| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
ALANKAR TANDON
(PAN:AAXPT4556H)
(Along with : AKSHAT TANDON,
NEERA TANDON,
GAURAV TANDON)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATION 3(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHREE BHAWANI PAPER MILLS LTD.
|
IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JUL-2014
|
SAT: APPEAL DISMISSED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 07/02/2022 DISPOSED OF THE APPEAL BY DIRECTING APPELLANTS A) MAKE A FRESH APPLICATION BEFORE SEBI FOR SEGREGATION OF PENALTY AMOUNT AND UPON RECEIPT OF THE APPLICATION SEBI WILL CONSIDER AND DECIDE THE MATTER WITHIN SIX WEEKS THEREAFTER B) IN THE MEANWHILE, APPELLANTS TO DEPOSIT RS.15 LAC WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND BALANCE AMOUNT ALONG WITH INTEREST TO BE PAID IN FIVE EMI OF RS.15 LAC EACH ON OR BEFORE 25TH DAY OF THE MONTH AND D) BANK ACCOUNTS, DEMAT ACCOUNTS INCLUDING TRADING ACCOUNTS, LOCKERS ETC. TO BE DEFREEZED AFTER THE PAYMENT OF THE SECOND INSTALLMENT
SAT: SAT VIDE ITS ORDER DATED 23/06/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 22/09/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 30/11/2022 DISMISSED THE APPEAL AS WITHDRAWN. NO COSTS
SEBI VIDE ITS ORDER DATED 13/12/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4334 OF 2021 DATED 03/12/2021
|
| 102 |
|
|
ALANKAR TANDON
(PAN:AAXPT4556H)
(Along with : NEERA TANDON,
AKSHAT TANDON,
GAURAV TANDON)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATION 3(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHREE BHAWANI PAPER MILLS LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JUL-2014
|
SAT: APPEAL DISMISSED. NO COSTS
SEBI VIDE ITS NOTICE DATED 07/01/2022 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS 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 07/02/2022 DISPOSED OF THE APPEAL BY DIRECTING APPELLANTS A) MAKE A FRESH APPLICATION BEFORE SEBI FOR SEGREGATION OF PENALTY AMOUNT AND UPON RECEIPT OF THE APPLICATION SEBI WILL CONSIDER AND DECIDE THE MATTER WITHIN SIX WEEKS THEREAFTER B) IN THE MEANWHILE, APPELLANTS TO DEPOSIT RS.15 LAC WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND BALANCE AMOUNT ALONG WITH INTEREST TO BE PAID IN FIVE EMI OF RS.15 LAC EACH ON OR BEFORE 25TH DAY OF THE MONTH AND D) BANK ACCOUNTS, DEMAT ACCOUNTS INCLUDING TRADING ACCOUNTS, LOCKERS ETC. TO BE DEFREEZED AFTER THE PAYMENT OF THE SECOND INSTALLMENT
SAT: SAT VIDE ITS ORDER DATED 23/06/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 22/09/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 30/11/2022 DISMISSED THE APPEAL AS WITHDRAWN. NO COSTS
SEBI VIDE ITS ORDER DATED 13/12/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4328 OF 2021 DATED 01/12/2021
|
| 103 |
|
|
ALANKAR TANDON
(PAN:AAXPT4556H)
(Along with : MEENU TANDON,
CHAVI TANDON,
GAURAV TANDON,
ELA TANDON,
GIRISH TANDON,
NEERA TANDON,
AKSHAT TANDON)
|
|
|
|
ALANKAR UDYOG PVT.LTD.
PAN:AABCA9131F
|
|
|
SAHITYA BHAWAN PVT.LTD.
PAN:AAGCS3751F
|
|
|
TANDON INVESTMENTS PVT.LTD.
PAN:AAACT8408N
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATION 3(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHREE BHAWANI PAPER MILLS LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JUL-2014
|
SAT: APPEAL DISMISSED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 07/02/2022 DISPOSED OF THE APPEAL BY DIRECTING APPELLANTS A) MAKE A FRESH APPLICATION BEFORE SEBI FOR SEGREGATION OF PENALTY AMOUNT AND UPON RECEIPT OF THE APPLICATION SEBI WILL CONSIDER AND DECIDE THE MATTER WITHIN SIX WEEKS THEREAFTER B) IN THE MEANWHILE, APPELLANTS TO DEPOSIT RS.15 LAC WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND BALANCE AMOUNT ALONG WITH INTEREST TO BE PAID IN FIVE EMI OF RS.15 LAC EACH ON OR BEFORE 25TH DAY OF THE MONTH AND D) BANK ACCOUNTS, DEMAT ACCOUNTS INCLUDING TRADING ACCOUNTS, LOCKERS ETC. TO BE DEFREEZED AFTER THE PAYMENT OF THE SECOND INSTALLMENT
SEBI VIDE ITS NOTICE DATED 17/05/2022 DIRECTED TO PAY RS.11,71,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 23/06/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 22/09/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 30/11/2022 DISMISSED THE APPEAL AS WITHDRAWN. NO COSTS
SEBI VIDE ITS ORDER DATED 13/12/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4770 OF 2022 DATED 17/05/2022
|
| 104 |
|
|
ALI M.LAILA
|
|
|
|
OXFORD INDUSTRIES LTD.
CIN:L17112MH1980PLC023572
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-AUG-2002
|
SAT: ORDER UPHELD AND PENALTY AMOUNT REDUCED TO RS.50,000.NO ORDER AS TO COSTS
|
| 105 |
|
|
ALISHA P.CHINAI
(PAN:AADPC2236R)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER ACQUISITION OF SHARES OF EXEDY INDIA LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER ACQUISITION OF SHARES OF EXEDY INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
05-DEC-2012
|
|
| 106 |
|
|
ALKA AGARWAL
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN MATTER OF ACQUISITION IN CONCERT 12.32% SHARES TO REACH 33.92% IN KHATOO SYNTHETICS LTD
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-JUN-2006
|
SAT: ORDER DATED 29/06/2006 MODIFIED BY REDUCING PENALTY AMOUNT TO RS.3,00,000 FROM RS.5,00,000
|
| 107 |
|
|
ALKA M.PANDEY
(PAN:AGEPP1076H)
|
|
|
|
ALKA SECURITIES LTD.
PAN:AAACA4835E
(Member : NSE)
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUL-2009 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE AD-INTERIM ORDER DATED 28/07/2009 CONFIRMED AND DIRECTED BSE AND NSE TO 1) APPOINT AN INDEPENDENT AUDITOR ON OR BEFORE 22/10/2009 TO VERIFY OWNERSHIP OF SHARES LYING IN BENEFICIAL OWNER ACCOUNTS OF THEIR RESPECTIVE TRADING MEMBERS 2) ASK AUDIOTRS TO SUBMIT REPORT WITHIN A PERIOD OF SIX WEEKS FROM DATE OF APPOINTMENT
SAT: APPEAL DISPOSED OFF WITH DIRECTION TO SEBI TO CONCLUDE INVESTIGATIONS EXPEDITIOUSLY BUT NOT LATER THAN 31/03/2010
SAT: DIRECTED SEBI THAT IN CASE IT PROPOSES TO PROCEED AGAINST APPLICANTS UNDER SECTION 11B,IT SHOULD ISSUE SHOW CAUSE NOTICE NOT LATER THAN 31/08/2010 AND APPLICANT SHALL RESPOND WITHIN TWO WEEKS FROM DATE OF ITS RECEIPT, WHEREAFTER SEBI SHALL PROCEED IN MATTER AND CONCLUDE PROCEEDINGS BEFORE END OF THIS YEAR
SAT: DIRECTED SEBI VIDE ORDER DATED 16/11/2010, TO RELEASE SHARES TO PERSONS AS RECOMMENDED BY THREE MEMBERS COMMITTEE ON THE CONDITIONS MENTIONED IN THEIR REPORT AND AFTER TAKING INTO ACCOUNT THE REPRESENTATION
SEBI VIDE ITS ORDER DATED 30/12/2010 PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, FOR A PERIOD OF ONE YEAR FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 10/03/2017, IN ALL THE APPEALS (EXCEPT IN APPEAL NO.41 OF 2014) INTEREST DEMANDED BY RO FROM THE DATE OF THIS ORDERS ARE QUASHED AND SET ASIDED AND ALL THESE MATTERS ARE RESTORED TO THE FILE OF RO FOR FRESH COMPUTATION OF INTEREST IN TERMS OF THIS DECISION
|
| 108 |
|
|
ALKA M.PANDEY
(PAN:AGEPP1076H)
|
|
|
MISLED SHAREHOLDERS AND INVESTORS BY MAKING INFLATED AND INCORRECT DISCLOSURE OF SHAREHOLDING PATTERN TO BSE IN MATTER OF ALKA SECURITIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3) AND 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITIES LTD.
|
IMPOSED PENALTY RS.25,00,000
28-JUN-2011
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS.
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: SAT VIDE ITS ORDER DATED 11/06/2014 DIRECTED SEBI TO MAKE THE ATTACHMENT ON BANK ACCOUNTS ONLY FOR RS.4.69 LACS. NO COSTS
SEBI VIDE ITS NOTICE DATED 21/05/2014 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS 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 04/06/2014 DIRECTED TO PAY DUES OF RS.8,86,027
SAT: SAT VIDE ITS ORDER DATED 10/03/2017, IN ALL THE APPEALS (EXCEPT IN APPEAL NO.41 OF 2014) INTEREST DEMANDED BY RO FROM THE DATE OF THIS ORDERS ARE QUASHED AND SET ASIDED AND ALL THESE MATTERS ARE RESTORED TO THE FILE OF RO FOR FRESH COMPUTATION OF INTEREST IN TERMS OF THIS DECISION
|
| 109 |
|
|
ALKA SINGH
(PAN:APRPS5726D)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF CAMSON BIO TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-JUN-2021 TO 21-JUN-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-JUN-2021 TO 21-JUN-2026
DIRECTED NOT TO LIQUIDATE EXISTING HOLDING OF SECURITIES INCLUDING UNITS OF MUTUAL FUNDS
22-JUN-2021
|
|
| 110 |
|
|
ALKA SURANA
(PAN:AMZPS1949R)
|
|
|
|
SURANA INDUSTRIES LTD.
PAN:AAACS3123M
|
|
ALLEGED NON-COMPLIANCE OF REGULATION 11(1) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 50,00,000 (47.62%) SHARES/VOTING RIGHTS OF SURANA INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
10-SEP-2008
|
|
| 111 |
|
|
ALKA SURANA
(PAN:AMZPS1949R)
|
|
|
|
SURANA INDUSTRIES LTD.
PAN:AAACS3123M
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN STIPULATED TIME AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 70,00,000 EQUITY SHARES OF SURANA INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
31-MAY-2011
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
|
| 112 |
|
|
ALKA SURANA
(PAN:AMZPS1949R)
|
|
|
|
SURANA INDUSTRIES LTD.
PAN:AAACS3123M
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN STIPULATED TIME AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 70,00,000 EQUITY SHARES OF SURANA INDUSTRIES LTD.
|
DIRECTED TO INITIATE ADJUDICATION PROCEEDINGS
22-JUL-2010
|
|
| 113 |
|
|
ALOK AGARWAL
(Along with : M.P.AGGARWAL,
PAWAN KUMAR AGARWAL,
VIKAS AGARWAL,
SHARDA AGARWAL,
SURAJ MAL AGARWAL,
BARSHA,
MOHAN LAL VAISH,
JAYANT GUPTA,
DEVESH NARAIN GUPTA,
MANJUSHA GUPTA,
SUJALA GUPTA,
KAMINI AGARWAL,
MADHU AGARWAL,
RAJKUMAR AGARWAL,
R.L.AGARWAL)
|
|
|
|
DEVESH GUPTA (HUF)
|
|
|
SHRI LAKSHMI COTSYN LTD.
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN MATTER OF ACQUISITION OF 6.83% SHARES THROUGH PREFERENTIAL ALLOTMENT TO REACH 31.52% IN SHRI LAKSHMI COTSYN LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
11-OCT-2006
|
|
| 114 |
|
|
ALOK JAIN
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 6(3) FOR YEAR 1997 AND 8(2) FOR YEARS 1998-2002 AND 2004-2005 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF EQUITY SHARES OF MATRA REALTY LTD.(FORMERLY KNOWN AS YASHRAJ SECURITIES LTD.)
|
IMPOSED PENALTY RS.1,00,000
06-MAR-2009
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 115 |
|
|
ALOK SANGHI
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 3(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 22.35% SHARES OF SANGHI INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
12-NOV-2008
|
|
| 116 |
|
|
ALOK VIRAT SHAH
(PAN:APAPS8116G)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHREE SURGOVIND TRADELINK LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SHREE SURGOVIND TRADELINK LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-DEC-2013
|
SAT: APPEAL DISMISSED. NO COSTS
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 117 |
|
|
ALOO BURJOR REPORTER
|
|
|
|
JOST'S ENGINEERING CO.LTD.
|
|
|
PHIROZE SETHNA PVT.LTD.
|
|
DID NOT MAKE PUBLIC OFFER AND PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) AND 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF KERRY JOST ENGINEERING LTD.
|
IMPOSED PENALTY RS.84,54,595 ALONG WITH OTHER ENTITIES/PERSONS
17-MAR-2006
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDERS DATED 20/07/2005 & 17/03/2006 SET ASIDE WITH NO ORDER AS TO COSTS
|
| 118 |
|
|
ALOO BURJOR REPORTER
|
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS IN MATTER OF KERRY JOST ENGINEERING LTD.
|
IMPOSED PENALTY RS.50,000
18-NOV-2004
|
|
| 119 |
|
|
ALOO BURJOR REPORTER
(Along with : BURJOR HORMUSJI REPORTER)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN MATTER OF ACQUISITION OF 8% SHARES/VOTING RIGHTS OF KERRY JOST ENGINEERING LTD.
|
IMPOSED PENALTY RS.84,54,595 ALONG WITH OTHER ENTITIES/PERSONS
20-JUL-2005
|
|
| 120 |
|
|
AMAN MORE
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATIONS 3(3) AND 3(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GROWEL INVESTMENTS LTD.
|
IMPOSED PENALTY RS.1,00,000
31-MAY-2007
|
SAT: ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.10,000 FROM RS.1,00,000
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 6 of 148
|
