| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 141 |
|
CLASSIC FINANCE
|
|
|
ALLEGED FAILURE IN APPEARING PERSONALLY AND/OR PROVIDING NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF DENIM ENTERPRISES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
19-JAN-2011
|
|
| 142 |
|
|
CLIP SECURITIES & FINANCE PVT.LTD.
|
|
|
|
ARSHAD AFZAL KHAN
PAN:ADVPK6755C
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF PRUDENTIAL PHARMACEUTICALS LTD.
|
IMPOSED PENALTY RS.2,00,000
25-JAN-2011
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 143 |
|
|
CLIP SECURITIES & FINANCE PVT.LTD.
|
|
|
|
CLAUD MONSURATE
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF PRUDENTIAL PHARMACEUTICALS LTD.
|
IMPOSED PENALTY RS.2,00,000
25-JAN-2011
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 144 |
|
|
CLIP SECURITIES & FINANCE PVT.LTD.
|
|
|
|
RACHANA BHANDARAM
PAN:AERPB1194B
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF PRUDENTIAL PHARMACEUTICALS LTD.
|
IMPOSED PENALTY RS.2,00,000
25-JAN-2011
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 145 |
|
|
CLIP SECURITIES & FINANCE PVT.LTD.
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF PRUDENTIAL PHARMACEUTICALS LTD.
|
IMPOSED PENALTY RS.3,00,000
25-JAN-2011
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 146 |
|
|
COASTAL FERTILISERS LTD.
(CIN:U24124WB1994PLC062513
PAN:AAACH6567J)
|
|
|
DID NOT CO-OPERATE WITH SEBI IN INVESTIGATION IN MATTER OF STEEL EXCHANGE INDIA LTD.
|
IMPOSED PENALTY RS.5,00,000
16-SEP-2020
|
|
| 147 |
|
|
COMMET TIE-UP PVT.LTD.
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.30,000
19-MAY-2005
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 148 |
|
|
CONART CONPRO PVT.LTD.
(PAN:AADCC0517C)
|
|
|
INDULGED IN OFF-MARKET TRANSACTIONS IN SCRIP OF BANK OF RAJASTHAN LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF BANK OF RAJASTHAN LTD.
|
IMPOSED PENALTY RS.5,00,000
14-FEB-2013
|
SAT: SAT VIDE ITS ORDER DATED 11/02/2014 UPHELD PENALTY IMPOSED UNDER SECTIONS 15HA AND 15H(II) AND SET ASIDE PENALTY IMPOSED UNDER SECTION 15 A(A) OF SEBI ACT.
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 149 |
|
|
CONCORD REALTY PVT.LTD.
(PAN:AADCC2990F)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF MAHAN INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MAHAN INDUSTRIES LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF MAHAN INDUSTRIES LTD.
|
IMPOSED PENALTY RS.9,00,000
30-SEP-2015
|
SEBI VIDE ITS NOTICE DATED 15/03/2016 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
SAT: SAT VIDE ITS ORDER DATED 14/07/2016 QUASHED AND SET ASIDED PENALTY IMPOSED UNDER SECTION ALLEGEDLY VIOLATING 1997 REGULATIONS AND PIT REGULATIONS. PENALTY IMPOSED UNDER SECTION 15A (A) OF SEBI ACT VIOLATING SECTION 11C(3) AND SECTION 11C(5) OF SEBI ACT UPHELD AND DIRECTED TO WITHIN SIX WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
|
| 150 |
|
|
CONSORTEX KARL DOELITZSCH (INDIA) LTD.
(CIN:L31909AP1984PLC004953)
|
|
|
|
G.KRISHNA MOHAN
|
|
|
K.SATYANARAYAN
|
|
|
M.SUDHAKAR RAO
|
|
|
S.SURYA PRAKASA RAO
|
|
|
V.MANOHAR
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF REJECTION OF DEMAT REQUEST OF APIDC FOR 8,00,000 SHARES OF COMPANY
|
IMPOSED PENALTY RS.2,00,000
16-JUN-2010
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 30/06/2011, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 151 |
|
|
CONTINENTAL SEEDS & CHEMICALS LTD.
(PAN:AAACC2341R)
|
|
|
|
VIVEK KUMAR VARSHNEY
PAN:AWTPV7908B
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF CONTINENTAL SEEDS & CHEMICALS LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF CONTINENTAL SEEDS & CHEMICALS LTD.
DID NOT MAKE DISCLOSURE OF SALE OF SHARES TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF CONTINENTAL SEEDS & CHEMICALS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-NOV-2024 TO 28-NOV-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-NOV-2024 TO 28-NOV-2025
DIRECTED TO DISGORGE RS.2,24,17,400
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
29-NOV-2024
|
|
| 152 |
|
|
CORNHILL TRADING CO.PVT.LTD.
(CIN:U51909MH2002PTC138346
PAN:AACCC0591P)
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF MILLENIUM CYBERTECH LTD.
|
IMPOSED PENALTY RS.1,00,000
24-SEP-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 17/07/2014 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 05/08/2019 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS,DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 17/07/2014
|
| 153 |
|
|
COSMO CORPORATE SERVICES LTD.
(CIN:U65993DL1995PLC072924
PAN:AAACC3529P)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF SUMEET INDUSTRIES LTD.
|
IMPOSED PENALTY RS.5,00,000
30-MAR-2012
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 16/01/2018 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
|
| 154 |
|
|
COSMO CORPORATE SERVICES LTD.
(CIN:U65993DL1995PLC072924
PAN:AAACC3529P)
|
|
|
DID NOT FURNISH INFORMATION IN RESPONSE TO SUMMONS ISSUED IN MATTER OF MEFCOM AGRO INDUSTRIES LTD.
|
IMPOSED PENALTY RS.15,00,000
25-JAN-2019
|
SEBI VIDE ITS NOTICE DATED 20/01/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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
|
| 155 |
|
|
COSMO CORPORATE SERVICES LTD.
(CIN:U65993DL1995PLC072924
PAN:AAACC3529P)
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF ATN INTERNATIONAL LTD.
|
IMPOSED PENALTY RS.2,00,000
06-MAY-2010
|
SEBI VIDE ITS NOTICE DATED 17/07/2014 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 156 |
|
|
COSMO CORPORATE SERVICES LTD.
(CIN:U65993DL1995PLC072924
PAN:AAACC3529P)
|
|
|
ALLEGED FAILURE IN APPEARING PERSONALLY AND/OR PROVIDING NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF SUMEET INDUSTRIES LTD.
|
SHOW CAUSE NOTICE ISSUED
23-AUG-2011
|
|
| 157 |
|
|
COVERAGE & CONSULTANTS LTD.
|
|
|
|
BHAVARBHAI JOSHI
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.50,00,000
14-SEP-2006
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE LEAVING PARTIES TO BEAR THEIR OWN COSTS
|
| 158 |
|
|
COVERAGE & CONSULTANTS LTD.
|
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF TOP TELEMEDIA LTD.
|
IMPOSED PENALTY RS.1,50,000
27-AUG-2010
|
|
| 159 |
|
|
COVERAGE & CONSULTANTS LTD.
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.5,00,000
19-JUL-2004
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.20,000 FROM RS.5,00,000
|
| 160 |
|
|
COVERAGE & CONSULTANTS LTD.
|
|
|
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.27,00,000
28-JUN-2005
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUT TO RS.10,00,000 FROM RS.27,00,000
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 8 of 44
|
