| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
DEVAYANI DEEPAK KANKAL,M/S
(Member : SKSE)
|
|
|
|
DEVAYANI DEEPAK KANKAL
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
23-APR-2009
|
PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
|
| 102 |
|
|
DEVJIBHAI SAVJIBHAI LIMBASIA,M/S
(Member : SKSE)
|
|
|
|
DEVJIBHAI SAVJIBHAI LIMBASIA
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
23-APR-2009
|
PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
|
| 103 |
|
|
DEVU K.SHETTY,M/S
(Member : MNGSE)
|
|
|
|
DEVU K.SHETTY
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
23-APR-2009
|
PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
|
| 104 |
|
|
DHANRAJ SONI,M/S
(Member : HSE)
|
|
|
|
DHANRAJ SONI
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
23-APR-2009
|
PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
|
| 105 |
|
|
DHARAM CHAND JAIN,M/S
(Member : MGSE)
|
|
|
|
DHARM CHAND JAIN
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
23-APR-2009
|
PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
|
| 106 |
|
|
DHARTI FINSTOCK PVT.LTD.
(Member : ASE)
|
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
07-MAY-2009
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 07/05/2009
|
| 107 |
|
|
DHIREN K.SHAH,M/S
(Member : MNGSE)
|
|
|
|
DHIREN KANTILAL SHAH
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
23-APR-2009
|
PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
|
| 108 |
|
|
DILIP BHAT & CO.
(Member : MNGSE)
|
|
|
|
DILIP BHAT
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
23-APR-2009
|
PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
|
| 109 |
|
|
DILIP BHAT,M/S
(Member : MNGSE)
|
|
|
|
DILIP BHAT
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
23-APR-2009
|
PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
|
| 110 |
|
|
DILIP K.MUCHHALA,M/S
(Member : SKSE)
|
|
|
|
DILIP KANTILAL MUCHHALA
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
23-APR-2009
|
PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
|
| 111 |
|
|
DINESHKUMAR B.JAIN,M/S
(Member : SKSE)
|
|
|
|
DINESH KUMAR BABULAL JAIN
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
23-APR-2009
|
PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
|
| 112 |
|
|
DIXON SECURITIES PVT.LTD.
(Member : HSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
23-APR-2009
|
PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
|
| 113 |
|
|
DOKANIA & CO.
(Member : MGSE)
|
|
|
|
BALMUKUND DOKANIA
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
23-APR-2009
|
PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
|
| 114 |
|
|
DPA CAPITAL PVT.LTD.
(Member : DSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
09-JUN-2009
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 09/06/2009
|
| 115 |
|
|
DPA CAPITAL PVT.LTD.
(Member : NSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
28-OCT-2009
|
|
| 116 |
|
|
DR.RAKESH KUMAR SHRIVASTAVA,M/S
(Member : MGSE)
|
|
|
|
RAKESH KUMAR SHRIVASTAVA
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
23-APR-2009
|
PROCEEDING INITIATED VIDE ORDER DATED 11/08/2005 DISPOSED OFF AGAINST THE BROKER OF DE-RECOGNIZED STOCK EXCHANGES, AS THE RECOGNITION GRANTED TO THE STOCK EXCHANGES MENTIONED IN THE ORDER HAVE EITHER LAPSED OR BEEN WITHDRAWN, WITHOUT PREJUDICE TO SEBI’S RIGHT TO RECOVER THE DUES FROM THE SAID BROKERS, TILL THE DATE OF SUCH DE-RECOGNITION
|
| 117 |
|
|
DSE FINANCIAL SERVICES LTD.
(PAN:AABCD7233N)
(Member : BSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
28-OCT-2009
|
|
| 118 |
|
|
DUNDEE SECURITIES CO.PVT.LTD.
(Member : BSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
22-MAR-2010
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 22/03/2010
|
| 119 |
|
|
DUSHYANT GANDHI FISCAL & INVETMENT PVT.LTD.
(Member : VSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
22-MAR-2010
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 22/03/2010
|
| 120 |
|
|
EARNEST JOHN SECURITIES PVT.LTD.
(Member : ICSE)
|
|
|
DID NOT PAY FEES TO SEBI
|
INITIATED ENQUIRY PROCEEDINGS
09-JUN-2009
|
PROCEEDINGS AGAINST BROKER DROPPED AS REGISTRATION FEE HAS BEEN PAID SUBSEQUENTLY, AS PER ORDER DATED 09/06/2009
|
| 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 6 of 27
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