| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 461 |
|
VASANT C.SHAH
|
|
|
|
OASIS MEDIA MATRIX LTD.
CIN:L27100GJ1995PLC027638
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
30-JUN-2010
|
|
| 462 |
|
|
VIDHAN
|
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
30-JUN-2010
|
|
| 463 |
|
|
VIJAY BUBNA
|
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 464 |
|
|
VIJAY HASMUKHLAL SHAH
|
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
30-JUN-2010
|
|
| 465 |
|
|
VIJAY KUMAR GUPTA
|
|
|
|
ARUNODAY VINIMAY PVT.LTD.
|
|
|
EUREKA MACHINERIES PVT.LTD.
|
|
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
|
|
| 466 |
|
|
VIJAYKUMAR DINANATH KHANDUJA
|
|
|
|
ACCURATE EXPORTS LTD.
|
|
VIOLATED SECTION 6(A) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 467 |
|
|
VIJAYRAJ SURANA
(DIN:00007313
PAN:AACPS3236N)
|
|
|
INDULGED IN MIS-STATEMENT OR MANIPULATION IN BOOKS OF ACCOUNTS VIOLATING OF REGULATIONS 3(A) TO (D), 4(1), 4(2) (E) (K) & (R) OF SEBI (PFUTP) REGULATIONS, 2003 READ WITH SECTION 12A (A) TO (C) OF SEBI ACT, 1992 WHILE GOLD PURCHASE AND SALES IN SCRIP OF SURANA CORP.LTD.
|
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 07-SEP-2018 TO 06-SEP-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 07-SEP-2018 TO 06-SEP-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-SEP-2018 TO 06-SEP-2023
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 07-SEP-2018 TO 06-SEP-2023
07-SEP-2018
|
SAT: SAT VIDE ITS ORDER DATED 17/06/2021 ALLOWED RESPONDENT TWO WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 26/07/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER TO THE APPLICATION TO TAKE ON RECORD ADDITIONAL DOCUMENTS
SAT: SAT VIDE ITS ORDER DATED 26/08/2021 DIRECTED APPELLANT TO FILE CLEAR COPIES OF ADDITIONAL SUB-DOCUMENTS WITHIN TWO WEEKS FROM THE DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 22/03/2022 ALLOWED THE APPLICATION AND ANNUAL REPORTS ARE ALSO TAKEN ON RECORD
SAT: SAT VIDE ITS ORDER DATED 30/08/2022 ALLOWED THE APPLICATION AND FORENSIC AUDIT REPORT TAKEN ON RECORD
SAT: SAT VIDE ITS ORDER DATED 01/11/2023 DISMISSED THE APPEAL. NO COSTS
|
| 468 |
|
|
VIKAS SETH
|
|
|
|
ADAM COMSOF LTD.
PAN:AABCA2067R
|
|
|
ADSUL TRADING PVT.LTD.
|
|
|
CAVALIER SECURITIES LTD.
PAN:AAACC6370Q
|
|
|
KOLAR SHAREX PVT.LTD.
PAN:AAACK6474D
|
|
|
MASTERMIND MERCANTILE CO-OP.LTD.
|
|
|
MILLION INVESTRADE LTD.
|
|
|
SANGAM INFOTECH PVT.LTD.
PAN:AAGCS2995F
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
30-SEP-2011
|
|
| 469 |
|
|
VILAS CHOWGLE
|
|
|
|
ADAM COMSOF LTD.
PAN:AABCA2067R
|
|
|
ADSUL TRADING PVT.LTD.
|
|
|
CAVALIER SECURITIES LTD.
PAN:AAACC6370Q
|
|
|
KOLAR SHAREX PVT.LTD.
PAN:AAACK6474D
|
|
|
MASTERMIND MERCANTILE CO-OP.LTD.
|
|
|
MILLION INVESTRADE LTD.
|
|
|
SANGAM INFOTECH PVT.LTD.
PAN:AAGCS2995F
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
30-SEP-2011
|
|
| 470 |
|
|
VIMAL DOSHI
|
|
|
|
SWITO FINANCE & ESTATES LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 12 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 471 |
|
|
VIMAL RAJ MATHUR
(PAN:AIDPM9858P)
|
|
|
|
V.R.MATHUR MASS COMMUNICATIONS LTD.
|
|
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
FAILED TO PAY PENALTY
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
MIS-STATEMENTS IN THE PROSPECTUS
VIOLATED SECTION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ENTIRE PENALTY AMOUNT ALONG WITH INTEREST AND OTHER CHARGES HAS BEEN PAID BY THE ACCUSED AND THEREFORE, THE MATTER IS COMPOUNDED
IN C.C.144/01 ACCUSED NO.2 WAS CONVICTED WITH IMPRISONMENT OF 3 MONTH AND FINE OF RS.15000 ACCUSED NO. 1 & 3 WERE CONVICTED AND SENTENCED TO FINE OF RS.15,000 ONLY. ON APPEAL BEFORE SESSIONS COURT THE CASE WAS COMPOUNDED UPON RECOMMENDATION OF COMPANY LAW BOARD ON PAYMENT OF RS.15,000 EACH BY ACCUSED NO.1 TO 3. IN CC NO. 11/2002 (SPLIT UP FROM CC NO 144/2001), THE COURT VIDE ITS ORDER DATED 21.08.2006 CONVICTED ACCUSED NO.4 AND 5 WITH A FINE OF RS.3000 EACH AND ON DEFAULT IMPRISONMENT FOR 3 MONTHS. CASE IS PENDING AGAINST ACCUSED NO.6, SYED MEHDI AS CC NO.90/2001 (SPLIT UP FROM CC NO.144/2001)
ACCUSED NO.1 TO 5 WERE ACQUITTED BY COURT
|
| 472 |
|
|
VINAY MALOO
(PAN:AFHPM5420N)
|
|
|
ALLEGED FAILURE IN INFORMING STOCK EXCHANGE ABOUT ACCOUNT CHARGE AGREEMENT ENTERED BETWEEN HFCL AND BANCO IN MATTER OF GDR ISSUE BY HIMACHAL FUTURISTIC COMMUNICATIONS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,36,00,000 VIDE CONSENT ORDER)
11-APR-2019
|
|
| 473 |
|
|
VINAY RAI
|
|
|
|
INFORMATION TECHNOLOGIES (INDIA) LTD.
CIN:U65910UP1994PLC017049
PAN:AAACI1891E
|
|
|
PUKHRAJ HOLDINGS PVT.LTD.
|
|
|
RKKR AGENCIES PVT.LTD.
|
|
|
UTILITY TRADE LINKS PVT.LTD.
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
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
|
CASE DISMISSED BY COURT. REVISION PETITION FILED BY SEBI IS PENDING BEFORE THE ADDITIONAL SESSIONS JUDGE, DELHI
|
| 474 |
|
|
VINOD KANJI SHAH
(PAN:AAEPS7502F)
|
|
|
|
INVENTURE GROWTH & SECURITIES LTD.
PAN:AAACI2044K
|
|
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING REGULATION 57(1) AND 57(2) READ WITH CLAUSE 2(VII)(G) AND (XVI)(B)(2) OF PART A OF SCHEDULE VIII OF SEBI ICDR REGULATIONS, 2009 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) & 4(1) AND 4(2)(K) & (R) OF PFUTP REGULATIONS, 2003 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
|
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 01-JAN-2019 TO 31-DEC-2022
06-AUG-2018
|
SAT: SAT VIDE ITS ORDER DATED 10/10/2019 PARTLY ALLOWED THE APPEAL BY LIMITING RESTRICTIONS ON ASSOCIATING AS DIRECTORS OR KMPS ETC HOLDING ANY FRESH POSITION IN SUCH CAPACITY FOR THREE YEARS FROM 01/01/2019
SAT: SAT VIDE ITS ORDER DATED 06/02/2020 REJECTED REVIEW APPLICATION
SAT: SAT VIDE ITS ORDER DATED 26/02/2020 ALLOWED THE APPEALS AND QUASHED IMPUGNED ORDER 10/10/2019 AND MATTER REMITTED TO AO TO DECIDE AFRESH
SAT: SAT VIDE ITS ORDER DATED 04/10/2021 DISMISSED THE APPEAL FOR MODIFICATION IN ORDER DATED 10/10/2019
|
| 475 |
|
|
VINOD KANJI SHAH
(PAN:AAEPS7502F)
|
|
|
|
INVENTURE GROWTH & SECURITIES LTD.
PAN:AAACI2044K
|
|
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) & 4(1) AND 4(2)(K) & (R) OF PFUTP REGULATIONS, 2003 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING REGULATION 57(1) AND 57(2) READ WITH CLAUSE 2(VII)(G) AND (XVI)(B)(2) OF PART A OF SCHEDULE VIII OF SEBI ICDR REGULATIONS, 2009 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
|
IMPOSED PENALTY RS.15,00,000
30-AUG-2019
|
|
| 476 |
|
|
VINOD R.HINGORANI
|
|
|
|
ADAM COMSOF LTD.
PAN:AABCA2067R
|
|
|
ADSUL TRADING PVT.LTD.
|
|
|
CAVALIER SECURITIES LTD.
PAN:AAACC6370Q
|
|
|
KOLAR SHAREX PVT.LTD.
PAN:AAACK6474D
|
|
|
MASTERMIND MERCANTILE CO-OP.LTD.
|
|
|
MILLION INVESTRADE LTD.
|
|
|
SANGAM INFOTECH PVT.LTD.
PAN:AAGCS2995F
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
30-SEP-2011
|
|
| 477 |
|
|
VIPIN BHARDWAJ
|
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
30-JUN-2010
|
|
| 478 |
|
|
VIPIN C.GANDHI
|
|
|
|
MOBILE TELECOMMUNICATIONS LTD.
PAN:AACCM2659J
CIN:L32100GJ1995PLC024812
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CASE DISMISSED BY COURT. REVISION PETITION FILED BY SEBI IS PENDING BEFORE BOMBAY HIGH COURT
|
| 479 |
|
|
VIPINCHANDRA GORDHANBHAI PATEL
|
|
|
|
EXCELL MULTITECH LTD.
|
|
|
KARVY STOCK BROKING LTD.
PAN:AABCK5190K
(Member : BSE/NSE/HSE)
|
|
|
SEER FINLEASE PVT.LTD.
|
|
|
TAURAS INFOSYS LTD.
|
|
|
ZENET SOFTWARE LTD.
PAN:AAACZ0978K
|
|
FILED APPLICATION FOR SUBSCRIPTION AND/OR ACQUISITION OF SHARES IN FICTITIOUS NAME
VIOLATED SECTION 12A OF SEBI ACT.,1992
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SEBI DEPOSITORIES ACT, 1996
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 480 |
|
|
VIPUL J.BHAVSAR
|
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
30-JUN-2010
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 24 of 25
|
