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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 03-JUL-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

DEPOSITORY PARTICIPANTS: DIRECTED NOT TO BUY, SELL OR DEAL IN THE SECURITIES MARKET INCLUDING IPOS DIRECTLY OR INDIRECTLY ON PROPRIETORY BASIS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person KARVY STOCK BROKING LTD.

(PAN:AABCK5190K)

(Depository Participants : CDSL)  
Click here to view complete history of this specific entity/person DUSHYANT NATWARLAL DALAL

PAN:AAAPD5859Q
Click here to view complete history of this specific entity/person PULOMA DUSHYANT DALAL

PAN:AAEPD2909B
  		FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS   DIRECTED NOT TO BUY, SELL OR DEAL IN THE SECURITIES MARKET INCLUDING IPOS DIRECTLY OR INDIRECTLY ON PROPRIETORY BASIS

27-APR-2006

D TO DISGORGE RS.10,96,97,338

21-NOV-2006~ 		DIRECTED TO DISGORGE AN AMOUNT OF RS.10,96,97,338.30 (SEVERALLY) AND RS.25,79,52,157.65 (JOINTLY WITH CDSL AND PRATIK STOCK VISION PVT.LTD.) WITHIN SIX MONTHS FROM THE DATE OF THIS ORDER

SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE LEAVING IT OPEN TO SEBI INITIATE FURTHER PROCEEDINGS IN ACCORDANCE WITH LAW WITH NO ORDER AS TO COSTS  
2
History of entity/person KARVY STOCK BROKING LTD.

(PAN:AABCK5190K)

(Depository Participants : NSDL)  
Click here to view complete history of this specific entity/person DUSHYANT NATWARLAL DALAL

PAN:AAAPD5859Q
Click here to view complete history of this specific entity/person PULOMA DUSHYANT DALAL

PAN:AAEPD2909B
  		FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS   DIRECTED NOT TO BUY, SELL OR DEAL IN THE SECURITIES MARKET INCLUDING IPOS DIRECTLY OR INDIRECTLY ON PROPRIETORY BASIS

27-APR-2006

D TO DISGORGE RS.40,54,63,251

21-NOV-2006~ 		DIRECTED TO DISGORGE AN AMOUNT OF RS.40,54,63,251.40 (SEVERALLY) AND RS.90,02,18,451.80 (JOINTLY WITH NSDL, HDFC BANK LTD., KHANDWALA INTEGRATED FINANCIAL SERVICES PVT.LTD., IDBI BANK LTD., JHAVERI SECURITIES PVT.LTD., ING VYSYA BANK LTD. AND PRAVIN RATILAL SHARE & STOCK BROKERS LTD.) WITHIN SIX MONTHS FROM THE DATE OF THIS ORDER

SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE LEAVING IT OPEN TO SEBI INITIATE FURTHER PROCEEDINGS IN ACCORDANCE WITH LAW 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.

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