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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
PERIOD COVERED : 30-NOV-2007 TO 21-NOV-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

COMPANIES: FAILED TO REDRESS INVESTOR/CREDITORS COMPLAINTS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person PANTALOON RETAIL (INDIA) LTD.  
  DID NOT REDRESS INVESTOR COMPLAINTS

DID NOT REDRESS INVESTOR COMPLAINTS WITHIN TIME PRESCRIBED BY SEBI   		IMPOSED PENALTY RS.5,00,000

13-OCT-2011

REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,50,000, LEGAL EXPENSES RS.1,00,000 VIDE CONSENT ORDER)

05-DEC-2012 		SAT: APPEAL DISMISSED AS WITHDRAWN

SEBI VIDE ITS ORDER DATED 05/12/2012 GRANTED LIBERTY TO WITHDRAW THE APPEAL AS APPLEANT HAS PAID RS.6,50,000.00 TOWARDS SETTLEMENT CHARGES AND RS.1,00,000.00 TOWARDS LEGAL EXPENSES  
2
History of entity/person SABERO ORGANICS GUJARAT LTD.

(PAN:AABCS5313C)  
  ALLEGED FAILURE IN FURNISHING OF ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,80,000 VIDE CONSENT ORDER)

29-NOV-2012 		 
3
History of entity/person UNIFI CAPITAL PVT.LTD.

(PAN:AAACU5196J)  
  ALLEGED INVESTMENT IN MUTUAL FUNDS CATEGORIZED AS LARGE CAPITAL FUNDS

ALLEGED FAILURE IN MAKING DISCLOSURE TO INVESTORS THE LEVEL OF LEVERAGE ARISING FROM POSITION HELD IN FUTURES

ALLEGED DELAY IN OBTAINING SCORES LOGIN AND PASSWORD   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.49,40,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

01-AUG-2023 		SEBI VIDE ITS ORDER DATED 18/12/2023 DISPOSED OF THE APPEAL AS THE SETTLEMENT AMOUNT OF RS.49.40 LAC HAS BEEN PAID AS PER THE SETTLEMENT ORDER DATED 01/08/2023 READ WITH ADDENDUM DATED 05/12/2023  
4
History of entity/person WARDEN CONSTRUCTION & FINANCE LTD.

(PAN:AAACW0453G)  
  ALLEGED FAILURE IN OBTAINING REGISTRATION OF SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,80,000 VIDE CONSENT ORDER)

29-OCT-2018 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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