| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 181 |
|
CREDENTIAL STOCK BROKERS LTD.
(PAN:AABCC1868L)
(Member : NSE)
|
|
|
DID NOT HOLD MEMBERSHIP OF ANY RECOGNISED STOCK EXCHANGES VIOLATING REGULATION 9(A) OF SEBI (STOCK BROKER) REGULATIONS, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 14-FEB-2022
14-FEB-2022
|
|
| 182 |
|
|
CRYSTAL CAPITAL TRUST PVT.LTD.
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 09-JUL-2003
09-JUL-2003
|
|
| 183 |
|
|
D.JASRAPURIA & CO.
(Member : UPSE)
|
|
|
|
DILIP KUMAR JASRAPURIA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 15-APR-2002
15-APR-2002
|
|
| 184 |
|
|
DAGA & SONS
(Member : CSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 185 |
|
|
DAGA COMMODITIES PVT.LTD.
(PAN:AABCS5420N)
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 25-APR-2023
25-APR-2023
|
SAT: SAT VIDE ITS ORDER DATED 08/08/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 30/10/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 06/12/2023 CONDONED THE DELAY IN FILING OF REPLY AND REPLY AND REJOINDER TAKEN ON RECORD. EXEMPTION APPLICATIONS, IF ANY ALLOWED
SAT: SAT VIDE ITS ORDER DATED 12/12/2023 DISPOSED OF THE GROUP OF APPEALS BY DIRECTING SEBI TO CONSIDER AND COME OUT WITH A SCHEME UNDER SETTLEMENT REGULATIONS PREFERABLY WITHIN THREE MONTHS FROM DATE OF THIS ORDER. IN THE EVENT, SCHEME NOT FRAMED UNDER SETTLEMENT REGULATIONS BY SEBI THEN SAID DECISION TO BE COMMUNICATED TO ALL APPELLANTS
SAT: SAT VIDE ITS ORDER DATED 14/03/2024 ALLOWED EXTENSION OF FOUR MONTHS W.E.F.11/03/2024 FOR COMING OUT WITH A SCHEME UNDER SEBI (SETTLEMENT PROCEEDINGS) REGULATIONS, 2018 AS DIRECTED BY THIS TRIBUNAL VIDE ORDER DATED 12/12/2023
SAT: SAT VIDE ITS ORDER DATED 12/07/2024 GRANTED EXTENSION OF SIX MONTHS TO COMPLETE THE ENTIRE PROCEEDINGS AND COME OUT WITH A SCHEME UNDER THE SETTLEMENT REGULATIONS
SAT: SAT VIDE ITS ORDER DATED 12/03/2025 GRANTED EXTENSION FOR FOUR MONTHS TO COMPLY WITH ORDER DATED 12/12/2023
|
| 186 |
|
|
DALEEP KHOSLA,M/S
(Member : NSE)
|
|
|
|
DALEEP KHOSLA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004
03-SEP-2004
|
|
| 187 |
|
|
DAVIS THOMAS,M/S
(Member : COCSE)
|
|
|
|
DAVIS THOMAS
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 188 |
|
|
DAYANAND AGARWAL,M/S
(Member : UPSE)
|
|
|
|
DAYANAND AGARWAL
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 29-SEP-2004
29-SEP-2004
|
|
| 189 |
|
|
DEBASHISH BOSE,M/S
(Member : GSE)
|
|
|
|
DEBASHISH BOSE
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 190 |
|
|
DEENA DAYAL SARDA,M/S
(Member : UPSE)
|
|
|
|
DEENA DAYAL SARDA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 15-APR-2002
15-APR-2002
|
|
| 191 |
|
|
DEEPAK PORTFOLIOS LTD.
(Member : OTC)
|
|
|
DID NOT PAY FEES TO SEBI
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008
23-JAN-2008
|
|
| 192 |
|
|
DEEPAK RELAN,M/S
(Member : DSE)
|
|
|
|
DEEPAK RELAN
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004
03-SEP-2004
|
|
| 193 |
|
|
DEEPAK S.OBEROI,M/S
(Member : OTC)
|
|
|
|
DEEPAK S.OBEROI
|
|
DID NOT PAY FEES TO SEBI
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-JAN-2008
23-JAN-2008
|
|
| 194 |
|
|
DEEPIKA FINANCIAL SERVICES LTD.
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
DID NOT PAY FEES TO SEBI
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 15-MAR-2007
15-MAR-2007
|
|
| 195 |
|
|
DEROLIA & CO.
(Member : UPSE)
|
|
|
|
JAGDISH PRASAD DEROLIA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 29-SEP-2004
29-SEP-2004
|
|
| 196 |
|
|
DESAI ASSOCIATES
(Member : SKSE)
|
|
|
|
AMUL DEVENDRA DESAI
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004
03-SEP-2004
|
|
| 197 |
|
|
DESTINY SECURITIES LTD.
(PAN:AABCD9470H)
(Member : NSE/BSE)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024
30-AUG-2024
|
|
| 198 |
|
|
DEVATHA HOLDINGS PVT.LTD.
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-JAN-2005
03-JAN-2005
|
|
| 199 |
|
|
DHANESH BAID,M/S
(Member : JSE)
|
|
|
|
DHANESH BAID
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 24-DEC-2002
24-DEC-2002
|
|
| 200 |
|
|
DIAMOND SECURITIES PVT.LTD.
(Member : NSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004
03-SEP-2004
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
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| Page 10 of 43
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