| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
CHANDRAVADAN J.DALAL,M/S
(Member : BSE)
|
|
|
|
CHANDRAVADAN J.DALAL
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE IN SCRIP OF SAB TV
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
22-DEC-2005
|
|
| 62 |
|
|
CHIRAG INVESTMENT
(Member : PSE)
|
|
|
|
DHIRENDRA LILADHAR RAJA
|
|
ACTED IN CONCERT WITH OTHER BROKERS TO CREATE ARTIFICIAL MARKET AND PRICE RISE THROUGH CIRCULAR TRADING AND BY PLACING ORDERS AT HIGHER PRICES OTHER THAN PREVAILING MARKET PRICE IN SCRIP OF HOME TRADE LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
24-OCT-2005
|
|
| 63 |
|
|
CHOLAMANDALAM SECURITIES LTD.
(Member : BSE)
|
|
|
|
R.PANDIYEN
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 17-FEB-2005 TO 16-APR-2005
27-JAN-2005
|
SAT: IMPUGNED ORDER MODIFIED BY CONVERTING SUSPENSION OF 2 MONTHS TO WARNING
|
| 64 |
|
|
CHONA FINANCIAL SERVICES PVT.LTD.
(Member : NSE)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE IN SCRIP OF MARUTI ORGANICS LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF MARUTI ORGANICS LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 14-AUG-2002 TO 21-AUG-2002
14-AUG-2002
|
|
| 65 |
|
|
CIL SECURITIES LTD.
(Member : NSE)
|
|
|
|
K.K.MAHESHWARI
|
|
DEFAULTED/IRREGULARITIES IN MAINTENANCE OF ORDER BOOK
DEFAULTED IN MAINTENANCE OF CORRECTION NOTE BOOK
DEFAULTED IN MAINTENANCE OF MARGIN DEPOSIT BOOK
DID NOT COLLECT MARGINS FROM CLIENTS
DID NOT DELIVER SECURITIES TO CLIENTS IN TIME
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
DID NOT MAINTAIN CLIENT REGISTRATION FORMS
DID NOT EXERCISE DUE CARE AND DILIGENCE BY OVER SIGHTING TRANSACTIONS DONE ON TRADING TERMINALS GRANTED TO SUB BROKERS
|
IMPOSED PENALTY RS.1,00,000
27-NOV-2006
|
|
| 66 |
|
|
CLASSIC SHARE & STOCK BROKING SERVICES LTD.
(CIN:U67120WB1993PLC060799)
(Member : BSE/CSE/OTC/NSE)
|
|
|
VIOLATED SEBI ACT, RULES & REGULATIONS
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 21-JUN-2001 TILL PENDING ENQUIRY
21-JUN-2001
|
|
| 67 |
|
|
CREDENTIAL STOCK BROKERS LTD.
(PAN:AABCC1868L)
(Member : NSE)
|
|
|
EXECUTED STRUCTURED/SYNCHRONIZED DEALS IN SCRIP OF VATSA MUSIC LTD.
DID NOT EXERCISE DUE SKILL AND DILIGENCE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 03-FEB-2009 TO 02-APR-2009
13-JAN-2009
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
|
| 68 |
|
|
D.B.& CO.
(Member : CSE)
|
|
|
DID NOT EXERCISE DUE CARE AND SKILL IN DEALING WITH CLIENTS
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF PATRIOT TRADING CO.LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 26-FEB-2007 TO 25-AUG-2007
26-FEB-2007
|
|
| 69 |
|
|
D.K.KHANDELWAL & CO.
(Member : CSE)
|
|
|
DID NOT EXERCISE DUE SKILL AND DILIGENCE
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PRIME CAPITAL MARKET LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 07-JUN-2007 TO 06-OCT-2007
17-MAY-2007
|
|
| 70 |
|
|
DEEPAK BHOGILAL SHAH,M/S
(Sub-Broker of ASE CAPITAL MARKETS LTD., Member : BSE,Member : ASE)
|
|
|
|
BHARAT SHAH
|
|
|
DEEPAK BHOGILAL SHAH
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE EXECUTING TRANSACTIONS IN SCRIP OF DATABASE FINANCE LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
13-JAN-2009
|
|
| 71 |
|
|
DEEPAK JHUNJHUNWALA & CO.
(Member : CSE)
|
|
|
VIOLATED CODE OF CONDUCT AS PRESCRIBED UNDER STOCK BROKER REGULATIONS
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN SCRIP OF GLOBE STOCKS & SECURITIES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF GLOBE STOCKS & SECURITIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 19-APR-2007 TO 18-OCT-2007
29-MAR-2007
|
|
| 72 |
|
|
DEVENDRA SHANTILAL KOTHARI,M/S
(Member : BSE)
|
|
|
|
DEVENDRA SHANTILAL KOTHARI
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING WITH CLIENTS IN SCRIP OF GREENFIELD TRADING & FINANCE LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
15-MAR-2007
|
|
| 73 |
|
|
DGP SECURITIES LTD.
(PAN:AABCS4946F)
(Member : NSE)
|
|
|
CREATED ARTIFICIAL MARKETS IN SCRIP OF ROOFIT INDUSTRIES LTD.
USED EXCHANGE MECHANISM IN ORDER TO MEET FINANCIAL OBLIGATIONS
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 08-NOV-2004 TO 07-JAN-2005
18-OCT-2004
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PERIOD OF SUSPENSION FROM 2 MONTHS TO 1 MONTH W.E.F. 28TH AUGUST, 2006
|
| 74 |
|
|
DGP SECURITIES LTD.
(PAN:AABCS4946F)
(Member : NSE)
|
|
|
|
K.C.GUPTE
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH SYNCHRONIZED AND FICTITIOUS DEALS IN SCRIPS OF RAVALGAON SUGAR FARMS LTD.,SHRENUJ & CO.LTD. AND JAGSONPAL PHARMACEUTICALS LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE IN CONDUCT OF ITS BUSINESS AS A BROKER
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 25-SEP-2008 TO 24-OCT-2008
25-SEP-2008
|
|
| 75 |
|
|
DGP SECURITIES LTD.
(PAN:AABCS4946F)
(Member : NSE)
|
|
|
|
MUKUND BERIWALA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF SURYA ROSHNI LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 20-OCT-2004 TO 19-NOV-2004
30-SEP-2004
|
SAT: IMPUGNED ORDER UPHELD W.E.F. 28TH AUGUST, 2006
|
| 76 |
|
|
DILIP K.BHANDARI,M/S
(Member : MPSE)
|
|
|
|
DILIP K.BHANDARI
|
|
DID NOT EXERCISE DUE SKILL AND CARE IN MATTER OF EONOUR TECHNOLOGIES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF EONOUR TECHNOLOGIES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-NOV-2003 TO 17-MAR-2004
29-OCT-2003
|
|
| 77 |
|
|
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
|
|
| 78 |
|
|
DINESH KUMAR LODHA,M/S
(Member : CSE)
|
|
|
|
DINESH KUMAR LODHA
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE TRADING ON BEHALF OF CLIENT IN SCRIP OF RADIANT FINANCIAL SERVICES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF RADIANT FINANCIAL SERVICES LTD.
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 21-APR-2009 TO 20-JUL-2009
31-MAR-2009
|
|
| 79 |
|
|
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
|
|
| 80 |
|
|
DOLIA & DOLIA
(Member : MDSE)
|
|
|
DID NOT MAINTAIN HIGH STANDARDS OF INTEGRITY AND FAIRNESS IN CONDUCT OF BUSINESS
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 18-MAR-1998 TO 17-APR-1998
28-FEB-1998
|
|
| 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 16
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