| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 141 |
|
DHANANJAY DATAR
(PAN:AAGPD0957K)
|
|
|
|
ABG SHIPYARD LTD.
PAN:AACCA2731P
|
|
MISLEAD STAKEHOLDER BY PUBLISHING FALSE AND MIS-STATED FINANCIAL RESULTS DURING FY.2008-14 VIOLATING CLAUSE 49(II) (C) TO (E) READ WITH CALUSES 41 AND 50 EQUITY LISTING AGREEMENT IN MATTER OF ABG SHIPYARD LTD.
WRONGLY CERTIFIED FINANCIAL STATEMENTS VIOLATING CLAUSE 49(II) (C) TO (E) READ WITH CALUSES 41 AND 50 EQUITY LISTING AGREEMENT IN MATTER OF ABG SHIPYARD LTD.
|
IMPOSED PENALTY RS.2,00,000
27-DEC-2019
|
|
| 142 |
|
|
DHANANJAY SHUKLA
|
|
|
|
ADVIK LABORATORIES LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
IMPOSED PENALTY RS.2,00,000
30-NOV-2004
|
|
| 143 |
|
|
DHANESH SHAH
|
|
|
|
SHIVAM APPERALS EXPORT LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-OCT-2000 TO 03-OCT-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-OCT-2000 TO 03-OCT-2005
04-OCT-2000
|
|
| 144 |
|
|
DHANIBEN PATEL
|
|
|
|
SHIVAM APPERALS EXPORT LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-OCT-2000 TO 03-OCT-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-OCT-2000 TO 03-OCT-2005
04-OCT-2000
|
|
| 145 |
|
|
DHANIRAM SHARMA
|
|
|
|
WELCOME COIR INDUSTRIES LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-JUL-1999 TO 18-JUL-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUL-1999 TO 18-JUL-2004
19-JUL-1999
|
|
| 146 |
|
|
DHARMENDRA SHAH
|
|
|
|
SHIVAM APPERALS EXPORT LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 147 |
|
|
DHAVAL A.JHAVERI
|
|
|
|
AASHI INDUSTRIES LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2000 TO 19-JUN-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2000 TO 19-JUN-2005
20-JUN-2000
|
|
| 148 |
|
|
DHIRENDRA KUMAR
|
|
|
|
WINFARM AGRO INDUSTRIES LTD.
CIN:U01111KA1992PLC013086
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 149 |
|
|
DHRUVA NARAYAN JHA
(PAN:ACVPJ2857K)
|
|
|
|
BLUE CIRCLE SERVICES LTD.
CIN:L74140MH1983PLC029378
PAN:AAACB2131L
|
|
DID NOT MAKE DISCLOSURE OF CANCELLATION/TERMINATION OF DEALS TO STOCK EXCHANGES VIOLATING CLAUSE 2.1 UNDER REGULATION 12(2) OF SCHEDULE II OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF BLUE CIRCLE SERVICES LTD.
DID NOT MAKE DISCLOSURE OF CANCELLATION/TERMINATION OF DEALS TO STOCK EXCHANGES VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATIONS) ACT, 1956 IN MATTER OF BLUE CIRCLE SERVICES LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-DEC-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 24/10/2018 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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 22/10/2020 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 24/10/2018
|
| 150 |
|
|
DILEEP KRISHNA
|
|
|
|
MA CAPITAL SERVICES LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-FEB-2000 TO 02-FEB-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-FEB-2000 TO 02-FEB-2005
03-FEB-2000
|
|
| 151 |
|
|
DILIP KUMAR NAHATA
|
|
|
|
SURAJ STONE CORP.LTD.
CIN:L14106KA1992PLC012988
PAN:AACCS9674F
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-FEB-2000 TO 02-FEB-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-FEB-2000 TO 02-FEB-2005
03-FEB-2000
|
|
| 152 |
|
|
DILIPKUMAR CHANDULAL PAREKH
(PAN:AACPP4242P)
|
|
|
|
CORAL HUB LTD.
CIN:U32109TN1994PLC061452
PAN:AAACS7326Q
|
|
INDULGED IN PUBLICATION OF FALSE, INFLATED SALES AND MISLEADING FINANCIAL RESULTS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1) & 4(2)(E), (F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CORAL HUB LTD.
DID NOT MAKE DISCLOSURE OF SALES MADE TO RELATED PARTY IN ITS ANNUAL REPORT VIOLATING CLAUSE 32 OF LISTING AGREEMENT READ WITH SECTION 21 OF THE SCRA, 1956 IN MATTER OF CORAL HUB LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-SEP-2021 TO 02-SEP-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-SEP-2021 TO 02-SEP-2024
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 03-SEP-2021 TO 02-SEP-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-SEP-2021
|
|
| 153 |
|
|
DILSHAD S.S.
|
|
|
|
PRIME PROPERTY DEVELOPMENT CORP.LTD.
|
|
MADE FALSE REPRESENTATION THROUGH CORPORATE ANNOUNCEMENTS TO MISLEAD/INDUCE INVESTORS
DID NOT MAKE DISCLOSURE OF SHAREHOLDING, CONTROL AND SALE OF SHARES OF PROMOTERS/PERSONS ACTING IN CONCERT
ACTED IN CONCERT TO CREATE FALSE MARKET TO SELL THEIR OWN HOLDINGS AT AN ARTIFICIALLY INFLATED PRICE
DID NOT INFORM APPOINTMENT OF REGISTRAR AND TRANSFER AGENT TO STOCK EXCHANGE
DID NOT SUBMIT CORPORATE GOVERNANCE REPORT TO STOCK EXCHANGE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-SEP-2005 TILL FURTHER ORDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-SEP-2005 TILL FURTHER ORDERS
29-SEP-2005
|
REVOKED AD-INTERIM EX-PARTE ORDER DATED 29/09/2005
|
| 154 |
|
|
DINESH V.CHATURVEDI
|
|
|
|
VIDIANI AGROTECH INDUSTRIES LTD.
CIN:U05001UP1992PLC014547
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2001 TO 27-FEB-2006
28-FEB-2001
|
|
| 155 |
|
|
DINESHCHAND SURANA
(PAN:AACPS3233K)
|
|
|
|
SURANA INDUSTRIES LTD.
PAN:AAACS3123M
|
|
MADE CORPORATE ANNOUNCEMENTS REGARDING PREFERENTIAL ALLOTMENTS AND THERAFTER DEFERRING/DROPPING AGENDA ITEMS RELATING TO SUCH ALLOTMENTS IN MATTER OF SURANA INDUSTRIES LTD.
DELAY IN DISSEMINATION OF PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES RELATED TO PREFERENTIAL ALLOTMENT VIOLATING REGULATION 12(2) & (3) READ WITH CLAUSE 2.1 OF SCHEDULE II OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SURANA INDUSTRIES LTD.
DELAY IN SENDING INTIMATION OF CLOSURE OF BOARD MEETING TO STOCK EXCHANGES VIOLATING PROVISIONS OF CLAUSE 22(A) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-SEP-2014
|
SAT: SAT VIDE ITS ORDER DATED 25/08/2015 ALLOWED THE APPELLANTS TO WITHDRAWN THE APPEAL AS ALSO MISC. APPLICATION WITH LIBERTY TO FILE FRESH APPEAL WITHIN A PERIOD OF FOUR WEEKS FROM THE DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 28/04/2016 ALLOWED APPEAL TO BE WITHDRAWN AND DIRECTED APPELLANTS TO PAY PENALTY IMPOSED IN IMPUGNED UNDER THE ORDER IMPUGNED IN THE APPEAL WITHIN THREE MONTHS FROM THE DATE OF THIS ORDER. NO COSTS
|
| 156 |
|
|
DURGA PRASAD GUPTA
|
|
|
|
AMBUJA ZINC LTD.
|
|
DECLARED AS A VANISHING COMPANY
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-SEP-2002 TO 26-SEP-2007
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-SEP-2002 TO 26-SEP-2007
PROHIBITED PUBLIC COMPANIES IN WHICH THIS DIRECTOR HAS CONTROLLING/SUBSTANTIAL INTEREST TO RAISE FUNDS FROM CAPITAL MARKET FROM 27-SEP-2002 TO 26-SEP-2007
27-SEP-2002
|
|
| 157 |
|
|
DUSHYANT K.BHATT
|
|
|
|
KESAR GREENFIELD INTERNATIONAL LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 158 |
|
|
DWARKABHAI PATEL
|
|
|
|
AMIGANGA INFRASTRUCTURE LTD.
PAN:AABCA3106F
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 159 |
|
|
DWARKDAS B.NEGANDHI
|
|
|
|
CAUVERY SOFTWARE ENGINEERING SYSTEMS LTD.
|
|
ACTED IN CONCERT TO CREATE ARTIFICIAL MARKET/PRICE RISE TO OFFLOAD THEIR SHARES AND TO MAKE UNDUE GAIN IN SCRIP OF CAUVERY SOFTWARE ENGINEERING SYSTEMS LTD.
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-JAN-2004 TO 08-JAN-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-JAN-2004 TO 08-JAN-2009
09-JAN-2004
|
|
| 160 |
|
|
E.SHANMUGAM
(PAN:AAGPS0240L)
|
|
|
|
S V GLOBAL MILL LTD.
PAN:AAOCS2500E
|
|
DID NOT MAKE DISCLOSURE OF PROPERTY ALLOCATED TO ITS MANAGING DIRECTOR FOR RESIDENTIAL PURPOSES VIOLATING CLAUSE 49(1)(D)(I) OF LISTING AGREEMENT IN MATTER OF S V GLOBAL MILL LTD.
|
IMPOSED PENALTY RS.7,00,000
28-FEB-2020
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 8 of 34
|
