| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
DIGITAL LEASING & FINANCE 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
|
|
| 202 |
|
|
DINESH G.THAKKAR,M/S
(Member : SKSE)
|
|
|
|
DINESH G.THAKKAR
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 13-MAY-2002
13-MAY-2002
|
|
| 203 |
|
|
DINESH KUMAR SINGHANIA & CO.
(Member : CSE)
|
|
|
|
DINESH KUMAR SINGHANIA
|
|
DECLARED DEFAULTER AND NOT RE-ADMITTED WITHIN A PERIOD OF SIX MONTHS
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2001
22-OCT-2001
|
|
| 204 |
|
|
DINESH S.SHARMA,M/S
(Member : JSE)
(Along with : AGRASEN ENGINEERING INDUSTRIES LTD.)
|
|
|
|
DINESH SHARMA
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 24-DEC-2002
24-DEC-2002
|
|
| 205 |
|
|
DISHA CAPITAL SERVICES LTD.
(Member : NSE)
|
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 16-JAN-2004
16-JAN-2004
|
|
| 206 |
|
|
DIVYA SECURITIES
(Member : BGSE)
|
|
|
|
B.SHIVAKUMAR
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 22-OCT-2002
22-OCT-2002
|
|
| 207 |
|
|
DOE JONES INVESTMENTS & CONSULTANTS PVT.LTD.
(Member : CSE)
|
|
|
DECLARED DEFAULTER AND NOT RE-ADMITTED WITHIN A PERIOD OF SIX MONTHS
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-JUL-2002
30-JUL-2002
|
|
| 208 |
|
|
DOMINIC PAUL MANAVALAN,M/S
(Member : COCSE)
|
|
|
|
DOMINIC PAUL MANAVALAN
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 12-FEB-2007
12-FEB-2007
|
|
| 209 |
|
|
DOSHI INVESTMENT
(Member : PSE)
(Along with : RAMESHKUMAR UTTAMCHAND DOSHI,M/S)
|
|
|
|
RAMESHKUMAR UTTAMCHAND DOSHI
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-AUG-2004
27-AUG-2004
|
|
| 210 |
|
|
DREAMS BROKING PVT.LTD.
(Member : BSE/NSE/MSEI)
|
|
|
USED SECURITIES FROM CLIENTS TO MEET OBLIGATION OF ANOTHER CLIENT
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 31-JAN-2023
31-JAN-2023
|
|
| 211 |
|
|
DRESDNER KLEINWORT WASSERSTEIN SECURITIES (INDIA) PVT.LTD.
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH MATCHED AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF DSQ SOFTWARE LTD.
VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS
DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE EXECUTING TRADES FOR CLIENTS IN SCRIP OF DSQ SOFTWARE LTD.
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 17-MAY-2007
26-APR-2007
|
SAT: APPEAL DISMISSED AS WITHDRAWN
|
| 212 |
|
|
E F COMMODITIES PVT.LTD.
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-FEB-2023
23-FEB-2023
|
|
| 213 |
|
|
EDEN FINANCIAL SERVICES
(Member : NSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-SEP-2004
03-SEP-2004
|
|
| 214 |
|
|
E'L DORADO GUARANTEE LTD.
(Member : NSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 26-SEP-2003
26-SEP-2003
|
|
| 215 |
|
|
E'L DORADO GUARANTEE LTD.
(Member : SKSE)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 29-OCT-2004
29-OCT-2004
|
|
| 216 |
|
|
E'L DORADO GUARANTEE LTD.
(Member : OTC)
|
|
|
DID NOT ADHERE TO SEBI (COLLECTIVE INVESTMENT SCHEMES) REGULATION, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 23-SEP-2003
23-SEP-2003
|
|
| 217 |
|
|
E'L DORADO GUARANTEE LTD.
(Member : BSE)
|
|
|
DECLARED DEFAULTER BY THE EXCHANGE AND EXPELLED
DID NOT ADHERE TO THE PROVISION OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 03-JUL-2003
03-JUL-2003
|
|
| 218 |
|
|
EMKAY COMMOTRADE LTD.
(PAN:AABCE5412E)
(Member : NSEL)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 09-JUN-2023
09-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 13/07/2023 DIRECTED REPLY TO BE FILED WITHIN TWO WEEKS AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE. STAYED EFFECT AND OPERATION OF IMPUGNED ORDER
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
|
| 219 |
|
|
ENRICH FINANCE & SECURITIES LTD.
(PAN:AAACE2292F)
(Member : NSE)
|
|
|
NO LONGER A MEMBER OF ANY STOCK EXCHANGE
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 30-AUG-2024
30-AUG-2024
|
|
| 220 |
|
|
EPIC ENERGY 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 11 of 43
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