| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
ARUN AGGARWAL
|
|
|
|
TAURAS PORTFOLIOS 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
|
|
| 42 |
|
|
ARUN GOYAL
|
|
|
|
VAISHNO TRADELINK PVT.LTD.
|
|
|
WARNER MULTIMEDIA LTD.
CIN:L92100WB1983PLC036338
PAN:AABCC0225H
|
|
VIOLATED REGULATION 4(A) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 4(B) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 43 |
|
|
ARUN J.SHAH
|
|
|
|
LUMINANT INVESTMENTS PVT.LTD.
PAN:AAACL0834A
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
DISMISSED
|
| 44 |
|
|
ARUN KUMAR BAJORIA
|
|
|
VIOLATED REGULATION 4(A) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 45 |
|
|
ARUN NARAYAN JOSHI
(PAN:AAFPJ6710M)
|
|
|
|
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 ALLOWED THE APPEAL
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
|
| 46 |
|
|
ARUN NARAYAN JOSHI
(PAN:AAFPJ6710M)
|
|
|
|
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.5,00,000
30-AUG-2019
|
|
| 47 |
|
|
ARUN PRANJIVANDAS GANDHI
|
|
|
|
GREENFIELD TRADING & FINANCE LTD.
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 48 |
|
|
ARVIND JETHALAL GALA
(PAN:ACSPG7022Q)
|
|
|
|
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.3,00,000
30-AUG-2019
|
|
| 49 |
|
|
ARVIND MEHTA
|
|
|
|
GUJARAT CAPITAL VENTURES LTD.
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 50 |
|
|
ARVIND MOHAN JOHARI
|
|
|
|
CENTURY CONSULTANTS LTD.
|
|
|
CYBERSPACE LTD.
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 7 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 51 |
|
|
ARVIND SINGHAL
(PAN:AOAPS9993J)
|
|
|
VARIOUS INSTANCES OF FALSIFICATION AND MISSTATEMENTS IN THE BOOKS OF ACCOUNTS OF RICOH FOR THE YEAR ENDED 31/03/2016 VIOLATING SECTION 12A(A), 12A(B) & 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C), 3(D), 4(1), 4(2)(E), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF RICOH INDIA LTD.
|
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 12-FEB-2018 TO 11-FEB-2023
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 12-FEB-2018 TO 11-FEB-2023
DIRECTED SEBI TO APPOINT INDEPENDENT AUDIT FIRM TO CONDUCT DETAILED FORENSIC AUDIT OF BOOKS OF ACCOUNTS OF RICOH FOR F.Y.2012-13 ONWARDS
IMPOSED PENALTY RS.15,00,000
12-FEB-2018
|
SEBI VIDE ITS ORDER DATED 16/08/2018 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM EX-PARTE ORDER DATED 12/02/2018 READ WITH ORDER DATED 06/03/2018. FURTHER, SEBI EXTENDED THE TIME FOR SUBMISSION OF FORENSIC AUDIT REPORT TO SEBI THROUGH BSE TO 30/09/2018
SEBI VIDE ITS ORDER DATED 30/01/2023 DIRECTED TO A) RESTRAINED FROM HOLDING POST OF DIRECTOR OR ANY KEY MANAGERIAL POSITION OR ASSOCIATING THEMSELVES IN ANY CAPACITY WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR FIVE YEARS B) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS) DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR FIVE YEARS C) IMPOSED PENALTY RS.10 U/S 15HA OF SEBI ACT. AND RS.5 LAC U/S 23H OF SCRA
SAT: SAT VIDE ITS ORDER DATED 25/04/2023 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 26/06/2023 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 03/10/2023 CONDONED THE DELAY IN FILING OF REPLY
SAT: SAT VIDE ITS ORDER DATED 28/11/2023 CONDONED THE DELAY IN FILING OF REPLY AND REPLY AND REJOINDER WERE TAKEN ON RECORD
SEBI VIDE ITS NOTICE DATED 29/08/2024 DIRECTED TO PAY RS.18,0,1000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 17/09/2024 ALLOWED MISC.APPLICATION AND STAYED RECOVERY PROCEEDING SUBJECT TO DEPOSIT OF ENTIRE PENALTY AMOUNT WITHIN ONE WEEK FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 07/10/2024 DISMISSED THE APPEAL AS WITHDRAWN
SEBI VIDE ITS ORDER DATED 17/10/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7949 OF 2024 DATED 29/08/2024
|
| 52 |
|
|
ARVIND VASWANI
|
|
|
|
BONANZA BIOTECH LTD.
|
|
FAILED TO PAY PENALTY
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
VIOLATED REGULATION 3 OF SEBI (PFUTP) REGULATIONS, 1995
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
|
| 53 |
|
|
ASGAR MUN
|
|
|
VIOLATED REGULATION 4(A) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 4(B) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 54 |
|
|
ASHIF CHIPPA
|
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
30-JUN-2010
|
|
| 55 |
|
|
ASHOK MODI
(PAN:ACAPM5833H)
(Along with : RAJIV R.KOTIA,
SHARAD GANDHI)
|
|
|
|
SUNGOLD CAPITAL LTD.
PAN:AAJCS0998M
|
|
DID NOT SUBMIT CORRECT SHAREHOLDING PATTERN TO STOCK EXCHANGES BY CLASSIFYING SHAREHOLDING OF PROMOTER GROUP AS PUBLIC HOLDING VIOLATION REGULATION 3 (D) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SUNGOLD CAPITAL LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUN-2017
|
|
| 56 |
|
|
ASHOK NAVINCHANDRA CHOKSHI
|
|
|
|
MANNA GLASS-TECH INDUSTRIES LTD.
|
|
VIOLATED SECTION 59 OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6 SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 60 OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
VIOLATED SECTION 18 OF SEBI DEPOSITORIES ACT, 1996
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SECTION 20 OF SEBI DEPOSITORIES ACT, 1996
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 57 |
|
|
ASHOK PARMAR
|
|
|
|
AASH INFIN & GROWTH PVT.LTD.
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 58 |
|
|
ASHOK RAMSWAROOP BHANWARLAL PANCHARIYA
(PAN:AEVPP6124P)
|
|
|
INDULGED IN FINANCING OF OWN GDR ISSUE AND MISLED INVESTORS BY MAKING FALSE DISCLOSURES TO SEBI VIOLATING SECTION 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(C) TO 3(D) & 4(2)(A), 4(2)(C), 4(2)(F) AND 4(2)(K) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES OF ASAHI INFRASTRUCTURE & PROJECTS LTD., AVON CORP.LTD., CAT TECHNOLOGIES LTD., IKF TECHNOLOGIES LTD., K SERA SERA LTD. AND MAARS SOFTWARE INTERNATIONAL LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-SEP-2017 TO 04-SEP-2027
DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT WITH INDIAN SECURITIES AS UNDERLYING, IN ANY MANNER WHATSOEVER FROM 05-SEP-2017 TO 04-SEP-2027
05-SEP-2017
|
|
| 59 |
|
|
ASHOK SHARMA
|
|
|
|
HULDA PROPERTIES & TRADES LTD.
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 60 |
|
|
ASHWIN C.SHAH
|
|
|
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. |
| |
|
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| Page 3 of 25
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