| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
DEVI INVESTMENTS
(Member : PSE)
|
|
|
INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
13-AUG-1997
|
|
| 62 |
|
|
DGP SECURITIES LTD.
(PAN:AABCS4946F)
(Member : NSE)
|
|
|
IN THE CASE OF SOUNDCRAFT INDUSTRIES LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
15-JUL-2002
|
|
| 63 |
|
|
DHARAMSHI BROKING PVT.LTD.
(Member : BSE)
|
|
|
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DEALT IN SCRIP BEFORE ITS LISTING AND NOT REPORTED SAME TO BSE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
21-FEB-2000
|
|
| 64 |
|
|
DILIP SHAH,M/S
(Member : UPSE)
|
|
|
|
DILIP SHAH
|
|
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DID NOT COLLECT MARGINS FROM CLIENTS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
06-SEP-2006
|
|
| 65 |
|
|
DIMENSIONAL SECURITIES PVT.LTD.
(PAN:AABCD1804D)
(Member : NSE)
|
|
|
DID NOT EXERCISE DUE SKILL AND DILIGENCE IN MATTER OF VATSA MUSIC LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
05-MAR-2007
|
|
| 66 |
|
|
DINESH KUMAR MODI & CO.
(Member : CSE)
|
|
|
|
DINESH KUMAR MODI
|
|
DID NOT EXERCISE DUE SKILL AND DILIGENCE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-JAN-2009
|
|
| 67 |
|
|
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
|
|
| 68 |
|
|
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
|
|
| 69 |
|
|
DPA CAPITAL PVT.LTD.
(Member : DSE)
|
|
|
COMMITTED IRREGULARITIES IN RESPECT OF CONTRACT NOTES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
DEFAULTED IN MAINTENANCE OF DOCUMENTS REGISTER
DEALT WITH UN-REGISTERED SUB-BROKERS
DID NOT ENTER INTO AGREEMENT WITH CLIENTS
DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
05-DEC-2001
|
|
| 70 |
|
|
EMMKAY SHARE & STOCK BROKERS LTD.
(Member : DSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING ON BEHALF OF CLIENTS IN SCRIP OF TACTFULL INVESTMENTS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
21-AUG-2007
|
|
| 71 |
|
|
EQUISEARCH BROKING PVT.LTD.
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF OJAS TECHNOCHEM PRODUCTS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-JAN-2009
|
|
| 72 |
|
|
ESS ESS INTERMEDIARIES PVT.LTD.
(PAN:AAACE7722Q)
(Member : ASE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE TRADING ON BEHALF OF ITS CLIENTS IN SCRIP OF SHREE YAAX PHARMA & COSMETICS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
26-AUG-2008
|
|
| 73 |
|
|
EURO ASIAN SECURITIES LTD.
(Member : BSE/PSE)
|
|
|
DID NOT ISSUE CONTRACT NOTES
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT REPORT OFF-THE-FLOOR TRANSACTIONS TO THE EXCHANGE
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
13-OCT-1999
|
|
| 74 |
|
|
EVERMORE SHARE BROKING PVT.LTD.
(PAN:AAACE0199D)
(Member : NSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
FUNDED CLIENTS HAVING DEBIT BALANCES BY PROVIDING FURTHER EXPOSURE
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
MADE INCORRECT REPORTING OF CLIENTS LEDGER BALANCE
DID NOT HAVE CYBER SECURITY AND CYBER RESILIENCE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
RESTRAINED FROM TAKING UP/ONBOARDING ANY NEW CLIENTS FROM 23-OCT-2024 TO 22-APR-2025
23-OCT-2024
|
SAT: SAT VIDE ITS ORDER DATED 08/08/2024 CONDONED THE DELAY OF 27 DAYS IN FILING OF APPEAL. GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 10/10/2024 GRANTED APPELLANT TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 20/12/2024 STAYED IMPUGNED ORDER. ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 06/03/2025 GRANTED THREE WEEKS TO FILE REJOINDER
|
| 75 |
|
|
FINCAP PORTFOLIO LTD.
(Member : NSE)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
30-JAN-2008
|
|
| 76 |
|
|
FIRST CUSTODIAN FUND (INDIA) LTD.,THE
(Member : NSE)
|
|
|
AIDED AND ABETTED DAMAYANTI GROUP ENTITIES IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF BPL LTD., VIDEOCON INTERNATIONAL LTD. AND STERLITE INDUSTRIES LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
13-OCT-2021
|
|
| 77 |
|
|
FORTUNE EQUITY BROKERS (INDIA) LTD.
(Member : NSE)
|
|
|
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
CONTRACT NOTES NOT SIGNED BY AUTHORISED REPRESENTATIVES
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
13-JAN-2006
|
|
| 78 |
|
|
G.DAS CAPITAL MARKETS PVT.LTD.
(PAN:AAACG5715F)
(Along with : RAMESH BIYANI,M/S)
|
|
|
|
RAMESH BIYANI
|
|
INDULGED IN SHORT SALES
INTRODUCED FAKE SHARES
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
24-OCT-1997
|
|
| 79 |
|
|
G.K.FOZDAR
(Member : BSE)
|
|
|
|
G.K.FOZDAR
|
|
DID NOT EXERCISE DUE SKILL AND DILIGENCE IN MATTER OF PRIVATE PLACEMENT OF BARODA AGRO INDUSTRIES LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
05-NOV-2002
|
|
| 80 |
|
|
GAZI FINANCIAL SERVICES & INVESTMENTS LTD.
(PAN:AABCG2102P)
(Member : BSE)
|
|
|
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
05-NOV-1999
|
SAT: SAT VIDE ITS ORDER DATED 15/10/2018 ALLOWED APPEAL AND MISC. APPLICATION TO BE WITHDRAWN. NO COSTS
|
| 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 4 of 15
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