| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 261 |
|
DIMENSIONAL SECURITIES PVT.LTD.
(PAN:AABCD1804D)
(Member : BSE/NSE)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-JAN-2007 TILL FURTHER ORDERS
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
REVOKED EARLIER DIRECTION ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 17/01/2007 WITH IMMEDIATE EFFECT
|
| 262 |
|
|
DINESH KUMAR BUBNA,M/S
(Member : CSE)
|
|
|
|
DINESH KUMAR BUBNA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS BY MATCHING ORDER QUANTITY, PRICE AND TIMINGS OF BUY AND SELL TRANSACTIONS IN SCRIP OF SUPERSTAR LEAFIN LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-JAN-2006 TO 17-JUL-2006
28-DEC-2005
|
|
| 263 |
|
|
DINESH KUMAR KANORIA,M/S
(Member : CSE)
|
|
|
|
DINESH KUMAR KANORIA
|
|
IRREGULARITIES IN DEALING IN SCRIP OF M.P.INVESTMENT & CONSULTANCY SERVICES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 10-OCT-2004 TO 09-NOV-2004
20-SEP-2004
|
|
| 264 |
|
|
DINESH KUMAR LODHA,M/S
(Member : CSE)
|
|
|
|
DINESH KUMAR LODHA
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE TRADING ON BEHALF OF CLIENT IN SCRIP OF RADIANT FINANCIAL SERVICES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF RADIANT FINANCIAL SERVICES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-APR-2009 TO 20-JUL-2009
31-MAR-2009
|
|
| 265 |
|
|
DINESH KUMAR LODHA,M/S
(Member : CSE)
|
|
|
|
DINESH KUMAR LODHA
|
|
ACTED IN CONCERT WITH OTHER BROKERS TO CREATE ARTIFICIAL MARKET AND PRICE RISE THROUGH CONTINUOUS SELF DEALS EXECUTED AT ONE TERMINAL AND CROSS DEALS AMONG THEMSELVES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-NOV-2005 TILL FURTHER ORDERS
30-NOV-2005
|
DIRECTED THAT INTERIM ORDER SHALL REMAIN IN FORCE TILL FURTHER ORDERS
RESTRAINT ORDER IMPOSED BY WAY OF INTERIM ORDERS DATED 29/09/2005 AND 30/11/2005 AND LATER CONFIRMED BY ORDERS DATED 12/01/2006 AND 31/05/2006 VACATED
|
| 266 |
|
|
DINESH KUMAR LODHA,M/S
(Member : CSE)
|
|
|
|
DINESH KUMAR LODHA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF CONTINENTAL FISCAL MANAGEMENT LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) AND B(4)(A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) IN MATTER OF CONTINENTAL FISCAL MANAGEMENT LTD.
|
IMPOSED PENALTY RS.2,50,000
02-JUN-2010
|
INCLUDED IN SEBI LIST DATED 30/06/2011, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 267 |
|
|
DINESH KUMAR LODHA,M/S
(Member : CSE)
|
|
|
|
DINESH KUMAR LODHA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS/SYNCHRONIZED TRANSACTIONS IN SCRIP OF EXCELLON AGENCIES LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE ,INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) AND B(4) (A) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF EXCELLON AGENCIES LTD.
|
IMPOSED PENALTY RS.1,00,000
06-MAY-2010
|
INCLUDED IN SEBI LIST DATED 30/06/2011, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 268 |
|
|
DINESH KUMAR MODI & CO.
(Member : CSE)
|
|
|
|
DINESH KUMAR MODI
|
|
ALLOWED CROSS DEALS VIOLATING CLAUSE B (4) (A) OF CODE OF CONDUCT OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 UNDER REGULATION 7 OF STOCK BROKER REGULATIONS WHILE DEALING IN SCRIP OF TWENTY FIRST CENTURY (INDIA) LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS IN SCRIP OF TWENTY FIRST CENTURY (INDIA) LTD.
|
PROHIBITED FROM TAKING ANY NEW ASSIGNMENT AS A STOCK BROKER FROM 05-JAN-2011 TO 04-FEB-2011
15-DEC-2010
|
|
| 269 |
|
|
DIPAK G.CHOLERA,M/S
(Member : BSE)
|
|
|
|
DIPAK G.CHOLERA
|
|
IN THE CASE OF AMARA RAJA BATTERIES LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
15-JUL-2002
|
|
| 270 |
|
|
DOE JONES INVESTMENTS & CONSULTANTS PVT.LTD.
(Member : CSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF DSQ INDUSTRIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JAN-2005 TO 18-JAN-2007
19-JAN-2005
|
|
| 271 |
|
|
DOLAT CAPITAL MARKET PVT.LTD.
(PAN:AAACD1518M)
(Member : NSE/BSE/DSE/ASE/OTC)
|
|
|
|
BAKUL A.DESAI
|
|
|
HARENDRA DOLATRAI SHAH
PAN:AAFPS1912G
|
|
|
HARSHA HARENDRA SHAH
|
|
|
NIRUPAMA PANKAJ SHAH
|
|
|
PANKAJ DOLATRAI SHAH
PAN:AAFPS1913H
|
|
|
RAJENDRA DOLATRAI SHAH
PAN:AAFPS1910E
|
|
|
VAIBHAV PANKAJ SHAH
|
|
INDULGED IN NEGOTIATED DEALS WITH MATCH TRANSACTIONS IN SCRIP OF DSQ SOFTWARE LTD.,GLOBAL TELE-SYSTEMS LTD.,HIMACHAL FUTURISTIC COMMUNICATIONS LTD.,HINDUSTAN LEVER LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
16-AUG-2007
|
|
| 272 |
|
|
DOLAT CAPITAL MARKET PVT.LTD.
(PAN:AAACD1518M)
(Member : BSE/NSE)
|
|
|
|
HARENDRA DOLATRAI SHAH
PAN:AAFPS1912G
|
|
|
PANKAJ DOLATRAI SHAH
PAN:AAFPS1913H
|
|
|
RAJENDRA DOLATRAI SHAH
PAN:AAFPS1910E
|
|
|
SHILPA RAJENDRA SHAH
PAN:AAQPS0181A
|
|
COLLUDED WITH CLIENTS TO EXECUTE PREDETERMINED TRADES TO SQUARED OFF THE TRADES AND BOOK PROFITS/LOSSES IN MATTER OF INDEX OPTIONS CONTRACTS OF NIFTY
DID NOT CARRY OUT NECESSARY DUE DILIGENCE AND COMPLIANCE WITH STATUTORY REQUIREMENTS WHILE DEALING WITH CLIENTS IN MATTER OF INDEX OPTIONS CONTRACTS OF NIFTY
|
IMPOSED PENALTY RS.6,00,000
30-AUG-2024
|
|
| 273 |
|
|
DPS SHARES & SECURITIES PVT.LTD.
(PAN:AABCD1053A)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR/SYNCHRONIZED TRANSACTIONS IN SCRIP OF G.G.AUTOMOTIVE GEARS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A (1) TO A (5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF G.G.AUTOMOTIVE GEARS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 03-FEB-2011 TO 02-MAR-2011
13-JAN-2011
|
|
| 274 |
|
|
DPS SHARES & SECURITIES PVT.LTD.
(PAN:AABCD1053A)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR/SYNCHRONIZED/STRUCTURED AND OFF MARKET TRANSACTIONS IN SCRIP OF ZIGMA SOFTWARE LTD.
|
IMPOSED PENALTY RS.5,00,000
14-AUG-2009
|
SAT: IMPUGNED ORDER DATED 14/08/2009 MODIFIED AND PENALTY AMOUNT REDUCED TO RS.5,00,000 FROM RS.10,00,000. APPEAL DISPOSED OFF. NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 14/07/2014 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 26/12/2022 DIRECTED ALL THE BANKS TO REMIT RS.12,76,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF DPS SHARES & SECURITIES PVT.LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 275 |
|
|
DPS SHARES & SECURITIES PVT.LTD.
(PAN:AABCD1053A)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND CIRCULAR TRANSACTIONS AND REVERSAL OF TRADE TRANSACTONS IN SCRIP OF KRBL LTD.
DID NOT MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE ,INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF KRBL LTD.
|
IMPOSED PENALTY RS.3,50,000
29-JUL-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 276 |
|
|
DPS SHARES & SECURITIES PVT.LTD.
(PAN:AABCD1053A)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRANSACTIONS IN SCRIP OF PRRANETA INDUSTRIES LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF PRRANETA INDUSTRIES LTD.
|
IMPOSED PENALTY RS.2,00,000
22-MAY-2012
|
SEBI VIDE ITS NOTICE DATED 21/12/2017 DIRECTED ALL THE BANKS 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 26/12/2022 DIRECTED ALL THE BANKS TO REMIT RS.4,53,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF DPS SHARES & SECURITIES PVT.LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 277 |
|
|
DPS SHARES & SECURITIES PVT.LTD.
(PAN:AABCD1053A)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED/CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF RAJESH EXPORTS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF RAJESH EXPORTS LTD.
|
IMPOSED PENALTY RS.1,00,000
30-JUN-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 16/07/2014 DIRECTED ALL THE BANKS 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
|
| 278 |
|
|
DPS SHARES & SECURITIES PVT.LTD.
(PAN:AABCD1053A)
(Member : BSE)
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
INDULGED IN CIRCULAR, SYNCHRONIZED AND REVERAL OF TRADE TRANSACTIONS IN SCRIP OF ROBINSON WORLDWIDE TRADE LTD.
|
IMPOSED PENALTY RS.4,00,000
28-JUL-2008
|
SEBI VIDE ITS NOTICE DATED 11/07/2014 DIRECTED ALL THE BANKS 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
|
| 279 |
|
|
DPS SHARES & SECURITIES PVT.LTD.
(PAN:AABCD1053A)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH STRUCTURED, SELF AND CIRCULAR TRADES IN SCRIP OF TASC PHARMACEUTICALS LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE ,INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF TASC PHARMACEUTICALS LTD.
|
SHOW CAUSE NOTICE ISSUED
24-NOV-2009
|
|
| 280 |
|
|
DPS SHARES & SECURITIES PVT.LTD.
(PAN:AABCD1053A)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF GENUS COMMU-TRADE LTD
|
IMPOSED PENALTY RS.1,15,000
22-JUL-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 10/07/2014 DIRECTED ALL THE BANKS 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
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 14 of 62
|
