| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
C.MADHUSUDANA RAO
|
|
|
|
KAKATIYA CEMENTS LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ALL ACCUSED WERE DISCHARGED BY COURT. SEBI FILED CR. WP IN BOMBAY HIGH COURT WHICH IS PENDING
|
| 122 |
|
|
C.P.BHUTA
|
|
|
|
ANIK SHIP BREAKING INDUSTRIES LTD.
|
|
VIOLATED SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
VIOLATED SECTION 11 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 123 |
|
|
C.P.MATHEW
|
|
|
|
KUNNAMKULAM PAPER MILLS LTD.
|
|
VIOLATED SECTION 11 OF SEBI ACT, 1992
VIOLATED SECTION 11 B OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CHARGE ABATED IN VIEW OF THE DEMISE OF THE ACCUSED
|
| 124 |
|
|
C.U.BINOY
|
|
|
|
KUNNAMKULAM PAPER MILLS LTD.
|
|
VIOLATED SECTION 11 OF SEBI ACT, 1992
VIOLATED SECTION 11 B OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 125 |
|
|
C.V.R.RAO
|
|
|
|
R.C.GUPTA & CO.PVT.LTD.
|
|
|
SHONKH TECHNOLOGIES INTERNATIONAL LTD.
|
|
VIOLATED SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 126 |
|
|
CHAGANLAL B.RATHOD
|
|
|
VIOLATED REGULATIONS 4 (A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SECTION 26 OF SEBI ACT, 1992
VIOLATED RULE 7 OF SEBI (STOCK BROKERS & SUB BROKERS) RULES, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 127 |
|
|
CHAKRAPANY NARASIMHA
|
|
|
|
GUJARAT NRE COKE LTD.
|
|
VIOLATED SEBI ACT, 1992
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 128 |
|
|
CHANDAN KUMAR ADHIKARY
(DIN:05250128
PAN:ALBPA4669F)
|
|
|
|
PINCON SECURITIES LTD.
CIN:U67120WB2011PLC170424
|
|
ASSISTED/ASSOCIATED LRN FINANCE LTD. IN SUBSCRIPTION/ISSUE OF NCDS AS MERCHANT BANKER WITHOUT OBTAINING REGISTRATION UNDER MERCHANT BANKER REGULATIONS VIOLATING SECTIONS 12 OF SEBI ACT, 1992 IN MATTER OF PINCON SECURITIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 26-OCT-2021 TO 25-OCT-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-OCT-2021 TO 25-OCT-2026
RESTRAINED AND FURTHER PROHIBITED FROM HOLDING AND OCCUPYING ANY MANAGERIAL POST OR BEING ASSOCIATED DIRECTLY OR INDIRECTLY WITH ANY LISTED PUBLIC COMPANY AND/OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 26-OCT-2021 TO 25-OCT-2026
26-OCT-2021
|
|
| 129 |
|
|
CHARU NIRAJ SANGHVI
|
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
31-MAR-2010
|
CONVICTION WITH FINE OF RS.2,00,000.00 IN DEFAULT, SHALL UNDERGO SIMPLE IMPRISONMENT FOR ONE MONTH
|
| 130 |
|
|
CHETNA MITTAL
|
|
|
|
JAYBEE FINVEST PVT.LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CASE COMPOUNDED
|
| 131 |
|
|
CHINUBHAI RAMANLAL SHAH
|
|
|
|
GUJARAT NRE COKE LTD.
|
|
VIOLATED SEBI ACT, 1992
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 132 |
|
|
COMANDUR PARTHASARATHY
(PAN:AAFPC7617L)
|
|
|
|
EXCELL MULTITECH LTD.
|
|
|
KARVY STOCK BROKING LTD.
PAN:AABCK5190K
|
|
|
SEER FINLEASE PVT.LTD.
|
|
|
SUJAL LEASING & FINANCE PVT.LTD.
|
|
|
TAURAS INFOSYS LTD.
|
|
|
ZENET SOFTWARE LTD.
PAN:AAACZ0978K
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 133 |
|
|
D.B.GANDHI
|
|
|
|
RUSHABH SECURITES LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 134 |
|
|
D.P.GUPTA
|
|
|
|
ENKAY TEXOFOOD INDUSTRIES LTD.
PAN:AAACE0833A
|
|
FAILED TO PAY PENALTY
VIOLATED SECTION 27 OF SEBI ACT, 1992
VIOLATED SECTION 15 (C) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 135 |
|
|
DALJEET SINGH KOHLI
|
|
|
|
ORIENT TRADELINK LTD.
PAN:AAACO5359B
|
|
VIOLATED SECTION 11C (3) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 136 |
|
|
DARSHAN SACHDEV
|
|
|
|
SACHDEV SECURITIES LTD.
|
|
VIOLATED SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.1,60,000 BY THE ACCUSED TO SEBI
|
| 137 |
|
|
DAVINDAR VACHAR
|
|
|
|
IDEAL HOTELS & INDUSTRIES LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 138 |
|
|
DEEP KUMAR BHANUPRASAD TRIVEDI
(PAN:ABVPT2409C)
|
|
|
|
TOP MEDIA ENTERTAINMENT LTD.
|
|
|
TOP TELEMEDIA LTD.
|
|
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
VIOLATED REGULATIONS 4 (A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY/STOCK CHANGES AS REQUIRED UNDER REGULATION 6 OF SEBI TAKEOVER CODE, 1997
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY/STOCK CHANGES AS REQUIRED UNDER REGULATION 7 OF SEBI TAKEOVER CODE, 1997
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY/STOCK CHANGES AS REQUIRED UNDER REGULATION 8 OF SEBI TAKEOVER CODE, 1997
VIOLATED SECTION 11 OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
RS.15,60,000.00 PENALY PAID TOWARDS INTEREST WHICH INCLUDED LEGAL COSTS
|
| 139 |
|
|
DEEP TRIVEDI
|
|
|
|
COVERAGE & CONSULTANTS LTD.
|
|
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.60,000.00 TO SEBI
|
| 140 |
|
|
DEEPAK BHIKHALAL UPADHYAY
|
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-JUL-2022
|
THE MATTER IS DISPOSED OFF AS COMPOUNDED
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 7 of 39
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