| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 461 |
|
R.RAJENDRAN
|
|
|
|
GLOBAL BLOOMS (INDIA) LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 462 |
|
|
R.RAMRAJ
(PAN:AAFPR5454C)
|
|
|
ALLEGED INDULGENCE IN MISSTATEMENT IN BOOKS OF ACCOUNTS VIOLATING CLAUSE 49(III(D) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF ACCEL FRONTLINE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.13,00,000 VIDE CONSENT ORDER)
16-NOV-2022
|
|
| 463 |
|
|
R.SRINIVASAN
|
|
|
|
SAKET EXTRUSION LTD.
|
|
DECLARED AS A VANISHING COMPANY
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-SEP-2002 TO 26-SEP-2007
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-SEP-2002 TO 26-SEP-2007
PROHIBITED PUBLIC COMPANIES IN WHICH THIS DIRECTOR HAS CONTROLLING/SUBSTANTIAL INTEREST TO RAISE FUNDS FROM CAPITAL MARKET FROM 27-SEP-2002 TO 26-SEP-2007
27-SEP-2002
|
|
| 464 |
|
|
R.SRIRAM
|
|
|
|
SHYAM PRINTS & PUBLISHERS LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-OCT-2000 TO 03-OCT-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-OCT-2000 TO 03-OCT-2005
04-OCT-2000
|
|
| 465 |
|
|
R.SUDHEENDRA
|
|
|
|
BAFNA SPINNING MILLS & EXPORTS LTD.
PAN:AACCB2067K
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-FEB-2000 TO 02-FEB-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-FEB-2000 TO 02-FEB-2005
03-FEB-2000
|
|
| 466 |
|
|
RACHNA MORARKA
|
|
|
|
BRADY & MORRIS ENGINEERING CO.LTD.
|
|
|
BRADY & MORRIS ENGINEERING CO.LTD.
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF RULE 19A(1) OF SCRR READ WITH CLAUSE 40A OF LISTING AGREEMENT BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
ALLEGED VIOLATION OF SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,80,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
02-DEC-2014
|
|
| 467 |
|
|
RADHIKA ROY
(PAN:AAHPR6038G)
|
|
|
|
NEW DELHI TELEVISION LTD.
PAN:AAACN0865D
|
|
DID NOT MAKE DISCLOSURE OF DEMAND OF RS.450 CRORES RAISED BY INCOME TAX DEPARTMENT TO STOCK EXCHANGES VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF NEW DELHI TELEVISION LTD.
|
IMPOSED PENALTY RS.3,00,000
16-MAR-2018
|
|
| 468 |
|
|
RADHIKA ROY
(PAN:AAHPR6038G)
|
|
|
|
RRPR HOLDING PVT.LTD.
PAN:AADCR1710Q
|
|
DID NOT MAKE DISCLOSURE OF MATERIAL INFORMATION TO NEW DELHI TELEVISION LTD. ABOUT LOAN AGREEMENT WITH VISHVAPRADHAN COMMERCIAL PVT.LTD VIOLATING CLAUSE 49(1) (D) OF EQUITY LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
RESTRAINED FROM HOLDING OR OCCUPYING POSITION AS DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY FROM 14-JUN-2019 TO 13-JUN-2020
IMPOSED PENALTY RS.1,00,00,000
14-JUN-2019
|
SAT: SAT VIDE ITS ORDER DATED 18/06/2019 GRANTED RESPONDENTS SIX WEEKS TIME TO FILE REPLY FROM DATE OF THIS ORDER AND DIRECTED MATTER TO BE LISTED FOR ADMISSION AND FOR FINAL DISPOSAL ON 16/09/2019. FURTHER SAT STAYED THE EFFECT AND OPERATION OF IMPUGNED ORDER DATED 14/06/2019
SEBI VIDE ITS ORDER DATED 24/12/2020 IMPOSED PENALTY OF RS.1.00 CRORE U/S 23 OF SCRA
SAT: SAT VIDE ITS ORDER DATED 10/03/2021 REJECTED THE REVIEW/MODIFICATION APPLICATION
SAT: SAT VIDE ITS ORDER DATED 06/05/2021 DIRECTED APPELLANT TO FILE CONVENIENCE COMPILATION ENCLOSING THE IMPUGNED ORDER AND RELEVANT DOCUMENTS. INTERIM ORDER, IF ANY, EXTENDED TILL THE NEXT DATE OF HEARING
SAT: SAT VIDE ITS ORDER DATED 20/04/2022 DISMISSED THE APPEAL AS NOT PRESSED
SAT: SAT VIDE ITS ORDER DATED 20/07/2022 PARTLY ALLOWED THE APPEALS BY SETTING ASIDE IMPUGNED ORDER DATED 14/06/2019. PENALTY AMOUNT REDUCED RS.5 CRORE FROM RS.25 CRORE
|
| 469 |
|
|
RAJ KUMAR SHUKLA
|
|
|
|
ZED INVESTMENTS LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2001 TO 27-FEB-2006
28-FEB-2001
|
|
| 470 |
|
|
RAJENDRA B.TAPADIA
(PAN:AAJPT0502B)
|
|
|
|
BILCARE LTD.
CIN:L28939PN1987PLC043953
PAN:AABCB2242F
|
|
DID NOT PRESENT TRUE AND FAIR FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) READ WITH 2(1)(B) AND 2(1)(C) (1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BILCARE LTD.
DID NOT PREPARED PROFIT AND LOSS ACCOUNTS AS PER ACCOUNTING STANDARDS VIOLATING CLAUSE 49(II)(D) AND 49(II)(E) OF ERSTWHILE EQUITY LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF BILCARE LTD.
DID NOT EXERCISE DUE DILIGENCE AS MEMBER OF AUDIT COMMITTEE VIOLATING REGULATION 18(3) READ WITH CLAUSES A(1), A(4) AND A(5) UNDER PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27(1) AND/OR 27(1) OF SEBI ACT, 1992 IN MATTER OF BILCARE LTD.
|
IMPOSED PENALTY RS.2,00,000
30-MAY-2024
|
|
| 471 |
|
|
RAJENDRA KUMAR KANODIA
|
|
|
|
SHREE VAISHNAVI DYEING & PRINTINGS LTD.
|
|
DECLARED AS A VANISHING COMPANY
DID NOT ADHERE TO LISTING AGREEMENT
VIOLATED SEBI (CENTRAL LISTING AUTHORITY) REGULATIONS, 2003
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-OCT-2007 TO 17-OCT-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-OCT-2007 TO 17-OCT-2012
PROHIBITED PUBLIC COMPANIES IN WHICH THIS DIRECTOR HAS CONTROLLING/SUBSTANTIAL INTEREST TO RAISE FUNDS FROM CAPITAL MARKET FROM 18-OCT-2007 TO 17-OCT-2012
18-OCT-2007
|
|
| 472 |
|
|
RAJENDRA KUMAR MOHTA
|
|
|
|
SAKET EXTRUSION LTD.
|
|
DECLARED AS A VANISHING COMPANY
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-SEP-2002 TO 26-SEP-2007
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-SEP-2002 TO 26-SEP-2007
PROHIBITED PUBLIC COMPANIES IN WHICH THIS DIRECTOR HAS CONTROLLING/SUBSTANTIAL INTEREST TO RAISE FUNDS FROM CAPITAL MARKET FROM 27-SEP-2002 TO 26-SEP-2007
27-SEP-2002
|
|
| 473 |
|
|
RAJENDRA KUMAR PARAKH
(PAN:AEJPP0728B)
|
|
|
|
BALASORE ALLOYS LTD.
PAN:AAACI3967P
|
|
MISREPRESENTED FINANCIALS STATEMENTS AND DID NOT DISCHARGE DUTY AS CHIEF FINANCIAL OFFICER CUM DIRECTOR-FINANCE VIOLATING SECTION 12A(A) OF SEBI ACT, 1992 READ WITH REGULATIONS REGULATIONS 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BALASORE ALLOYS LTD.
MISREPRESENTED FINANCIALS STATEMENTS AND DID NOT DISCHARGE DUTY AS CHIEF FINANCIAL OFFICER CUM DIRECTOR-FINANCE VIOLATING REGULATIONS 4(2)(F)(I)(2),4(2)(F)(II)(2)(6)(7), 4(2)(F)(III)(3)(6)(7), 33(1)(A), 33(1)(C), 48, 17(8) AND 33(2)(A) OF SEBI (LODR) REGULATIONS READ WITH CLAUSE 49(IX) OF LISTING AGREEMENT DATED 17/04/2014 READ WITH REGULATION 103 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BALASORE ALLOYS LTD.
MISREPRESENTED FINANCIALS STATEMENTS AND DID NOT DISCHARGE DUTY AS CHIEF FINANCIAL OFFICER CUM DIRECTOR-FINANCE VIOLATING SECTION 21 OF SCRA, 1956 IN MATTER OF BALASORE ALLOYS LTD.
|
IMPOSED PENALTY RS.5,00,000
18-AUG-2023
|
SAT: SAT VIDE ITS ORDER DATED 23/11/2023 RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILE WITHIN THREE WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 19/01/2024 DIRECTED TO PAY RS.5,31,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 09/02/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7528 OF 2024 DATED 19/01/2024
SAT: SAT VIDE ITS ORDER DATED 01/08/2024 DIRECTED APPELLANT TO AWAIT FOR THE DATE AND APPEAR BEFORE BSE LTD.
|
| 474 |
|
|
RAJENDRA SINGH RATHOD
|
|
|
|
SURYADEEP SALT REFINERY & CHEMICALS WORKS LTD.
CIN:L24298GJ1995PLC024729
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 475 |
|
|
RAJESH ARORA
|
|
|
|
STAR ELECTRONICS LTD.
|
|
|
STAR EXIM LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 476 |
|
|
RAJIV TULSYAN
|
|
|
|
AUROMA COKE LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 477 |
|
|
RAJKUMAR SARAF
(PAN:AURPS4374C)
|
|
|
|
ZENITH INFOTECH LTD.
PAN:AAACZ0401B
|
|
DID NOT DISCLOSE PENDING LITIGATION BETWEEN ZENITH INFOTECH LTD.AND TRUSTEE FOR FCCB HOLDERS AS REQUIRED UNDER CLAUSE 36(5) OF LISTING AGREEMENT
ATTEMPTED TO TAKE AWAY ASSETS OF COMPANY DIRECTLY OR INDIRECTLY FOR OWN BENEFITS OR FOR BENEFIT OF ENTITIES OWNED & CONTROLLED BY THEM IN MATTER OF ZENITH INFOTECH LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-MAR-2018 TO 13-MAR-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-MAR-2018 TO 13-MAR-2020
DIRECTED TO FURNISH BANK GUARANTEE OF A MINIMUM TENOR OF ONE YEAR FOR USD 33.93 MILLION IN NAME OF SEBI WITHOUT USING FUNDS OF ZENITH INFOTECH LTD. OR CREATING CHARGE ON ASSETS OF ZENITH INFOTECH LTD.
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 14-MAR-2018 TO 13-MAR-2020
25-MAR-2013
|
SAT: SAT VIDE ITS ORDER DATED 23/07/2013 REMANDED THE MATTER TO SEBI FOR FRESH CONSIDERATION EXPEDITIOUSLY AND PREFERABLY WITHIN A PERIOD OF SIX WEEKS FROM RECEIVING A COPY OF THIS ORDER. NO COSTS
SEBI VIDE ITS ORDER DATED 11/04/2014 CONFIRMED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 25/03/2013
SAT: APPEAL DISMISSED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 21/02/2018 PERMITTED APPELLANTS TO WITHDRAW THE APPEAL. NO COSTS
SEBI VIDE ITS ORDER DATED 14/03/2018 DIRECTED A) NOT TO ACCESS SECURITIES MARKET OR BUY, SELL OR OTHERWISE DEAL IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY FOR A PERIOD OF TWO YEARS FROM THE DATE OF THIS ORDER AND B) NOT TO ASSOCIATE WITH ANY LISTED COMPANY OR COMPANY INTENDING TO RAISE MONEY FROM PUBLIC, OR ANY REGISTERED INTERMEDIARY IN THE CAPACITY OF A DIRECTOR, KEY MANAGEMENT PERSONNEL OR PARTNER FOR TWO YEARS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 07/11/2023 DISMISSED THE APPEAL
|
| 478 |
|
|
RAJNEESH RAMETRRA
|
|
|
|
CAREWELL HYGIENE PRODUCTS LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-OCT-2000 TO 03-OCT-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-OCT-2000 TO 03-OCT-2005
04-OCT-2000
|
|
| 479 |
|
|
RAKESH KUMAR SRIVASTAVA
|
|
|
|
ZED INVESTMENTS LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 480 |
|
|
RAKESH KUMAR TALWAR
|
|
|
|
SHEFALI PAPERS LTD.
CIN:U21011UP1991PLC012909
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-MAY-2000 TO 10-MAY-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-MAY-2000 TO 10-MAY-2005
11-MAY-2000
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 24 of 34
|
