| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
ADVANCE BIO-COAL (INDIA) LTD.
|
|
|
|
KRISHNA CHANDRA TAWANI
|
|
|
VISHNU S.KABRA
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 122 |
|
|
ADVANCE EXPORTS LTD.
(Along with : ADANI ENTERPRISES LTD.)
|
|
|
VIOLATED SEBI CODE OF CONDUCT
AIDED AND ABETTED KP ENTITIES IN MANIPULATING SCRIP OF ADANI ENTERPRISES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2007 TO 24-MAY-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2007 TO 24-MAY-2009
25-MAY-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000, LEGAL EXPENSES RS.50,000 VIDE CONSENT ORDER)
24-APR-2008~
|
SAT: APPEAL DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.7,50,000 AS PER CONSENT ORDER
|
| 123 |
|
|
ADVANCE FINSTOCK PVT.LTD.
|
|
|
|
ANAND B.HUNDIA
|
|
|
KARUL P.SHAH
|
|
|
POPATLAL K.SHAH
|
|
|
RAJESH B.HUNDIA
|
|
|
SANJAY HUNDIA
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
AD-INTERIM EX-PARTE ORDER DATED 23/04/2009 CONFIRMED VIDE ORDER DATED 05/07/2010
SAT: APPEAL DISPOSED OFF IN TERMS OF THE ORDER PASSED BY TRIBUNAL IN APPEAL NO.98 OF 2010 (MR.NIMESH CHITALIA VS. SEBI) DECIDED ON 08/09/2010 WITH NO ORDER AS TO COSTS
|
| 124 |
|
|
ADVANCE HOVERCRAFT & COMPOSITES (INDIA) LTD.
|
|
|
INDULGED IN PRICE MANIPULATION AND CREATION OF ARTIFICIAL MARKET IN SCRIP OF SHONKH TECHNOLOGIES INTERNATIONAL LTD.
|
ORDER TO BE PASSED AFTER PERSONAL HEARING
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-MAR-2007
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-MAR-2007
09-MAR-2007
|
FINAL ORDER PASSED ON 16/10/2007 RESTRAINED FORM ACCESSING SECURITIES MARKET FOR A PERIOD OF FIVE YEARS AND PROHIBITED FROM BUYING, SELLING OR DEALING IN SECURITIES EITHER DIRECTLY OR INDIRECTLY
|
| 125 |
|
|
ADVANCE LIFESTYLES LTD.
(PAN:AABCT6856F
CIN:268437)
(Along with : PHULCHAND EXPORTS PVT.LTD.)
|
|
|
|
MITTARSAIN MUKATBIHARI BHARDWAJ
|
|
|
PHULCHAND RAMGOPAL AGARWAL
|
|
|
PRADEEP AGARWAL
|
|
|
SUNDARARAJA SRINIVASAN
|
|
|
SUNDEEP AGARWAL
|
|
DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
DIRECTED TO FREEZ OF VOTING RIGHTS AND CORPORATE BENEFITS LIKE DIVIDEND, RIGHTS, BONUS SHARES, SPLIT, ETC. WITH RESPECT TO EXCESS OF PROPORTIONATE PROMOTER / PROMOTERS GROUP SHAREHOLDING FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED SHAREHOLDERS FORMING PART OF PROMOTER / PROMOTER GROUP FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED DIRECTORS FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
04-JUN-2013
|
COMPANY COMPLIED WITH THE GUIDELINES ON 30/05/2013 THROUGH OFFER FOR SALE (STOCK EXCHANGE MECHANISM)
SEBI VIDE ITS ORDER DATED 08/08/2013 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 04/06/2013
|
| 126 |
|
|
ADVANCE LIFESTYLES LTD.
(PAN:AABCT6856F
CIN:268437)
(Along with : PHULCHAND EXPORTS PVT.LTD.)
|
|
|
|
MITTARSAIN MUKATBIHARI BHARDWAJ
|
|
|
PHULCHAND RAMGOPAL AGARWAL
|
|
|
PRADEEP AGARWAL
|
|
|
SUNDARARAJA SRINIVASAN
|
|
|
SUNDEEP AGARWAL
|
|
DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
DIRECTED TO FREEZ OF VOTING RIGHTS AND CORPORATE BENEFITS LIKE DIVIDEND, RIGHTS, BONUS SHARES, SPLIT, ETC. WITH RESPECT TO EXCESS OF PROPORTIONATE PROMOTER / PROMOTERS GROUP SHAREHOLDING FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED SHAREHOLDERS FORMING PART OF PROMOTER / PROMOTER GROUP FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED DIRECTORS FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
04-JUN-2013
|
COMPANY COMPLIED WITH THE GUIDELINES ON 30/05/2013 THROUGH OFFER FOR SALE (STOCK EXCHANGE MECHANISM)
SEBI VIDE ITS ORDER DATED 08/08/2013 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 04/06/2013
|
| 127 |
|
|
ADVANTAGE TRADECOM INDIA PVT.LTD.
(CIN:U52590MP2009PTC021752
PAN:AAHCA6607P)
|
|
|
|
SACHIN JAIN
DIN:02542114
PAN:AIDPJ5469P
|
|
|
SUNIL KUMAR PAHADIYA
DIN:02576686
PAN:AQWPP9097L
|
|
AIDED AND ABETTED OPTION ONE INDUSTRIES LTD. IN ISSUANCE OF NON-CONVERTIBLE REDEEMABLE DEBENTURES (NCDS) OF RS.1,000.00 CRORES TO 35,286 INVESTORS
|
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 28-MAR-2018 TO 27-MAR-2022
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 28-MAR-2018 TO 27-MAR-2022
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-MAR-2018 TO 27-MAR-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-MAR-2018 TO 27-MAR-2022
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 FROM 28-MAR-2018 TO 27-MAR-2022
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 28-MAR-2018 TO 27-MAR-2022
16-DEC-2014
|
SEBI VIDE ITS ORDER DATED 28/03/2018 DIRECTED NOT TO DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER ANY MANNER FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO
|
| 128 |
|
|
ADVENTZ FINANCE PVT.LTD.
(Along with : GILLETTE INDIA LTD.)
|
|
|
DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-JUL-2013 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
DIRECTED TO FREEZ OF VOTING RIGHTS AND CORPORATE BENEFITS LIKE DIVIDEND, RIGHTS, BONUS SHARES, SPLIT, ETC. WITH RESPECT TO EXCESS OF PROPORTIONATE PROMOTER / PROMOTERS GROUP SHAREHOLDING FROM 05-JUL-2013 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED SHAREHOLDERS FORMING PART OF PROMOTER / PROMOTER GROUP FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 05-JUL-2013 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED DIRECTORS FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 05-JUL-2013 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
05-JUL-2013
|
SEBI VIDE ITS ORDER DATED 10/02/2014 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 05/07/2013
SAT: SAT VIDE ITS ORDER DATED 15/07/2016 DISPOSED OFF THE APPEAL SUBJECT TO PAYMENT OF COSTS QUANTIFIED AT RS.1 LAC TO BE PAID BY SEBI TO APPELLANT WITHIN ONE WEEK FROM THE DATE OF THIS ORDER
|
| 129 |
|
|
ADVENTZ INVESTMENTS & HOLDINGS LTD.
(Along with : GILLETTE INDIA LTD.)
|
|
|
DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-JUL-2013 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
DIRECTED TO FREEZ OF VOTING RIGHTS AND CORPORATE BENEFITS LIKE DIVIDEND, RIGHTS, BONUS SHARES, SPLIT, ETC. WITH RESPECT TO EXCESS OF PROPORTIONATE PROMOTER / PROMOTERS GROUP SHAREHOLDING FROM 05-JUL-2013 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED SHAREHOLDERS FORMING PART OF PROMOTER / PROMOTER GROUP FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 05-JUL-2013 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED DIRECTORS FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 05-JUL-2013 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
05-JUL-2013
|
SEBI VIDE ITS ORDER DATED 10/02/2014 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 05/07/2013
|
| 130 |
|
|
ADVENTZ SECURITIES ENTERPRISES LTD.
(Along with : GILLETTE INDIA LTD.)
|
|
|
DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-JUL-2013 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
DIRECTED TO FREEZ OF VOTING RIGHTS AND CORPORATE BENEFITS LIKE DIVIDEND, RIGHTS, BONUS SHARES, SPLIT, ETC. WITH RESPECT TO EXCESS OF PROPORTIONATE PROMOTER / PROMOTERS GROUP SHAREHOLDING FROM 05-JUL-2013 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED SHAREHOLDERS FORMING PART OF PROMOTER / PROMOTER GROUP FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 05-JUL-2013 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED DIRECTORS FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 05-JUL-2013 TILL COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
05-JUL-2013
|
SEBI VIDE ITS ORDER DATED 10/02/2014 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 05/07/2013
|
| 131 |
|
|
ADVIK FINANCE & PROPERTIES PVT.LTD.
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF ADVIK LABORATORIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1)A AND 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ADVIK LABORATORIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-OCT-2010 TO 26-OCT-2011
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-OCT-2010 TO 26-OCT-2011
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
27-OCT-2010
|
|
| 132 |
|
|
ADVIK LABORATORIES LTD.
|
|
|
|
ADITYA JAIN
|
|
|
DIVYA JAIN
PAN:AGCPM0147L
|
|
|
KUMUD JAIN
|
|
|
RAJKUMAR JAIN
|
|
|
SHIVANI JAIN
|
|
|
V.K.JAIN
|
|
|
VIVEK JAIN
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF ADVIK LABORATORIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ADVIK LABORATORIES
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ADVIK LABORATORIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-OCT-2010 TO 26-OCT-2011
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-OCT-2010 TO 26-OCT-2011
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
27-OCT-2010
|
|
| 133 |
|
|
AEC ENTERPRISES LTD.
|
|
|
|
DINESH SHARMA
|
|
|
G.P.SHARMA
|
|
|
R.D.APTE
|
|
|
SANJIV RAGHUNATH APTE
|
|
|
VIKRAM V.DESAI
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 07-APR-2011 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-APR-2011 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
07-APR-2011
|
SEBI VIDE ITS ORDER DATED 26/03/2014 REVOKED ITS DIRECTIONS ISSUED VIDE ITS ORDER DATED 07/04/2011
|
| 134 |
|
|
AEONIAN INVESTMENTS CO.LTD.
(PAN:AAACA0200D)
(Along with : AMIT C.CHOKSEY (HUF))
|
|
|
|
AMIT CHAMPAKLAL CHOKSEY
|
|
|
ANKITA AMIT CHOKSEY
|
|
|
BHANUSHANKAR RAVISHANKAR TRIVEDI
|
|
|
BIPIN VITHALDAS JHAVERI
|
|
|
DHIREN PURUSHOTTAMDAS MEHTA
|
|
|
MANUBHAI GOKALBHAI PATEL
|
|
|
NAMRATA AMIT CHOKSEY
|
|
|
PRITI AMIT CHOKSEY
|
|
|
VISPI RUSI PATEL
|
|
DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
DIRECTED TO FREEZ OF VOTING RIGHTS AND CORPORATE BENEFITS LIKE DIVIDEND, RIGHTS, BONUS SHARES, SPLIT, ETC. WITH RESPECT TO EXCESS OF PROPORTIONATE PROMOTER / PROMOTERS GROUP SHAREHOLDING FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED SHAREHOLDERS FORMING PART OF PROMOTER / PROMOTER GROUP FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED DIRECTORS FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
04-JUN-2013
|
SAT: SAT VIDE ITS ORDER DATED 29/08/2013 DIRECTED SEBI TO PASS FINAL ORDER WITHIN A PERIOD OF FOUR WEEKS FROM DATE OF THIS ORDER. NO COSTS
SEBI VIDE ITS ORDER DATED 24/09/2013 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 04/06/2013
|
| 135 |
|
|
AEONIAN INVESTMENTS CO.LTD.
(PAN:AAACA0200D)
(Along with : AMIT C.CHOKSEY (HUF))
|
|
|
|
AMIT CHAMPAKLAL CHOKSEY
|
|
|
ANKITA AMIT CHOKSEY
|
|
|
BHANUSHANKAR RAVISHANKAR TRIVEDI
|
|
|
BIPIN VITHALDAS JHAVERI
|
|
|
DHIREN PURUSHOTTAMDAS MEHTA
|
|
|
MANUBHAI GOKALBHAI PATEL
|
|
|
NAMRATA AMIT CHOKSEY
|
|
|
PRITI AMIT CHOKSEY
|
|
|
VISPI RUSI PATEL
|
|
DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
DIRECTED TO FREEZ OF VOTING RIGHTS AND CORPORATE BENEFITS LIKE DIVIDEND, RIGHTS, BONUS SHARES, SPLIT, ETC. WITH RESPECT TO EXCESS OF PROPORTIONATE PROMOTER / PROMOTERS GROUP SHAREHOLDING FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED SHAREHOLDERS FORMING PART OF PROMOTER / PROMOTER GROUP FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED DIRECTORS FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
04-JUN-2013
|
SAT: SAT VIDE ITS ORDER DATED 29/08/2013 DIRECTED SEBI TO PASS FINAL ORDER WITHIN A PERIOD OF FOUR WEEKS FROM DATE OF THIS ORDER. NO COSTS
SEBI VIDE ITS ORDER DATED 24/09/2013 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 04/06/2013
|
| 136 |
|
|
AFFIANCE INDUSTRIES LTD.
(CIN:U52100WB2010PLC145680)
|
|
|
|
HABIB SARKAR
DIN:02967475
PAN:CNNPS3625P
|
|
|
LAL MAHAMMAD
DIN:05158914
|
|
|
MD.SHARIFUL HAQUE
DIN:02968683
PAN:AENPH1494N
|
|
|
MINARUL MONDAL
DIN:02966752
PAN:AYXPM0255E
|
|
|
MIR RABIUL ISLAM
DIN:05228924
|
|
|
MORSHED MEHEDI HOSSAIN
DIN:05149235
PAN:AHFPH2742C
|
|
|
RAJA MAMUN HASAN
DIN:02968612
PAN:AEOPH4986G
|
|
|
WASHIM RAJA ANASARI
DIN:02966904
PAN:AQXPA6875G
|
|
MOBILIZED RS.75.96 LACS FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 339 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36) AND 73 OF THE COMPANIES ACT, 1956
|
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 09-MAY-2016 TO 08-MAY-2020
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 09-MAY-2016 TO 08-MAY-2020
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-MAY-2016 TO 08-MAY-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-MAY-2016 TO 08-MAY-2020
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 FROM 09-MAY-2016 TO 08-MAY-2020
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 09-MAY-2016 TO 08-MAY-2020
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
31-MAR-2015
|
SEBI VIDE ITS ORDER DATED 09/05/2016 DIRECTED TO A) JOINTLY AND SEVERALLY, REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) WITH INTEREST @ 15% P.A. COMPOUNDED AT HALF YEARLY INTERVALS FROM THE DATE WHEN REPAYMENTS BECAME DUE TO INVESTORS TILL DATE OF ACTUAL PAYMENT THROUGH BANK DEMAND DRAFT OR PAY ORDER B) PERMITTED TO SELL ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUNDS INCLUDING INTEREST AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK C) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND D) FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION E) DIRECTED TO PROVIDE FULL INVENTORY OF ALL ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, IF HELD IN PHYSICAL FORM F) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS CAPITAL MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND IS FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
|
| 137 |
|
|
AFFLUENCE FINCON SERVICE PVT.LTD.
(PAN:AAHCA7554R)
|
|
|
|
AMEE DHIREN SHAH
PAN:BMIPS9852B
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND (E) OF SEBI ACT, 1992 AND REGULATIONS 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INFIBEAM AVENUES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2021 TO 26-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-APR-2021 TO 26-APR-2023
IMPOSED PENALTY RS.15,00,000
24-AUG-2020
|
SEBI VIDE ITS ORDER DATED 27/04/2021 DIRECTED TO A) RESTRAIN FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, IN ANY MANNER, WHATSOEVER, FOR A PERIOD OF TWO (2) YEARS, FROM THE DATE OF THIS ORDER B) DIRECTED TO PAY PENALTY OF RS.15 LACS EACH U/S 15G OF SEBI ACT. WITHIN A PERIOD OF FORTY-FIVE (45) DAYS, FROM THE DATE OF RECEIPT THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 07/05/2021 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER THREE WEEK THEREAFTER. LISTED MATTER FOR ADMISSION AND FINAL DISPOSAL ON 05/07/2021. FURTHER STAYED EFFECT AND OPERATION OF IMPUGNED ORDER AND DIRECTED THAT THE DEPOSITS OF RS 2.61 CRORE LYING WITH SEBI TO CONTINUE IN THE FIXED DPOSIT DURING PENDENCY OF THE APPEAL
|
| 138 |
|
|
AFTEK INFOSYS LTD.
|
|
|
|
ASHUTOSH HUMNABADKAR
|
|
|
CHARUHAS VASANT KHOPKAR
|
|
|
MUKUL SURYAKANT DALAL
|
|
|
NITIN KASHINATH SHUKLA
|
|
|
PROMOD VEDPAL BROOTA
PAN:AACPB9182C
|
|
|
RANJIT MOHAN DHURU
|
|
|
RAVINDRANATH UMAKANT MALEKAR
|
|
|
SANDIP C.SAVE
|
|
IRREGULARITIES IN BUYING, SELLING AND DEALING IN SCRIP OF AFTEK INFOSYS LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-MAR-2004 TO 07-MAR-2005
08-MAR-2004
|
SAT: APPEAL ALLOWED. NO ORDER AS TO COSTS
|
| 139 |
|
|
AFTEK LTD.
(CIN:L57220MH1986PLC039342
PAN:AAACA4711B)
|
|
|
|
PROMOD VEDPAL BROOTA
PAN:AACPB9182C
|
|
|
RANJIT MOHAN DHURU
PAN:AADPD1238L
|
|
SIGNED ACCOUNT CHARGES AGREEMENT WHICH PROVIDED GDR PROCEEDS TO BE KEPT AS A SECURITY TOWARDS LOAN AVAILED BY KENDO ASSOCIATES INC. AND HIGHGROVE LTD. FOR SUBSCRIPTION OF GDR VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3 AND 6(A) OF SEBI (PFUTP) REGULATIONS, 1995 READ WITH REGULATION 13 OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF AFTEK INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-FEB-2023 TO 16-FEB-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-FEB-2023 TO 16-FEB-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
17-FEB-2023
|
|
| 140 |
|
|
AFTEK LTD.
(CIN:L57220MH1986PLC039342
PAN:AAACA4711B)
|
|
|
INDULGED IN ISSUANCE OF 13,33,100 GDRS AMOUNTING TO USD 14.99 MN. THROUGH FINANCE OBTAINED FROM BANCO EFISA, LISBON FOR SUBSCRIPTION OF GDR AND PLEDGED GDR WITH BANCO EFISA, LISBON VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3 AND 6(A) OF SEBI (PFUTP) REGULATIONS, 1995 READ WITH REGULATION 13 OF SEBI (PFUTP) REGULATIONS, 2003
|
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 17-FEB-2023 TO 16-FEB-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-FEB-2023 TO 16-FEB-2026
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
17-FEB-2023
|
SAT: SAT VIDE ITS ORDER DATED 17/05/2023 RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/07/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 7 of 264
|
