| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
BHARAT KUMAR
|
|
|
|
GREENFIELD INVESTMENTS PVT.LTD.
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 82 |
|
|
BHARAT KUMAR DOSHI
(PAN:ABTPD1004A)
|
|
|
|
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
|
| 83 |
|
|
BHARTI RUPESH SHAH
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3(A) TO (D), 4 (1) AND 4 (2) (A), (E) & (G) OF SEBI (PFUTP) REGULATIONS, 2003 READ WITH SECTION 12A (A) TO (C) OF SEBI ACT, 1992 IN THE MATTER OF HORIZON INFRASTRUCTURE LTD. (NOW KNOWN AS SKIL INFRASTRUCTURE LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,32,74,000, INTEREST RS.5,10,595 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAY-2017
|
|
| 84 |
|
|
BHASKAR CHOKSHI
|
|
|
|
GUJARAT CAPITAL VENTURES LTD.
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 85 |
|
|
BHAVESH PRAPATRAI GANDHI
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3(A) TO (D), 4 (1), 4 (2) (F) AND 4 (2) (R) OF SEBI (PFUTP) REGULATIONS, 2003 READ WITH SECTION 12A (A) TO (C) OF SEBI ACT, 1992 IN THE MATTER OF HORIZON INFRASTRUCTURE LTD. (NOW KNOWN AS SKIL INFRASTRUCTURE LTD.)
ALLEGED VIOLATION OF CLAUSES 31, 35 AND 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN THE MATTER OF HORIZON INFRASTRUCTURE LTD. (NOW KNOWN AS SKIL INFRASTRUCTURE LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,32,74,000, INTEREST RS.5,10,595 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAY-2017
|
|
| 86 |
|
|
BHAVI RAHUL GANDHI
(PAN:APGPG9247J)
|
|
|
|
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
|
|
| 87 |
|
|
BHUPENDRA T.JOSHI
|
|
|
|
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
|
|
| 88 |
|
|
BHUVANESWARI
|
|
|
|
VIJAY ADVERTISING PVT.LTD.
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 89 |
|
|
BHUWNESHWAR MISHRA
(PAN:AIWPM9469M)
|
|
|
REPORTED INFLATED SHAREHOLDING OF PROMOTERS IN MATTER OF GHCL LTD.
|
IMPOSED PENALTY RS.10,00,000
25-OCT-2013
|
SAT: APPEAL DISMISSED. NO COSTS
|
| 90 |
|
|
BIBEK CHOWDHURY
|
|
|
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.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-FEB-2018 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-FEB-2018 TILL FURTHER ORDERS
DIRECTED SEBI TO APPOINT INDEPENDENT AUDIT FIRM TO CONDUCT DETAILED FORENSIC AUDIT OF BOOKS OF ACCOUNTS OF RICOH FOR F.Y.2012-13 ONWARDS
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 16/03/2020 REVOKED ITS DIRECTIONS OF REVOKED/RESTRAINT ISSUED VIDE ITS INTERIM ORDER DATED 12/02/2018 AND CONFIRMATORY ORDER DATED 16/08/2018
|
| 91 |
|
|
BRAHMANANDA BISWAL
|
|
|
|
COOLTEX COMMODITIES PVT.LTD.
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 92 |
|
|
CHAGANLAL B.RATHOD
|
|
|
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
|
|
| 93 |
|
|
CHANDERKANT MEHTA
|
|
|
|
OASIS MEDIA MATRIX LTD.
CIN:L27100GJ1995PLC027638
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
30-JUN-2010
|
|
| 94 |
|
|
CHANDRAKANT MOHANLAL SANGANI
|
|
|
|
LAXMI MOVERS
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 95 |
|
|
CHARU NIRAJ SANGHVI
|
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
31-MAR-2010
|
CONVICTION WITH FINE OF RS.2,00,000.00 IN DEFAULT, SHALL UNDERGO SIMPLE IMPRISONMENT FOR ONE MONTH
|
| 96 |
|
|
CHETAN VASANTRAI KOTHARI
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3(A) TO (D), 4 (1), 4 (2) (F) AND 4 (2) (R) OF SEBI (PFUTP) REGULATIONS, 2003 READ WITH SECTION 12A (A) TO (C) OF SEBI ACT, 1992 IN THE MATTER OF HORIZON INFRASTRUCTURE LTD. (NOW KNOWN AS SKIL INFRASTRUCTURE LTD.)
ALLEGED VIOLATION OF CLAUSES 31, 35 AND 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN THE MATTER OF HORIZON INFRASTRUCTURE LTD. (NOW KNOWN AS SKIL INFRASTRUCTURE LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,32,74,000, INTEREST RS.5,10,595 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAY-2017
|
|
| 97 |
|
|
D.B.SHARMA
|
|
|
|
SUMAC IRON & STEEL 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
|
|
| 98 |
|
|
DEEP KUMAR BHANUPRASAD TRIVEDI
(PAN:ABVPT2409C)
|
|
|
|
TOP MEDIA ENTERTAINMENT LTD.
|
|
|
TOP TELEMEDIA LTD.
|
|
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
VIOLATED REGULATIONS 4 (A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY/STOCK CHANGES AS REQUIRED UNDER REGULATION 6 OF SEBI TAKEOVER CODE, 1997
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY/STOCK CHANGES AS REQUIRED UNDER REGULATION 7 OF SEBI TAKEOVER CODE, 1997
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY/STOCK CHANGES AS REQUIRED UNDER REGULATION 8 OF SEBI TAKEOVER CODE, 1997
VIOLATED SECTION 11 OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
RS.15,60,000.00 PENALY PAID TOWARDS INTEREST WHICH INCLUDED LEGAL COSTS
|
| 99 |
|
|
DEEPAK CHUDASMA
|
|
|
|
YES INVESTMENTS
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 100 |
|
|
DEEPAK M.VAISHNAV
(PAN:AABPV3392D)
|
|
|
|
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
|
| 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 5 of 25
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