| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
DEEPAK MISHRA
(PAN:BLVPM9284R)
|
|
|
|
MONEY CLASSIC
PAN:BLVPM9284R
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
DID NOT REDRESS INVESTOR COMPLAINTS
NOT A FIT & PROPER PERSON TO ACT AS AN INVESTMENT ADVISOR
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 29-DEC-2023 TO 28-DEC-2024
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 29-DEC-2023 TO 28-DEC-2024
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
DIRECTED TO FURNISH REPORT TO SEBI DULY CERTIFIED BY CHARTERED ACCOUNTANT RESOLVED ALL COMPLAINTS
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 29-DEC-2023 TO 28-DEC-2024
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
29-DEC-2023
|
|
| 102 |
|
|
DEEPAK MISHRA
(PAN:BLVPM9284R)
|
|
|
|
MONEY CLASSIC
PAN:BLVPM9284R
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES IN STIPULATED TIME
NOT A FIT & PROPER PERSON TO ACT AS AN INVESTMENT ADVISOR
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-SEP-2023
|
SEBI VIDE ITS NOTICE DATED 15/12/2023 DIRECTED TO PAY RS.1,04,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 103 |
|
|
DEEPAK OSTWAL
(PAN:AAPPO6194C)
|
|
|
|
CAPITAL WAYS INVESTMENT ADVISER
PAN:AAPPO6194C
|
|
REPRESENTATIVES/EMPLOYEES DID NOT HAVE REQUISITE QUALIFICATION AND CERTIFICATION
DETAILS OF THE INVOICES DID NOT MATCH WITH AGREEMENTS
INVOICES GENERATED PRIOR TO ENTERING INTO AGREEMENT WITH THE CLIENTS
DID NOT DO PROPER SUITABILITY ASSESSMENT AND SOLD PRODUCTS BEARING HIGHER RISK THAN RISK CATEGORIES DEFINED BY RISK PROFILE OF CLIENTS
DID NOT MAINTAIN RECORDS OF COMMUNICATION WITH CLIENTS DURING RISK PROFILING AND SUITABILITY ASSESSMENT OF ADVICE/SELECTION OF ADVISORY PRODUCT/SERVICES
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
DID NOT MAINTAIN CALL RECORDINGS OF CLIENTS
DID NOT PROVIDE TRAINING RELATED TO PREVENTION OF MONEY LAUNDERING ACT, 2002 (PMLA) TO ITS EMPLOYEES
SOLD HIGH-RISK PRODUCT/SERVICE TO CLIENT WITH MODERATE/LOW RISK APPETITE
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-DEC-2024
|
SEBI VIDE ITS NOTICE DATED 27/03/2025 DIRECTED TO PAY RS.10,41,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 104 |
|
|
DEEPAK OSTWAL
(PAN:AAPPO6194C)
|
|
|
|
CAPITAL WAYS INVESTMENT ADVISER
PAN:AAPPO6194C
|
|
REPRESENTATIVES/EMPLOYEES DID NOT HAVE REQUISITE QUALIFICATION AND CERTIFICATION
DETAILS OF THE INVOICES DID NOT MATCH WITH AGREEMENTS
INVOICES GENERATED PRIOR TO ENTERING INTO AGREEMENT WITH THE CLIENTS
DID NOT DO PROPER SUITABILITY ASSESSMENT AND SOLD PRODUCTS BEARING HIGHER RISK THAN RISK CATEGORIES DEFINED BY RISK PROFILE OF CLIENTS
DID NOT MAINTAIN RECORDS OF COMMUNICATION WITH CLIENTS DURING RISK PROFILING AND SUITABILITY ASSESSMENT OF ADVICE/SELECTION OF ADVISORY PRODUCT/SERVICES
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
DID NOT MAINTAIN CALL RECORDINGS OF CLIENTS
FORCED CLIENT TO TAKE ADDITIONAL ADVISORY SERVICES AND MAKE ADDITIONAL PAYMENT
HANDLED CLIENTS DEMAT ACCOUNT
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT PROVIDE TRAINING RELATED TO PREVENTION OF MONEY LAUNDERING ACT, 2002 (PMLA) TO ITS EMPLOYEES
|
SUSPENDED REGISTRATION AS INVESTMENT ADVISER FROM 23-MAY-2025 TO 22-NOV-2025
23-MAY-2025
|
|
| 105 |
|
|
DEEPALI SHARMA
(PAN:CTGPS9075L)
|
|
|
|
D.S.CAPITAL VENTURE PVT.LTD.
PAN:AADCH8426M
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
DID NOT PROVIDE MATERIAL INFORMATION TO SEBI
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.15,00,000
10-JAN-2023
|
SEBI VIDE ITS NOTICE DATED 19/04/2023 DIRECTED TO PAY RS.15,61,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 12/09/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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 NOTICE DATED 16/01/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.16,96,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SAT: SAT VIDE ITS ORDER DATED 15/06/2026 SET ASIDE THE ORDER DATED 10/01/2023. NO COSTS
SEBI VIDE ITS NOTICE DATED 28/07/2026 ALLOWED THE APPEAL AND 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 12/09/2023
|
| 106 |
|
|
DEEPALI SHARMA
(PAN:CTGPS9075L)
|
|
|
|
D.S.CAPITAL VENTURE PVT.LTD.
PAN:AADCH8426M
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS TO INVESTIGATING AUTHORITY OF SEBI
DID NOT INFORM SEBI ABOUT CHANGE OF ADDRESS
DID NOT OBTAIN APPROVAL FROM SEBI FOR UPDATION/CHANGE OF DIRECTORS
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 29-DEC-2022 TO 28-DEC-2027
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
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 29-DEC-2022 TO 28-DEC-2027
29-DEC-2022
|
|
| 107 |
|
|
DEVDATTBHAI SHAH JAYANTILAL
|
|
|
|
KUSHAL DIAMONDS LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-MAR-2016 TILL OBTAINS SCORES AUTHENTICATION
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-MAR-2016 TILL OBTAINS SCORES AUTHENTICATION
18-MAR-2016
|
|
| 108 |
|
|
DHARMENDRA BABULAL GANDHI
|
|
|
|
DHARNENDRA INDUSTRIES LTD.
CIN:L15200GJ1986PLC009146
PAN:AAACD4124F
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS/NOTICES/LETTERS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 07-APR-2011 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-APR-2011 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
07-APR-2011
|
|
| 109 |
|
|
DHARMENDRA BABULAL GANDHI
|
|
|
|
DHARNENDRA INDUSTRIES LTD.
CIN:L15200GJ1986PLC009146
PAN:AAACD4124F
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-OCT-2003 TO 09-OCT-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-OCT-2003 TO 09-OCT-2008
10-OCT-2003
|
|
| 110 |
|
|
DHARMENDRA KUMAR LODHI
(PAN:AJZPL7369K)
|
|
|
|
STAR INDIA MARKET RESEARCH
PAN:AJZPL7369K
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
DID NOT CARRY OUT RISK PROFILING OF CLIENTS
DID NOT ENSURE SUITABILITY ADVICE PROVIDE TO CLIENTS
CARRIED OUT IMPROPER RISK PROFILING OF CLIENTS
LEADING QUESTIONS IN QUESTIONNAIRE FOR RISK PROFILING
SOLD PRODUCTS TO CLIENTS WHICH WERE NOT SUITABLE TO RISK PROFILE OF THE CLIENTS
OFFERED PRODUCTS/SERVICES WITHOUT ASSESSING APPROPRIATE RISK BEARING CAPACITY OF THE CLIENTS
SOLD HNI SERVICES TO NON-HNI CLIENTS
CHARGED UNREASONABLE, ARBITRARILY AND INCONSISTENT FEE
CHARGED SERVICE FEES DISPROPORTIONATE TO ANNUAL INCOME/PROPOSED INVESTMENT
CHARGED EXTRA MONEY FROM CLIENTS/INVESTORS
DID NOT RENDER SERVICE EVEN AFTER RECEIPT OF FEES
OBTAINED REGISTRATION FROM SEBI AS AN INVESTMENT ADVISER BY SUBMITTING INCORRECT INFORMATION
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT PROVIDE INFORMATION TO SEBI
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 29-DEC-2023
29-DEC-2023
|
|
| 111 |
|
|
DHARMENDRA KUMAR LODHI
(PAN:AJZPL7369K)
|
|
|
|
STAR INDIA MARKET RESEARCH
PAN:AJZPL7369K
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
DID NOT CARRY OUT RISK PROFILING OF CLIENTS
DID NOT ENSURE SUITABILITY ADVICE PROVIDE TO CLIENTS
CARRIED OUT IMPROPER RISK PROFILING OF CLIENTS
LEADING QUESTIONS IN QUESTIONNAIRE FOR RISK PROFILING
SOLD PRODUCTS TO CLIENTS WHICH WERE NOT SUITABLE TO RISK PROFILE OF THE CLIENTS
OFFERED PRODUCTS/SERVICES WITHOUT ASSESSING APPROPRIATE RISK BEARING CAPACITY OF THE CLIENTS
SOLD HNI SERVICES TO NON-HNI CLIENTS
CHARGED UNREASONABLE, ARBITRARILY AND INCONSISTENT FEE
CHARGED SERVICE FEES DISPROPORTIONATE TO ANNUAL INCOME/PROPOSED INVESTMENT
CHARGED EXTRA MONEY FROM CLIENTS/INVESTORS
DID NOT RENDER SERVICE EVEN AFTER RECEIPT OF FEES
OBTAINED REGISTRATION FROM SEBI AS AN INVESTMENT ADVISER BY SUBMITTING INCORRECT INFORMATION
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT PROVIDE INFORMATION TO SEBI
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-AUG-2023
|
|
| 112 |
|
|
DHAVAL A.JHAVERI
|
|
|
|
AASHI INDUSTRIES LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS/NOTICES/LETTERS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 07-APR-2011 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-APR-2011 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
07-APR-2011
|
|
| 113 |
|
|
DHIREN K.THAKKAR
|
|
|
|
KANEL OIL & EXPORT INDUSTRIES LTD.
PAN:AAECA8724C
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-OCT-2003 TO 09-OCT-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-OCT-2003 TO 09-OCT-2008
10-OCT-2003
|
AS PER SCORES WEBSITE NO PENDING INVESTOR COMPLAINT AGAINST THE COMPANY AS ON 11/09/2018
|
| 114 |
|
|
DHIREN K.THAKKAR
|
|
|
|
KANEL OIL & EXPORT INDUSTRIES LTD.
PAN:AAECA8724C
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
15-DEC-2010
|
ACTION TAKEN REPORT DATED 13/05/2011 FILED BY COMPANY WITH SEBI ON 16/05/2011
SEBI VIDE ITS ORDER DATED 27/06/2011 HAS REVOKED THE DIRECTIONS ISSUED VIDE ORDER DATED 15/12/2010
|
| 115 |
|
|
DHIRUBHAI R.DESAI
|
|
|
|
D.R.SOFTECH & INDUSTRIES LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
13-DEC-2010
|
|
| 116 |
|
|
DHIRUBHAI R.DESAI
|
|
|
|
CHICAGO SOFTWARE INDUSTRIES LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
08-DEC-2010
|
|
| 117 |
|
|
DILIP KESHAV PAGARE
|
|
|
|
MONALISA INFOTECH LTD.
CIN:U25209DD1994PLC001584
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-NOV-2016 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-NOV-2016 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
01-NOV-2016
|
|
| 118 |
|
|
DILIP KUMAR PURI
|
|
|
|
AASHI INDUSTRIES LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS/NOTICES/LETTERS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 07-APR-2011 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-APR-2011 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
07-APR-2011
|
|
| 119 |
|
|
DILIP SHANTARAM DAHANUKAR
|
|
|
|
INDO BIOTECH FOODS LTD.
|
|
|
INDO BIOTECH HERBAL REMEDIES LTD.
|
|
DID NOT RESPOND TO SHOW CAUSE NOTICE REGARDING REDRESSAL OF INVESTORS GRIEVANCES
|
DIRECTED TO REDRESS INVESTOR GRIEVANCES
14-OCT-2002
|
SAT: IMPUGNED ORDER SET ASIDE WITH NO ORDER AS TO COSTS
|
| 120 |
|
|
DILIP SHANTARAM DAHANUKAR
|
|
|
|
INDO BIOTECH FOODS LTD.
|
|
|
INDO BIOTECH HERBAL REMEDIES LTD.
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-OCT-2003 TO 09-OCT-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-OCT-2003 TO 09-OCT-2008
10-OCT-2003
|
SAT: IMPUGNED ORDER SET ASIDE WITH NO ORDER AS TO COSTS
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 6 of 27
|
