| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
JAGDISHBHAI GOVINDLAL SHETH
|
|
|
|
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
|
|
| 102 |
|
|
JAI BHAGWAN GOEL
(PAN:ACOPG6352K)
|
|
|
|
GUILD BUILDERS PVT.LTD.
PAN:AACCG2350E
|
|
|
OMAXE LTD.
PAN:AAACO0171H
|
|
DID NOT ACHIEVE PRESCRIBED 25% MINIMUM PUBLIC SHAREHOLDING THROUGH INDEPENDENT PUBLIC SHAREHOLDERS VIOLATING RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH REGULATION 38 OF SEBI (LODR) REGULATIONS, 2015 AND PROVISION OF 2(II) ON “AMENDMENTS TO CLAUSE 40A – MINIMUM PUBLIC SHAREHOLDING” OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 AND CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015 IN MATTER OF OMAXE LTD.
MADE INCORRECT AND INFLATED DISCLOSURE OF PUBLIC SHAREHOLDING VIOLATING REGULATION 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015READ WITH CIRCULAR NO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 READ WITH REGULATION 2(ZB) OF SEBI (ICDR) REGULATIONS, 2009 AND REGULATION 2(PP) OF SEBI (ICDR) REGULATIONS 2018AND CLAUSE 35 OF LISTING AGREEMENT IN MATTER OF OMAXE LTD.
INDULGED IN FRAUDULENT AND DECEPTIVE SCHEME & ARTIFICE IN CONNECTION WITH DEALING IN SECURITIES VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT.,1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF OMAXE LTD.
PROVIDED DIRECTLY OR INDIRECTLY FINANCIAL ASSISTANCE FOR ACQUISITION OF ITS OWN SHARES VIOLATING SECTION 77(2) OF COMPANIES ACT, 1956 IN MATTER OF OMAXE LTD.
|
IMPOSED PENALTY RS.37,00,000
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-SEP-2026 TO 23-SEP-2027
24-SEP-2026
|
|
| 103 |
|
|
JAYENDRA KANTI SHUKLA
|
|
|
|
OJAS TECHNOCHEM PRODUCTS LTD.
|
|
FAILED TO PAY PENALTY
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 104 |
|
|
JAYENDRA MILAP SHUKLA
|
|
|
|
OJAS TECHNOCHEM PRODUCTS LTD.
|
|
FAILED TO PAY PENALTY
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 105 |
|
|
JAYENDRASINGH N.WAGHELA
|
|
|
|
ZILLION PHARMA CHEM LTD.
CIN:L24231GJ1992PLC017496
|
|
DID NOT REPAY EXCESS SHARE APPLICATION MONEY WITHIN STIPULATED PERIOD
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 106 |
|
|
JAYESH MOR
|
|
|
|
AASHI PHARMACHEM LTD.
|
|
DID NOT REPAY EXCESS SHARE APPLICATION MONEY WITHIN STIPULATED PERIOD
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 107 |
|
|
K.C.DEWAN
|
|
|
|
DEWAN RUBBER INDUSTRIES LTD.
|
|
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 108 |
|
|
K.G.PRABHU
|
|
|
|
D-LINK (INDIA) LTD.
|
|
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 109 |
|
|
K.K.RAO
|
|
|
|
CANARA STEEL LTD.
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CC NO. 2943/1997 AGAINST ACCUSED NO.3 STANDS ACQUITTED. CASE AGAINST ACCUSEDNO.1,2,6,7 SPLIT UP AND STILL PENDING. CASE AGAINST ACCUSED NO.5,8 TO 12 QUASHED BY HIGH COURT. A-4 DEAD, HENCE, PROCEEDING AGAINST A-4 ABATED
|
| 110 |
|
|
K.L.RAJANI
|
|
|
DID NOT REPAY EXCESS SHARE APPLICATION MONEY WITHIN STIPULATED PERIOD
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACCUSED 2 SENTENCED WITH FINE OF RS.10000. A-4 & 6 ACQUITTED. CASE AGAINST ACCUSED-3, 5, 7 & 8 HAS BEEN SPLIT AND THE COURT VIDE ORDER DATED 28.02.2007 DISMISSED THE COMPLAINT AGAINST A3, 5,7, & 8 WITH A LIBERTY TO SEBI TO SEEK REVIVAL OF PROCEEDINGS ON OBTAINING THE ADDRESS OF THE ACCUSED. A-1 WAS DISCHARGED AS PER ORDER IN ON 10/1/2002. CASE AGAINST A-9 & 10 DISMISSED ON 5/11/99
|
| 111 |
|
|
K.N.GUPTA
|
|
|
|
BRAHASPATI FINANCERS LTD.
|
|
MIS-STATEMENTS IN THE PROSPECTUS
FRAUDULENTLY INDUCING PERSONS TO INVEST MONEY
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 112 |
|
|
K.P.BASHEER
|
|
|
|
PREMIER PLANTATIONS LTD.
CIN:U01119KL1990PLC005900
|
|
DID NOT REPAY EXCESS SHARE APPLICATION MONEY WITHIN STIPULATED PERIOD
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CASE DISMISSED BY COURT. APPEAL IS FILED BY SEBI AGAINST THE SAID ORDER WHICH IS PENDING BEFORE THE BOMBAY HIGH COURT
|
| 113 |
|
|
K.R.MAITHANI
|
|
|
|
MITHILA STEEL INDUSTRIES LTD.
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACCUSED ABSCONDED
|
| 114 |
|
|
K.R.NAIK
|
|
|
|
D-LINK (INDIA) LTD.
|
|
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 115 |
|
|
K.S.V.RAAMAN
|
|
|
|
XEDD TELECOM LTD.
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
DID NOT REPAY EXCESS SHARE APPLICATION MONEY WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACCUSED NO.1 & 2 WERE CONVICTED AND SENTENCED TO FINE OF RS.53,150 AND ON DEFAULT SIMPLE IMPRISONMENT FOR 6 MONTHS. ACCUSED 3 ACQUITTED AND CASE AGAINSTACCUSED NO.4 & 5 SPLIT UP. APPEAL FILED BY ACCUSED 1&2 HAS ALSO BEEN DISMISSED
|
| 116 |
|
|
K.SHENOY
|
|
|
|
OMNITEL INDUSTRIES LTD.
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 117 |
|
|
K.THIPPA SWAMY
|
|
|
|
RICHIMEN SILKS LTD.
CIN:U18100AP1984PLC005033
|
|
DID NOT REPAY EXCESS SHARE APPLICATION MONEY WITHIN STIPULATED PERIOD
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 118 |
|
|
K.Y.RAIJI
|
|
|
DID NOT REPAY EXCESS SHARE APPLICATION MONEY WITHIN STIPULATED PERIOD
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACCUSED 2 SENTENCED WITH FINE OF RS.10000. A-4 & 6 ACQUITTED. CASE AGAINST ACCUSED-3, 5, 7 & 8 HAS BEEN SPLIT AND THE COURT VIDE ORDER DATED 28.02.2007 DISMISSED THE COMPLAINT AGAINST A3, 5,7, & 8 WITH A LIBERTY TO SEBI TO SEEK REVIVAL OF PROCEEDINGS ON OBTAINING THE ADDRESS OF THE ACCUSED. A-1 WAS DISCHARGED AS PER ORDER IN ON 10/1/2002. CASE AGAINST A-9 & 10 DISMISSED ON 5/11/99
|
| 119 |
|
|
KAMAL PUNJAWANI
|
|
|
|
PUNJWANI PACKING LTD.
|
|
DID NOT REPAY EXCESS SHARE APPLICATION MONEY WITHIN STIPULATED PERIOD
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 120 |
|
|
KANNURI NAUDI RAJESH
|
|
|
|
MIDFIELD INDUSTRIES LTD.
CIN:U27109AP1990PLC011353
PAN:AAACM9490M
|
|
VIOLATED SECTION 207 OF COMPANIES ACT, 1956
VIOLATED SECTION 127 OF COMPANIES ACT, 2013
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 24 (2) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-DEC-2016
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 6 of 18
|
