| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
DEEPAK M.VAISHNAV
(PAN:AABPV3392D)
|
|
|
|
INVENTURE GROWTH & SECURITIES LTD.
PAN:AAACI2044K
|
|
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING REGULATION 57(1) AND 57(2) READ WITH CLAUSE 2(VII)(G) AND (XVI)(B)(2) OF PART A OF SCHEDULE VIII OF SEBI ICDR REGULATIONS, 2009 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) & 4(1) AND 4(2)(K) & (R) OF PFUTP REGULATIONS, 2003 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
|
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 01-JAN-2019 TO 31-DEC-2022
06-AUG-2018
|
SAT: SAT VIDE ITS ORDER DATED 10/10/2019 ALLOWED THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 26/02/2020 ALLOWED THE APPEALS AND QUASHED IMPUGNED ORDER 10/10/2019 AND MATTER REMITTED TO AO TO DECIDE AFRESH
|
| 102 |
|
|
DEVANGI DIPAKBHAI PANCHAL
|
|
|
FILED APPLICATION FOR SUBSCRIPTION AND/OR ACQUISITION OF SHARES IN FICTITIOUS NAME
VIOLATED SECTION 12A OF SEBI ACT.,1992
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECURITIES CONTRACTS (REGULATION) ACT, 1956
VIOLATED SEBI DEPOSITORIES ACT, 1996
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 103 |
|
|
DEVEN MEHTA
|
|
|
|
AMI IMPEX
|
|
|
HABISCUS INVESTMENTS PVT.LTD.
|
|
|
JAYDEEP INVESTMENTS & TRADING CO.PVT.LTD.
|
|
|
M’BELLE INTERNATIONAL PVT.LTD.
|
|
|
MAYFAIR REALTORS PVT.LTD.
|
|
|
NEW BHARAT BUILDERS (BOMBAY) PVT.LTD.
|
|
|
ONLOOKER INVESTMENTS PVT.LTD.
|
|
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
VIOLATED SECTION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 4(A) OF SEBI (PFUTP) REGULATIONS, 1995
FAILED TO PAY PENALTY
VIOLATED REGULATION 4(B) OF SEBI (PFUTP) REGULATIONS, 1995
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 104 |
|
|
DEVENDRA N.PATADIA
|
|
|
|
HITECHI JEWELLERY INDUSTRIES LTD.
CIN:U99999MH1992PLC067131
PAN:AAACH1071P
|
|
VIOLATED REGULATION 4(A) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 4(B) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 105 |
|
|
DEVENDRA N.PATADIA
|
|
|
|
HITECHI JEWELLERY INDUSTRIES LTD.
CIN:U99999MH1992PLC067131
PAN:AAACH1071P
|
|
VIOLATED REGULATION 4(A) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 4(B) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 106 |
|
|
DHAMISTHA K.PANCHAL
|
|
|
|
YASHSWI ENGGINEERS PVT.LTD.
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SECTION 26 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 107 |
|
|
DHANPAT SINGH BOKARIA
|
|
|
|
TATIA LEASING & FINANCE LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 12 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 108 |
|
|
DHARMENDRA A.SHAH
|
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
30-JUN-2010
|
|
| 109 |
|
|
DHARMENDRA BAROT
|
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SECTION 26 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 110 |
|
|
DHARMENDRA PANCHAL
|
|
|
|
VINAYAK INVESTMENTS
|
|
VIOLATED REGULATION 4(A) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 4(B) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 111 |
|
|
DHARMENDRA PANDYA
|
|
|
|
ANKURITA TRADEFIN PVT.LTD.
|
|
VIOLATED SECTION 24 OF SEBI (PFUTP) REGULATION, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 112 |
|
|
DHIREN SHAH
|
|
|
|
SARLEE FABRIC EXPORTS LTD.
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6 SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 24 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 113 |
|
|
DILIP BHADEKA
|
|
|
|
ALBLESS TRADING & INVESTMENT PVT.LTD.
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 114 |
|
|
DINANATH KHANDUJA
|
|
|
|
ACCURATE EXPORTS LTD.
|
|
VIOLATED SECTION 6(A) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 115 |
|
|
DINESH AGGARWAL
|
|
|
|
UTTAM INVESTMENTS
|
|
VIOLATED REGULATION 3 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CHIEF METROPOLITAN MAGISTRATE ESPLANADE COURT MUMBAI VIDE ITS ORDER DATED 12/02/2014 DISPOSED OFF THE CASE
|
| 116 |
|
|
DINESH BHANUSHALI
(PAN:AITPB0677K)
|
|
|
INDULGED IN FINANCING OF OWN GDR ISSUE AND MISLED INVESTORS BY MAKING FALSE DISCLOSURES TO SEBI VIOLATING SECTION 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(B) TO 3(D) & 4(2)(C), 4(2)(F), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES OF K SERA SERA LTD. (NOW KNOWN AS KSS LTD.)
|
IMPOSED PENALTY RS.20,00,000
28-MAY-2021
|
SEBI VIDE ITS NOTICE DATED 23/06/2022 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 ORDER DATED 28/10/2022 DIRECTED ALL THE BANKS TO REMIT RS.1,18,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.DINESH BHANUSHALI BY WAY OF EFT/NEFT/RTGS
SAT: SAT VIDE ITS ORDER DATED 03/03/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 18/04/2023 DIRECTED TO FILE NCLT ORDER AS WELL AS INSTRUCTIONS GIVEN BY RESOLUTION PROFESSIONAL ON RECORD. AFFIDAVIT TO BE FILED WITHIN A WEEK FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 27/04/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 13/07/2023 CONDONED THE DELAY IN FLING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 01/09/2023 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.20 LAC FROM RS.1 CRORE
|
| 117 |
|
|
DINESH BHANUSHALI
(PAN:AITPB0677K)
|
|
|
|
ALBLESS TRADING & INVESTMENT PVT.LTD.
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 118 |
|
|
DINESH BHANUSHALI
(DIN:01821051)
|
|
|
INDULGED IN FINANCING OF OWN GDR ISSUE AND MISLED INVESTORS BY MAKING FALSE DISCLOSURES TO SEBI VIOLATING SECTION 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(B) TO 3(D) & 4(2)(C), 4(2)(F), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES OF K SERA SERA LTD. (NOW KNOWN AS KSS LTD.)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-SEP-2017 TO 04-SEP-2027
DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT WITH INDIAN SECURITIES AS UNDERLYING, IN ANY MANNER WHATSOEVER FROM 05-SEP-2017 TO 04-SEP-2027
05-SEP-2017
|
|
| 119 |
|
|
DINESH DALMIA
(PAN:ACPPD9838G)
|
|
|
|
DINESH DALMIA TECHNOLOGY TRUST
|
|
|
DSQ BIOTECH LTD.
|
|
|
DSQ HOLDINGS LTD.
|
|
|
DSQ SOFTWARE LTD.
PAN:AAACS5071J
|
|
|
NAINA BARTER PVT.LTD.
|
|
DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
FAILED TO PAY PENALTY
VIOLATED REGULATION 5 SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6 SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF PENALTY AMOUNT AND COMPOUNDING CHARGES TO SEBI
|
| 120 |
|
|
DINESH SHARMA
|
|
|
|
ACCURATE EXPORTS LTD.
|
|
VIOLATED SECTION 6(A) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 6 of 25
|
