| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 4881 |
|
VOLGA INTERNATIONAL LTD.
(PAN:AACCV2325A)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF TIJARIA POLYPIPES LTD.
UTILIZED IPO PROCEEDS TO MAKE GOOD LOSSES OF ENTITIES WHO SUPPORTED THE PRICE OF FUND CLIENTS WHO INCURRED LOSSES WHILE TRANSACTED IN SCRIP OF TIJARIA POLYPIPES LTD.
FUNDED PERSONS/ENTITIES WHO PROVIDED EXIT ROUTE TO QIBS AND/OR RETAIL ALLOTTEES AT A PREMIUM TO THE ISSUE PRICE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
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
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 02/11/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 4882 |
|
|
VOLTAIRE LEASING & FINANCE LTD.
(PAN:AAACV1794R)
|
|
|
|
HARIVALLABH MUNDRA
PAN:AAAPM8378D
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET & PRICE MANIPULATION IN SCRIP OF VOLTAIRE LEASING & FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-FEB-2021 TO 14-FEB-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-FEB-2021 TO 14-FEB-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
13-APR-2020
|
|
| 4883 |
|
|
VOLTAIRE LEASING & FINANCE LTD.
(PAN:AAACV1794R)
|
|
|
|
AMLESH SADHU
PAN:BEZPS8956R
|
|
|
DILIP RAJKUMAR PATODIA
PAN:AAAPP9584A
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET & PRICE MANIPULATION IN SCRIP OF VOLTAIRE LEASING & FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-APR-2020 TO 12-APR-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-APR-2020 TO 12-APR-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
13-APR-2020
|
SAT: SAT VIDE ITS ORDER DATED 05/11/2020 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED THE MISC.APPLICATION. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM THE DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER AND LIST THE MATTER FOR ADMISSION AND FINAL DISPOSAL ON 17/12/2020
SAT: SAT VIDE ITS ORDER DATED 15/03/2021 DISMISSED THE APPEAL
|
| 4884 |
|
|
VRP CAPITAL & DERIVATIVE MARKET SERVICES
(PAN:BAYPP4608L)
|
|
|
|
VAIBHAV RAMACHANDRA PATIL
PAN:BAYPP4608L
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 30-MAR-2022 TO 29-SEP-2022
DIRECTED TO CEASE & DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR RESEARCH ANALYST AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 30-MAR-2022 TO 29-SEP-2022
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 30-MAR-2022 TO 29-SEP-2022
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 30-MAR-2022 TO 29-SEP-2022
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-MAR-2022 TO 29-SEP-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-MAR-2022 TO 29-SEP-2022
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 TO SUBMIT NUMBER AND DETAILS OF CLIENTS WHO HAVE AVAILED THEIR INVESTMENT ADVISORY SERVICES
DIRECTED TO SUBMIT LIST OF CLIENTS AND FEE COLLECTED FROM THEM
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 30-MAR-2022 TO 29-SEP-2022
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 30-MAR-2022 TO 29-SEP-2022
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO DEACTIVATE ACCOUNT WITH PAYMENT GATEWAY PAYUMONEY/PHONEPE/PAYTM ETC.
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO REFUND MONEY TO THE INVESTORS
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 30-MAR-2022 TO 29-SEP-2022
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
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 30-MAR-2022 TO 29-SEP-2022
15-DEC-2020
|
SEBI VIDE ITS ORDER DATED 30/03/2022 DIRECTED TO A) REFUND THE MONEY RECEIVED FROM COMPLAINTS/INVESTORS, AS FEES OR CONSIDERATION OR IN ANY OTHER FORM, IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES WITHIN THREE MONTHS FROM DATE OF THIS ORDER B) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING MODALITIES FOR REFUND INCLUDING DETAILS OF CONTACT PERSON NAMES, ADDRESSES AND CONTACT DETAILS WITHIN 15 DAYS OF COMING FORCE OF THIS ORDER C) REPAYMENTS TO COMPLAINTS/INVESTORS TO BE EFFECTED ONLY IN CASH THROUGH BANK DEMAND DRAFT OR PAY ORDER OR ELECTRONICS FUND TRANSFER D) PREVENTED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED. FURTHER, DIRECTED BANK TO ALLOW DEBIT ONLY FOR THE PURPOSE OF MAKING REFUNDS TO THE CLIENTS/INVESTORS/COMPLAINTS WHO WERE AVAILING THE INVESTMENT ADVISORY SERVICES E) FILE REPORT OF SUCH COMPLETION WITH SEBI DULY CERTIFIED FROM INDEPENDENT CHARTERED ACCOUNTANTS F) DEBARRED FROM ACCESSING SECURITIES MARKET DIRECTLY OR INDIRECTLY AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR SIX MONTHS FROM DATE OF COMPLETION OF REFUNDS TO COMPLAINTS/INVESTORS G) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, INVESTMENT ADVISORY SERVICES OR ANY OTHER ACTIVITY IN THE SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
| 4885 |
|
|
VRUDDHI SECURITIES LTD.
|
|
|
INDULGED IN MANIPULATION IN SCRIP OF LADAM FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-DEC-1999
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-DEC-1999
15-DEC-1999
|
|
| 4886 |
|
|
VRUSHTI FINANCIAL SERVICES PVT.LTD.
|
|
|
|
SHAILESH THAKKAR
|
|
AIDED AND ABETTED D.K.DALAL AND PROMOTERS OF NATURAL EXPO INDUSTRIES LTD. IN PRICE MANIPULATION IN SCRIP OF NATURAL EXPO INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-SEP-2003 TO 04-SEP-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-SEP-2003 TO 04-SEP-2008
05-SEP-2003
|
|
| 4887 |
|
|
VS INVESTMENT SOLUTIONS
(PAN:AUEPN8510C)
|
|
|
|
VIPUL NAMDEV
PAN:AUEPN8510C
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
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 MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 17-FEB-2023 TO 16-FEB-2025
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-FEB-2023 TO 16-FEB-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-FEB-2023 TO 16-FEB-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 17-FEB-2023 TO 16-FEB-2025
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
17-FEB-2023
|
SEBI VIDE ITS NOTICE DATED 18/06/2024 DIRECTED TO PAY RS.40,75,609.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 18/06/2024 DIRECTED TO PAY RS.2,35,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 10/07/2024 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
|
| 4888 |
|
|
VSP STEEL PVT.LTD.
(PAN:AACCT2881K)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH REVERSAL OF TRADE AND FICTITIOUS TRANSACTIONS IN STOCK OPTIONS UNDER EQUITY DERIVATIVE SEGMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-AUG-2015 TILL FURTHER ORDERS
20-AUG-2015
|
SEBI VIDE ITS ORDER DATED 22/08/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 20/08/2015 EXCEPT THAT NOTICEES CAN: A) ENTER INTO DELIVERY BASED TRANSACTIONS IN CASH SEGMENT IN SECURITIES COVERED IN NSE NIFTY 500 INDEX SCRIPS AND / OR S&P BSE 500 SCRIPS B) SUBSCRIBE TO UNITS OF MUTUAL FUNDS INCLUDING THROUGH SIP AND REDEEM THE UNITS OF MUTUAL FUNDS SO SUBSCRIBED C) DEAL IN DEBT/GOVERNMENT SECURITIES D) INVEST IN ETF E) AVAIL THE BENEFITS OF CORPORATE ACTIONS LIKE RIGHTS ISSUE, BONUS ISSUE, STOCK SPLIT, DIVIDEND, ETC. F) TENDER THE SHARES LYING IN THEIR DEMAT ACCOUNT IN ANY OPEN OFFER/DELISTING OFFER UNDER THE RELEVANT REGULATIONS OF SEBI. SEBI ALLOWED THEM FURTHER RELAXATIONS/RELIEFS A) THEY ARE PERMITTED TO SELL THE SECURITIES LYING IN THEIR DEMAT ACCOUNTS AS ON THE DATE OF THE INTERIM ORDER, OTHER THAN THE SHARES OF THE COMPANIES WHICH ARE SUSPENDED FROM TRADING BY THE CONCERNED STOCK EXCHANGE, IN ORDERLY MANNER UNDER THE SUPERVISION OF THE STOCK EXCHANGES SO AS NOT TO DISTURB THE MARKET EQUILIBRIUM AND DEPOSIT THE SALE PROCEEDS IN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK B) THEY MAY DEAL WITH OR UTILIZE THE SALE PROCEEDS LYING IN THE ESCROW ACCOUNT UNDER THE SUPERVISION OF THE CONCERNED STOCK EXCHANGE
SEBI VIDE ITS ORDER DATED 05/04/2018 DISPOSED OFF THE PROCEEDINGS INITIATED VIDE INTERIM ORDER DATED 20/08/2015 CONFIRMED VIDE ORDER DATED 30/07/2016 AND 22/08/2016 WITHOUT ANY FURTHER DIRECTIONS
|
| 4889 |
|
|
VSP UDYOG PVT.LTD.
(PAN:AABCV6318G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH REVERSAL OF TRADE AND FICTITIOUS TRANSACTIONS IN STOCK OPTIONS UNDER EQUITY DERIVATIVE SEGMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-AUG-2015 TILL FURTHER ORDERS
20-AUG-2015
|
SEBI VIDE ITS ORDER DATED 22/08/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 20/08/2015 EXCEPT THAT NOTICEES CAN: A) ENTER INTO DELIVERY BASED TRANSACTIONS IN CASH SEGMENT IN SECURITIES COVERED IN NSE NIFTY 500 INDEX SCRIPS AND / OR S&P BSE 500 SCRIPS B) SUBSCRIBE TO UNITS OF MUTUAL FUNDS INCLUDING THROUGH SIP AND REDEEM THE UNITS OF MUTUAL FUNDS SO SUBSCRIBED C) DEAL IN DEBT/GOVERNMENT SECURITIES D) INVEST IN ETF E) AVAIL THE BENEFITS OF CORPORATE ACTIONS LIKE RIGHTS ISSUE, BONUS ISSUE, STOCK SPLIT, DIVIDEND, ETC. F) TENDER THE SHARES LYING IN THEIR DEMAT ACCOUNT IN ANY OPEN OFFER/DELISTING OFFER UNDER THE RELEVANT REGULATIONS OF SEBI. SEBI ALLOWED THEM FURTHER RELAXATIONS/RELIEFS A) THEY ARE PERMITTED TO SELL THE SECURITIES LYING IN THEIR DEMAT ACCOUNTS AS ON THE DATE OF THE INTERIM ORDER, OTHER THAN THE SHARES OF THE COMPANIES WHICH ARE SUSPENDED FROM TRADING BY THE CONCERNED STOCK EXCHANGE, IN ORDERLY MANNER UNDER THE SUPERVISION OF THE STOCK EXCHANGES SO AS NOT TO DISTURB THE MARKET EQUILIBRIUM AND DEPOSIT THE SALE PROCEEDS IN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK B) THEY MAY DEAL WITH OR UTILIZE THE SALE PROCEEDS LYING IN THE ESCROW ACCOUNT UNDER THE SUPERVISION OF THE CONCERNED STOCK EXCHANGE
SEBI VIDE ITS ORDER DATED 05/04/2018 DISPOSED OFF THE PROCEEDINGS INITIATED VIDE INTERIM ORDER DATED 20/08/2015 CONFIRMED VIDE ORDER DATED 30/07/2016 AND 22/08/2016 WITHOUT ANY FURTHER DIRECTIONS
|
| 4890 |
|
|
VU TECHNOLOGIES PVT.LTD.
(PAN:AACCV1663P)
(Along with : ZENITH INFOTECH LTD.)
|
|
|
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 25-MAR-2013
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAR-2013
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.
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 14/03/2014 VACATED ITS DIRECTIONS ISSUED VIDE ITS INTERIM EX-PARTE ORDER DATED 25/03/2013
|
| 4891 |
|
|
VYJAYANTI TRADINGS PVT.LTD.
(Along with : KHODAY INDIA LTD.)
|
|
|
DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
DIRECTED TO FREEZ OF VOTING RIGHTS AND CORPORATE BENEFITS LIKE DIVIDEND, RIGHTS, BONUS SHARES, SPLIT, ETC. WITH RESPECT TO EXCESS OF PROPORTIONATE PROMOTER / PROMOTERS GROUP SHAREHOLDING FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED SHAREHOLDERS FORMING PART OF PROMOTER / PROMOTER GROUP FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED DIRECTORS FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
04-JUN-2013
|
SEBI VIDE ITS ORDER DATED 24/07/2014 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 04/06/2013
SAT: SAT VIDE ITS ORDER DATED 07/07/2016 PERMITTED APPEALLANTS TO WITHDRAW THE APPEAL. NO COSTS
SEBI VIDE ITS ORDER DATED 08/05/2017 DISPOSED OFF THE REPRESENTATIONS DATED 26/07/2016 AND 16/11/2016 MADE BY KHODAY INDIA LTD. WITHOUT ANY FURTHER DIRECTIONS
SAT: SAT VIDE ITS ORDER DATED 04/09/2019 ALLOWED THE APPEAL AND QUASHED INTERIM ORDER DATED 04/06/2013 AND CONFIRMATORY ORDER DATED 24/07/2014
|
| 4892 |
|
|
VYNEX CHEMICAL ENGINEERING (BOMBAY) PVT.LTD.
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ROOFIT INDUSTRIES LTD.
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
DID NOT FURNISH REQUISITE INFORMATION DURING INVESTIGATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-JAN-2007 TO 08-JUL-2007
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-JAN-2007 TO 08-JUL-2007
09-JAN-2007
|
|
| 4893 |
|
|
VYOMESH MAHIPATRAY SHAH (HUF)
(Along with : HUBTOWN LTD.)
|
|
|
DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
DIRECTED TO FREEZ OF VOTING RIGHTS AND CORPORATE BENEFITS LIKE DIVIDEND, RIGHTS, BONUS SHARES, SPLIT, ETC. WITH RESPECT TO EXCESS OF PROPORTIONATE PROMOTER / PROMOTERS GROUP SHAREHOLDING FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED SHAREHOLDERS FORMING PART OF PROMOTER / PROMOTER GROUP FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED DIRECTORS FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
04-JUN-2013
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.12,85,625 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
19-JAN-2016
|
ORDER DATED 04/06/2013 PASSED BY SEBI DISPOSED OFF, AS APPLICANTS AGREED TO PAY RS.12,85,625.00 TOWARDS SETTLEMENT CHARGES AS PER CONSENT ORDER DATED 19/01/2016
SEBI VIDE ITS ORDER DATED 22/07/2014 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 04/06/2013
|
| 4894 |
|
|
W G F FINANCIAL SERVICES LTD.
(Along with : GHCL LTD.)
|
|
|
FILED FALSE AND MISLEADING REPORT ON SHAREHOLDING PATTERN WITH THE STOCK EXCHANGES
DID NOT MAKE DISCLOSURE OF SALE/TRANSFER OF SHARES OF PROMOTERS IN MATTER OF GHCL LTD.
MISLED INVESTORS BY GIVING FALSE SHAREHOLDING OF PROMOTERS OF GHCL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-APR-2009 TILL FURTHER ORDERS
20-APR-2009
|
INTERIM DIRECTIONS ISSUED VIDE EX-PARTE AD-INTERIM ORDER DATED 20/04/2009 VACATED AS PER ORDER DATED 07/07/2009
|
| 4895 |
|
|
W GAIN RESEARCH & DEVELOPMENT.COM
(PAN:AWVPN0180D)
|
|
|
|
CHANDRAPRATAP SINGH NARUKA
PAN:AWVPN0180D
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO REFUND MONEY RECEIVED FROM CLIENTS/INVESTORS/COMPLAINANT AS FEES OR CONSIDERATION OR IN ANY OTHER FORM IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND 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 OPEN ESCROW ACCOUNT WITH A SCHEDULED BANK AND DEPOSIT THE AMOUNT AND USE ONLY FOR THE PURPOSE OF REFUND TO CLIENTS/INVESTORS
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 05-DEC-2023 TO 04-DEC-2025
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-DEC-2023 TO 04-DEC-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-DEC-2023 TO 04-DEC-2025
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 05-DEC-2023 TO 04-DEC-2025
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
05-DEC-2023
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SEBI VIDE ITS NOTICE DATED 06/09/2024 DIRECTED TO PAY RS.90,78,882.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
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| 4896 |
|
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W H BRADY & CO.LTD.
(Along with : BRADY & MORRIS ENGINEERING CO.LTD.)
|
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DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
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DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
DIRECTED TO FREEZ OF VOTING RIGHTS AND CORPORATE BENEFITS LIKE DIVIDEND, RIGHTS, BONUS SHARES, SPLIT, ETC. WITH RESPECT TO EXCESS OF PROPORTIONATE PROMOTER / PROMOTERS GROUP SHAREHOLDING FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED SHAREHOLDERS FORMING PART OF PROMOTER / PROMOTER GROUP FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED DIRECTORS FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
04-JUN-2013
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SEBI VIDE ITS ORDER DATED 05/11/2013 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 04/06/2013
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| 4897 |
|
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WADHAWAN CONSOLIDATED HOLDINGS PVT.LTD.
(PAN:AACCD2944F)
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ANU S.WADHAWAN
PAN:AAQPW2792P
|
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ARUNA RAJESHKUMAR WADHAWAN
PAN:AAHPW9334L
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|
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DHEERAJ RAJESHKUMAR WADHAWAN
PAN:AAOPW4517G
|
|
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KAPIL KUMAR WADHAWAN
PAN:AAOPW6145L
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|
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MALTI RAKESH KUMAR WADHAWAN
PAN:AAGPW8042G
|
|
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POOJA D.WADHAWAN
PAN:AAJPB9268Q
|
|
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RAKESH KUMAR WADHAWAN
PAN:AAEPW7656G
|
|
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SARANG WADHAWAN
PAN:AAAPW2530R
|
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INDULGED IN MANIPULATION/FALSIFICATION IN BOOKS OF ACCOUNTS VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO (D), 4(1) & 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DEWAN HOUSING FINANCE CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-SEP-2020 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-SEP-2020 TILL FURTHER ORDERS
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 20-SEP-2020 TILL FURTHER ORDERS
22-SEP-2020
|
SEBI VIDE ITS ORDER DATED 22/10/2021 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 22/09/2020
SAT: SAT VIDE ITS ORDER DATED 13/09/2021 DISMISSED THE APPEAL
SEBI VIDE ITS ORDER DATED 10/03/2023 VACATED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 22/09/2020 READ WITH CONFIRMATORY ORDER DATED 22/10/2021
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| 4898 |
|
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WADHAWAN GLOBAL CAPITAL LTD.
(PAN:AAACW9811G)
|
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ANU S.WADHAWAN
PAN:AAQPW2792P
|
|
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ARUNA RAJESHKUMAR WADHAWAN
PAN:AAHPW9334L
|
|
|
DHEERAJ RAJESHKUMAR WADHAWAN
PAN:AAOPW4517G
|
|
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KAPIL KUMAR WADHAWAN
PAN:AAOPW6145L
|
|
|
MALTI RAKESH KUMAR WADHAWAN
PAN:AAGPW8042G
|
|
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POOJA D.WADHAWAN
PAN:AAJPB9268Q
|
|
|
RAKESH KUMAR WADHAWAN
PAN:AAEPW7656G
|
|
|
SARANG WADHAWAN
PAN:AAAPW2530R
|
|
INDULGED IN MANIPULATION/FALSIFICATION IN BOOKS OF ACCOUNTS VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO (D), 4(1) & 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DEWAN HOUSING FINANCE CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-SEP-2020 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-SEP-2020 TILL FURTHER ORDERS
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 20-SEP-2020 TILL FURTHER ORDERS
22-SEP-2020
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SEBI VIDE ITS ORDER DATED 22/10/2021 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 22/09/2020
SAT: SAT VIDE ITS ORDER DATED 30/09/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS ORDER DATED 10/03/2023 VACATED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 22/09/2020 READ WITH CONFIRMATORY ORDER DATED 22/10/2021
|
| 4899 |
|
|
WADHAWAN HOLDINGS PVT.LTD.
(CIN:U74999MH2002PTC135601
PAN:AAACW5001G)
|
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|
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ANU S.WADHAWAN
PAN:AAQPW2792P
|
|
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ARUNA RAJESHKUMAR WADHAWAN
PAN:AAHPW9334L
|
|
|
DHEERAJ RAJESHKUMAR WADHAWAN
PAN:AAOPW4517G
|
|
|
KAPIL KUMAR WADHAWAN
PAN:AAOPW6145L
|
|
|
MALTI RAKESH KUMAR WADHAWAN
PAN:AAGPW8042G
|
|
|
POOJA D.WADHAWAN
PAN:AAJPB9268Q
|
|
|
RAKESH KUMAR WADHAWAN
PAN:AAEPW7656G
|
|
|
SARANG WADHAWAN
PAN:AAAPW2530R
|
|
INDULGED IN MANIPULATION/FALSIFICATION IN BOOKS OF ACCOUNTS VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO (D), 4(1) & 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DEWAN HOUSING FINANCE CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-SEP-2020 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-SEP-2020 TILL FURTHER ORDERS
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 20-SEP-2020 TILL FURTHER ORDERS
22-SEP-2020
|
SEBI VIDE ITS ORDER DATED 22/10/2021 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 22/09/2020
SEBI VIDE ITS ORDER DATED 10/03/2023 VACATED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 22/09/2020 READ WITH CONFIRMATORY ORDER DATED 22/10/2021
|
| 4900 |
|
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WADHAWAN RETAIL VENTURES PVT.LTD.
(PAN:AAACW6632R)
|
|
|
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ANU S.WADHAWAN
PAN:AAQPW2792P
|
|
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ARUNA RAJESHKUMAR WADHAWAN
PAN:AAHPW9334L
|
|
|
DHEERAJ RAJESHKUMAR WADHAWAN
PAN:AAOPW4517G
|
|
|
KAPIL KUMAR WADHAWAN
PAN:AAOPW6145L
|
|
|
MALTI RAKESH KUMAR WADHAWAN
PAN:AAGPW8042G
|
|
|
POOJA D.WADHAWAN
PAN:AAJPB9268Q
|
|
|
RAKESH KUMAR WADHAWAN
PAN:AAEPW7656G
|
|
|
SARANG WADHAWAN
PAN:AAAPW2530R
|
|
INDULGED IN MANIPULATION/FALSIFICATION IN BOOKS OF ACCOUNTS VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO (D), 4(1) & 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DEWAN HOUSING FINANCE CORP.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-SEP-2020 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-SEP-2020 TILL FURTHER ORDERS
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 20-SEP-2020 TILL FURTHER ORDERS
22-SEP-2020
|
SEBI VIDE ITS ORDER DATED 22/10/2021 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 22/09/2020
SEBI VIDE ITS ORDER DATED 10/03/2023 VACATED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 22/09/2020 READ WITH CONFIRMATORY ORDER DATED 22/10/2021
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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| Page 245 of 251
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