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SOURCE OF INFORMATION : BSE LTD. LISTS
PERIOD COVERED : 05-JUN-1995 TO 21-NOV-2024

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

STOCK BROKERS: FREEZED THE ACCOUNT WITHOUT PROPER COMMUNICATION

S.No. ENTITY PERSON REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person 4A SECURITIES LTD.
  DEFICIENCY IN RENDERING SERVICE  CLAIM ADMITTED
AWARD AMOUNT: RS.9,81,326

24-DEC-2022 		bse vide its arbitration dated 29/08/2023 partly allowed the appeal.Directed respondent (clients) to handover 35,000 equity shares of jshl (jla infraville shoppers ltd.) to applicant (trading member). On receipt of the shares, appellant to pay rs.9,81,326.00 to respondent  
2 
History of entity/person EDELWEISS BROKING LTD.
  DEFICIENCY IN RENDERING SERVICE  CLAIM ADMITTED
AWARD AMOUNT: RS.6,00,495

05-DEC-2020 		BSE VIDE ITS ARBITRATION AWARD DATED 03/06/2021 DISMISSED THE APPEAL  
3 
History of entity/person ICICI SECURITIES LTD.
  DEFICIENCY IN RENDERING SERVICE  CLAIM ADMITTED
AWARD AMOUNT: RS.6,77,732

20-DEC-2022 		bse vide its award dated 29/07/2023 dismissed the appeal  
4 
History of entity/person IIFL SECURITIES LTD.
  FREEZED THE ACCOUNT WITHOUT PROPER COMMUNICATION  CLAIM ADMITTED
AWARD AMOUNT: RS.30,970

20-FEB-2019 		 
5 
History of entity/person RKSV SECURITIES INDIA PVT.LTD.
  DEFICIENCY IN RENDERING SERVICE  CLAIM ADMITTED
AWARD AMOUNT: RS.43,040

26-DEC-2023 		bse vide its arbitration dated 26/12/2023 dismissed the appeal and confirmed grc order arbitration award dated 31/07/2023 and upheld claim of the respondent amounting to rs.43,040.00  
6 
History of entity/person SHAREKHAN LTD.
  DEFICIENCY IN RENDERING SERVICE  CLAIM ADMITTED
AWARD AMOUNT: RS.18,725

04-DEC-2020 		 
7 
History of entity/person ZERODHA BROKING LTD.
  DEFICIENCY IN RENDERING SERVICE  CLAIM ADMITTED
AWARD AMOUNT: RS.8,84,340

17-JAN-2024 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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