| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
SUGANDH ESTATES & INVESTMENTS PVT.LTD.
(PAN:AACCS1085N)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF INFRASTRUCTURE DEVELOPMENT FINANCE CO.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-JAN-2006 TILL FURTHER ORDERS
12-JAN-2006
|
|
| 42 |
|
|
SUJAL LEASING & FINANCE PVT.LTD.
|
|
|
|
DUSHYANT NATWARLAL DALAL
PAN:AAAPD5859Q
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
|
|
| 43 |
|
|
TAURAS INFOSYS LTD.
|
|
|
|
DUSHYANT NATWARLAL DALAL
PAN:AAAPD5859Q
|
|
|
PULOMA DUSHYANT DALAL
PAN:AAEPD2909B
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
|
|
| 44 |
|
|
VACUF LTD.
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,35,58,674 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
14-AUG-2008
|
INTERIM EX-PARTE ORDER DATED 17/01/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2,35,58,673.55 AS SETTLEMENT CHARGES ALONGWITH INTEREST ACCRUED THEREON JOINTLY WITH VENUS CAPITAL MANAGEMENT,INC. AND ITF MAURITIUS AS PER CONSENT ORDER DATED 14/08/2008
|
| 45 |
|
|
VENUS CAPITAL MANAGEMENT,INC.
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,35,58,674 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
14-AUG-2008
|
INTERIM EX-PRATE ORDER DATED 17/01/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2,35,58,673.55 AS SETTLEMENT CHARGES ALONGWITH INTEREST ACCRUED THEREON JOINTLY WITH ITF MAURITIUS AND VACUF LTD. AS PER CONSENT ORDER DATED 14/08/2008
|
| 46 |
|
|
VINOD MODHA (HUF)
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.9,83,573, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.25,16,427 VIDE CONSENT ORDER)
22-FEB-2010
|
AD INTERIM EX-PARTE ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.25,16,427 TOWARDS DISGORGEMENT (PAYABLE TO INVESTORS) AND RS.9,83,573 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 22/02/2010
|
| 47 |
|
|
WELVET FINANCIAL ADVISERS PVT.LTD.
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-DEC-2010 TO 19-JUN-2011
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 20-DEC-2010 TO 19-JUN-2011
27-APR-2006
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,72,20,811, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.85,60,406 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 20-DEC-2010 TO 19-JUN-2011
20-DEC-2010
|
AD INTERIM EX-PARTE ORDER DATED 27/04/2006 CONFIRMED AND DIRECTED THE NOTICEE NOT TO BUY, SELL OR DEAL IN SECURITIES INCLUDING IPOS, UNTIL FURTHER ORDERS.FURTHER DIRECTED TO ISSUE SHOW CAUSE NOTICE IF ANY, ARISING FROM THE INVESTIGATIONS AT THE EARLIEST, BUT NOT LATER THAN 15 DAYS FROM THE DATE OF THIS ORDER
INTERIM ORDER DATED 01/12/2008 REVOKED, AS APPLICANT AGREED TO PAY A TOTAL OF RS.2,57,81,217.00 (RS.1,71,20,811.00 TOWARDS DISGORGEMENT, RS.85,60,406.00 TOWARDS SETTLEMENT CHARGES AND RS.1,00,000 TOWARDS SETTLEMENT CHARGES FOR WITHDRAWING PROTEST PETITION) AND AGREED TO UNDERGO DEBARMENT FROM BUYING, SELLING OR OTHERWISE ACCESSING SECURITIES MARKET FOR A PERIOD OF SIX MONTHS FROM DATE OF ORDER, AS PER CONSENT ORDER
|
| 48 |
|
|
YM BHANSALI (HUF)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 49 |
|
|
YOGESH M.BHANSALI (HUF)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 50 |
|
|
YOGESH MAFATLAL BHANSALI (HUF)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 51 |
|
|
YOGESHBHAI M.BHANSALI (HUF)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 52 |
|
|
ZENET SOFTWARE LTD.
(PAN:AAACZ0978K)
|
|
|
|
BHANUPRASAD DIPAKKUMAR TRIVEDI
|
|
|
DIPAKBHAI JASWANTLAL PANCHAL
|
|
|
DUSHYANT NATWARLAL DALAL
PAN:AAAPD5859Q
|
|
|
PULOMA DUSHYANT DALAL
PAN:AAEPD2909B
|
|
|
SAUMIL A.BHAVNAGARI
PAN:ABMPB3581C
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
DIRECTED TO DISGORGE RS.30,88,21,218
23-APR-2010
|
DIRECTED ZENET SOFTWARE LTD. (TRANSFEREE COMPANY OF TAURAS INFOSYS LTD.,EXCELL MULTITECH LTD.,SEER FINLEASE PVT.LTD. AND SUJAL LEASING & FINANCE PVT.LTD.) VIDE ORDER DATED 23/04/2010 A. NOT TO BUY,SELL OR DEAL IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESS SECURITIES MARKET,DIRECTLY OR INDIRECTLY FOR ONE YEAR B. TO DISGORGE UNLAWFUL GAINS OF RS.30,88,21,218 (UNLAWFUL GAINS OF RS.22,05,86,584 AND INTEREST OF RS.8,82,34,634) WITHIN 45 DAYS, AND C. IN CASE AFORESAID AMOUNT OF RS.30,88,21,218 NOT PAID WITHIN SPECIFIED TIME SHALL BE RESTRAINED FROM BUYING,SELLING OR DEALING IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESSING SECURITIES MARKET,DIRECTLY OR INDIRECTLY FOR A FURTHER PERIOD OF NINE YEARS,WITHOUT PREJUDICE TO SEBI’S RIGHT TO ENFORCE DISGORGEMENT
|
| 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 3 of 3
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