| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1001 |
|
SHAILENDRA KUMAR PRAJAPATI
(PAN:ALLPP0250B
DIN:00319340)
|
|
|
|
TOGO RETAIL MARKETING LTD.
CIN:U72900DL1999PLC098804
PAN:AADCM4340F
|
|
MOBILIZED RS.7.74 CRORES FROM PUBLIC THROUGH ISSUANCE OF 77,41,000 EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 8,424 INVESTORS VIOLATING SECTIONS 60(B)(2), 60(B)(9) READ WITH 2(36), 56(1), 56(3) AND 73 OF THE COMPANIES ACT, 1956 AND THE DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES & THE ICDR REGULATIONS, 2009
|
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 11-JUL-2019 TO 10-JUL-2023
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 11-JUL-2019 TO 10-JUL-2023
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 11-JUL-2019 TO 10-JUL-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JUL-2019 TO 10-JUL-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JUL-2019 TO 10-JUL-2023
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 11-JUL-2019 TO 10-JUL-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
05-AUG-2015
|
SEBI VIDE ITS ORDER DATED 11/07/2019 DIRECTED TO A) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER ANY MANNER FOR FOUR YEARS FROM DATE OF THIS ORDER B) RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR FOUR YEARS FROM DATE OF THIS ORDER
|
| 1002 |
|
|
SHAILENDRA SEN
(PAN:BUXPS9559Q)
|
|
|
|
CAPITAL HEED FINANCIAL RESEARCH
PAN:BUXPS9559Q
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
|
CEASE AND DESIST FROM SOLICITING/ACQUIRING FRESH CLIENTS FOR INVESTMENT ADVISORY SERVICES, DIRECTLY OR INDIRECTLY FROM 01-JUN-2021 TO 31-MAY-2024
CEASED AND DESIST FROM OFFERING NEW INVESTMENT ADVISORY SERVICES TO ITS EXISTING CLIENTS FOR WHICH FRESH PAYMENT IS REQUIRED TO BE MADE BY THE CLIENTS
DIRECTED TO DISCHARGE ALL THE OBLIGATIONS, AS REQUIRED UNDER SEBI (INVESTMENT ADVISER) REGULATIONS, 2013 TOWARDS EXISTING CLIENTS IN RESPECT OF INVESTMENT ADVISORY SERVICES
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 01-JUN-2021 TO 31-MAY-2024
DIRECTED TO FURNISH REPORT TO SEBI DULY CERTIFIED BY CHARTERED ACCOUNTANT RESOLVED ALL COMPLAINTS
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
18-NOV-2019
|
SEBI VIDE ITS ORDER DATED 01/06/2021 DIRECTED TO A) RESTRAIN FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR THREE YEARS FROM DATE OF THIS ORDER 2) RESOLVED THE COMPLAINTS PENDING IN THE SCORES AND OTHERWISE, WITHIN 30 DAYS FROM DATE OF THIS ORDER 3) FURNISH REPORT TO SEBI DULY CERTIFIED BY CHARTERED ACCOUNTANT CERTIFYING ALL THE COMPLAINTS HAVE BEEN RESOLVED 4) DURING THE PERIOD OF RESTRAINT, EXISTING HOLDING OF SECURITIES INCLUDING UNITS OF MUTUAL FUNDS TO REMAIN FROZEN
|
| 1003 |
|
|
SHAILESHKUMAR BALDEVBHAI PATEL
(PAN:AOEPP2788Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF DHYANA FINSTOCK LTD.
MISUSED STOCK EXCHANGE SYSTEM TO GENERATE FICTITIOUS LONG-TERM CAPITAL GAINS (LTCG) TO CONVERT UNACCOUNTED INCOME INTO ACCOUNTED ONE WITH NO PAYMENT OF TAXES AS LTCG IS TAX EXEMPT IN MATTER OF DHYANA FINSTOCK LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-JUN-2016 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUN-2016 TILL FURTHER ORDERS
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO DISGORGE RS.34,26,434
01-JUN-2016
|
SEBI VIDE ITS ORDER DATED 26/05/2017 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 01/06/2016
SAT: SAT VIDE ITS ORDER DATED 30/01/2018 DISPOSSED OFF THE APPEAL WITH THE DIRECTION TO SEBI TO COMPLETE THE INVESTIGATION AND TO ISSUE SCN, IF DEEMED FIT, ON OR BEFORE 31/03/2018. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 10/04/2018 DIRECTED SEBI TO DISPOSE OFF SCN AS EXPEDITIOUSLY AS POSSIBLE. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 09/07/2019 DISPOSED OFF MISC.APPLICATION AND DIRECTED SEBI TO DECIDE WITHIN FOUR WEEKS IF APPLICATION FILED TO RELEASE RS.14 LACS ALONG WITH INTEREST
SAT: SAT VIDE ITS ORDER DATED 09/07/2019 DISPOSED OFF MISC.APPLICATION AND ADVISED TO RAISE THE OBJECTIONS, IF ANY, BEFORE AO
SEBI VIDE ITS ADDENDUM ORDER DATED 01/08/2019 DISPOSED OFF REPRESENTATION MADE BY APPLICANTS WITHOUT ACCEPTING REQUEST FOR IMMEDIATE RELEASE OF PAY-OUTS
SEBI VIDE ITS ORDER DATED 30/07/2020 DIRECTED TO DISGORGE RS.34,26,434.00 UNLAWFUL GAINS AND DIRECTED BSE TO TRANSFER THE AMOUNTS OF PAY-OUTS ALONG WITH INTEREST
SAT: SAT VIDE ITS ORDER DATED 04/08/2021 ADJOURNED THE CASE ON THE REQUEST OF FOR SOME OF THE APPELLANTS TO ENABLE THEM TO FILE REJOINDER WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 10/06/2022 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS NOTICE DATED 04/08/2022 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
SAT: SAT VIDE ITS ORDER DATED 24/11/2023 GRANTED THE PERMISSION AND DISMISSED REVIEW APPLICATION AS WITHDRAWN
SEBI VIDE ITS NOTICE DATED 06/05/2025 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 04/08/2022
SEBI VIDE ITS ORDER DATED 06/05/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4186 OF 2021 DATED 29/09/2021
|
| 1004 |
|
|
SHAJI RAJAPPAN
(PAN:AEPPR7909Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET & PRICE MANIPULATION IN SCRIP OF VISHVJYOTI TRADING LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 26-MAR-2020 TO 25-SEP-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-MAR-2020 TO 25-SEP-2020
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
26-MAR-2020
|
|
| 1005 |
|
|
SHAKUNTALA KARWA
(PAN:AGFPK2166G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-AUG-2020 TO 30-NOV-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-AUG-2020 TO 30-NOV-2020
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
31-AUG-2020
|
|
| 1006 |
|
|
SHAKUNTALA MARU
(PAN:ACIPM0237D)
|
|
|
MISUSED STOCK EXCHANGE SYSTEM TO GENERATE FICTITIOUS LONG-TERM CAPITAL GAINS (LTCG) TO CONVERT UNACCOUNTED INCOME INTO ACCOUNTED ONE WITH NO PAYMENT OF TAXES AS LTCG IS TAX EXEMPT IN MATTER OF PINE ANIMATION 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 18-NOV-2019 TO 07-MAY-2020
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
08-MAY-2015
|
SEBI VIDE ITS ORDER DATED 22/08/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 08/05/2015 EXCEPT THAT NOTICEES CAN: A) ENTER INTO DELIVERY BASED TRANSACTIONS IN CASH SEGMENT IN SECURITIES COVERED IN NSE NIFTY 500 INDEX SCRIPS AND / OR S&P BSE 500 SCRIPS B) SUBSCRIBE TO UNITS OF MUTUAL FUNDS INCLUDING THROUGH SIP AND REDEEM THE UNITS OF MUTUAL FUNDS SO SUBSCRIBED C) DEAL IN DEBT/GOVERNMENT SECURITIES D) INVEST IN ETF E) AVAIL THE BENEFITS OF CORPORATE ACTIONS LIKE RIGHTS ISSUE, BONUS ISSUE, STOCK SPLIT, DIVIDEND, ETC. F) TENDER THE SHARES LYING IN THEIR DEMAT ACCOUNT IN ANY OPEN OFFER/DELISTING OFFER UNDER THE RELEVANT REGULATIONS OF SEBI. SEBI ALLOWED THEM FURTHER RELAXATIONS/RELIEFS A) THEY ARE PERMITTED TO SELL THE SECURITIES LYING IN THEIR DEMAT ACCOUNTS AS ON THE DATE OF THE INTERIM ORDER, OTHER THAN THE SHARES OF THE COMPANIES WHICH ARE SUSPENDED FROM TRADING BY THE CONCERNED STOCK EXCHANGE, IN ORDERLY MANNER UNDER THE SUPERVISION OF THE STOCK EXCHANGES SO AS NOT TO DISTURB THE MARKET EQUILIBRIUM AND DEPOSIT THE SALE PROCEEDS IN AN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK B) THEY MAY DEAL WITH OR UTILIZE THE SALE PROCEEDS LYING IN THE ESCROW ACCOUNT UNDER THE SUPERVISION OF THE CONCERNED STOCK EXCHANGE
SEBI VIDE ITS ORDER DATED 18/11/2019 DIRECTED TO A) DEBARRED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR 5 YEARS AND B) FREEZED EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
|
| 1007 |
|
|
SHALABH GAUR
(PAN:ANTPG8746R)
|
|
|
|
JALAN CEMENT WORKS LTD.
CIN:L65923WB1972PLC028322
PAN:AAACJ6788R
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF JALAN CEMENT WORKS LTD. (NOW KNOWN AS AASHRIT CAPITAL LTD.)& SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II), (6), (7), 4(2)(F)(III)(2), (3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF JALAN CEMENT WORKS LTD. (NOW KNOWN AS AASHRIT CAPITAL LTD.)
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF JALAN CEMENT WORKS LTD. (NOW KNOWN AS AASHRIT CAPITAL LTD.)
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF JALAN CEMENT WORKS LTD. (NOW KNOWN AS AASHRIT CAPITAL 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 11-MAY-2022 TO 10-MAY-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.4,00,000
11-MAY-2022
|
SAT: SAT VIDE ITS ORDER DATED 13/06/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS THEREAFTER. DIRECTED THAT THE DEBARMENT ORDER AGAINST APPELLANT TO REMAIN STAYED DURING PENDENCY OF THE APPEAL AND APPELLANT TO DEPOSIT 50% OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND IF DEPOSITED, THE BALANCE AMOUNT NOT BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 29/07/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 22/08/2022 GRANTED THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 17/11/2022 PARTLY ALLOWED THE APPEAL BY REDUCING DEBARMENT PERIOD FROM ONE YEAR TO THE PERIOD UNDERGONE
SAT: SAT VIDE ITS ORDER DATED 01/05/2023 CONDONED THE DELAY IN FILING OF APPEAL
|
| 1008 |
|
|
SHALENI KAYAN
(DIN:00761119
PAN:AFZPK1051R)
|
|
|
|
TRINITY TRADELINK LTD.
CIN:L11103MH1985PLC035826
PAN:AAFCS8117C
|
|
MOBILIZED RS.25.99 CRORES THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 978 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60(1) AND 73 READ WITH 67 OF THE COMPANIES ACT, 1956 AND SECTION 465(2) OF THE COMPANIES ACT, 2013 IN MATTER OF TRINITY TRADELINK LTD.(EARLIER KNOWN AS OMNITECH PETROLEUM LTD.)
MOBILIZED RS.25.99 CRORES THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 978 INVESTORS VIOLATING REGULATIONS 4(2)(D), 4(2)(E) 5(1), 5(2), 5(5), 5(7), 6(1), 7, 26(1), 26(2), 32(1), 36, 37, 46(1), 47(1), 49(1), 57(1), 58(1), 58(2), 63 AND 115(2) OF ICDR REGULATIONS, 2009 IN MATTER OF TRINITY TRADELINK LTD.(EARLIER KNOWN AS OMNITECH PETROLEUM LTD.)
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 19-MAR-2020 TO 18-MAR-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-MAR-2020 TO 18-MAR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-MAR-2020 TO 18-MAR-2023
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 19-MAR-2020 TO 18-MAR-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
19-MAR-2020
|
|
| 1009 |
|
|
SHALINI AGARWAL
(PAN:AGMPA9745Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF DHANLEELA INVESTMENT & TRADING CO.LTD. (FORMERLY KNOWN AS RATNI INVESTMENTS CO.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 18-MAR-2020 TO 17-MAR-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
18-MAR-2020
|
|
| 1010 |
|
|
SHALOMIBEN ANILBHAI BARIYA
(PAN:BWMPB3400Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF DHYANA FINSTOCK LTD.
MISUSED STOCK EXCHANGE SYSTEM TO GENERATE FICTITIOUS LONG-TERM CAPITAL GAINS (LTCG) TO CONVERT UNACCOUNTED INCOME INTO ACCOUNTED ONE WITH NO PAYMENT OF TAXES AS LTCG IS TAX EXEMPT IN MATTER OF DHYANA FINSTOCK LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-JUN-2016 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUN-2016 TILL FURTHER ORDERS
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO DISGORGE RS.3,70,356
01-JUN-2016
|
SEBI VIDE ITS ORDER DATED 10/08/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 01/06/2016
SEBI VIDE ITS ORDER DATED 30/07/2020 DIRECTED TO DISGORGE RS.3,70,356.00 UNLAWFUL GAINS AND DIRECTED BSE TO TRANSFER THE AMOUNTS OF PAY-OUTS ALONG WITH INTEREST
SAT: SAT VIDE ITS ORDER DATED 04/08/2021 ADJOURNED THE CASE ON THE REQUEST OF FOR SOME OF THE APPELLANTS TO ENABLE THEM TO FILE REJOINDER WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATED 05/12/2022 DIRECTED TO DISGORGE UNLAWFUL GAINS RS.3,70,356.00 AND DIRECTED BSE 1) TO TRANSFER THE SAID AMOUNTS FROM AMOUNTS OF PAY-OUTS PERTAINING TO THE NOTICE (RETAINED BY BSE) TO THE EXTENT OF RESPECTIVE DISGORGEMENT AMOUNTS ALONG WITH THE INTEREST 2) RELEASE EXCESS AMOUNT (IF NOT PAID EARLIER) FROM PAY-OUTS FOR TRADES EXECUTED ON 27/07/2015 TO NOTICEE, AFTER TRANSFERRING THE AMOUNTS OF DISGORGEMENT TO SEBI IN TERMS OF ABOVE DIRECTIONS AGAINST THE RESPECTIVE NOTICEE
SAT: SAT VIDE ITS ORDER DATED 08/09/2023 DISMISSED THE APPEAL. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 24/11/2023 GRANTED THE PERMISSION AND DISMISSED REVIEW APPLICATION AS WITHDRAWN
|
| 1011 |
|
|
SHAM SADHURAM GANDHI
(PAN:AAAPG8353J)
|
|
|
|
FINALYSIS CREDIT & GUARANTEE CO.LTD.
PAN:AABCF9494P
|
|
DEVISED A SCHEME TO DEFRAUD ORIGINAL PUBLIC SHAREHOLDERS BY ISSUING FORGED CONSOLIDATED SHARE CERTIFICATES AND THEREAFTER FRAUDULENTLY SOLD THESE CONSOLIDATED SHARE CERTIFICATES TO PURCHASERS BROUGHT BY BIPIN DIVECHA VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) & 4(2)(H) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FINALYSIS CREDIT & GURANTEE CO.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 05-MAY-2020 TO 04-MAY-2025
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 05-MAY-2020 TO 04-MAY-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO DISGORGE RS.45,54,871
05-MAY-2020
|
SAT: SAT VIDE ITS ORDER DATED 20/04/2021 ALLOWED APPELLANTS TO THREE WEEKS FURTHER TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 11/06/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 01/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 09/08/2024 DISMISSED THE APPEALS. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 16/12/2024 DISMISSED THE APPEAL. NO COSTS
|
| 1012 |
|
|
SHAMLAL MADANLAL KHETAN
(DIN:03565057
PAN:ABPPK5443F)
|
|
|
|
RAASHI FERTILIZERS PVT.LTD.
CIN:U24210MH1985PTC037068
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 31-JUL-2021 TILL RESOLVED INVESTOR GRIEVANCES PENDING
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JUL-2021 TILL RESOLVED INVESTOR GRIEVANCES PENDING
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2021 TILL RESOLVED INVESTOR GRIEVANCES PENDING
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-JUL-2020
|
SAT: SAT VIDE ITS ORDER DATED 18/02/2021 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 30/07/2020 INSOFAR AS IT RELATED TO THE APPELLANT
|
| 1013 |
|
|
SHAMSHAD BEGUM KHAN
(PAN:AHMPP8481F)
|
|
|
|
FINALYSIS CREDIT & GUARANTEE CO.LTD.
PAN:AABCF9494P
|
|
DEVISED A SCHEME TO DEFRAUD ORIGINAL PUBLIC SHAREHOLDERS BY ISSUING FORGED CONSOLIDATED SHARE CERTIFICATES AND THEREAFTER FRAUDULENTLY SOLD THESE CONSOLIDATED SHARE CERTIFICATES TO PURCHASERS BROUGHT BY BIPIN DIVECHA VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) & 4(2)(H) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FINALYSIS CREDIT & GURANTEE CO.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 05-MAY-2020 TO 04-MAY-2023
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 05-MAY-2020 TO 04-MAY-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
05-MAY-2020
|
|
| 1014 |
|
|
SHARAD JHUNJHUNWALA
(DIN:00032879
PAN:ACVPJ0763C)
|
|
|
|
TRINITY TRADELINK LTD.
CIN:L11103MH1985PLC035826
PAN:AAFCS8117C
|
|
MOBILIZED RS.25.99 CRORES THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 978 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60(1) AND 73 READ WITH 67 OF THE COMPANIES ACT, 1956 AND SECTION 465(2) OF THE COMPANIES ACT, 2013 IN MATTER OF TRINITY TRADELINK LTD.(EARLIER KNOWN AS OMNITECH PETROLEUM LTD.)
MOBILIZED RS.25.99 CRORES THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 978 INVESTORS VIOLATING REGULATIONS 4(2)(D), 4(2)(E) 5(1), 5(2), 5(5), 5(7), 6(1), 7, 26(1), 26(2), 32(1), 36, 37, 46(1), 47(1), 49(1), 57(1), 58(1), 58(2), 63 AND 115(2) OF ICDR REGULATIONS, 2009 IN MATTER OF TRINITY TRADELINK LTD.(EARLIER KNOWN AS OMNITECH PETROLEUM LTD.)
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PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 19-MAR-2020 TO 18-MAR-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-MAR-2020 TO 18-MAR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-MAR-2020 TO 18-MAR-2023
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 19-MAR-2020 TO 18-MAR-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
19-MAR-2020
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| 1015 |
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SHARAD RAMCHANDRA GHADI
(PAN:AIQPG6396R)
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FINALYSIS CREDIT & GUARANTEE CO.LTD.
PAN:AABCF9494P
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DEVISED A SCHEME TO DEFRAUD ORIGINAL PUBLIC SHAREHOLDERS BY ISSUING FORGED CONSOLIDATED SHARE CERTIFICATES AND THEREAFTER FRAUDULENTLY SOLD THESE CONSOLIDATED SHARE CERTIFICATES TO PURCHASERS BROUGHT BY BIPIN DIVECHA VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) & 4(2)(H) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FINALYSIS CREDIT & GURANTEE CO.LTD.
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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 05-MAY-2020 TO 04-MAY-2025
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 05-MAY-2020 TO 04-MAY-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
05-MAY-2020
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| 1016 |
|
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SHARAD YASHWANT HAREKAR
(PAN:ADDPH7341B)
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SHIVOM INVESTMENT & CONSULTANCY LTD.
PAN:AAACG9355K
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DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF SHIVOM INVESTMENT & CONSULTANCY LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF SHIVOM INVESTMENT & CONSULTANCY LTD. VIOLATING REGULATIONS 4(2)(F)(II)(1), (6), (7), 4(2)(F)(III)(2), (3) (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SHIVOM INVESTMENT & CONSULTANCY LTD.
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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 24-FEB-2023 TO 23-MAY-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.1,00,000
24-FEB-2023
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| 1017 |
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SHARADCHANDRA BHAGIRATH JAJU
(PAN:ABRPJ2860M
DIN:05242941)
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ADHUNIK PLANTATIONS PVT.LTD.
PAN:AACCA8921D
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PRIME PLANTATIONS PVT.LTD.
PAN:AACCP1731G
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TWENTIETH CENTURY PLANTATION PVT.LTD.
PAN:AAACT1328F
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OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
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DIRECTED TO SUBMIT REPORT IN REGARD TO WINDING UP OF CIS AND REPAYMENT OF MONIES TO SEBI IN ACCORDANCE TO CIS REGULATIONS
DIRECTED TO SUBMIT REPAYMENT REPORT TO SEBI CERTIFIED BY TWO INDEPENDENT CHARTERED ACCOUNTANTS WHO ARE IN PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 19-MAR-2021 TO 18-MAR-2025
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-MAR-2021 TO 18-MAR-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-MAR-2021 TO 18-MAR-2025
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM INVESTORS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
19-MAR-2021
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SAT: SAT VIDE ITS ORDER DATED 07/07/2021 CONDONED THE DELAY OF 10 DAYS IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER. FURTHER, DIRECTED TO SUSPEND RESTRAINED ORDER DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 30/07/2021 REJECTED THE APPLICATION AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 14/12/2021 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 19/03/2021. MATTER REMITTED TO WTM TO DECIDE AFRESH WITHIN SIX WEEKS FROM DATE OF THIS ORDER. FURTHER, DIRECTED APPELLANT TO TRANSFER RS 3.80 LAC TO SEBI WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATED 24/01/2022 DIRECTED TO A) INTIMATE/FILE A REPORT WITHIN 15 DAYS OF EACH REFUND MADE TO ANY OF THE INVESTORS TO SEBI B) FILE WINDING UP AND REPAYMENT REPORT (WRR) IN THE PRESCRIBED FORMAT CONTAINING THE DETAILS OF THE CONTRIBUTORS/INVESTORS WHO HAVE BEEN SO REFUNDED AND STATEMENT OF ESCROW ACCOUNT DULY SUPPORTED BY LIST OF ALL CONTRIBUTORS/INVESTORS, THEIR CONTACT DETAILS, DETAILS OF INVESTMENTS AND CORRESPONDING REFUNDS MADE TO SUCH INVESTORS, THE SUPPORTING BANK ACCOUNT STATEMENTS OF ALL THE NOTICEE, INDICATING REFUNDS SO MADE TO THE INVESTORS AND THE RECEIPTS TAKEN FROM THE INVESTORS ACKNOWLEDGING SUCH REFUNDS, ALONG WITH A CONSOLIDATED STATEMENT OF SUCH REPAYMENTS HAVING BEEN MADE, DULY CERTIFIED BY TWO INDEPENDENT CHARTERED ACCOUNTANTS, WITHIN A PERIOD OF TWO (02) MONTHS FROM MAKING REFUNDS TO ALL THE INVESTORS OR TRANSFERRING OF FUNDS TO IPEF, WHICHEVER IS EARLIER
SAT: SAT VIDE ITS ORDER DATED 09/05/2022 DIRECTED REPLY BE FILED WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND REJOINDER MAY BE FILED WITHIN FOUR WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 25/07/2022 CONDONED THE DELAY IN FILING OF APPEAL
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| 1018 |
|
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SHASHIKANT BABANRAO SHINDE
(PAN:AAGPS6752D)
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MADE WRONG, MISLEADING AND DISTORTED INFORMATION IN RHP VIOLATING REGULATIONS 57(1), 57(2) (A) READ WITH CLAUSE 2(VII) (G) OF SCHEDULE VIII AND 60(7) (A) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF DR.DATSONS LABS LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-SEP-2019 TO 12-SEP-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-SEP-2019 TO 12-SEP-2020
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 13-SEP-2019 TO 12-SEP-2020
RESTRAINED FROM HOLDING OR OCCUPYING POSITION AS DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY FROM 13-SEP-2019 TO 12-SEP-2020
13-SEP-2019
|
|
| 1019 |
|
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SHAUKEEN PATHAK
(DIN:01612838
PAN:AHYPP0297R)
|
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TOGO RETAIL MARKETING LTD.
CIN:U72900DL1999PLC098804
PAN:AADCM4340F
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MOBILIZED RS.7.74 CRORES FROM PUBLIC THROUGH ISSUANCE OF 77,41,000 EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 8,424 INVESTORS VIOLATING SECTIONS 60(B)(2), 60(B)(9) READ WITH 2(36), 56(1), 56(3) AND 73 OF THE COMPANIES ACT, 1956 AND THE DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES & THE ICDR REGULATIONS, 2009
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DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 11-JUL-2019 TO 10-JUL-2023
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 11-JUL-2019 TO 10-JUL-2023
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 11-JUL-2019 TO 10-JUL-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JUL-2019 TO 10-JUL-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JUL-2019 TO 10-JUL-2023
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 11-JUL-2019 TO 10-JUL-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
05-AUG-2015
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SEBI VIDE ITS ORDER DATED 11/07/2019 DIRECTED TO A) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER ANY MANNER FOR FOUR YEARS FROM DATE OF THIS ORDER B) RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR FOUR YEARS FROM DATE OF THIS ORDER
|
| 1020 |
|
|
SHAUKEEN PATHAK
(DIN:01612838
PAN:AHYPP0297R)
|
|
|
|
TOGO RETAIL MARKETING LTD.
CIN:U72900DL1999PLC098804
PAN:AADCM4340F
|
|
MOBILIZED RS.9.19 CRORES FROM PUBLIC THROUGH ISSUANCE OF 91,953 REDEEMABLE CUMULATIVE PREFERENCE SHARES (RCPS) BY WAY OF PRIVATE PLACEMENT TO 10,759 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36) AND 73 OF THE COMPANIES ACT, 1956
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 27-JUN-2019 TO 26-JUN-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-JUN-2019 TO 26-JUN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-JUN-2019 TO 26-JUN-2023
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 27-JUN-2019 TO 26-JUN-2023
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 27-JUN-2019 TO 26-JUN-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
22-JUL-2015
|
SEBI VIDE ITS ORDER DATED 27/06/2019 DIRECTED TO A) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER ANY MANNER FOR FOUR YEARS FROM DATE OF THIS ORDER B) RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR FOUR YEARS FROM DATE OF THIS ORDER C) DURING THE PERIOD OF RESTRAINT THE EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS SHALL REMAIN FROZEN
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| 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 51 of 60
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