUSTRIES LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SOMA TEXTILES & INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
30-APR-2010
|
|
| 440 |
|
|
MAXGAIN ADVISORY PVT.LTD.
(PAN:AAHCM3972H)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(2A) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF SRK INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
31-AUG-2020
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 22 of 42
|
