| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
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AMADHI INVESTMENTS LTD.
(CIN:U65990GJ1988PLC054935
PAN:AAACA7300E)
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FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
DIRECTED TO DISGORGE RS.98,77,166
06-APR-2010
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AD INTERIM EX-PARTE ORDER DATED 27/04/2006 CONFIRMED AND DIRECTED THE NOTICEE NOT TO BUY, SELL OR DEAL IN SECURITIES INCLUDING IPOS, UNTIL FURTHER ORDERS.FURTHER DIRECTED TO ISSUE SHOW CAUSE NOTICE IF ANY, ARISING FROM THE INVESTIGATIONS AT THE EARLIEST, BUT NOT LATER THAN 15 DAYS FROM THE DATE OF THIS ORDER
DIRECTED VIDE ORDER DATED 06/04/2010 TO (I) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESSING SECURITIES MARKET, DIRECTLY OR INDIRECTLY, FOR A PERIOD OF ONE YEAR FROM DATE OF THIS ORDER AND (II) DISGORGE UNLAWFUL GAIN OF RS.77,77,296 ALONGWITH INTEREST OF RS.20,99,870 WITH 45 DAYS FROM THE DATE OF THIS ORDER
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 27/04/2006 SET ASIDE. CASE REMANDED TO SEBI WITH A DIRECTION THAT APPELLANT BE ALLOWED COMPLETE INVESTIGATION OF THE RECORDS WITH NO ORDER AS TO COSTS
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| 2 |
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AMBUJA ESTATE & HOLDINGS PVT.LTD.
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MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPOS OF VARIOUS COMPANIES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-MAR-2009 TO 28-FEB-2012
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 01-MAR-2009 TO 28-FEB-2012
27-APR-2006
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,80,00,000, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.24,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 01-MAR-2009 TO 28-FEB-2012
10-FEB-2009
|
DIRECTED TO DISGORGE UNLAWFUL GAIN OF RS.24 LACS AND RS.180.00 LACS TOWARDS SETTLEMENT CHARGES AND UNDERGO VOLUNTARY DEBARMENT FOR 3 YEARS FROM 01/03/2009.DIRECTED NSDL TO PERMIT OPERATION OF DEMAT ACCOUNT FOR LIMITED PURPOSE OF SALE OF SPECIFIED SHARES. INSTRUCTED KARVY STOCKBROKING LTD. (DP) AND KHANDWALA INTEGRATED FINANCIAL SERVICES PVT.LTD. (STOCK BROKER) TO TAKE PRIOR CLEARANCE FROM NSDL AND AMOUNT OF SHARES SOLD SHOULD NOT EXCEED RS.2.04 CRORES.DIRECTED NSE TO PAY ENTIRE SALE PROCEEDS DIRECTLY TO SEBI WITHIN 7 DAYS. FURTHER DIRECTED TO COMPLETE SALE OF SHARES LATEST BY 20/02/2009
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| 3 |
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ANAND NETANAND CHOUDHARY (HUF)
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FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
IMPOSED PENALTY RS.6,00,000
27-APR-2006
DIRECTED TO DISGORGE RS.2,15,142
07-MAY-2009
|
AD INTERIM EX-PARTE ORDER DATED 27/04/2006 DISPOSED OFF AND DIRECTED TO BE RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESSING SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 1 YEAR FROM DATE OF ORDER I.E. 07/05/2009 AND DISGORGE UNLAWFUL GAIN OF RS.2,15,150.00 ALONGWITH INTEREST @10% FROM DATE OF LISTING OF IPO OF NANDAN EXIM LTD.
PENALTY IMPOSED RS.6,00,000 VIDE ORDER DATED 30/09/2009
VIDE ORDER DATED 10/03/2010 PERIOD OF DEBARMENT FROM MARKET STAND TERMINATED. DIRECTED TO DISGORGE THE AMOUNT OF PROFIT ALONGWITH INTEREST @ 6% P.A. BY 31/05/2010. AMOUNT OF PENALTY REDUCED TO RS.500000 IN ALL FROM 2650000. NO COSTS
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| 4 |
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ASHMI FINANCIAL CONSULTANCY PVT.LTD.
(PAN:AAECA8167F)
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FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
DIRECTED TO DISGORGE RS.1,23,55,840
07-APR-2011
|
CONFIRMED INTERIM ORDER DATED 27/04/2006
SEBI VIDE ITS ORDER DATED 07/04/2011 DIRECTED 1.NOT TO BUY, SELL OR DEAL IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESS SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR THREE MONTHS FROM DATE OF ORDER AND 2.DISGORGE RS.1,23,55,840.00 (UNLAWFUL GAIN OF RS.79,71,510.00 AND INTEREST RS.43,84,330.00) WITHIN 45 DAYS FROM DATE OF ORDER OTHERWISE PERIOD OF RESTRAINT WILL BE FURTHER PERIOD OF SEVEN YEARS
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| 5 |
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BHANSALI PIYUSH M. (HUF)
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MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
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BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
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RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
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| 6 |
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BHANSALI RAJNIKANT M. (HUF)
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MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
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BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
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| 7 |
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BHANSALI YOGESH M.(HUF)
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MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
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BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
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RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
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| 8 |
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DADIA FINVEST LTD.
|
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FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.11,50,000 VIDE CONSENT ORDER)
05-JUN-2008
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ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.1150000 AGAINST NOTIONAL UNDUE GAIN AND RS.100000 AGAINST SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 05/06/2008
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| 9 |
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DANIAL INVESTMENT PVT.LTD.
(PAN:AABCD3753H)
(Along with : NISSAN COPPER LTD.)
|
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ATUL KUMAR SHANTILAL MARDIA
DIN:00788465
PAN:ADYPM7131K
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BELA SANJAY MARDIA
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RATANLAL SHANTILAL MARDIA
DIN:00239175
PAN:AJTPM2056N
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SANJAY SHANTILAL MARADIA
DIN:00097403
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SHANTILAL MARDIA
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SUNITA RATAN MARDIA
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ALLEGED INDULGENCE IN ARRANGING SUBSCRIPTION IN IPO OF NISSAN COPPER LTD.THROUGH MACHINATIONS OF SUBSCRIBERS IN QIB SEGMANT AND THEIR FINAL BUYERS AFTER LISTING OF SCRIP
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000, ADMINISTRATION CHARGES RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
24-APR-2009
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| 10 |
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DEEP INFRASTRUCTURE PVT.LTD.
|
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RAJESH BALWANTBHAI BRAMHBHATT
|
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SONAL U.VORA
PAN:AAWPV2754Q
|
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SONAL UDAYBHAI
|
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MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
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BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
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| 11 |
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EXCELL MULTITECH LTD.
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DUSHYANT NATWARLAL DALAL
PAN:AAAPD5859Q
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PULOMA DUSHYANT DALAL
PAN:AAEPD2909B
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FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
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| 12 |
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FORNEY FUNDS ADVISORS PVT.LTD.
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R.K.GOYAL
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MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,20,25,953, INTEREST RS.26,79,017 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
08-JAN-2010
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INTERIM EX-PARTE ORDER DATED 17/01/2007 DISPOSED OFF WITH THE DIRECTION 1) BSE SHALL TRANSFER 1,00,21,628 WITHHELD EARNED UNJUST PROFIT PLUS INTEREST TO SEBI 2) AND PAY 20% OF UNJUST PROFIT I.E. RS.20,04,325 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 08/01/2010
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| 13 |
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HARIYANA SHIP-BREAKERS LTD.
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RAJEEV RENIWAL
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SHANTISARUP RENIWAL
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MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
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BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,52,90,138, INTEREST RS.1,56,56,113 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
14-AUG-2008
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INTERIM EX-PARTE ORDER DATED 17/01/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.9,52,90,137.90 AS SETTLEMENT CHARGES ALONGWITH INTEREST ACCRUED THEREON JOINTLY WITH RAJEEV RENIWAL, SANJEEV RENIWAL (HUF), SHANTI SARUP RENIWAL, SHANTI SARUP RENIWAL (HUF) AND INDUCTO STEELS LTD. AS PER CONSENT ORDER DATED 14/08/2008
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| 14 |
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INDUCTO STEELS LTD.
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SHANTISARUP RENIWAL
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MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,52,90,138, INTEREST RS.1,56,56,113 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
14-AUG-2008
|
INTERIM EX-PARTE ORDER DATED 17/01/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.9,52,90,137.90 AS SETTLEMENT CHARGES ALONGWITH INTEREST ACCRUED THEREON JOINTLY WITH RAJEEV RENIWAL, SANJEEV RENIWAL (HUF), HARIYANA SHIP BREAKERS LTD., SHANTI SARUP RENIWAL AND SHANTI SARUP RENIWAL (HUF) AS PER CONSENT ORDER DATED 14/08/2008
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| 15 |
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ITF MAURITIUS
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MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,35,58,674 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
14-AUG-2008
|
INTERIM EX-PARTE ORDER DATED 17/01/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2,35,58,673.55 AS SETTLEMENT CHARGES ALONGWITH INTEREST ACCRUED THEREON JOINTLY WITH VENUS CAPITAL MANAGEMENT,INC. AND VACUF LTD. AS PER CONSENT ORDER DATED 14/08/2008
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| 16 |
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J G BHANSALI (HUF)
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MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
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| 17 |
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JAYESH P.KHANDWALA (HUF)
(PAN:AAAHJ4784N)
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ALLEGED INDULGENCE IN CORNERING OF EQUITY SHARES RESERVED FOR RETAIL INVESTORS IN IPOS OF IDFC LTD., SASKEN COMMUNICATIONS LTD. AND SUZLON ENERGY LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.98,37,035, DISGORGEMENT AMOUNT RS.1,32,54,527 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
13-NOV-2019
|
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| 18 |
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KR BHANSALI (HUF)
|
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MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
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| 19 |
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L.L.PHULWANI (HUF)
|
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FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,000, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.24,000 VIDE CONSENT ORDER)
22-JUL-2008
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.4000 AGAINST SETTLEMENT CHARGES AND RS.24000 AGAINST AMOUNT DISGORGED AS PER CONSENT ORDER DATED 22/07/2008
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| 20 |
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MAFATLAL KALIDAS BHANSALI (HUF)
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MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
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| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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