| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
MAHENDER KUMAR AGARWAL
|
|
|
|
RITESH POLYESTERS LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF OF RS.15000 BY EACH OF THE ACCUSED
|
| 82 |
|
|
MANAN VIDHYAPATI PATEL
(PAN:AFJPP0452P)
|
|
|
DID NOT MAKE DISCLOSURE OF PRE-EXISTING LIABILITIES OF RS.7 CRORE (APPROX.) RELATED TO WORKING CAPITAL EXPENSES, LOAN OF RS.7 CRORE FROM ALIN AND INFLATED THE SALES FIGURES FOR THE YEARS 2010-11 AND 2011-12 VIOLATING REGULATIONS 57(1) AND 57(2)(A) READ WITH CLAUSE (2)(VII)(G) PART A OF SCHEDULE VIII OF SEBI (ICDR) REGULATIONS, 2009 IN IPO OF TIMBOR HOME LTD.
MIS-STATEMENTS IN THE PROSPECTUS
AIDED AND ABETTED TIMBOR HOMES LTD. MAKING INCORRECT DISCLOSURE OF BRIDGE LOAN RS.7.00 CRORES FROM ALIN IN IPO PROSPECTUS VIOLATING SECTION 12A(A) OF SEBI ACT, 1992 AND REGULATIONS 3(B), 4(1) AND 4(2)(F) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF TIMBOR HOME LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-MAR-2021
|
SEBI VIDE ITS ORDER DATED 25/08/2021 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
SEBI VIDE ITS ORDER DATED 13/08/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.3879 OF 2021 DATED 28/06/2021
SEBI VIDE ITS NOTICE DATED 02/09/2024 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 25/08/2021
|
| 83 |
|
|
MANISHA MATHUR
|
|
|
|
PROTOCHEM LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.5000/ BY EACH OF THE ACCUSED
|
| 84 |
|
|
MILIND GOVINDRAJ
|
|
|
|
MONESHI AGRO FOODS LTD.
|
|
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
MIS-STATEMENTS IN THE PROSPECTUS
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 85 |
|
|
MRIDULA AGARWAL
|
|
|
|
SETECH ELECTRONICS LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
DID NOT APPEAR BEFORE COURT IN PERSON PURSUANT TO SUMMONS ISSUED BY COURT (SECTION 200A – CR PC)
|
PROSECUTION LAUNCHED
15-MAY-2006
|
VIDE ORDER DATED 13/09/2012 COURT DISPOSED OF THE MATTER AS COMPOUNDED BY THE CLB UPON RS.40,000 AS COMPOUNDING CHARGES FOR THE COMPANY AND RS.3000 EACH ON DIRECTORS
|
| 86 |
|
|
MUKESH SETI
|
|
|
|
SUPRIYA PHARMACEUTICALS LTD.
CIN:L24232RJ1985PLC003363
|
|
MIS-STATEMENTS IN THE PROSPECTUS
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED BY CLB
|
| 87 |
|
|
N.K.MAINI
|
|
|
|
TOUBRO INFOTECH & INDUSTRIES LTD.
|
|
ISSUED SHARE/DEBENTURE APPLICATION FORMS WITHOUT ATTACHING A COPY OF THE PROSPECTUS/ABRIDGED PROSPECTUS
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
MIS-STATEMENTS IN THE PROSPECTUS
|
PROSECUTION LAUNCHED
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAR-2003 TO 24-MAR-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAR-2003 TO 24-MAR-2008
DIRECTED TO REFUND THE MONEY RAISED, TO DEBENTURE HOLDERS WITH INTEREST @10% WITHIN A PERIOD OF TWO WEEKS FROM DATE OF THIS ORDER
28-MAR-2001
|
SAT: SAT VIDE ITS ORDER DATED 19/07/2004 1.SET ASIDE ORDER DATED 25/03/2003, DIRECTING APPELLANTS TO REFUND MONEY WITH 10% INTEREST TO DEBENTURE HOLDERS 2.MODIFIED ORDER DIRECTING APPELLANTS NOT TO ACCESS AND ASSOCIATE WITH CAPITAL MARKET, DEALING IN SECURITIES OR ASSOCIATING WITH ANY INTERMEDIARIES IN CAPITAL MARKET FOR A PERIOD OF FIVE YEARS TO PERIOD ALREADY UNDERGONE 3.DIRECTED APPELLANTS TO REDRESS ALL GRIEVANCES OF DEBENTURE HOLDERS,IF ANY.NO ORDER AS TO COSTS
|
| 88 |
|
|
N.M.PRAKASH
|
|
|
|
OMEGA SEEDS LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 89 |
|
|
N.S.BRAR
|
|
|
|
OMEGA SEEDS LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 90 |
|
|
NANDINI MATHUR
|
|
|
|
PROTOCHEM LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.5000/ BY EACH OF THE ACCUSED
|
| 91 |
|
|
NARESH CHATLY
|
|
|
|
SHREE DEWAN STEELS (INDIA) LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
|
LAUNCHED CRIMINAL PROSECUTION
06-APR-1998
|
|
| 92 |
|
|
NARESH CHATLY
|
|
|
|
SHREE DEWAN STEELS (INDIA) LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACCUSED NO. 4 AND 5 ARE DISCHARGED BY THE TRIAL COURT ON THE GROUND THAT SEBI FAILED TO PROVE THAT THERE WAS ANY AUTHORIZATION BY A4&5 FOR THE PROSPECTUS OR THERE WAS ANY SIGNATURE ON THE PROSPECTUS
|
| 93 |
|
|
OLGA BERNABE
|
|
|
|
INDO-FRENCH BIO-TECH ENTERPRISES LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED
|
| 94 |
|
|
OM PRAKASH TUSHIR
|
|
|
|
MAHADEV AGRO INDUSTRIES LTD.
|
|
|
MAHADEV CORP.(INDIA) LTD.
|
|
|
MAHADEV LEASING CO.LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACCUSED NO.1 COMPANY PROCEDED U/S 305 OF CR.P.C. (EX-PARTE) PROCEEDINGS AGAINST ACCUSED NO. 2,4,5 AND 7 WERE DROPPED VIDE ORDER DATED 20/11/2001. ACCUSED NOS 3 AND 6 PLEADED GUILTY AND COURT IMPOSED FINE OF RS.10,000 EACH
CASE DISMISSED BY COURT
CONVICTION
NOT APPEARING IN THE LIST OF CASES DISMISSED/ACCUSED DISCHARGES IN THE PROSECUTION FILED BY SEBI (AS ON 31ST MARCH 2010)
ACCUSED NO.2 PLEADED GUILTY AND LD. COURT IMPOSED A FINE OF RS.5000. NONE FOR COMPANY AND PROCEEDINGS QUA A3 AND A4 DROPPED AND FILE CONSIGNED TO RR
|
| 95 |
|
|
P.J.BHATE
|
|
|
|
BALWANT TEXTILE MILLS LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 96 |
|
|
PADAM PRAKASH SOMPRAKASH BHATNAGAR
(PAN:ABTPJ9846M)
|
|
|
|
TIJARIA POLYPIPES LTD.
PAN:AACCT4796M
|
|
DID NOT MAKE DISCLOSURE OF BOARD RESOLUTION DATED 10/09/2011 TO RAISE FUNDS THROUGH ICDS IN PROSPECTUS
DID NOT MAKE DISCLOSURE OF FUNDS RAISED BY TPL THROUGH ICDS IN NATURE OF BRIDGE LOAN IN PROSPECTUS
DID NOT MAKE DISCLOSURE OF FUNDS RAISED THROUGH ICDS PRIOR TO BOARD RESOLUTION DATED 10/09/2011 IN PROSPECTUS
MADE WRONG DISCLOSURE/MISSTATEMENT IN RELATION TO PROCUREMENT OF PLANT & MACHINERY (IMPORTED & INDIGENOUS) AND SUPPLIERS
MADE MIS-STATEMENTS IN PROSPECTUS BY OVERSTATING EXPENDITURE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-NOV-2011 TO 27-NOV-2014
20-JUN-2014
|
|
| 97 |
|
|
POPATLAL KATHARIYA
(PAN:AAEPK4407B)
|
|
|
|
RAVI KUMAR DISTILLERIES LTD.
PAN:AABCR4195D
|
|
MIS-STATEMENTS IN THE PROSPECTUS
DID NOT MAKE MATERIAL DISCLOSURES IN PROSPECTUS IN MATTER OF RAVI KUMAR DISTILLERIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-MAR-2019 TO 11-MAR-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-MAR-2019 TO 11-MAR-2022
12-MAR-2019
|
|
| 98 |
|
|
PRABHASH BHATNAGAR
|
|
|
|
HITECH COMVISION LTD.
CIN:U99999DL1999PLC099468
|
|
MISLEADING INFORMATION IN DRAFT OFFER DOCUMENT
SHOWED OPERATIONS AS AN INFOTECH COMPANY TO LURE INVESTORS TO INVEST IN SHARES OF COMPANY
OMITTED INFORMATION IN OFFER DOCUMENT PERTAINING TO FINANCIAL PERFORMANCE AND GAVE WRONG INFORMATION TO JUSTIFY ISSUE PRICE IN DRAFT OFFER DOCUMENT
DID NOT GIVE BASIS OF VALUATION OF ACQUISITION OF IMAGE AND TRAVELHINDUSTAN.COM
DRAFT OFFER DOCUMENT SHOWED UNETHICAL PRACTICES TO REPORT A HIGH TURNOVER ETC
GAVE FALSE INFORMATION ABOUT SUNDRY DEBTORS
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAY-2002 TO 30-MAY-2007
PROHIBITED PUBLIC COMPANIES IN WHICH THIS DIRECTOR HAS CONTROLLING/SUBSTANTIAL INTEREST TO RAISE FUNDS FROM CAPITAL MARKET FROM 31-MAY-2002 TO 30-MAY-2007
31-MAY-2002
|
|
| 99 |
|
|
PRAFUL R.BHANSALI
|
|
|
|
INDO-FRENCH BIO-TECH ENTERPRISES LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED
|
| 100 |
|
|
PRAFUL R.RANADIVE
|
|
|
|
INDO-FRENCH BIO-TECH ENTERPRISES LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 5 of 10
|
