| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 461 |
|
BLUEVIEW TRADEVIN PVT.LTD.
(PAN:AAECB8239K)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUNSTAR REALTY DEVELOPMENT LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-MAR-2021 TO 18-MAR-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-MAR-2021 TO 18-MAR-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
19-MAR-2021
|
|
| 462 |
|
|
BM TRADERS
(PAN:ADOPJ5144R)
|
|
|
|
RAJ JAGTANI
PAN:ADOPJ5144R
|
|
AIDED AND ABETTED VARANIUM CLOUD LTD. IN SIPHONING OFF FUNDS OF RIGHTS ISSUE AND IPO VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF VARANIUM CLOUD LTD.
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-AUG-2026 TO 24-AUG-2030
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-AUG-2026 TO 24-AUG-2030
IMPOSED PENALTY RS.10,10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
25-AUG-2026
|
|
| 463 |
|
|
BNP REAL ESTATE & ALLIED LTD.
(CIN:U45200MP2007PLC019536
PAN:AADCB2189H)
|
|
|
|
DEVENDRA KUMAR SHARMA
DIN:03346208
PAN:CGEPS8222C
|
|
|
GYANESH SHARMA (AKA.GYANESH RAWAT)
PAN:ANQPG7900G
|
|
|
KISHORI SHARMA
PAN:BDVPS3534A
|
|
|
KUNVER SINGH
PAN:BOUPS2175H
|
|
|
MAHESH PALIWAL
PAN:BBIPP4520L
|
|
|
MUKESH KUMAR SHARMA
PAN:BCKPS7359M
|
|
|
MUNENDRA KUMAR
PAN:ATVPK1011B
|
|
|
PADAM SINGH NARWARIA
PAN:ACOPN4986E
|
|
|
RAGHVENDRA SINGH NARWARIA
DIN:01451353
PAN:ADPPN6255N
|
|
|
RAVINDRA SINGH
PAN:BHAPS1632N
|
|
|
SANJEEV KUMAR PURWANSI
PAN:AQQPP3214P
|
|
|
SANTOSH SHARMA
DIN:02643085
PAN:ADKPS7156A
|
|
|
SUREKHA SHARMA
PAN:BNUPS4121C
|
|
|
UMESH NARWARIA
PAN:ACOPN4971B
|
|
MOBILIZED RS.9.85 CRORES THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 2,993 INVESTORS VIOLATING SECTIONS 2(36), 56(1), 56(3) AND 73 OF THE COMPANIES ACT, 1956 AND THE DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH ICDR REGULATIONS, 2009
MOBILIZED FUND FROM PUBLIC THROUGH ISSUANCE OF 1,09,151 EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 179 INVESTORS VIOLATING SECTIONS 2(36), 56(1), 56(3) AND 73 OF THE COMPANIES ACT, 1956 AND THE DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH ICDR REGULATIONS, 2009
|
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 21-DEC-2017 TO 20-DEC-2021
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 21-DEC-2017 TO 20-DEC-2021
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 21-DEC-2017 TO 20-DEC-2021
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-DEC-2017 TO 20-DEC-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-DEC-2017 TO 20-DEC-2021
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
29-SEP-2015
|
SEBI VIDE ITS ORDER DATED 21/12/2017 DIRECTED TO A) REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF RPS & EQUITY SHARES WITH INTEREST @ 15% P.A. FROM EIGHTH DAY OF COLLECTION OF FUNDS TO INVESTORS TILL DATE OF ACTUAL PAYMENT THROUGH BANK DEMAND DRAFT OR PAY ORDER B) TO PROVIDE FULL INVENTORY OF ASSETS & PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF MUTUAL FUNDS/SHARES/SECURITIES, IF HELD IN PHYSICAL AND DEMAT FORM C) PERMITTED TO SELL ASSETS OF THE COMPANY AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK D) PREVENTED FROM SELLING THEIR ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED AND DEPOSIT THE PROCEEDS IN AN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK E) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND F) FILE CERTIFICATE OF SUCH COMPLETION OF WITH SEBI CERTIFIED BY TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION G) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
SAT: SAT VIDE ITS ORDER DATED 13/12/2022 CONDONED THE DELAY OF 1718 DAYS IN FILING OF APPEAL AND ALLOWED APPELLANT THREE WEEKS TO FILE REPLY AND REJOINDER TO FILE THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 15/03/2023 ALLOWED APPELLANT TWO WEEKS TO FILE REJOINDER
|
| 464 |
|
|
BOBBY LEASE FINANCE LTD.
(PAN:AABCB1442P)
|
|
|
PROVIDED HUGE QUANTITY OF SHARES WITHOUT ANY CONSIDERATION FOR IRREGULAR TRADING IN SCRIP OF FAST TRACK ENTERTAINMENT LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-OCT-2009 TO 11-OCT-2010
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-OCT-2009 TO 11-OCT-2010
12-OCT-2009
|
|
| 465 |
|
|
BODAL CONPRO PVT.LTD.
(PAN:AADCB0973D)
|
|
|
ACTED IN CONCERT WITH PROMOTERS OF THE BANK OF RAJASTHAN LTD.FOR THE PURPOSE OF ACQUISITION OF SHARES/VOTING RIGHTS INDIRECTLY FOR PROMOTERS FOR THE PURPOSE OF CONCEALMENT OF THEIR ACQUISITION OF SHARES VIOLATING SEBI TAKEOVER CODE, 1997
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-MAR-2010 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-MAR-2010 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
08-MAR-2010
|
SEBI VIDE ITS ORDER DATED 26/03/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS ORDER DATED 08/03/2010
|
| 466 |
|
|
BODH GAYA CERAMICS LTD.
|
|
|
|
BRAJESH KUMAR SINHA
|
|
|
GYAN DHAR SINGH
|
|
|
HARINANDAN PRASAD SINHA
|
|
|
HARSHAD NANDLAL BHUTTA
|
|
DECLARED AS A VANISHING COMPANY
DID NOT ADHERE TO LISTING AGREEMENT
DID NOT SUBMIT STATUTORY REPORTS, DIRECTORS REPORTS AND OTHER INFORMATION TO STOCK EXCHANGE
DID NOT FURNISH FINANCIAL RESULTS INCLUDING CASH FLOW STATEMENTS, BALANCE SHEET AND PROFIT & LOSS ACCOUNT TO STOCK EXCHANGE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-SEP-2003 TO 24-SEP-2008
PROHIBITED PUBLIC COMPANIES IN WHICH THIS DIRECTOR HAS CONTROLLING/SUBSTANTIAL INTEREST TO RAISE FUNDS FROM CAPITAL MARKET FROM 25-SEP-2003 TO 24-SEP-2008
25-SEP-2003
|
|
| 467 |
|
|
BOMBAY DYEING & MANUFACTURING CO.LTD.,THE
(PAN:AAACT2328K)
(Along with : SCAL SERVICES LTD.)
|
|
|
|
DURGESH MEHTA
PAN:AAKPM9703A
|
|
|
JEHANGIR NUSLI WADIA
PAN:AAAPW0989N
|
|
|
N.H.DATANWALA
PAN:AACPD5729K
|
|
|
NESS NUSLI WADIA
PAN:AAAPW0814G
|
|
|
NUSLI NEVILLE WADIA
PAN:AAAPW0990M
|
|
|
R.CHANDRASEKHARAN
PAN:AABPC3516A
|
|
|
SHAILESH KARNIK
PAN:AISPK4123A
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF BOMBAY DYEING & MANUFACTURING CO.LTD. AND SUBSIDIARIES VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(D), 4(1), 4(2)(E), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BOMBAY DYEING & MANUFACTURING CO.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-OCT-2022 TO 20-OCT-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-OCT-2022 TO 20-OCT-2023
IMPOSED PENALTY RS.75,00,000
21-OCT-2022
|
|
| 468 |
|
|
BOMBAY DYEING & MANUFACTURING CO.LTD.,THE
(PAN:AAACT2328K)
|
|
|
|
DURGESH MEHTA
PAN:AAKPM9703A
|
|
|
JEHANGIR NUSLI WADIA
PAN:AAAPW0989N
|
|
|
NESS NUSLI WADIA
PAN:AAAPW0814G
|
|
|
NUSLI NEVILLE WADIA
PAN:AAAPW0990M
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF BOMBAY DYEING & MANUFACTURING CO.LTD. AND SUBSIDIARIES VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(D), 4(1), 4(2)(E), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BOMBAY DYEING & MANUFACTURING CO.LTD.
DID NOT MAKE DISLOSURE OF RELATED PARTY TRANSACTION WITH SCAL SERVICES LTD. VIOLATING CLAUSE 49(VIII)A(1) OF ERSTWHILE LISTING AGREEMENT AND REGULATIONS 27(2)(B) READ WITH REGULATION 103 OF SEBI (LODR) REGULATIONS, 2015
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-OCT-2022 TO 20-OCT-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-OCT-2022 TO 20-OCT-2024
IMPOSED PENALTY RS.2,25,00,000
21-OCT-2022
|
SAT: SAT VIDE ITS ORDER DATED 10/11/2022 DIRECTED RESPONDENT TO FILE THE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. DIRECTED THAT EFFECT AND OPERATION OF IMPUGNED ORDER TO REMAIN STAYED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 10/01/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER AND REPLY, IF ANY, TO BE FILED WITHIN 3 DAYS
SAT: SAT VIDE ITS ORDER DATED 10/05/2023 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 16/01/2026 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 21/10/2022. PENALTY AMOUNT IF ANY, PAID BY APPELLANTS TO BE REFUNDED WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. DISMISSED THE APPEAL. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 29/01/2026 DISMISSED THE APPEAL AS WITHDRAWN
|
| 469 |
|
|
BONANZA BIOTECH LTD.
|
|
|
|
AMIT PATEL
|
|
|
ARVIND VASWANI
|
|
|
DRUMA VAGHELA
|
|
|
MANISH GANERIWALA
|
|
|
RAKESH PANDYA
|
|
|
SHARAD GUJRATHI
|
|
MASSIVE IRREGULARITIES IN THE TRADING OF SHARES OF DESIGN AUTO SYSTEMS LTD.
VIOLATED SEBI PREFERENTIAL ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES IN MATTER OF DESIGN AUTO SYSTEMS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-MAR-2007 TO 05-MAR-2014
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-MAR-2007 TO 05-MAR-2014
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
06-MAR-2007
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
|
| 470 |
|
|
BORN-FREE FINANCE LTD.
|
|
|
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
INDULGED IN PRICE MANIPULATION BY CIRCULAR AND STRUCTURED TRANSACTIONS IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-DEC-2008 TO 11-JUN-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-DEC-2008 TO 11-JUN-2009
12-DEC-2008
|
|
| 471 |
|
|
BOURSE INDIA INVESTMENT ADVISOR
(PAN:AANFB7695P)
|
|
|
|
AAKASH JOSHI
PAN:AINPJ4355Q
|
|
|
GAURAV KUMAR
PAN:CSTPK6551R
|
|
|
HARIOM SHARAN PATEL
PAN:BFLPP9443M
|
|
|
SHENKEY CHAURASIA
PAN:ATJPC5720H
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
DISSEMINATED FALSE AND MISLEADING INFORMATION ON WEBSITE SHOWING FIRM AS AN INVESTMENT ADVISOR WITH LONG EXPERIENCE AND CLAIMED HIGH RETURNS AND MAXIMUM BENEFITS ETC.
|
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO ACCEPT REFUND CLAIMS/REQUESTS FROM THE PUBLIC
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 25-AUG-2023 TO 24-AUG-2025
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-AUG-2023 TO 24-AUG-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-AUG-2023 TO 24-AUG-2025
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 25-AUG-2023 TO 24-AUG-2025
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI FROM 25-AUG-2023 TO 24-AUG-2025
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
25-AUG-2023
|
SEBI VIDE ITS NOTICE DATED 17/10/2024 DIRECTED TO PAY RS.6,91,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 17/10/2024 DIRECTED TO PAY RS.1,22,82,409.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 472 |
|
|
BP COMTRADE PVT.LTD.
(PAN:AAACA3758Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF BLUE BLENDS (INDIA) LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-MAY-2020 TO 24-JUN-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-MAY-2020 TO 24-JUN-2020
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-MAY-2020
|
SAT: SAT VIDE ITS ORDER DATED 26/06/2020 ALLOWED FOUR WEEKS TIME TO SEBI TO FILE REPLY AND LIST THE MATTER FOR ADMISSION AND FINAL HEARING ON 17/08/2020
SAT: SAT VIDE ITS ORDER DATED 20/11/2020 DISMISSED THE APPEAL AND DIRECTED APPELLANT TO PAY PENALTY WITHIN 30 DAYS FROM DATE OF THIS ORDER.NO COSTS
|
| 473 |
|
|
BP FINTRADE PVT.LTD.
(CIN:U67120MH2005PTC150706
PAN:AAACY2372G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF BLUE BLENDS (INDIA) LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-MAY-2020 TO 24-JUN-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-MAY-2020 TO 24-JUN-2020
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-MAY-2020
|
SAT: SAT VIDE ITS ORDER DATED 26/06/2020 ALLOWED FOUR WEEKS TIME TO SEBI TO FILE REPLY AND LIST THE MATTER FOR ADMISSION AND FINAL HEARING ON 17/08/2020
SAT: SAT VIDE ITS ORDER DATED 20/11/2020 DISMISSED THE APPEAL AND DIRECTED APPELLANT TO PAY PENALTY WITHIN 30 DAYS FROM DATE OF THIS ORDER.NO COSTS
|
| 474 |
|
|
BPL LTD.
|
|
|
MANIPULATED PRICE IN SCRIP OF BPL LTD. IN 1998
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-APR-2001 TO 18-APR-2005
19-APR-2001
|
SAT: APPLICANT'S REQUEST FOR INTERIM ORDER REJECTED
SAT: APPEAL ALLOWED
|
| 475 |
|
|
BRAHASPATI FINANCERS LTD.
(Along with : SURAJ SECURITIES & FINANCE LTD.)
|
|
|
|
K.N.GUPTA
|
|
|
KAPIL KUMAR GUPTA
|
|
|
NAVNIDHI GARG
|
|
|
S.K.GUPTA
|
|
|
SUMAN GUPTA
|
|
GAVE MIS-STATEMENT IN PROSPECTUS REGARDING RECEIPT OF PROMOTERS' CONTRIBUTION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-JAN-2003 TO 26-JAN-2008
27-JAN-2003
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PERIOD OF BAN FROM 5 YEARS TO 4 YEARS
|
| 476 |
|
|
BRAHASPATI FINANCERS LTD.
(Along with : SURAJ SECURITIES & FINANCE LTD.)
|
|
|
|
K.N.GUPTA
|
|
|
KAPIL KUMAR GUPTA
|
|
|
NAVNIDHI GARG
|
|
|
S.K.GUPTA
|
|
|
SUMAN GUPTA
|
|
FUNDED PROMOTERS' CONTRIBUTION TO GIVE MISLEADING IMPRESSION THAT ENTIRE PROMOTERS' CONTRIBUTION HAS BEEN RECEIVED BEFORE ISSUANCE OF PROSPECTUS OF BRAHASPATI FINANCIERS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-JAN-2003 TO 26-JAN-2008
27-JAN-2003
|
|
| 477 |
|
|
BRATITI FINLEASE PVT.LTD.
(PAN:AABCB6443N)
|
|
|
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
DIRECTED TO FREEZE DEMAT ACCOUNT OF A SPECIFIED SCRIP
06-SEP-2005
|
DIRECTED TO PERMANENTLY FREEZE DEMAT ACCOUNT W.E.F. 19/01/2007
|
| 478 |
|
|
BRD SECURITIES LTD.
(PAN:AAACB9980B)
|
|
|
|
CHANAYIL GOPALAN SURENDRAN
PAN:AJEPS3796A
|
|
|
CHERUVATHOOR KURIAPPAN
PAN:ACFPA2131D
|
|
|
GIGY VERGHESE PULIKKOTTIL
PAN:ACTPP3500F
|
|
|
MARY WILLIAMS
PAN:AAHPW7793F
|
|
|
PORATHUR DEVASSY ANTONY
PAN:AGJPD0248A
|
|
|
PRASAD PUNNOOSE
PAN:AGBPP0338F
|
|
|
SURENDRAN THAZHATHPURAKKAL KRISHNAN
PAN:AKVPK2336A
|
|
|
THOMAS AUGUSTINE
PAN:AEQPT2614H
|
|
|
WILLIAM VERGHESE CHUNGATH CHERU
PAN:ACKPV7803J
|
|
MOBILIZED RS.9.75 CRORE FROM PUBLIC THROUGH ISSUANCE OF 97,53,318 EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 3,534 INVESTORS VIOLATING SECTIONS 56(1), 56(3) 60(1) AND 73(1) TO 73(3) READ WITH 67 OF THE COMPANIES ACT, 1956 IN MATTER OF BRD SECURITIES LTD.
|
DIRECTED TO REFUND MONEY COLLECTED THROUGH ALLOTMENT OF SHARES ALONGWITH INTEREST @15% PER ANNUM FROM DATE OF RECEIPT OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2021 TO 24-MAY-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2021 TO 24-MAY-2023
25-MAY-2021
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BRD SECURITIES LTD.
(PAN:AAACB9980B)
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CHANAYIL GOPALAN SURENDRAN
PAN:AJEPS3796A
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CHERUVATHOOR KURIAPPAN
PAN:ACFPA2131D
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GIGY VERGHESE PULIKKOTTIL
PAN:ACTPP3500F
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JOJO NJEZHUVINKEL JOSEPH
PAN:AAXPN6645H
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PORATHUR DEVASSY ANTONY
PAN:AGJPD0248A
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PRASAD PUNNOOSE
PAN:AGBPP0338F
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SURENDRAN THAZHATHPURAKKAL KRISHNAN
PAN:AKVPK2336A
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THOMAS AUGUSTINE
PAN:AEQPT2614H
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WILLIAM VERGHESE CHUNGATH CHERU
PAN:ACKPV7803J
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MOBILIZED RS.461.34 CRORE FROM PUBLIC THROUGH ISSUANCE OF NON-CONVERTIBLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT TO 1,20,701 INVESTORS VIOLATING SECTIONS 56, 60, 67(3) AND 73 OF THE COMPANIES ACT, 1956 (CORRESPONDING SECTIONS 26, 33, 40 AND 42 OF THE COMPANIES ACT, 2013) READ WITH SECTION 465 OF THE COMPANIES ACT, 2013 AND CLAUSES 2.1.4, 5.6.2, 2.5, 2.1.5, 5.4, 10.2, 6.0 TO 6.15, 2.1.1, 5.6A, 6.16 TO 6.33 AND CHAPTER X OF SEBI (DIP) GUIDELINES, 2000 AND REGULATIONS 4(2)(A), 4(2)(B), 4(2)(C), 4(2)(D), 4(3), 4(4), 5, 6, 7, 8, 9, 15 TO 19 AND 26 OF SEBI (ILDS) REGULATIONS, 2008
MOBILIZED RS.26.81 CRORE FROM PUBLIC THROUGH ISSUANCE OF BONDS/ SUBORDINATE DEBT INSTRUMENTS (SDIS) BY WAY OF PRIVATE PLACEMENT TO 2,578 INVESTORS VIOLATING SECTIONS 26, 33, 42 AND 40 OF THE COMPANIES ACT, 2013, RULE 14(2)(B) OF THE COMPANIES (PROSPECTUS AND ALLOTMENT OF SECURITIES) RULES, 2014 AND REGULATIONS 4(2)(A), 4(2)(B), 4(2)(C), 4(2)(D), 4(3), 4(4), 5, 6, 7, 8, 9, 15 TO 19 AND 26 OF SEBI (ILDS) REGULATIONS, 2008
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DIRECTED TO SUBMIT REPAYMENT REPORT TO SEBI CERTIFIED BY TWO INDEPENDENT CHARTERED ACCOUNTANTS WHO ARE IN PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION
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 30-MAY-2024 TO 29-MAY-2026
DIRECTED TO REFUND MONEY COLLECTED TOWARDS ALLOTMENT OF NON-CONVERTIBLE DEBENTURES ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO REFUND MONEY COLLECTED THROUGH OFFER AND ALLOTMENT OF BONDS/SDIS BY BRD SECURITIES LTD. ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
PERMITTED TO SELL ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
PERMITTED TO SELL ASSETS OF COMPANY FOR SOLE PURPOSE OF MAKING REFUNDS AND DEPOSIT PROCEEDS IN AN ESCROW ACCOUNT OPENED WITH NATIONALISED BANK
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 30-MAY-2024 TO 29-MAY-2026
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-MAY-2024 TO 29-MAY-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-MAY-2024 TO 29-MAY-2026
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-MAY-2024
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SAT: SAT VIDE ITS ORDER DATED 18/11/2024 CONDONED THE DELAY OF 91 DAYS IN FILING OF APPEAL. ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANTS TO FILE REJOINDER WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 14/01/2025 GRANTED TWO WEEKS TO FILE REPLY AND REJOINDER, IF ANY, TO BE FILED WITHIN THREE WEEKS THEREAFTER
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BRH WEALTH KREATORS LTD.
(CIN:100717
PAN:AACCB5141L)
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ASIT KUMAR GHOSH
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MRUGESH B.DEVASHRAYI
PAN:AGUPD3529P
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SHIV KUMAR DAMANI
PAN:ADYPD0490J
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DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
DID NOT UNPLEDGE AND RETURN SECURITIES TO CLIENTS UPON FULFILMENT OF PAY-IN-OBLIGATION
MADE UNAUTHORISED TRANSFER OF SHARES FROM CLIENT’S DEMAT ACCOUNTS
PROVIDED MISLEADING INFORMATION TO STOCK EXCHANGES
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 07-OCT-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-OCT-2019
CEASED AND DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 07-OCT-2019
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR TO CREATE OR INVOKE OR RELEASE ANY INTEREST OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF NSE AND BSE
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
07-OCT-2019
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