| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 521 |
|
RAJESH UNNIKRISHNAN
(PAN:AAPPU3912J)
|
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 522 |
|
|
RAJINDER SINH GOEL
|
|
|
|
TANAYA SECURITIES LTD.
|
|
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 523 |
|
|
RAJIV MALHOTRA
(PAN:AFNPM5775N)
|
|
|
VIOLATED SECTIONS 12A(A) TO (C) OF THE SEBI ACT READ WITH REGULATIONS 3(B) TO 3(D) & 4(2)(C), 4(2)(F), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES OF K SERA SERA LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-SEP-2017
|
|
| 524 |
|
|
RAJIV R. JAVERI
|
|
|
|
PRIYA HOLDINGS LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.1,00,000 BY THE ACCUSED TO SEBI
|
| 525 |
|
|
RAJKUMAR B.SHARMA
|
|
|
|
PRECESION DRUGS LTD.
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 11 B OF SEBI ACT, 1992
VIOLATED SECTION 11 (1) OF SEBI TAKEOVER CODE, 1997
VIOLATED SECTION 21 (3) OF SEBI TAKEOVER CODE, 1997
VIOLATED SECTION 44 OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 526 |
|
|
RAJKUMAR C.BASANTANI
(PAN:AESPB2834F)
|
|
|
|
ADAM COMSOF LTD.
PAN:AABCA2067R
|
|
|
ADSUL TRADING PVT.LTD.
|
|
|
ARAVALI HOUSING & FINANCE PVT.LTD.
|
|
|
CAVALIER SECURITIES LTD.
PAN:AAACC6370Q
|
|
|
JUGNU SECURITIES PVT.LTD.
|
|
|
KALBADEVI FINANCE PVT.LTD.
PAN:AAACB4200F
|
|
|
KOLAR BIOTECH LTD.
|
|
|
KOLAR SHAREX PVT.LTD.
PAN:AAACK6474D
|
|
|
MASTERMIND MERCANTILE CO-OP.LTD.
|
|
|
MILLION INVESTRADE LTD.
|
|
|
SANGAM INFOTECH PVT.LTD.
PAN:AAGCS2995F
|
|
|
STRUCTURE HOUSING & FINANCE PVT.LTD.
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 527 |
|
|
RAJKUMAR C.BASANTANI
(PAN:AESPB2834F)
|
|
|
|
SOUNDCRAFT INDUSTRIES LTD.
PAN:AABCS3556M
|
|
VIOLATED REGULATIONS 4 (A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995
FAILED TO PAY PENALTY
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CASE DISMISSED BY COURT. APPLICATION FOR RESTORATION FILED BY SEBI IS PENDING
CASE DISMISSED BY COURT. REVISION PETITION FILED BY SEBI IS PENDING BEFORE BOMBAY HIGH COURT
|
| 528 |
|
|
RAJKUMAR DINESH MASALIA
|
|
|
|
DPS SHARES & SECURITIES PVT.LTD.
PAN:AABCD1053A
|
|
VIOLATED SECTION 24 (2) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
30-JUN-2010
|
ACCUSED NO.4 SUJAL SHAH CONVICTED AND IS SENTENCED TO PAY FINE OF RS.6,00,000.00 AND SIMPLE IMPRISONMENT
|
| 529 |
|
|
RAJKUMAR GUPTA
|
|
|
|
GORDON HERBERT (INDIA) LTD.
PAN:AAACK7424R
|
|
FAILED TO PAY PENALTY
VIOLATED SECTION 27 OF SEBI ACT, 1992
VIOLATED SECTION 20(2) OF SEBI DEPOSITORIES ACT, 1996
VIOLATED SECTION 21 OF SEBI DEPOSITORIES ACT, 1996
|
PROSECUTION LAUNCHED
15-JUL-2022
|
|
| 530 |
|
|
RAJKUMAR SHARMA
(PAN:AOTPS8037A)
|
|
|
|
SEAGULL LEAFIN LTD.
PAN:AAFCS3157A
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 531 |
|
|
RAJNI M.PATEL
|
|
|
|
PARAGON INVESTMENTS PVT.LTD.
|
|
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.1,60,000 BY THE ACCUSED TO SEBI
|
| 532 |
|
|
RAJU B.SHAH
|
|
|
|
SAWACA COMMUNICATION LTD.
CIN:L64201GJ1995PLC024912
|
|
FAILED TO PAY PENALTY
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.6,15,955.00
|
| 533 |
|
|
RAKESH KUMAR SRIVASTAVA
|
|
|
|
SHREEJEE CAPITAL MANAGEMENT LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACCUSED NO.1 TO 6 ACQUITTED
|
| 534 |
|
|
RAKESH MAHESHWARI
|
|
|
|
BHUTRA FINANCIAL SERVICES PVT.LTD.
|
|
VIOLATED SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.2,30,000 BY THE ACCUSED TO SEBI
|
| 535 |
|
|
RAKESH MISHRA
|
|
|
|
MARISHA FINANCIAL SERVICES LTD.
|
|
VIOLATED SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
DURING THE TRIAL A21 (SHRI ASHOK KUMAR KOHLI) HAD EXPIRED, THEREFORE, PROCEEDINGS QUA HIM WAS ABATED. ACCUSED NO.20 (M/S EVERGROW FINANCIAL SERVICES PVT.LTD.) AND A22 ( SHRI PRADEEP SHARMA) FACED THE TRIAL AND THEY REMAINING ACCUSED WERE DECLARED POS. THE CAPTIONED MATTER WAS POSTED BEFORE THE LD. COURT ON JULY 30, 2012 FOR PRONOUNCEME NT OF JUDGMENT. AFTER RECORDING ITS REASONS THE COURT HELD THAT SEBI COULD NOT PROVE ITS CASE AGAINST A20 AND A22 BEYOND THE SHADOW OF ALL REASONABLE DOUBTS, AND THEREBY ACQUITTED A20 AND A22
|
| 536 |
|
|
RAKESH PANDYA
|
|
|
|
BONANZA BIOTECH LTD.
|
|
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
VIOLATED REGULATION 3 OF SEBI (PFUTP) REGULATIONS, 1995
FAILED TO PAY PENALTY
VIOLATED REGULATIONS 4 (A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CASE DISMISSED BY COURT. IN REVISION FILED BY SEBI, THE CASE AGAINST ACCUSED NO. 1, 2 AND OTHER DIRECTORS OF ACCUSED NO. 1 WERE COMPOUNDED ON PAYMENT OF RS. 7,75,000/- AND CASE AGAINST ACCUSED NO. 3 TO 9 PENDING IN SESSION COURT
CLUBBED WITH CONSENT FOR RS.7,75,000
|
| 537 |
|
|
RAKESH SHARMA
|
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 538 |
|
|
RAKESH SONI
|
|
|
|
R.C.GUPTA & CO.PVT.LTD.
|
|
|
SANYO FINANCE & INVESTMENT PVT.LTD.
|
|
FAILED TO PAY PENALTY
VIOLATED SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
SAT: SAT VIDE ITS ORDER DATED 23/03/2022 CONDONED THE DELAY OF 18 YEARS IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE APPLICATION FOR CONDONATION OF DELAY AS WELL AS MEMO OF APPEAL WITHIN THREE WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 18/04/2022 ALLOWED APPELLANT TWO WEEKS TO FILE REJOINDER
THE PRESENT COMPLAINT WAS FILED ON THE BASIS OF NON-COMPLIANCE OF AO ORDER DTD. 28/11/2003 BUT THE HON'BLE SAT, MUMBAI IN APPEAL NO. 127/2022 VIDE ITS ORDER DTD. 21/09/2022 HAS QUASHED AND SET ASIDE THE SAID ADJUDICATION ORDER AND REMANDED BACK TO THE FILES OF AO FOR FRESH CONSIDERATION. THEREFORE, COMPLAINANT HAS SOUGHT PERMISSION FOR WITHDRAWING PRESENT COMPLAINT. IN VIEW OF THE ORDER PASSED BY HON'BLE SAT, APPLICATION IS HEREBY ALLOWED. COMPLAINANT IS PERMITTED TO WITHDRAW THE COMPLAINT
|
| 539 |
|
|
RAKESH SURESHCHANDRA SHAH
|
|
|
|
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
|
|
| 540 |
|
|
RAKESH SURESHCHANDRA SHAH
|
|
|
|
EXCELL MULTITECH LTD.
|
|
|
KARVY STOCK BROKING LTD.
PAN:AABCK5190K
|
|
|
SEER FINLEASE PVT.LTD.
|
|
|
SUJAL LEASING & FINANCE PVT.LTD.
|
|
|
TAURAS INFOSYS LTD.
|
|
|
ZENET SOFTWARE LTD.
PAN:AAACZ0978K
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 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 27 of 39
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