D.G. Goenka Equities Pvt. Ltd.

SAT-appeal

• Challenge to SEBI's demand for registration fees and denial of fee-continuity exemption to a corporate entity formed after the death of the erstwhile individual exchange member.
  Appeal No. 140 of 2007 dismissed · No order as to costs
  Appeal: Appeal No. 140 of 2007 dismissed by SAT on 27 February 2008
• Whether the appellant-stockbroker knew that the shares traded on behalf of its clients were unlisted.
  Impugned SEBI order set aside. · Matter remanded to the Whole Time Member for reconsideration.
  Appeal: Appeal No. 235 of 2009 allowed and disposed of on 13 July 2010 by remand.