| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
DINESH D.DOSHI
|
|
|
|
C.D.P.FINCAP & LEASING PVT.LTD.
|
|
|
CDP FINCAP PVT.LTD.
|
|
|
DAMAYANTI FINVEST PVT.LTD.
|
|
|
ESQUIRE INTERNATIONAL LTD.
|
|
|
IKSHU FINVEST PVT.LTD.
|
|
|
KRN FINVEST & LEASING PVT.LTD.
|
|
|
MONEY TELEVISION & INDUSTRIES LTD.
|
|
|
NEW PRABHAV FINVEST PVT.LTD.
|
|
|
RITUJA FINVEST PVT.LTD.
|
|
|
STABLE CONSTRUCTION PVT.LTD.
|
|
|
STARSHARE INVESTMENTS & FINANZ PVT.LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
FAILED TO PAY PENALTY
VIOLATED SECTION 27 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACQUITTED
|
| 162 |
|
|
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DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992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
|
| 163 |
|
|
DINESH DONGRE
|
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 164 |
|
|
DIPAK DALAL
|
|
|
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
|
|
| 165 |
|
|
DIPAK WALJIBHAI CHOUDHARY
|
|
|
|
INDO-AMERICAN CREDIT CORP.LTD.
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
VIOLATED SECTION 11(2) (1) (1A) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ALL ACCUSED PLEADED GUILTY AND WERE CONVICTED AND SENTENCED TO FINE OF RS.1,000 EACH AND ON DEFAULT IMPRISONMENT FOR 30 DAYS
CONVICTED
|
| 166 |
|
|
DIPAKBHAI JASWANTLAL PANCHAL
|
|
|
|
ZENET SOFTWARE LTD.
PAN:AAACZ0978K
|
|
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
|
|
| 167 |
|
|
DIPANKAR BASU
|
|
|
|
PINCON SECURITIES LTD.
CIN:U67120WB2011PLC170424
|
|
ASSISTED/ASSOCIATED LRN FINANCE LTD. IN SUBSCRIPTION/ISSUE OF NCDS AS MERCHANT BANKER WITHOUT OBTAINING REGISTRATION UNDER MERCHANT BANKER REGULATIONS VIOLATING SECTIONS 12 OF SEBI ACT, 1992 IN MATTER OF PINCON SECURITIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 26-OCT-2021 TO 25-OCT-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-OCT-2021 TO 25-OCT-2026
RESTRAINED AND FURTHER PROHIBITED FROM HOLDING AND OCCUPYING ANY MANAGERIAL POST OR BEING ASSOCIATED DIRECTLY OR INDIRECTLY WITH ANY LISTED PUBLIC COMPANY AND/OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 26-OCT-2021 TO 25-OCT-2026
26-OCT-2021
|
|
| 168 |
|
|
DIPESH MAHENDRA SHETH
(PAN:AABPS6274M)
|
|
|
|
GANGOTRI CEMENT LTD.
PAN:AAACG8488P
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SECTION 11 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 169 |
|
|
DIPTI SHAH
|
|
|
|
INDO-AMERICAN CREDIT CORP.LTD.
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
VIOLATED SECTION 11(2) (1) (1A) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ALL ACCUSED PLEADED GUILTY AND WERE CONVICTED AND SENTENCED TO FINE OF RS.1,000 EACH AND ON DEFAULT IMPRISONMENT FOR 30 DAYS
CONVICTED
|
| 170 |
|
|
DROPTI B.SHARMA
|
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 11 B OF SEBI ACT, 1992
VIOLATED SECTION 11 (1) OF SEBI TAKEOVER CODE, 1997
VIOLATED SECTION 21 (3) OF SEBI TAKEOVER CODE, 1997
VIOLATED SECTION 44 OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 171 |
|
|
DRUMA VAGHELA
|
|
|
|
BONANZA BIOTECH LTD.
|
|
FAILED TO PAY PENALTY
VIOLATED REGULATION 3 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
VIOLATED REGULATIONS 4 (A) TO (D) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CASE DISMISSED BY COURT. IN REVISION FILED BY SEBI, THE CASE AGAINST ACCUSED NO. 1, 2 AND OTHER DIRECTORS OF ACCUSED NO. 1 WERE COMPOUNDED ON PAYMENT OF RS. 7,75,000/- AND CASE AGAINST ACCUSED NO. 3 TO 9 PENDING IN SESSION COURT
CLUBBED WITH CONSENT FOR RS.7,75,000
|
| 172 |
|
|
DURGA DEVI KUCHANA
(PAN:AVRPK4234G)
|
|
|
|
TAKSHEEL SOLUTIONS LTD.
CIN:U72200TG1999PLC032556
PAN:AAACI7325P
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 173 |
|
|
DUSHYANT NATWARLAL DALAL
(PAN:AAAPD5859Q)
|
|
|
|
EXCELL MULTITECH LTD.
|
|
|
KARVY STOCK BROKING LTD.
PAN:AABCK5190K
|
|
|
SEER FINLEASE PVT.LTD.
|
|
|
SUJAL LEASING & FINANCE PVT.LTD.
|
|
|
TAURAS INFOSYS LTD.
|
|
|
ZENET SOFTWARE LTD.
PAN:AAACZ0978K
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
25-AUG-2016
|
|
| 174 |
|
|
E.V.HARIHARAN
|
|
|
|
ROOFIT INDUSTRIES LTD.
|
|
DID NOT PAY DIVIDEND WITHIN STIPULATED PERIOD
VIOLATED SECTION 11 (3) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 175 |
|
|
F.FRANCHIN
|
|
|
|
INDITALIA REFCON LTD.
PAN:AAACI1128G
|
|
FAILED TO PAY PENALTY
VIOLATED SECTION 27 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.1,01,250 BY THE ACCUSED TO SEBI
|
| 176 |
|
|
FAKHRUDDIN T.MOIYADI
|
|
|
ALLEGED VIOLATION OF SECTION 11C (3) READ WITH SECTION 11C (2) OF SEBI ACT, 1992 IN MATTER OF VERONICA LABORATORIES LTD.
ALLEGED VIOLATION OF CLAUSE 35 OF LISTING AGREEMENT IN MATTER OF VERONICA LABORATORIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
21-JAN-2009
|
|
| 177 |
|
|
FAKRUDDIN TAHERALI MOIYADI
|
|
|
|
HAKEEM AUTO LTD.
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
31-MAR-2010
|
THE ACCUSED HAD PAID AN AMOUNT OF RS.6,50,000 TOWARDS COMPOUNDING CHARGES
|
| 178 |
|
|
G.D.SUREKHA
|
|
|
|
NEW-LOOK SHARES & STOCKS PVT.LTD.
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SECTION 11 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 179 |
|
|
G.FRANCHIN
|
|
|
|
INDITALIA REFCON LTD.
PAN:AAACI1128G
|
|
FAILED TO PAY PENALTY
VIOLATED SECTION 27 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.1,01,250 BY THE ACCUSED TO SEBI
|
| 180 |
|
|
G.L.SHARMA
|
|
|
|
SRG INFOTECH (INDIA) LTD.
|
|
DID NOT DESPATCH SHARE CERTIFICATES AFTER ALLOTMENT AND/OR TRANSFER WITHIN STIPULATED PERIOD
VIOLATED SEBI ACT, 1992
|
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. |
| |
|
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| Page 9 of 39
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