| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
ASHWIN NAGARWADIA
|
|
|
|
GUJARAT CAPITAL VENTURES LTD.
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 62 |
|
|
ATUL KUMAR SHANTILAL MARDIA
(DIN:00788465
PAN:ADYPM7131K)
|
|
|
|
NISSAN COPPER LTD.
CIN:L36939DN1989PLC000377
PAN:AABCN0105B
|
|
INDULGED IN FACILITATING SUBSCRIPTION OF GDRS BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY (NISSAN) PLEDGED GDR WITH EURAM BANK VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1) OF PFUTP REGULATIONS, 2003 IN MATTER OF NISSAN COPPER LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-FEB-2019 TO 07-FEB-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-FEB-2019 TO 07-FEB-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
08-FEB-2019
|
|
| 63 |
|
|
AVICHAL KASLIWAL
(PAN:ADQPK3720J)
|
|
|
|
SYNCOM HEALTHCARE LTD.
PAN:AAKCS3247G
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION WITHOUT MENTIONING GDR ISSUE VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SYNCOM HEALTHCARE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-JAN-2019 TO 14-JAN-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-JAN-2019 TO 14-JAN-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
15-JAN-2019
|
SAT: SAT VIDE ITS ORDER DATED 30/04/2021 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER
|
| 64 |
|
|
AVINASH MAGAN
|
|
|
|
YOGI LEASING & FINANCE LTD.
|
|
VIOLATED SECTION 26 OF SEBI ACT, 1992
VIOLATED SECTION 24 OF SEBI (PFUTP) REGULATION, 1995
FAILED TO PAY PENALTY
VIOLATED SECTION 27 OF SEBI ACT, 1992
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 65 |
|
|
B.D.AGARWAL
|
|
|
|
VIKAS WSP LTD.
CIN:L24139HR1988PLC030300
PAN:AAACV7816Q
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
SECURITIES CONTRACTS (REGULATION) ACT, 1956 SECURITES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SECTION 24 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED
DISMISSED FOR NON PROSECUTION
|
| 66 |
|
|
B.K.PAL
|
|
|
|
DSQ SOFTWARE LTD.
PAN:AAACS5071J
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 5 SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6 SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 67 |
|
|
B.L.JINDAL
|
|
|
|
VIKAS WSP LTD.
CIN:L24139HR1988PLC030300
PAN:AAACV7816Q
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED
|
| 68 |
|
|
B.M.JOSHI
|
|
|
|
PUKHRAJ HOLDINGS PVT.LTD.
|
|
|
RKKR AGENCIES PVT.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
|
|
| 69 |
|
|
B.N.HARIDAS
|
|
|
|
VISION TECHNOLOGY INDIA LTD.
|
|
VIOLATED REGULATIONS 4 (A) (B) & (D) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 70 |
|
|
B.N.LEELA
|
|
|
|
VISION TECHNOLOGY INDIA LTD.
|
|
VIOLATED REGULATIONS 4 (A) (B) & (D) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 71 |
|
|
B.R.SHYAMALA
|
|
|
|
VISION TECHNOLOGY INDIA LTD.
|
|
VIOLATED REGULATIONS 4 (A) (B) & (D) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 72 |
|
|
B.RANGA VASANTH
|
|
|
|
VISION TECHNOLOGY INDIA LTD.
|
|
VIOLATED REGULATIONS 4 (A) (B) & (D) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 73 |
|
|
B.S.RANGA
|
|
|
|
VISION TECHNOLOGY INDIA LTD.
|
|
VIOLATED REGULATIONS 4 (A) (B) & (D) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 74 |
|
|
BABUBHAI H.CHAUHAN
|
|
|
|
SANIDHYA HOLIDAY RESORTS & ESTATE DEVELOPERS LTD.
|
|
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
VIOLATED SECTION 6(A) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 75 |
|
|
BAJRANGLAL B.AGARWAL
|
|
|
VIOLATED REGULATIONS 4 (A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SECTION 26 OF SEBI ACT, 1992
VIOLATED RULE 7 OF SEBI (STOCK BROKERS & SUB BROKERS) RULES, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 76 |
|
|
BANKESH BALDEVBHAI BHAVSAR
(PAN:AFAPB3386D)
|
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
30-JUN-2010
|
|
| 77 |
|
|
BASANTILAL KAKRECHA
|
|
|
|
MANDU INDUSTRIES LTD.
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 78 |
|
|
BASUDEO AGARWAL
|
|
|
|
V.R.MATHUR MASS COMMUNICATIONS LTD.
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACCUSED NO.1 TO 5 WERE ACQUITTED BY COURT
|
| 79 |
|
|
BEENA A.SHAH
|
|
|
|
MANNA GLASS-TECH INDUSTRIES LTD.
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6 SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 80 |
|
|
BHANUPRASAD DIPAKKUMAR TRIVEDI
|
|
|
|
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
|
|
| 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 4 of 25
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