| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
CRB CAPITAL MARKETS LTD.
|
|
|
IRREGULARITIES IN OPERATION OF CRB CAPITAL MARKETS LTD.
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS MERCHANT BANKER FROM 21-MAY-1997
21-MAY-1997
|
|
| 102 |
|
|
CREDENTIAL FINANCE LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 28-FEB-1998
20-AUG-1998
|
|
| 103 |
|
|
CREDIT RESOURCES INDIA LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-DEC-1998
26-FEB-1999
|
|
| 104 |
|
|
CREDIT SUISSE FIRST BOSTON (INDIA) SECURITIES PVT.LTD.
(Member : BSE/NSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
|
| 105 |
|
|
D & A FINANCIAL SERVICES PVT.LTD.
|
|
|
|
DINESH R.KAUSHIK
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
DID NOT EXERCISE DUE DILIGENCE IN IPO OF BROOKS LABORATORIES LTD.
|
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 01-JUL-2014 TO 30-JUN-2019
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT OR INVOLVEMENT IN BUY-BACK OF SECURITIES UNDER SEBI (BUY-BACK OF SECURITIES) REGULATIONS 1998, OPEN OFFERS UNDER SEBI (SAST) REGULATIONS, 2011 AND DELISTING OF SECURITIES UNDER SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 FROM 01-JUL-2014 TO 30-JUN-2019
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 05/09/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
SAT: APPEAL DISPOSED OFF WITH A DIRECTION TO SEBI TO COMPLETE THE INVESTIGATION QUA THE APPELLANTS BY NOVEMBER 30, 2012. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 07/02/2013 SET ASIDED THE DIRECTIONS ISSUED BY SEBI VIDE ITS LETTER DATED 27/12/2012 BY PERMITTING D & A FINANCIAL SERVICES PVT.LTD. TO CONTINUE ITS BUSINESS AND FURTHER DIRECTED SEBI TO COMPLETE ITS PROCEEDINGS AS EXPEDITIOUSLY AS POSSIBLE.NO COSTS
SEBI VIDE ITS ORDER DATED 10/06/2014 PROHIBITED D&A FINANANCIAL SERVICES PVT.LTD. FROM TAKING UP ANY NEW ASSIGNMENT OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FOR A PERIOD OF FIVE YEARS AND FURTHER PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT OR INVOLVEMENT IN BUY-BACK OF SECURITIES UNDER SEBI (BUY-BACK OF SECURITIES) REGULATIONS 1998, OPEN OFFERS UNDER SEBI (SAST) REGULATIONS, 2011 AND DELISTING OF SECURITIES UNDER SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009
SAT: SAT VIDE ITS ORDER DATED 25/06/2014 LISTED THE APPEAL FOR HEARING AT THE STAGE OF ADMISSION ON 11/08/2014.TILL THEN OPERATION OF THE IMPUGNED ORDER SHALL REMAIN STAYED
SAT: SAT VIDE ITS ORDER DATED 11/08/2014 PLACED THE APPEAL FOR HEARING AT THE STAGE OF ADMISSION ON 25/09/2014. AD INTERIM RELIEF GRANTED ON 25/06/2014 WILL CONTINUE TILL THEN
SAT: SAT VIDE ITS ORDER DATED 25/09/2014 DIRECTED TO CONTINUE RELIEF GRANTED ON 25/06/2014 TILL 03/12/2014
SAT: SAT VIDE ITS ORDER DATED 03/03/2015 SET ASIDED SCN DATED 23/08/2013 AND CONSEQUENT PROCEEDINGS INCLUDING IMPUGNED ORDER DATED 10/06/2014 WITH LIBERTY TO SEBI TO ISSUE FRESH SCN AND PASS APPROPRIATE ORDERS
|
| 106 |
|
|
D.M.KOTHARI & ASSOCIATES
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 30-SEP-1998
27-NOV-1998
|
|
| 107 |
|
|
D.P.BALDOTA & CO.SECURITIES LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-FEB-1999
26-MAR-1999
|
|
| 108 |
|
|
D.S.SANCHETI SECURITIES & FINANCIAL SERVICES LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-DEC-1997
08-JAN-1998
|
|
| 109 |
|
|
DAMANIA CAPITAL MARKETS LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-MAY-1998
09-JUN-1998
|
|
| 110 |
|
|
DANI & MERCHANT'S FIN.PROD.& SERV.(I) LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 09-SEP-1998
16-OCT-1998
|
|
| 111 |
|
|
DEEPAK R.SONI & CO.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-APR-1998
09-JUN-1998
|
|
| 112 |
|
|
DEVINA MEHRA
|
|
|
|
FIRST GLOBAL FINANCE PVT.LTD.
|
|
VIOLATED SEBI ACT, RULES & REGULATIONS
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS MERCHANT BANKER FROM 25-MAY-2001 TILL ENQUIRY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2001 TILL ENQUIRY
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2001 TILL ENQUIRY
25-MAY-2001
|
SAT: APPEAL DISMISSED
MATTER DISPOSED OF WITHOUT ANY DIRECTION
|
| 113 |
|
|
DHIREN H.PANDYA & ASSOCIATES
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-JUL-1998
27-AUG-1998
|
|
| 114 |
|
|
DINESH R.KAUSHIK
|
|
|
|
D & A FINANCIAL SERVICES PVT.LTD.
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
DID NOT EXERCISE DUE DILIGENCE IN IPO OF BROOKS LABORATORIES LTD.
|
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 01-JUL-2014 TO 30-JUN-2019
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT OR INVOLVEMENT IN BUY-BACK OF SECURITIES UNDER SEBI (BUY-BACK OF SECURITIES) REGULATIONS 1998, OPEN OFFERS UNDER SEBI (SAST) REGULATIONS, 2011 AND DELISTING OF SECURITIES UNDER SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 FROM 01-JUL-2014 TO 30-JUN-2019
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 05/09/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
SAT: APPEAL DISPOSED OFF WITH A DIRECTION TO SEBI TO COMPLETE THE INVESTIGATION QUA THE APPELLANTS BY NOVEMBER 30, 2012. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 07/02/2013 SET ASIDED THE DIRECTIONS ISSUED BY SEBI VIDE ITS LETTER DATED 27/12/2012 BY PERMITTING D & A FINANCIAL SERVICES PVT.LTD. TO CONTINUE ITS BUSINESS AND FURTHER DIRECTED SEBI TO COMPLETE ITS PROCEEDINGS AS EXPEDITIOUSLY AS POSSIBLE.NO COSTS
SEBI VIDE ITS ORDER DATED 10/06/2014 PROHIBITED D&A FINANANCIAL SERVICES PVT.LTD. FROM TAKING UP ANY NEW ASSIGNMENT OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FOR A PERIOD OF FIVE YEARS AND FURTHER PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT OR INVOLVEMENT IN BUY-BACK OF SECURITIES UNDER SEBI (BUY-BACK OF SECURITIES) REGULATIONS 1998, OPEN OFFERS UNDER SEBI (SAST) REGULATIONS, 2011 AND DELISTING OF SECURITIES UNDER SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009
SAT: SAT VIDE ITS ORDER DATED 25/06/2014 LISTED THE APPEAL FOR HEARING AT THE STAGE OF ADMISSION ON 11/08/2014.TILL THEN OPERATION OF THE IMPUGNED ORDER SHALL REMAIN STAYED
SAT: SAT VIDE ITS ORDER DATED 11/08/2014 PLACED THE APPEAL FOR HEARING AT THE STAGE OF ADMISSION ON 25/09/2014. AD INTERIM RELIEF GRANTED ON 25/06/2014 WILL CONTINUE TILL THEN
SAT: SAT VIDE ITS ORDER DATED 03/03/2015 SET ASIDED SCN DATED 23/08/2013 AND CONSEQUENT PROCEEDINGS INCLUDING IMPUGNED ORDER DATED 10/06/2014 WITH LIBERTY TO SEBI TO ISSUE FRESH SCN AND PASS APPROPRIATE ORDERS
|
| 115 |
|
|
DMI CAPITAL PVT.LTD.
(CIN:U67120DL2013PTC252176
PAN:AAECD6486C)
|
|
|
SURRENDERED CERTIFICATE OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER
29-AUG-2024
|
|
| 116 |
|
|
DOOGAR & ASSOCIATES LTD.
|
|
|
DID NOT EXERCISE DUE DILIGENCE IN PUBLIC ISSUE OF MANU FINLEASE LTD.
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 15-JAN-2001 TO 14-MAR-2001
08-FEB-2001
|
|
| 117 |
|
|
DOOGAR & ASSOCIATES LTD.
|
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.50,000
05-DEC-2001
|
SAT: APPEAL ALLOWED
|
| 118 |
|
|
DOOGAR & ASSOCIATES LTD.
|
|
|
DID NOT ISSUE ADVERTISEMENT FOR PUBLIC ANNOUNCEMENT FOR ACQUISITION OF SHARES OF KAYCEE INDUSTRIES LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 17-OCT-2003 TO 16-NOV-2003
05-NOV-2003
|
|
| 119 |
|
|
DOOGAR & ASSOCIATES LTD.
|
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.50,000
26-JUN-2002
|
SAT: APPEAL FOR STAY OF INTERIM ORDER NOT ALLOWED
|
| 120 |
|
|
DSP MERRILL LYNCH LTD.
(PAN:AAACD0535G)
|
|
|
ALLEGED INDULGENCE IN SEBI (MERCHANT BANKER) REGULATIONS, 1992
ALLEGED VIOLATION OF VARIOUS PROVISIONS OF SEBI (DISCLOSURE & INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.30,50,000 VIDE CONSENT ORDER)
12-JAN-2010
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 6 of 25
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