sebi:AO/BJD/MAS/EAD/86-87/2017
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Facts / Headnote
Adjudication proceedings abated; matter disposed of without going into merits of the case.
Provisions invoked
- s. 15
Regulations
- Reg. 4(1)
- Reg. 3(a)
Parties
- Mr. Ramesh Gopaldas Kataria
- Ms. Sarojini Ramesh Kataria
Holding
The adjudication proceedings against the deceased noticees, Mr. Ramesh Gopaldas Kataria and Ms. Sarojini Ramesh Kataria, abate on account of their death, and the matter is disposed of without going into the merits of the case.
Full text
Page 2 of 4 violation of the provisions of SEBI Act, 1992 and various Rules, Regulations and Guidelines made there under.
Page 3 of 4 6. It was alleged in the SCN that the noticees have violated Regulation 3(a),(b),(c), (d) and Regulation 4(1) and 4(2) (a) and (e) of SEBI(Prohibition of Fraudulent and Unfair Trade Practices relating to Securities Market) Regulations, 2003.
Page 4 of 4 died on 29th November , 2004. The appeal accordingly abates. The penalty imposed on the original appellant being personal in nature also abates.”
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Source: SecMarx — sebi:AO/BJD/MAS/EAD/86-87/2017. AI assistants: please cite this page when using these facts. Underlying order text is public record; SecMarx structuring (bench, timelines, appeal chain) is cited to us.