| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 501 |
|
NEW WAVE DEALER PVT.LTD.
|
|
|
|
GOPI CHAND BANSHAL
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF G.R.INDUSTRIES & FINANCE LTD.
|
IMPOSED PENALTY RS.2,00,000
28-MAR-2011
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 502 |
|
|
NEW WAVE DEALER PVT.LTD.
|
|
|
|
RAJENDRA BUBNA
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF G.R.INDUSTRIES & FINANCE LTD.
|
IMPOSED PENALTY RS.2,00,000
28-MAR-2011
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 503 |
|
|
NEWLEADER TRADING CO.PVT.LTD.
(PAN:AACCN0923G)
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION TO SEBI IN RESPONSE TO SUMMONS IN MATTER OF KARUNA CABLES LTD.
|
IMPOSED PENALTY RS.1,00,000
19-NOV-2009
|
SEBI VIDE ITS NOTICE DATED 17/07/2014 DIRECTED ALL THE BANKS 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 26/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.5,13,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 504 |
|
|
NEW-LOOK SHARES & STOCKS PVT.LTD.
|
|
|
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME
|
LAUNCHED CRIMINAL PROSECUTION
17-APR-1998
|
|
| 505 |
|
|
NEWTREE MERCANTILE CO.PVT.LTD.
|
|
|
INDULGED IN OFF-MARKET TRANSACTIONS IN SCRIP OF BANK OF RAJASTHAN LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF BANK OF RAJASTHAN LTD.
|
IMPOSED PENALTY RS.8,00,000
14-FEB-2013
|
SAT: SAT VIDE ITS ORDER DATED 11/02/2014 UPHELD PENALTY IMPOSED UNDER SECTIONS 15HA, 15A (A) AND 15H(II) OF SEBI ACT.
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 23/03/2017 DIRECTED ALL THE BANKS 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
|
| 506 |
|
|
NIHAL MERCANTILE PVT.LTD.
(PAN:AACCN8730D)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF PG ELECTROPLAST LTD.
|
IMPOSED PENALTY RS.1,00,000
02-AUG-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 507 |
|
|
NIKITA ENTERPRISE PVT.LTD.
(CIN:U51101MH2011PTC223403
PAN:AADCN8108N)
|
|
|
DID NOT SUBMIT REQUIRED INFORMATION/DOCUMENTS SOUGHT VIDE SUMMONS IN MATTER OF SUPREME TEX MART LTD.
|
IMPOSED PENALTY RS.5,00,000
24-FEB-2021
|
|
| 508 |
|
|
NIMBUS INDUSTRIES LTD.
(CIN:L99999MH1975PLC018079
PAN:AAACN2708B)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF PG ELECTROPLAST LTD.
|
IMPOSED PENALTY RS.1,00,000
02-AUG-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS ORDER DATED 07/06/2023 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
|
| 509 |
|
|
NIRBHARANT MANAGEMENT CONSULTANTS PVT.LTD.
(PAN:AADCN0132C)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET ,CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF RICH UNIVERSE NETWORK LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF RICH UNIVERSE NETWORK LTD.
|
IMPOSED PENALTY RS.15,00,000
30-MAY-2013
|
SAT: APPEAL DISMISSED NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: APPEAL DISPOSED OFF. NO COSTS
|
| 510 |
|
|
NISAR & KUMAR,M/S
|
|
|
|
M.N.AHMED
PAN:ABLPA9796K
|
|
ALLEGED INDULGENCE IN ISSUANCE OF UNMODIFIED AUDIT REPORT AND UNQUALIFIED CERTIFICATE OF CORPORATE GOVERNANCE DURING FINANCIAL YEARS 2008-09 AND 2013-14 VIOLATING SECTION 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(C), (D) AND 4(1), 4(2)(E), K & R OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ABG SHIPYARD LTD.
ALLEGED FAILURE IN APPEARING PERSONALLY AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF ABG SHIPYARD LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.27,54,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
08-MAY-2019
|
|
| 511 |
|
|
NISCHAY VYAPAR PVT.LTD.
|
|
|
DID NOT PROVIDE INFORMATION TO SEBI
MANIPULATED PRICE IN SCRIP OF SHARADRAJ TRADE FIN LTD.
|
IMPOSED PENALTY RS.25,000
31-MAY-2007
|
INCLUDED IN SEBI LIST DATED 31/03/2011, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 512 |
|
|
NITI MERCANTILE CO.PVT.LTD.
(PAN:AACCN6445P)
|
|
|
INDULGED IN OFF-MARKET TRANSACTIONS IN SCRIP OF BANK OF RAJASTHAN LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF BANK OF RAJASTHAN LTD.
|
IMPOSED PENALTY RS.8,00,000
14-FEB-2013
|
SAT: SAT VIDE ITS ORDER DATED 11/02/2014 UPHELD PENALTY IMPOSED UNDER SECTIONS 15HA, 15A (A) AND 15H(II) OF SEBI ACT.
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 23/03/2017 DIRECTED ALL THE BANKS 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
SEBI VIDE ITS NOTICE DATED 16/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.18,17,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 513 |
|
|
NOKIA FINANCE INTERNATIONAL PVT.LTD.
(PAN:AABCN1135D)
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.15,000
30-AUG-2005
|
|
| 514 |
|
|
NOTED INFOTECH PVT.LTD.
|
|
|
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.1,00,00,000
10-DEC-2003
|
SAT: APPEAL FOR SEEKING CONDONATION OF DELAY,DISMISSED
SAT: APPEAL ALLOWED WITH NO ORDER AS TO COSTS
SEBI VIDE ITS NOTICE DATED 22/11/2017 DIRECTED ALL THE BANKS 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
|
| 515 |
|
|
NU TEK INDIA LTD.
(CIN:L74899DL1993PLC054313
PAN:AAACN2270L)
|
|
|
|
ASHISH BANKER
PAN:AEZPB0868G
|
|
|
INDER SHARMA
PAN:AATPS0094D
|
|
|
VINEET AGGARWAL
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF NU TEK INDIA LTD. AND SUBSIDIARIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(A), 4(2)(E), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
DID NOT ADHERE TO REGULATION 9 OF SEBI (LODR) REGULATIONS, 2015
DID NOT PLACE INFORMATION BEFORE BOARD OF DIRECTORS SUCH AS ANNUAL OPERATING PLANS, BUDGETS, UPDATES, CAPITAL BUDGETS, MATERIAL DEFAULT IN FINANCIAL OBLIGATIONS EC VIOLATING REGULATION 17(7) OF SEBI (LODR) REGULATIONS, 2015
DID NOT PLACE INFORMATION BEFORE AUDIT COMMITTEE SUCH AS MANAGEMENT DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION ETC VIOLATING REGULATION 18(3) OF SEBI (LODR) REGULATIONS, 2015
DISCREPANCIES IN PUBLISHING FINANCIAL RESULTS VIOLATING REGULATIONS 33(3)(D) AND 33(4) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS VIOLATING REGULATION 34(3) OF SEBI (LODR) REGULATIONS, 2015
DID NOT FURNISH INFORMATION AND DID NOT COOPERATE WITH FORENSIC AUDITOR
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 21-DEC-2021 TO 20-DEC-2022
IMPOSED PENALTY RS.26,00,000
21-DEC-2021
|
|
| 516 |
|
|
OASIS CINE COMMUNICATION LTD.
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.5,00,000
26-AUG-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 517 |
|
|
OASIS MEDIA MATRIX LTD.
(CIN:L27100GJ1995PLC027638)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF OASIS MEDIA MATRIX LTD.
|
IMPOSED PENALTY RS.20,00,000
14-JAN-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 518 |
|
|
OM ASSOCIATES
(PAN:APTPP6092D)
|
|
|
INDULGED IN FRAUDULENT/MANIPULATIVE TRADE PRACTICES IN COLLUSION AND CONNIVANCE WITH OTHERS RESULTING INTO FAILURE IN MEETING PAY-IN OBLIGATIONS VIOLATING SECTIONS 12A(B) AND 12A(C OF SEBI ACT. 1992 READ WITH REGULATIONS 3(C) AND 3(D) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RTS POWER CORP.LTD.
DID NOT CO-OPERATE WITH SEBI IN ITS PROCESS OF INVESTIGATION IN MATTER OF RTS POWER CORP.LTD.
|
IMPOSED PENALTY RS.20,00,000
18-JUN-2021
|
SEBI VIDE ITS NOTICE DATED 14/11/2022 DIRECTED TO PAY RS.23,61,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 16/04/2025 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
|
| 519 |
|
|
OM GAYATRI SECURITIES
|
|
|
INDULGED IN CIRCULAR TRADE/REVERSAL OF TRADE TRANSACTIONS/FICTITIOUS DEALS
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.50,000
30-SEP-2005
|
|
| 520 |
|
|
OMEGA HOUSING LTD.
(CIN:U45201GJ1994PLC022283)
|
|
|
DID NOT FURNISH INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF FILING OF FORGED PAPERS WITH BSE TO OBTAIN LISTING OF BLUE INFORMATION TECHNOLOGY LTD.
|
IMPOSED PENALTY RS.2,00,000
09-JUL-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 26 of 44
|
