| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
DINESH KUMAR MODI & CO.
(Member : CSE)
|
|
|
|
DINESH KUMAR MODI
|
|
ALLOWED CROSS DEALS VIOLATING CLAUSE B (4) (A) OF CODE OF CONDUCT OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 UNDER REGULATION 7 OF STOCK BROKER REGULATIONS WHILE DEALING IN SCRIP OF TWENTY FIRST CENTURY (INDIA) LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS IN SCRIP OF TWENTY FIRST CENTURY (INDIA) LTD.
|
PROHIBITED FROM TAKING ANY NEW ASSIGNMENT AS A STOCK BROKER FROM 05-JAN-2011 TO 04-FEB-2011
15-DEC-2010
|
|
| 202 |
|
|
DOLAT CAPITAL MARKET PVT.LTD.
(PAN:AAACD1518M)
(Member : BSE/NSE)
|
|
|
|
HARENDRA DOLATRAI SHAH
PAN:AAFPS1912G
|
|
|
PANKAJ DOLATRAI SHAH
PAN:AAFPS1913H
|
|
|
RAJENDRA DOLATRAI SHAH
PAN:AAFPS1910E
|
|
|
SHILPA RAJENDRA SHAH
PAN:AAQPS0181A
|
|
COLLUDED WITH CLIENTS TO EXECUTE PREDETERMINED TRADES TO SQUARED OFF THE TRADES AND BOOK PROFITS/LOSSES IN MATTER OF INDEX OPTIONS CONTRACTS OF NIFTY
DID NOT CARRY OUT NECESSARY DUE DILIGENCE AND COMPLIANCE WITH STATUTORY REQUIREMENTS WHILE DEALING WITH CLIENTS IN MATTER OF INDEX OPTIONS CONTRACTS OF NIFTY
|
IMPOSED PENALTY RS.6,00,000
30-AUG-2024
|
|
| 203 |
|
|
DPS SHARES & SECURITIES PVT.LTD.
(PAN:AABCD1053A)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR/SYNCHRONIZED TRANSACTIONS IN SCRIP OF G.G.AUTOMOTIVE GEARS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A (1) TO A (5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF G.G.AUTOMOTIVE GEARS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 03-FEB-2011 TO 02-MAR-2011
13-JAN-2011
|
|
| 204 |
|
|
DPS SHARES & SECURITIES PVT.LTD.
(PAN:AABCD1053A)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED/CIRCULAR AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF RAJESH EXPORTS LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF RAJESH EXPORTS LTD.
|
IMPOSED PENALTY RS.1,00,000
30-JUN-2010
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 16/07/2014 DIRECTED ALL THE BANKS 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
|
| 205 |
|
|
DPS SHARES & SECURITIES PVT.LTD.
(PAN:AABCD1053A)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH STRUCTURED, SELF AND CIRCULAR TRADES IN SCRIP OF TASC PHARMACEUTICALS LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE ,INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF TASC PHARMACEUTICALS LTD.
|
SHOW CAUSE NOTICE ISSUED
24-NOV-2009
|
|
| 206 |
|
|
DPS SHARES & SECURITIES PVT.LTD.
(PAN:AABCD1053A)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRANSACTIONS IN SCRIP OF PRRANETA INDUSTRIES LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF PRRANETA INDUSTRIES LTD.
|
IMPOSED PENALTY RS.2,00,000
22-MAY-2012
|
SEBI VIDE ITS NOTICE DATED 21/12/2017 DIRECTED ALL THE BANKS 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS ORDER DATED 26/12/2022 DIRECTED ALL THE BANKS TO REMIT RS.4,53,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF DPS SHARES & SECURITIES PVT.LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 207 |
|
|
DPS SHARES & SECURITIES PVT.LTD.
(PAN:AABCD1053A)
(Member : BSE)
|
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A (1) TO A (5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF G-TECH INFO TRAINING LTD.
|
IMPOSED PENALTY RS.1,00,000
22-MAY-2012
|
|
| 208 |
|
|
DPS SHARES & SECURITIES PVT.LTD.
(PAN:AABCD1053A)
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE WHILE DEALING IN SCRIP OF G-TECH INFO TRAINING LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
29-JAN-2010
|
|
| 209 |
|
|
DPS SHARES & SECURITIES PVT.LTD.
(PAN:AABCD1053A)
(Member : BSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND CIRCULAR TRANSACTIONS AND REVERSAL OF TRADE TRANSACTONS IN SCRIP OF KRBL LTD.
DID NOT MAINTAINING INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE ,INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF KRBL LTD.
|
IMPOSED PENALTY RS.3,50,000
29-JUL-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 210 |
|
|
DPS SHARES & SECURITIES PVT.LTD.
(PAN:AABCD1053A)
(Member : BSE)
|
|
|
AIDED AND ABETTED MEGA CORP.LTD.BY ISSUNIG DUMMY CONTRACT NOTES
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A (1) TO A (5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF MEGA CORP.LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 12-OCT-2010 TO 11-JAN-2011
21-SEP-2010
|
|
| 211 |
|
|
DPS SHARES & SECURITIES PVT.LTD.
(PAN:AABCD1053A)
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF FAST TRACK ENTERTAINMENT LTD.
|
IMPOSED PENALTY RS.75,000
27-NOV-2009
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 26/06/2014 DIRECTED ALL THE BANKS 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
|
| 212 |
|
|
DRESDNER KLEINWORT WASSERSTEIN SECURITIES (INDIA) PVT.LTD.
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH MATCHED AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF DSQ SOFTWARE LTD.
VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS
DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE EXECUTING TRADES FOR CLIENTS IN SCRIP OF DSQ SOFTWARE LTD.
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 17-MAY-2007
26-APR-2007
|
SAT: APPEAL DISMISSED AS WITHDRAWN
|
| 213 |
|
|
DSE FINANCIAL SERVICES LTD.
(PAN:AABCD7233N)
(Member : BSE/NSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 (REGULATION 9-POST AMENDMENT) READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF DMC INTERNATIONAL LTD.
|
IMPOSED PENALTY RS.1,00,000
18-JAN-2018
|
|
| 214 |
|
|
DSE FINANCIAL SERVICES LTD.
(PAN:AABCD7233N)
(Depository Participants : CDSL,Member : NSE/BSE)
|
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
VIOLATED REGULATIONS 20A, 42 AND 54 OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
|
IMPOSED PENALTY RS.4,00,000
10-APR-2012
|
SAT: APPEAL ALLOWED WITH NO ORDER AS TO COSTS
|
| 215 |
|
|
EDELWEISS BROKING LTD.
(Member : NSE/BSE)
|
|
|
DID NOT REPORT SUSPICIOUS TRANSACTIONS TO FIU VIOLATING CLAUSE A(2) OF CODE OF CONDUCT AS SPECIFIED SCHEDULE II READ WITH REGULATION 9(F) OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
20-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 21/11/2024 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 216 |
|
|
EDELWEISS STOCK BROKING LTD.
(PAN:AABCA9956F)
(Member : BSE)
|
|
|
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF S.J.CORP.LTD.
|
IMPOSED PENALTY RS.50,000
27-MAR-2012
|
|
| 217 |
|
|
EMKAY GLOBAL FINANCIAL SERVICES LTD.
(Member : BSE/NSE)
|
|
|
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE AND FAIRNESS AND DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSES A (1) AND A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF ASIAN STAR CO.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
07-SEP-2011
|
|
| 218 |
|
|
EMKAY GLOBAL FINANCIAL SERVICES LTD.
(Member : BSE/NSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET & PRICE MANIPULATION THROUGH SYNCHRONISED TRANSACTIONS IN SCRIP OF AAREY DRUGS & PHARMACEUTICALS LTD.
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AS REQUIRED UNDER CLAUSE A (2) OF CODE OF CONDUCT FOR STOCK BROKERS AS SPECIFIED UNDER REGULATION 7 OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF AAREY DRUGS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.11,00,800 VIDE CONSENT ORDER)
05-JUN-2015
|
|
| 219 |
|
|
EMMKAY SHARE & STOCK BROKERS LTD.
(Member : DSE)
|
|
|
IRREGULARITIES IN DEALING IN SCRIP OF VATSA WORLD LTD.
VIOLATED SEBI CODE OF CONDUCT
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-SEP-2004 TO 20-JAN-2005
31-AUG-2004
|
|
| 220 |
|
|
ENPEE ENTERPRISES PVT.LTD.
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRADING IN SCRIP OF NEDUNGADI BANK LTD.
ALLEGED VIOLATION OF REGULATION 7 READ WITH CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF NEDUNGADI BANK LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000, LEGAL EXPENSES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 06-OCT-2009 TO 28-AUG-2010
01-OCT-2009
|
|
| 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 11 of 40
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