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hearing on March 03, 2015. The said Notice dated February 09, 2015 was
duly delivered to the Noticee through the Northern Regional Office (NRO)
of SEBI. However the Noticee did not avail the opportunity of personal
hearing. Vide letter dated February 13, 2015 the Noticee, inter alia, made
the following submissions:
We give below for your perusal, datewise details of communications and
replies thereto with regard to the complaint for which the Show Cause has
been issued
Date
20.09.2012
20.09.2012
Particulars
Email received
Email replied
03.10.2012
03.06.2013
12.06.2013
18.06.2013
19.06.2013
28.06.2013
08.08.2013
29.08.2013
Remarks
Complaint, copy enclosed
Intimating that the complainant does not appear in
the companys share holders list
Intimating that the complainant does not appear in
the companys share holders list, copy enclosed
For visiting SEBI, New Delhi, copy enclosed
Sought appointment for 18.06.2013 to clarify the
complaint grievance
Mr. Nagar Mal Lohia met the concerned person and
informed that the name of the company to which the
complainant pertains has been wrongly mentioned as
Rathi Steels Ltd. Regn.No. 021218 instead of Rathi
Industries Ltd.
Intimating that the complainant does not appear in
the companys share holders list, copy enclosed
Intimating that reply sent to complainant and sought
appointment, copy enclosed
Copy enclosed
ORDER
15. In view of my findings noted in the preceding paragraphs, I hereby
dispose of the Adjudication Proceedings initiated against the Noticee vide
Show Cause Notice dated August 08, 2013.
16. In terms of the provisions of Rule 6 of the SEBI (Procedure for Holding
Inquiry and Imposing Penalties by Adjudicating Officer) Rules 1995,
copies of this Order are being sent to the Noticee and also to Securities
and Exchange Board of India.
Jayanta Jash
Adjudicating Officer