| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
DIPCHAND DEVELOPMENT CO.LTD.
(PAN:AABCD6788N)
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.2,00,000
14-FEB-2018
|
|
| 202 |
|
|
DOLLAR ADVISORY & FINANCIAL SERVICES
(PAN:AKBPM7004R)
|
|
|
|
RAVI PRAKASH MOHTA
PAN:AKBPM7004R
|
|
DID NOT SUBMIT INFORMATION SOUGHT BY SEBI
DID NOT MAKE DISCLOSURE OF CHANGE OF REGISTERED OFFICE ADDRESS TO SEBI
DID NOT MAINTAIN RECORDS PERTAINING TO RISK PROFILING AND RISK ASSESSMENT OF CLIENTS
OFFERED MULTIPLE PACKAGES TO EARN HUGE AMOUNT OF SERVICE FEES FROM CLIENTS
SOLD ADVISORY SERVICES PRIOR TO COMMUNICATION OF RISK PROFILE
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE
SOLD PRODUCTS TO CLIENTS WHICH WERE NOT SUITABLE TO RISK PROFILE OF THE CLIENTS
CHARGED ADVISORY FEES BEFORE EXPIRY OF TENURE OF EXISTING SERVICE/COLLETING MULTIPLE PAYMENTS IN SHORT PERIOD
DID NOT ADHERE TO SEBI CIRCULARS IN RELATION TO COMPLIANCE WITH PROVISIONS OF PREVENTION OF MONEY LAUNDERING ACT AND ANTI MONEY LAUNDERING GUIDELINES
TRADED ON BEHALF OF CLIENTS
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 24-NOV-2022
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO REDRESS INVESTOR GRIEVANCES
24-NOV-2022
|
SAT: SAT VIDE ITS ORDER DATED 03/05/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 30/06/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 09/08/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 22/04/2026 CONDONED THE DELAY IN FILING OF APPEAL AND STAYED RECOVERY PROCEEDING SUBJECT TO DEPOSIT 50% PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 06/10/2026 ALLOWED THE APPEAL. NO COSTS
|
| 203 |
|
|
DOON VALLEY FOODS PVT.LTD.
(PAN:AACCD1490J)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF HIMALYA INTERNATIONAL LTD.
|
IMPOSED PENALTY RS.4,00,000 ALONG WITH OTHER ENTITIES/PERSONS
05-JUL-2017
|
|
| 204 |
|
|
DR.M.SOY & GENERAL FOODS LTD.
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.2,00,000
18-DEC-2015
|
|
| 205 |
|
|
DRAPERS INDIA LTD.
(PAN:AAACD8864A)
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.60,000
31-JAN-2018
|
|
| 206 |
|
|
DRIFT FINANCIAL SERVICES
(PAN:AODPC6797H)
|
|
|
|
AJAY CHAUHAN
PAN:AODPC6797H
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
DID NOT MAKE DISCLOSURE OF MARKET RISK ASSOCIATED WITH INVESTMENT IN SECURITIES MARKET TO ITS CLIENTS
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES IN STIPULATED TIME
|
IMPOSED PENALTY RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-MAY-2022
|
SEBI VIDE ITS NOTICE DATED 30/08/2022 DIRECTED TO PAY RS.7,22,863.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 20/10/2022 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.8,48,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 207 |
|
|
DSJ COMMUNICATIONS LTD.
(PAN:AAACD1935A
CIN:L22120MH1989PLC054329)
|
|
|
|
JAYESH DADIA
|
|
|
NITIN NATHURAM SAWANT
|
|
|
SANJAY VIJAY SINGH PADODA
|
|
|
VIJAYSINGH B.PADODE
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
DIRECTED TO RESOLVE THE GRIEVANCES AND SUBMIT STATUS REPORT TO SEBI
20-JUL-2011
|
SHOW CAUSE NOTICE DATED 23/02/2012 ISSUED
SEBI VIDE ITS ORDER DATED 27/07/2012 CONFIRMED THAT ACTION TAKEN REPORT HAS BEEN SUBMITTED AND ALL THE PENDING COMPLAINTS HAVE BEEN REDRESSED. SHOW CAUSE NOTICE DATED 22/02/2012 HAS BEEN DISPOSED OFF
|
| 208 |
|
|
DUPONT SPORTSWEAR LTD.
|
|
|
|
ASHOK KUMAR JALAN
|
|
|
SIDDHAARTH KUMAR JALAN
|
|
|
VIJAY KUMAR AGRAWAL
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
DIRECTED TO RESOLVE THE GRIEVANCES AND SUBMIT STATUS REPORT TO SEBI
20-JUL-2011
|
SHOW CAUSE NOTICE DATED 23/02/2012 ISSUED
|
| 209 |
|
|
DYNACHEM PHARMACEUTICALS (EXPORTS) LTD.
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.1,00,000
17-OCT-2019
|
|
| 210 |
|
|
DYNASTY FINANCIAL CORP.LTD.
(PAN:AAACD2030Q)
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,00,000
30-MAR-2016
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 09/10/2018 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 26/09/2019 DIRECTED ALL THE BANKS TO REMIT RS.1,29,274.00 TO THE EXTENT LYING IN THE ACCOUNT OF DYNASTY FINANCIAL CORP.LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 211 |
|
|
DYNAVOX INDUSTRIES LTD.
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-JUL-2015 TILL OBTAINS SCORES AUTHENTICATION
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-JUL-2015 TILL OBTAINS SCORES AUTHENTICATION
10-JUL-2015
|
|
| 212 |
|
|
DYNAVOX INDUSTRIES LTD.
|
|
|
DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,00,000
16-JAN-2018
|
SEBI VIDE ITS NOTICE DATED 06/12/2022 DIRECTED TO PAY RS.1,61,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
AS PER SEBI NOTICE DATED 28/12/2022 NOTICEE IS UNTRACEABLE
SEBI VIDE ITS NOTICE DATED 17/01/2023 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 03/03/2023 DIRECTED ALL THE BANKS TO REMIT RS.1,64,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF DYNAVOX INDUSTRIES LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 213 |
|
|
EARNEST HEALTHCARE LTD.
(CIN:U24224MP1978PLC001470)
|
|
|
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.10,00,000
12-NOV-2012
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: APPEAL ALLOWED WITH A DIRECTION TO DEAL EFFECTIVELY WITH ALL THE PENDING GRIEVANCES OF INVESTORS. NO COSTS
|
| 214 |
|
|
EARNEST HEALTHCARE LTD.
(CIN:U24224MP1978PLC001470)
|
|
|
|
ALOK CHAND JAIN
|
|
|
FRANKLIN JOHN
|
|
|
IGNATIUS MARTIN JOHN
DIN:01675230
|
|
|
RAM KISHORE SINGHAL
|
|
|
RENU JOHN
DIN:00349111
|
|
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
|
|
| 215 |
|
|
EARNEST HEALTHCARE LTD.
(CIN:U24224MP1978PLC001470)
|
|
|
DID NOT RESPOND TO SHOW CAUSE NOTICE REGARDING REDRESSAL OF INVESTORS GRIEVANCES
|
DIRECTED TO REDRESS INVESTOR GRIEVANCES
14-OCT-2002
|
|
| 216 |
|
|
EAST INDIA IRON & STEEL CO.LTD.
(PAN:AAACE2716N)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.3,00,000
30-JAN-2015
|
|
| 217 |
|
|
EASTERN MINING & ALLIED INDUSTRIES LTD.
(CIN:L51909ML1993PLC003931)
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.12,00,000
31-JUL-2018
|
SEBI VIDE ITS NOTICE DATED 21/01/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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
|
| 218 |
|
|
EBERS PHARMACEUTICALS 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 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
|
|
| 219 |
|
|
ECO RECYCLING LTD.
|
|
|
DELAY IN REGISTRATION 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.1,00,000
10-SEP-2014
|
|
| 220 |
|
|
EDUEXEL INFOTAINMENT LTD.
(CIN:L92100TN1990PLC019605
PAN:AADCT3496R)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
DID NOT DEMATERIALISE SHARES IN TIME
|
IMPOSED PENALTY RS.6,00,000
13-JUN-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 27/04/2023 DIRECTED TO PAY RS.10,27,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 22/09/2023 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 NOTICE DATED 12/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.10,63,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS ORDER DATED 19/01/2026 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, IF ANY, ALONG WITH ORIGINAL TITLE DEEDS PERTAINING TO THE PROPERTIES, WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, SOUTHERN REGIONAL OFFICE, CHENNAI D) DEFAULTERS AND INSPECTOR GENERAL OF REGISTRATION OF ALL THE STATES AND UNION TERRITORIES AND SPECIFICALLY TO THE CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS IN THE STATE OF TAMIL NADU E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED / HELD BY THE DEFAULTER, INCLUDING THE SAID PROPERTIES, IF PRESENTED FOR REGISTRATION
|
| 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 11 of 48
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