| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 181 |
|
D.S.CAPITAL VENTURE PVT.LTD.
(PAN:AADCH8426M)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS TO INVESTIGATING AUTHORITY OF SEBI
DID NOT INFORM SEBI ABOUT CHANGE OF ADDRESS
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 30-JAN-2023
30-JAN-2023
|
|
| 182 |
|
|
DAMANIA CAPITAL MARKETS LTD.
|
|
|
|
HEMANG PRAVINCHANDRA KAPADIA
|
|
|
SACHIN CHANDRAKANT THAKUR
|
|
|
SURENDRA BABU SINGH
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-JUL-2015 TILL RESOLVES ALL PENDING INVESTOR GRIEVANCES
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JUL-2015 TILL RESOLVES ALL PENDING INVESTOR GRIEVANCES
17-JUL-2015
|
|
| 183 |
|
|
DATABASE FINANCE LTD.
|
|
|
DID NOT REDRESS INVESTOR GRIEVANCES DESPITE BEING DIRECTED BY SEBI
|
IMPOSED PENALTY RS.25,00,000
27-JUN-2005
|
SAT: SET ASIDE IMPUGNED ORDER WITH A DIRECTION TO APPELLANT TO APPEAR ON 23/04/2007
|
| 184 |
|
|
DATAPRO INFORMATION TECHNOLOGY LTD.
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-JUN-2016 TILL OBTAINS SCORES AUTHENTICATION AND RESOLVES INVESTORS GRIEVANCES
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JUN-2016 TILL OBTAINS SCORES AUTHENTICATION AND RESOLVES INVESTORS GRIEVANCES
29-JUN-2016
|
|
| 185 |
|
|
DEBONAIR AGENCIES LTD.
(PAN:AABCD1312L)
|
|
|
DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,00,000
21-FEB-2018
|
|
| 186 |
|
|
DELIGHT HANDICRAFTS PALACE LTD.
(PAN:AABCD1278K)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.3,00,000
27-FEB-2015
|
SAT: APPEAL DISMISSED. NO COSTS
SEBI VIDE ITS NOTICE DATED 28/07/2015 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS ORDER DATED 27/10/2021 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF DELIGHT HANDICRAFTS PALACE LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS NOTICE DATED 12/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.5,77,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 187 |
|
|
DELTA POLYSTERS LTD.
(CIN:U17120MH1993PLC074313)
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,00,000
24-NOV-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 07/04/2022 DIRECTED TO PAY RS.1,55,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 03/01/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS ORDER DATED 08/02/2023 DIRECTED ALL THE BANKS TO REMIT RS.1,65,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF DELTA POLYSTERS LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 188 |
|
|
DEWAN RUBBER INDUSTRIES LTD.
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.2,00,000
13-FEB-2018
|
|
| 189 |
|
|
DEWAN TYRES LTD.
(PAN:AAACD6090N)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.1,00,000
27-FEB-2015
|
|
| 190 |
|
|
DEZIRE RESEARCH
(PAN:AGXPC3196L)
|
|
|
|
NISHANT CHOPRA
PAN:AGXPC3196L
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
SOLD ADVISORY SERVICES PRIOR TO COMMUNICATION OF RISK PROFILE
SOLD ADVISORY SERVICES/PACKAGES OVERLAPPING SUBSCRIPTION PERIOD WITH HUGE AMOUNT OF FEES
DID NOT HAVE REQUISITE NISM CERTIFICATES AT ALL TIMES TO PROVIDE INVESTMENT ADVICE
SOLD ADVISORY SERVICES/PACKAGES TO SAME CLIENTS ON MULTIPLE OCCASION AT DIFFERENT ARBITRARY PRICE FOR FUTURE/OVERLAPPING PERIOD WHILE EXISTING SUBSCRIPTION WAS ACTIVE
PROVIDED WRONG INFORMATION AND/OR MISREPRESENTED TO CLIENTS
DID NOT MAINTAIN RECORDS OF COMMUNICATION WITH CLIENTS DURING RISK PROFILING AND SUITABILITY ASSESSMENT OF ADVICE/SELECTION OF ADVISORY PRODUCT/SERVICES
REPRESENTATIVES/EMPLOYEES DID NOT HAVE REQUISITE QUALIFICATION AND CERTIFICATION
DID NOT MAKE DISCLOSURE TO CLIENTS ABOUT FINANCIAL POSITION OR HOLDING
DID NOT MAKE DISCLOSURE THAT PROPRIETOR OF NOTICEE WAS EMPLOYED WITH A BROKING FIRM AND WAS ALSO HOLDING SHARES
THREATENED COMPLAINANTS TO WITHDRAW THE COMPLAINT ON SCORES FALLING WHICH SERVICES WILL NOT BE PROVIDED
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-JUL-2023
|
SEBI VIDE ITS NOTICE DATED 12/12/2023 DIRECTED TO PAY RS.10,61,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 16/01/2025 CANCELLED THE RECOVERY CERTIFICATE NO.7466 OF 2023 DATED 12/12/2023
|
| 191 |
|
|
DHAMPURE SPECIALITY SUGARS LTD.
(PAN:AACCD0719N)
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.10,000
10-APR-2013
|
|
| 192 |
|
|
DHANENDRA OVERSAS LTD.
(CIN:L17110GJ1985PLC007948
PAN:AAACD4127G)
|
|
|
|
BHUPENDRA BABULAL GANDHI
|
|
|
NAVINCHANDRA BABULAL GANDHI
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS/NOTICES/LETTERS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 07-APR-2011 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-APR-2011 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
07-APR-2011
|
|
| 193 |
|
|
DHANENDRA OVERSAS LTD.
(CIN:L17110GJ1985PLC007948
PAN:AAACD4127G)
|
|
|
DID NOT RESPOND TO SHOW CAUSE NOTICE REGARDING REDRESSAL OF INVESTORS GRIEVANCES
|
DIRECTED TO REDRESS INVESTOR GRIEVANCES
14-OCT-2002
|
SAT: APPEAL DISMISSED ON GROUND THAT THIS IS A CLEAR CASE OF MISMANAGEMENT AND APPLICANTS BOUND TO ATTEND GRIEVANCES OF SHAREHOLDERS WITHIN STIPULATED TIME SCHEDULE
|
| 194 |
|
|
DHANENDRA OVERSAS LTD.
(CIN:L17110GJ1985PLC007948
PAN:AAACD4127G)
|
|
|
|
ARVIND J.SHAH
|
|
|
BHUPENDRA BABULAL GANDHI
|
|
|
NAVINCHANDRA BABULAL GANDHI
|
|
|
SUCHIL M.KOTHARI
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-OCT-2003 TO 09-OCT-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-OCT-2003 TO 09-OCT-2008
10-OCT-2003
|
SAT: APPEAL DISMISSED ON GROUND THAT THIS IS A CLEAR CASE OF MISMANAGEMENT AND APPLICANTS BOUND TO ATTEND GRIEVANCES OF SHAREHOLDERS WITHIN STIPULATED TIME SCHEDULE
|
| 195 |
|
|
DHAR INDUSTRIES LTD.
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.4,00,000
05-FEB-2014
|
SEBI VIDE ITS NOTICE DATED 16/11/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS NOTICE DATED 24/01/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.8,81,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 196 |
|
|
DHARNENDRA INDUSTRIES LTD.
(CIN:L15200GJ1986PLC009146
PAN:AAACD4124F)
|
|
|
DID NOT RESPOND TO SHOW CAUSE NOTICE REGARDING REDRESSAL OF INVESTORS GRIEVANCES
|
DIRECTED TO REDRESS INVESTOR GRIEVANCES
14-OCT-2002
|
SAT: APPEAL DISMISSED ON GROUND THAT THIS IS A CLEAR CASE OF MISMANAGEMENT AND APPLICANTS BOUND TO ATTEND GRIEVANCES OF SHAREHOLDERS WITHIN STIPULATED TIME SCHEDULE
|
| 197 |
|
|
DHARNENDRA INDUSTRIES LTD.
(CIN:L15200GJ1986PLC009146
PAN:AAACD4124F)
|
|
|
|
BHARAT P.DELVALA
|
|
|
BHUPENDRA BABULAL GANDHI
|
|
|
DHARMENDRA BABULAL GANDHI
|
|
|
NAVINCHANDRA BABULAL GANDHI
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS/NOTICES/LETTERS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 07-APR-2011 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-APR-2011 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
07-APR-2011
|
|
| 198 |
|
|
DHARNENDRA INDUSTRIES LTD.
(CIN:L15200GJ1986PLC009146
PAN:AAACD4124F)
|
|
|
|
ARVIND J.SHAH
|
|
|
BHUPENDRA BABULAL GANDHI
|
|
|
DHARMENDRA BABULAL GANDHI
|
|
|
NAVINCHANDRA BABULAL GANDHI
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-OCT-2003 TO 09-OCT-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-OCT-2003 TO 09-OCT-2008
10-OCT-2003
|
SAT: APPEAL DISMISSED ON GROUND THAT THIS IS A CLEAR CASE OF MISMANAGEMENT AND APPLICANTS BOUND TO ATTEND GRIEVANCES OF SHAREHOLDERS WITHIN STIPULATED TIME SCHEDULE
|
| 199 |
|
|
DIAMANT INFRASTRUCTURE LTD.
(PAN:AAACD2168B)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
IMPOSED PENALTY RS.2,00,000
27-MAR-2015
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 03/10/2018 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS ORDER DATED 24/01/2019 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS,DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 03/10/2018
|
| 200 |
|
|
DIGHE ELECTRONICS LTD.
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES IN STIPULATED TIME
|
IMPOSED PENALTY RS.1,50,000
22-SEP-2014
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 10 of 48
|
