| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 381 |
|
DHUMIL V.SHETH
(PAN:AYDPS4431Q)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SHARP INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3), 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SHARP INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 12(1) AND 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHARP INDUSTREIS LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
06-SEP-2017
|
|
| 382 |
|
|
DHWANI ANKUR BORANA
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF R&B DENIMS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-OCT-2017
|
|
| 383 |
|
|
DIGAMBAR PATIL
(PAN:AAGCA0999K)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF JAYANT MERCANTILE CO.LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF JAYANT MERCANTILE CO.LTD.
|
IMPOSED PENALTY RS.2,00,000
20-DEC-2017
|
SEBI VIDE ITS NOTICE DATED 22/06/2018 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 10/07/2018 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 30/05/2018
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 384 |
|
|
DILEEP MALHOTRA
(PAN:AFBPM6027K)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(6), 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF EMPIRE INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,83,226 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
21-JAN-2019
|
|
| 385 |
|
|
DILIP SHETH
(PAN:AAJPS6896B)
|
|
|
|
ALANG INDUSTRIAL GASES LTD.
CIN:L24111GJ1995PLC025266
PAN:AAACA3238R
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF ALANG INDUSTRIAL GASES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF ALANG INDUSTRIAL GASES LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-SEP-2020
|
|
| 386 |
|
|
DIMPLE VIPUL PATEL
(PAN:ATFPP3319P)
(Along with : HITESH MOHANBHAI PATEL,
BHAVNA HITESH PATEL,
VIPUL MOHANBHAI PATEL,
VAISHALI VIJAY PATEL,
VIJAY JEEVAN PATEL)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF NUTRICIRCLE LTD.
|
IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
25-JUN-2024
|
|
| 387 |
|
|
DIMPLE VIPUL PATEL
(PAN:ATFPP3319P)
(Along with : HITESH MOHANBHAI PATEL,
BHAVNA HITESH PATEL,
VIPUL MOHANBHAI PATEL,
VAISHALI VIJAY PATEL,
VIJAY JEEVAN PATEL)
|
|
|
DELAY IN MAKING PUBLIC ANNOUNCEMENT VIOLATING SECTION 12A(F) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(1), 3(2), 3(3), 4 READ WITH 13 AND 25(5) OF SEBISAST REGULATIONS, 2011 IN MATTER OF NUTRICIRCLE LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
25-JUN-2024
|
|
| 388 |
|
|
DIMPLE VIPUL PATEL
(PAN:ATFPP3319P)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF NUTRICIRCLE LTD.
|
IMPOSED PENALTY RS.2,00,000
25-JUN-2024
|
|
| 389 |
|
|
DINESH C.KHIMAVAT
(PAN:AAEPK3323Q)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 3(1) AND 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF KANCHAN INTERNATIONAL LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-MAY-2020
05-MAY-2020
|
|
| 390 |
|
|
DINESH C.KHIMAVAT
(PAN:AAEPK3323Q)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF KANCHAN INTERNATIONAL LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF KANCHAN INTERNATIONAL LTD.
|
IMPOSED PENALTY RS.11,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-APR-2021
|
SEBI VIDE ITS NOTICE DATED 27/07/2023 DIRECTED TO PAY RS.14,09,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 18/08/2023 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 30/08/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.14,20,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS NOTICE DATED 06/09/2023 ALLOWED THE APPEAL AND 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 18/08/2023
SEBI VIDE ITS ORDER DATED 06/09/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6994 OF 2023 DATED 27/07/2023
|
| 391 |
|
|
DINESH JAGDISHCHANDRA KHOKHANI
(PAN:AACPK2975Q)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SYSCHEM (INDIA) LTD.
|
IMPOSED PENALTY RS.1,00,000
21-DEC-2022
|
|
| 392 |
|
|
DINESH JAYANTLAL DOSHI
(PAN:AHTPD3510C)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ACCLAIM INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ACCLAIM INDUSTRIES LTD.
|
IMPOSED PENALTY RS.3,00,000
31-AUG-2018
|
SEBI VIDE ITS NOTICE DATED 30/01/2019 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 NOTICE DATED 21/08/2023 ALLOWED THE APPEAL AND 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 30/01/2019
|
| 393 |
|
|
DINESH KUMAR
(PAN:AVDPK5041M)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF MULTIPURPOSE TRADING & AGENCIES LTD.
|
IMPOSED PENALTY RS.1,00,000
13-DEC-2021
|
SEBI VIDE ITS NOTICE DATED 08/07/2022 DIRECTED TO PAY RS.1,09,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 20/04/2023 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 19/05/2023 ALLOWED THE APPEAL AND 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 20/04/2023
SEBI VIDE ITS ORDER DATED 19/05/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.5022 OF 2022 DATED 08/07/2022
|
| 394 |
|
|
DINESH MOHANLAL JAIN
(PAN:ABMPJ0989J)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF JAYAVANT INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
17-MAY-2017
|
|
| 395 |
|
|
DINESH SHANKARLAL SHARMA
(PAN:ABIPS9306E)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SAST REGULATIONS, 2011 IN MATTER OF KESAR PETROPRODUCTS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-MAR-2020 TO 08-MAR-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-MAR-2020 TO 08-MAR-2021
09-MAR-2020
|
SAT: SAT VIDE ITS ORDER DATED 07/04/2021 DISMISSED THE APPEAL AS INFRUCTUOUS AND RESTRAINT ORDER OF ONE YEAR HAS NOW COME TO END
|
| 396 |
|
|
DINESHKUMAR RAVISHANKAR RAVAL
(PAN:AWCPR5539J)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF AVIVA INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF AVIVA INDUSTRIES LTD.
|
IMPOSED PENALTY RS.2,00,000
09-AUG-2021
|
SEBI VIDE ITS ORDER DATED 24/05/2022 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 19/01/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.2,61,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 397 |
|
|
DIPAK DWIWEDI
(PAN:ATDPD4055C)
(Along with : MANISH MISHRA,
ANKUR SHARMA,
VIVEK CHAUHAN,
NEETU DWIVEDI)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF DECILLION FINANCE LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
03-AUG-2026
|
|
| 398 |
|
|
DIPAK K.TANNA
(PAN:AABPT0587E)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH REGULATION 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF KAMALAKSHI FINANCE CORP.LTD.
|
IMPOSED PENALTY RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS
20-SEP-2013
|
|
| 399 |
|
|
DIPAK KALYANJI TANNA
(PAN:AABPT0578E)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF LOOKS HEALTH SERVICES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF LOOKS HEALTH SERVICES LTD.
|
IMPOSED PENALTY RS.4,00,000
25-JUL-2014
|
|
| 400 |
|
|
DIPAK KUMAR SINGH
(PAN:AMAPS1805K)
(Along with : LAXMI SINGH,
YASH SINGH)
|
|
|
|
EMKAY CONSULTANTS LTD.
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 31A(5) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF EMKAY CONSULTANTS LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 3(1), 3(2) AND 4 OF SAST REGULATIONS, 2011 IN MATTER OF EMKAY CONSULTANTS LTD.
|
IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
25-NOV-2025
|
SAT: SAT VIDE ITS ORDER DATED 12/01/2026 GRANTED RESPONDENTS SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN THREE WEEKS THEREAFTER
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 20 of 84
|
