| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,62,623
22-APR-2016
|
|
| 22 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.30,748
22-JUN-2016
|
|
| 23 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.22,917
06-JUN-2016
|
|
| 24 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.18,278
15-JUL-2016
|
|
| 25 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.11,60,138
19-SEP-2016
|
|
| 26 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.28,893
14-SEP-2016
|
|
| 27 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.10,055
21-SEP-2016
|
|
| 28 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,77,294
22-SEP-2016
|
|
| 29 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,03,404
23-SEP-2016
|
|
| 30 |
|
|
EDELWEISS SECURITIES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,79,391
06-JUL-2009
|
|
| 31 |
|
|
FAIRTRADE SECURITIES LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.8,900
17-JUL-2017
|
|
| 32 |
|
|
HDFC SECURITIES LTD.
|
|
|
DID NOT PAY CORRECT AMOUNT OF SHARE SOLD
|
CLAIM ADMITTED
AWARD AMOUNT: RS.14,617
10-MAY-2017
|
|
| 33 |
|
|
HOME TRADE LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,41,294
03-FEB-2010
|
|
| 34 |
|
|
ISE SECURITIES & SERVICES LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.71,404
12-MAR-2009
|
|
| 35 |
|
|
JHP SECURITIES PVT.LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
10-NOV-2009
|
|
| 36 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,22,869
20-JUL-2015
|
|
| 37 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.47,312
04-NOV-2015
|
|
| 38 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.8,09,257
24-JUL-2015
|
|
| 39 |
|
|
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
|
|
| 40 |
|
|
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
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 2 of 6 |
