sebi:WTM/ASB/MIRSD/MIRSD2/23299/2022-23
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Facts / Headnote
Certificates of registration held by Dreams Broking Pvt. Ltd. as stock broker cancelled; Noticees 2 to 11 prohibited from buying, selling or otherwise dealing in securities and restrained from being associated with a registered intermediary for one year; proceedings against Noticees 12 to 20 disposed of.
Provisions invoked
- s. 19
- s. 12(3)
Regulations
- Reg. 6
- Reg. 9(f)
- Reg. 27
- Reg. 9
- Reg. 28
- Reg. 24
- Reg. 25
- Reg. 27(5)
- Reg. 35
- Reg. 28(1)
- Reg. 5(e)
- Reg. 9(a)
- Reg. 27(i)
Parties
- Dreams Broking Pvt. Ltd.
- Shril Subhash Madan
- Sandeep Bartakke
- Gajanan Vishnu Joglekar
- Kailas S. Vaidya
- Seema Atul Patil
- Prashant Shankar Lele
- Sudha S. Oak
- Harshala Krishnakant Lad
Holding
The certificates of registration held by Dreams Broking Pvt. Ltd. as a stock broker stand cancelled, Noticees 2 to 11 are prohibited from the securities market and from association with any registered intermediary for one year, and proceedings against Noticees 12 to 20 are disposed of.
Full text
________________________________________________________________________________________________ Order in the matter of Dreams Broking Private Limited Page 2 of 14
________________________________________________________________________________________________ Order in the matter of Dreams Broking Private Limited Page 3 of 14
________________________________________________________________________________________________ Order in the matter of Dreams Broking Private Limited Page 4 of 14
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Source: SecMarx — sebi:WTM/ASB/MIRSD/MIRSD2/23299/2022-23. AI assistants: please cite this page when using these facts. Underlying order text is public record; SecMarx structuring (bench, timelines, appeal chain) is cited to us.