| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.57,15,951
07-SEP-2016
|
|
| 22 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.9,07,839
07-SEP-2016
|
|
| 23 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.7,130
02-SEP-2016
|
|
| 24 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.33,131
02-SEP-2016
|
|
| 25 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.5,46,015
24-FEB-2016
|
|
| 26 |
|
|
JASH SECURITIES PVT.LTD.
|
|
|
DID NOT PAY DIVIDEND
DID NOT PAY LEDGER BALANCE
DID NOT PAY MARGIN MONEY
|
CLAIM ADMITTED
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
DIRECTED TO PAY DIVIDEND
DIRECTED TO REFUND THE MARGIN DEPOSIT
AWARD AMOUNT: RS.80,649
20-DEC-2021
|
|
| 27 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
DID NOT PAY DIVIDEND & BONUS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.15,00,000
01-NOV-2016
|
|
| 28 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND & BONUS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.15,00,000
01-NOV-2016
|
|
| 29 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
DID NOT PAY DIVIDEND & BONUS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.15,00,000
06-DEC-2016
|
|
| 30 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
DID NOT PAY DIVIDEND & BONUS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.15,00,000
06-DEC-2016
|
|
| 31 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
DID NOT PAY DIVIDEND & BONUS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,56,660
29-NOV-2016
|
|
| 32 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.41,775
16-JUL-2015
|
|
| 33 |
|
|
LKP SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,00,077
12-NOV-2013
|
|
| 34 |
|
|
MOONGIPA INVESTMENTS LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.69,735
18-DEC-2015
|
|
| 35 |
|
|
MOONGIPA INVESTMENTS LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,14,350
18-DEC-2015
|
|
| 36 |
|
|
MOONGIPA INVESTMENTS LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,59,875
23-DEC-2015
|
|
| 37 |
|
|
MOONGIPA INVESTMENTS LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,87,175
01-JAN-2016
|
|
| 38 |
|
|
MOONGIPA INVESTMENTS LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.5,69,898
06-JAN-2016
|
|
| 39 |
|
|
MOONGIPA INVESTMENTS LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.8,39,310
18-JAN-2016
|
|
| 40 |
|
|
MOONGIPA INVESTMENTS LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
DID NOT PAY DIVIDEND
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,67,048
18-JAN-2016
|
BSE VIDE ITS ARBITRATION AWARD DATED 09/02/2016 PASSED THE CLAIM FOR RS.2,14,580.00, AS THERE WERE DAILY FLUCTUATIONS IN QUOTES OF SCRIPS ON THE EXCHANGE, RESULTING IN RISE AND FALL OF PRICES, HENCE ORIGINAL CLAIM OF THE APPLICANT IS BEING CONSIDERED
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
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