| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
MAHIM INVESTMENT & TRADING CO.PVT.LTD.
|
|
|
|
HEMENDRA J.SHROFF
|
|
|
KAMLESH J.SHROFF
|
|
|
MANOJ T.SHROFF
|
|
VIOLATED REGULATIONS 4 (A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 11 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 12 SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3 (I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 122 |
|
|
MANDU INDUSTRIES LTD.
|
|
|
|
BASANTILAL KAKRECHA
|
|
|
MADANLAL JAIN
|
|
|
MADHUSUDAN JAIN
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 123 |
|
|
MANNA GLASS-TECH INDUSTRIES LTD.
|
|
|
|
AMIDHAR MAJUMDAR
|
|
|
ASHOK NAVINCHANDRA CHOKSHI
|
|
|
BEENA A.SHAH
|
|
|
DATTATRAY MARUTIRAO SAWANT
|
|
|
GIRISH D.SHAH
|
|
|
JAYESH BALMUKUNDBHAI MEHTA
|
|
|
NOOPUR KANSARA
DIN:03153864
|
|
|
REEMA T.MAJUMDAR
|
|
|
REENA A.MAJUMDAR
|
|
|
TUSHAR A.MAJUMDAR
|
|
VIOLATED SECTION 59 OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 60 OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
VIOLATED REGULATION 6 SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SECTION 18 OF SEBI DEPOSITORIES ACT, 1996
VIOLATED SECTION 20 OF SEBI DEPOSITORIES ACT, 1996
|
PROSECUTION LAUNCHED
15-MAY-2006
|
PARTLY COMPOUNDED BY COMPANY LAW BOARD
|
| 124 |
|
|
MARINE DRIVE INVESTMENT & TRADING CO.PVT.LTD.
|
|
|
|
HEMENDRA J.SHROFF
|
|
|
KAMLESH J.SHROFF
|
|
|
PRADIP R.SHROFF
|
|
VIOLATED REGULATIONS 4 (A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 11 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 12 SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3 (I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 125 |
|
|
MASTERMIND MERCANTILE CO-OP.LTD.
|
|
|
|
MAHESH RAMDAS ADSUL
PAN:AGGPA2537E
|
|
|
NITIN SAWANT
|
|
|
RAJESH SAKHARIE
|
|
|
RAJKUMAR C.BASANTANI
PAN:AESPB2834F
|
|
|
UMESH R.KHARIWALA
|
|
|
VIKAS SETH
|
|
|
VILAS CHOWGLE
|
|
|
VINOD R.HINGORANI
|
|
|
VITHAL PATIL
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
30-SEP-2011
|
|
| 126 |
|
|
MATUNGA INVESTMENT & TRADING CO.PVT.LTD.
|
|
|
|
HEMENDRA J.SHROFF
|
|
|
KAMLESH J.SHROFF
|
|
|
MANOJ T.SHROFF
|
|
VIOLATED REGULATIONS 4 (A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 11 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 12 SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3 (I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 127 |
|
|
MAYEKAR INVESTMENT PVT.LTD.
|
|
|
|
ANANTRAI DESAI
|
|
|
KIRTIDA P.SHAH
|
|
|
PANKAJ A.DESAI
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 128 |
|
|
MAYFAIR REALTORS PVT.LTD.
|
|
|
|
DEVEN MEHTA
|
|
|
GOPU PARIMAL BELANI
|
|
|
KISHORE GURBUX MOTWANI
DIN:02417178
PAN:AAJPM2980N
|
|
|
MADAN RELWANI
|
|
|
MEENAL CHHABARIA
|
|
|
SURESH GURBUX MOTWANI
|
|
|
SURESH HEMWANI
|
|
|
SUSHIL M.THAKKAR
|
|
VIOLATED SECTION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 129 |
|
|
MEGA CORP.LTD.
(PAN:AACCM9506E
CIN:L01120DL1985PLC092375)
|
|
|
|
HIMANSHU RAMNIKLAL MEHTA
|
|
|
KUNAL LALANI
|
|
|
SURENDRA CHHALANI
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 130 |
|
|
MEGA RESOURCES LTD.
(PAN:AADCM5397E)
|
|
|
VIOLATED REGULATION 4(A) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 131 |
|
|
MEGA STOCKS LTD.
|
|
|
VIOLATED REGULATION 4(A) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 132 |
|
|
MILLION INVESTRADE LTD.
|
|
|
|
MAHESH RAMDAS ADSUL
PAN:AGGPA2537E
|
|
|
NITIN SAWANT
|
|
|
RAJESH SAKHARIE
|
|
|
RAJKUMAR C.BASANTANI
PAN:AESPB2834F
|
|
|
UMESH R.KHARIWALA
|
|
|
VIKAS SETH
|
|
|
VILAS CHOWGLE
|
|
|
VINOD R.HINGORANI
|
|
|
VITHAL PATIL
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
30-SEP-2011
|
|
| 133 |
|
|
MIRAL FINANCIAL CONSULTANCY
|
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY/STOCK CHANGES AS REQUIRED UNDER REGULATION 7 OF SEBI TAKEOVER CODE, 1997
VIOLATED SECTION 10 OF SEBI TAKEOVER CODE, 1997
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 134 |
|
|
MOBILE TELECOMMUNICATIONS LTD.
(PAN:AACCM2659J
CIN:L32100GJ1995PLC024812)
|
|
|
|
ANIL BABULAL VEDMEHTA
PAN:ACHPV0535C
|
|
|
SUNIL MEHTA
|
|
|
VIPIN C.GANDHI
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CASE DISMISSED BY COURT. REVISION PETITION FILED BY SEBI IS PENDING BEFORE BOMBAY HIGH COURT
|
| 135 |
|
|
MONARCH PROJECT & FINMARKETS LTD.
(PAN:AAACM8214F)
|
|
|
|
KAMLESH M.SHAH
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SCHEDULE III OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 136 |
|
|
MOODS DEALERS PVT.LTD.
|
|
|
VIOLATED SECTION 24 OF SEBI (PFUTP) REGULATION, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 137 |
|
|
MOTECH SOFTWARE PVT.LTD.
(CIN:U72200MH2000PTC123803
PAN:AACCM0039Q)
|
|
|
TOOK SEPARATE POSITION LIMITS OF OPEN INTEREST ON ITS BEHALF BY EXECUTING SEPARATE AGREEMENTS WITH EACH OF THEM AND CORNERED 93.63% OF NOVEMBER FUTURES OF RELIANCE PETROLEUM LTD. VIOLATING SECTION 12A OF SEBI ACT, 1992 READ WITH REGULATIONS 3, 4(1) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003
VIOLATED SEBI CIRCULAR NO. SMDRP/DC/CIR-10/01 DATED 02/11/2001 AND NSE CIRCULAR NO. NSE/CMPT/2982 DATED 07/11/2001 IN MATTER OF RELIANCE PETROLEUM LTD.
|
PROHIBITED FROM DEALING IN EQUITY DERIVATIVES IN F&O SEGMENT OF STOCK EXCHANGES, DIRECTLY OR INDIRECTLY FROM 24-MAR-2017 TO 23-MAR-2018
DIRECTED TO SQUARE OFF OR CLOSE OUT THEIR EXISTING OPEN POSITIONS IN F&O SEGMENT
24-MAR-2017
|
SAT: SAT VIDE ITS ORDER DATED 05/11/2020 DISMISSED THE APPEAL WITH NO ORDER AS TO COSTS
|
| 138 |
|
|
MPS INFOTECNICS LTD.
(PAN:AAACV4805B)
|
|
|
MISLED INVESTORS INTO BELIEVING ABOUT SUCCESS OF GDR ISSUE VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) AND 4 (2) (F), (K) & (R) OF SEBI (PFUTP) REGULATIONS, 2003
|
DIRECTED TO BRING BACK OUTSTANDING USD 8.90 MN INTO ITS BANK ACCOUNT IN INDIA
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-MAR-2020 TILL COMPLIANCE OF DIRECTIONS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-MAR-2020 TILL COMPLIANCE OF DIRECTIONS
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 06-MAR-2020 TILL COMPLIANCE OF DIRECTIONS
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
06-MAR-2020
|
SAT: SAT VIDE ITS ORDER DATED 20/04/2022 CONDONED THE DELAY OF 538 DAYS IN FILING OF APPEAL. ALLOWED RESPONDENTS TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEK THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 30/06/2022 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 02/08/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 12/06/2023 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 27/09/2023 DISMISSED THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 08/12/2023 DISMISSED THE REVIEW APPLICATION
|
| 139 |
|
|
MUMBADEVI FINANCE & INVESTMENT CO.PVT.LTD.
|
|
|
VIOLATED REGULATION 4(A) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 4(B) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 140 |
|
|
NAINA BARTER PVT.LTD.
|
|
|
|
DINESH DALMIA
PAN:ACPPD9838G
|
|
|
MANOJ KUMAR BALOTHIA
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 7 of 12
|
