| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
AGNIKAMAL FINANCE & INVESTMENT PVT.LTD.
|
|
|
|
NALINESH R.DALAL
|
|
AIDED, ASSISTED AND ABETTED KRISHNA FILAMENTS LTD.AND ITS DIRECTORS IN PRICE MANIPULATION IN SCRIP OF KRISHNA FILAMENTS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-AUG-2002 TO 13-AUG-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-AUG-2002 TO 13-AUG-2005
14-AUG-2002
|
|
| 122 |
|
|
AGNIKAMAL FINANCE & INVESTMENT PVT.LTD.
|
|
|
|
ANANTNARAYAN GOPAL IYER
|
|
AIDED, ASSISTED AND ABETTED KRISHNA FILAMENTS LTD.AND ITS DIRECTORS IN PRICE MANIPULATION IN SCRIP OF KRISHNA FILAMENTS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-AUG-2002 TO 13-AUG-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-AUG-2002 TO 13-AUG-2005
14-AUG-2002
|
|
| 123 |
|
|
AGRAGAMI AGRO–FARMS LTD.
(CIN:U01111WB2007PLC119711)
|
|
|
|
BASUDEB SARDAR
DIN:01784694
PAN:BKEPS2204R
|
|
|
BHABESH HALDER
|
|
|
HASEM MOLLA
|
|
|
MUKUL SARDAR
|
|
|
RAMESH JORDDAR
|
|
|
SIDDHARTHA SANKAR ROY
DIN:01784673
PAN:AKKPR3095A
|
|
|
SUNATI GHOSH
|
|
|
SUSANTA SARDAR
|
|
MOBILIZED RS.95.00 LACS FROM PUBLIC THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 80 INVESTORS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956 READ WITH DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES AND ICDR REGULATIONS, 2009
MOBILIZED RS.56.98 LACS FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 143 INVESTORS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956 READ WITH DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES AND ICDR REGULATIONS, 2009
MOBILIZED RS.192.83 LACS FROM PUBLIC THROUGH ISSUANCE OF SECURED REDEEMABLE DEBENTURES BY WAY OF PRIVATE PLACEMENT TO 801 INVESTORS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956 READ WITH DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES AND ICDR REGULATIONS, 2009
MOBILIZED RS.95.00 LACS THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 80 INVESTORS VIOLATING REGULATIONS 4(2) (A) TO (D), 4(4), 5(2)(B), 6-9, 12, 14, 15, 16(1), 17, 19 AND 26 OF (ISSUE & LISTING OF DEBT SECURITIES) REGULATIONS, 2008
MOBILIZED RS.56.98 LACS THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 143 INVESTORS VIOLATING REGULATIONS 4(2) (A) TO (D), 4(4), 5(2)(B), 6-9, 12, 14, 15, 16(1), 17, 19 AND 26 OF (ISSUE & LISTING OF DEBT SECURITIES) REGULATIONS, 2008
MOBILIZED RS.192.83 LACS THROUGH ISSUANCE OF SECURED REDEEMABLE DEBENTURES BY WAY OF PRIVATE PLACEMENT TO 801 INVESTORS VIOLATING REGULATIONS 4(2) (A) TO (D), 4(4), 5(2)(B), 6-9, 12, 14, 15, 16(1), 17, 19 AND 26 OF (ISSUE & LISTING OF DEBT SECURITIES) REGULATIONS, 2008
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-JUL-2018 TO 26-JUL-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-JUL-2018 TO 26-JUL-2022
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 27-JUL-2018 TO 26-JUL-2022
DIRECTED NOT TO DISPOSE OF, ALIENATE OR ENCUMBER ANY ASSETS / PROPERTIES
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC EITHER THROUGH OFFER AND ALLOTMENTS OF PREFERENCE SHARES AND/OR ALLOTMENT OF DEBENTURES
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
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-JUL-2018 TO 26-JUL-2022
18-SEP-2017
|
SEBI VIDE ITS ORDER DATED 27/07/2018 DIRECTED TO A) JOINTLY AND SEVERALLY, REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF EQUITY SHARES, RPS AND SRD WITH INTEREST @ 15% P.A. FROM EIGHTH DAY OF COLLECTION OF FUNDS, TILL DATE OF ACTUAL PAYMENT B) PROVIDE FULL INVENTORY OF ASSETS & PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS AND HOLDINGS OF MUTUAL FUNDS/SHARES/SECURITIES, IF HELD IN PHYSICAL AND DEMAT FORM, OF THE COMPANY AND THEIR OWN C) PERMITTED TO SELL ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUNDS AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH NATIONALISED BANK D) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING MODALITIES FOR REFUND E) FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI CERTIFIED BY TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION F) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
SEBI VIDE ITS NOTICE DATED 18/06/2020 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 13/04/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.3,45,46,200.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 124 |
|
|
AGRICH TRADERS
(PAN:CTLPP8213L)
|
|
|
|
PRAKASH SHYAMLAL RATHOD
PAN:CTLPP8213L
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 23-JAN-2023 TO 22-JUL-2023
CEASED AND DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR RESEARCH ANALYST AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 23-JAN-2023 TO 22-JUL-2023
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 23-JAN-2023 TO 22-JUL-2023
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 23-JAN-2023 TO 22-JUL-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 23-JAN-2023 TO 22-JUL-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-JAN-2023 TO 22-JUL-2023
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO SUBMIT NUMBER AND DETAILS OF CLIENTS WHO HAVE AVAILED THEIR INVESTMENT ADVISORY SERVICES
DIRECTED TO SUBMIT LIST OF CLIENTS AND FEE COLLECTED FROM THEM
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 23-JAN-2023 TO 22-JUL-2023
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 23-JAN-2023 TO 22-JUL-2023
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO DEACTIVATE ACCOUNT WITH PAYMENT GATEWAY PAYUMONEY/PHONEPE/PAYTM ETC.
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 23-JAN-2023 TO 22-JUL-2023
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 23-JAN-2023 TO 22-JUL-2023
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI FROM 23-JAN-2023 TO 22-JUL-2023
15-DEC-2020
|
SEBI VIDE ITS ORDER DATED 23/01/2023 DIRECTED TO A) REFUND THE MONEY RECEIVED FROM CLIENTS/INVESTORS/COMPLAINANT AS FEES OR CONSIDERATION OR IN ANY OTHER FORM IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES B) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING MODALITIES FOR REFUND INCLUDING DETAILS OF CONTACT PERSON NAMES, ADDRESSES AND CONTACT DETAILS C) REPAY TO CLIENTS/INVESTORS ONLY THROUGH BANK DEMAND DRAFT OR PAY ORDER OR ELECTRONICS FUND TRANSFER D) FILE REPORT OF SUCH COMPLETION WITH SEBI DULY CERTIFIED FROM INDEPENDENT CHARTERED ACCOUNTANT E) REMAINING BALANCE AMOUNT DEPOSITED WITH SEBI TO BE KEPT IN AN ESCROW ACCOUNT FOR ONE YEAR FOR DISTRIBUTION TO CLIENTS/INVESTORS F) RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED. FURTHER, DIRECTED BANK TO ALLOW DEBIT ONLY FOR THE PURPOSE OF MAKING REFUNDS TO THE CLIENTS/INVESTORS, WHO WERE AVAILING THE INVESTMENT ADVISORY SERVICES G) RESOLVE ALL THE COMPLAINTS PENDING AGAINST THEM AND FILE REPORT OF SUCH RESOLUTION WITH SEBI WITHIN 30 DAYS FROM DATE OF THIS ORDER H) DEBARRED FROM ACCESSING SECURITIES MARKET DIRECTLY AND INDIRECTLY AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR SIX MONTHS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS/CLIENTS I) RESTRAINED FROM ASSOCIATING WITH ANY COMPANY WHOSE SECURITIES ARE LISTED ON A RECOGNIZED STOCK EXCHANGE AND ANY COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI IN ANY CAPACITY FOR SIX MONTHS FROM DATE OF THIS ORDER OR TILL EXPIRY OF SIX MONTHS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS J) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN THE SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI K) NOT TO DIVERT ANY FUNDS COLLECTED FROM INVESTORS, KEPT IN BANK ACCOUNT(S) AND/OR IN THEIR CUSTODY EXCEPT FOR THE PURPOSE OF REFUND L) NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, WHETHER MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE ON ANY OF SUCH ASSETS HELD THEIR NAME, INCLUDING MONEY LYING IN BANK ACCOUNTS EXCEPT FOR PURPOSE OF REFUND
SEBI VIDE ITS NOTICE DATED 19/01/2024 DIRECTED TO PAY RS.1,42,71,101.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 125 |
|
|
AGS FINANCIAL SERVICES LTD.
|
|
|
AIDED AND ABETTED PROMOTERS/DIRECTORS OF HOME TRADE LTD. IN MANIPULATE TRANSACTIONS IN MATTER OF OFFER OF SALE OF HOME TRADE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-DEC-2015 TO 30-DEC-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2015 TO 30-DEC-2025
31-DEC-2015
|
|
| 126 |
|
|
AHMEDNAGAR INVESTMENTS PVT.LTD.
(PAN:AADCA9872E)
|
|
|
ACTED IN CONCERT WITH PROMOTERS OF THE BANK OF RAJASTHAN LTD.FOR THE PURPOSE OF ACQUISITION OF SHARES/VOTING RIGHTS INDIRECTLY FOR PROMOTERS FOR THE PURPOSE OF CONCEALMENT OF THEIR ACQUISITION OF SHARES VIOLATING SEBI TAKEOVER CODE, 1997
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-MAR-2010 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-MAR-2010 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
08-MAR-2010
|
SEBI VIDE ITS ORDER DATED 26/03/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS ORDER DATED 08/03/2010
SEBI VIDE ITS ORDER DATED 24/10/2019 DISPOSED OFF THE PROCEEDINGS AGAINST WITHOUT ANY DIRECTIONS
|
| 127 |
|
|
AHMEDNAGAR INVESTMENTS PVT.LTD.
(PAN:AADCA9872E)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF JAYBHARAT TEXTILE & REAL ESTATE LTD. AND KSL & INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-JAN-2019 TO 09-JAN-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-JAN-2019 TO 09-JAN-2021
10-JAN-2019
|
|
| 128 |
|
|
AHUJA METALLOYS PVT.LTD.
(PAN:AAICA0771D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF ECO FRIENDLY FOOD PROCESSING PARK LTD., ESTEEM BIO ORGANIC FOOD PROCESSING LTD., CHANNEL NINE ENTERTAINMENT LTD. AND HPC BIOSCIENCES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-JUN-2015 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JUN-2015 TILL FURTHER ORDERS
29-JUN-2015
|
SEBI VIDE ITS ORDER DATED 17/02/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 29/06/2015
SEBI VIDE ITS ORDER DATED 06/09/2017 REVOKED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 29/06/2015 READ WITH CORRIGENDUM ORDER DATED 04/01/2016
SAT: SAT VIDE ITS ORDER DATED 15/06/2023 REJOINDER TO BE FILE WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 129 |
|
|
AIM MULTITRADE CO.PVT.LTD.
(PAN:AAGCA6820M)
|
|
|
ACTED IN CONCERT WITH PROMOTERS OF THE BANK OF RAJASTHAN LTD.FOR THE PURPOSE OF ACQUISITION OF SHARES/VOTING RIGHTS INDIRECTLY FOR PROMOTERS FOR THE PURPOSE OF CONCEALMENT OF THEIR ACQUISITION OF SHARES VIOLATING SEBI TAKEOVER CODE, 1997
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-MAR-2010 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-MAR-2010 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
08-MAR-2010
|
SEBI VIDE ITS ORDER DATED 26/03/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS ORDER DATED 08/03/2010
|
| 130 |
|
|
AJAY KUMAR (HUF)
(PAN:AAFHA5045Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF ECO FRIENDLY FOOD PROCESSING PARK LTD., ESTEEM BIO ORGANIC FOOD PROCESSING LTD., CHANNEL NINE ENTERTAINMENT LTD. AND HPC BIOSCIENCES 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 THE MATTER OF ECO FRIENDLY FOOD PROCESSING PARK LTD., ESTEEM BIO ORGANIC FOOD PROCESSING LTD., CHANNEL NINE ENTERTAINMENT LTD. AND HPC BIOSCIENCES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-JUN-2015 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JUN-2015 TILL FURTHER ORDERS
29-JUN-2015
|
SEBI VIDE ITS ORDER DATED 17/02/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 29/06/2015
SEBI VIDE ITS ORDER DATED 06/09/2017 REVOKED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 29/06/2015 READ WITH CORRIGENDUM ORDER DATED 04/01/2016
|
| 131 |
|
|
AKAR LAMINATORS LTD.
(PAN:AABCA2778H)
|
|
|
|
HASMUKHBHAI TARACHAND SHETH
|
|
|
HITESH RAVINDRA SHAH
|
|
|
VINODBHAI TARACHAND SHETH
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
08-DEC-2010
|
|
| 132 |
|
|
AKIRA INVESTMENTS PVT.LTD.
(CIN:U67120MH1981PTC023806)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ROOFIT INDUSTRIES LTD.
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
DID NOT PROVIDE INFORMATION TO SEBI
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-JAN-2007 TO 08-JUL-2007
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-JAN-2007 TO 08-JUL-2007
09-JAN-2007
|
|
| 133 |
|
|
AKRITI ADVISORY SERVICES PVT.LTD.
(PAN:AAICA9057G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SURABHI CHEMICALS & INVESTMENTS LTD. (NOW KNOWN AS SUPERSPACE INFRASTRUCTURE LTD.)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-JAN-2021 TO 26-JUL-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-JAN-2021 TO 26-JUL-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
27-JAN-2021
|
|
| 134 |
|
|
AKRITI ADVISORY SERVICES PVT.LTD.
(PAN:AAICA9057G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KAILASH AUTO FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-DEC-2018 TO 04-DEC-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-DEC-2018 TO 04-DEC-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
05-DEC-2018
|
|
| 135 |
|
|
AKSHAR MERCANTILE PVT.LTD.
(PAN:AAGCA5378L
CIN:U52590MH2007PTC174175)
|
|
|
ACTED IN CONCERT WITH PROMOTERS OF THE BANK OF RAJASTHAN LTD.FOR THE PURPOSE OF ACQUISITION OF SHARES/VOTING RIGHTS INDIRECTLY FOR PROMOTERS FOR THE PURPOSE OF CONCEALMENT OF THEIR ACQUISITION OF SHARES VIOLATING SEBI TAKEOVER CODE, 1997
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-MAR-2010 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-MAR-2010 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
08-MAR-2010
|
SEBI VIDE ITS ORDER DATED 26/03/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS ORDER DATED 08/03/2010
|
| 136 |
|
|
ALAKNANDA CAPITAL SERVICES PVT.LTD.
(PAN:AAACA7499Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH STRUCTURED AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF JAGSONPAL PHARMACEUTICALS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-MAY-2012 TO 08-MAY-2014
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-MAY-2012 TO 08-MAY-2014
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
09-MAY-2012
|
SAT: APPEAL ALLOWED WITH NO ORDER AS TO COSTS
|
| 137 |
|
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ALANKAR FINANCE & INVESTMENT LTD.
|
|
|
AIDED, ASSISTED AND ABETTED KRISHNA FILAMENTS LTD.AND ITS DIRECTORS IN PRICE MANIPULATION IN SCRIP OF KRISHNA FILAMENTS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-AUG-2002 TO 13-AUG-2005
14-AUG-2002
|
|
| 138 |
|
|
ALANKAR FINANCE & INVESTMENT LTD.
|
|
|
|
PRERNA N.DALAL
|
|
AIDED, ASSISTED AND ABETTED KRISHNA FILAMENTS LTD.AND ITS DIRECTORS IN PRICE MANIPULATION IN SCRIP OF KRISHNA FILAMENTS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-AUG-2002 TO 13-AUG-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-AUG-2002 TO 13-AUG-2005
14-AUG-2002
|
|
| 139 |
|
|
ALANKAR FINANCE & INVESTMENT LTD.
|
|
|
|
MAHENDRA B.JOSHI
|
|
AIDED, ASSISTED AND ABETTED KRISHNA FILAMENTS LTD.AND ITS DIRECTORS IN PRICE MANIPULATION IN SCRIP OF KRISHNA FILAMENTS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-AUG-2002 TO 13-AUG-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-AUG-2002 TO 13-AUG-2005
14-AUG-2002
|
|
| 140 |
|
|
ALANKAR FINANCE & INVESTMENT LTD.
|
|
|
|
NALINESH R.DALAL
|
|
AIDED, ASSISTED AND ABETTED KRISHNA FILAMENTS LTD.AND ITS DIRECTORS IN PRICE MANIPULATION IN SCRIP OF KRISHNA FILAMENTS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-AUG-2002 TO 13-AUG-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-AUG-2002 TO 13-AUG-2005
14-AUG-2002
|
|
| 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 7 of 174
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