| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT MAKE PAYMENT OF ITS CLIENTS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,28,000
13-JAN-2016
|
|
| 2 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
ISSUED CHEQUE WITHOUT SUFFICIENT FUNDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.58,869
15-JAN-2016
|
|
| 3 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
ISSUED CHEQUE WITHOUT SUFFICIENT FUNDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,14,203
29-JAN-2016
|
|
| 4 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
ISSUED CHEQUE WITHOUT SUFFICIENT FUNDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,23,410
30-JAN-2016
|
|
| 5 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
ISSUED CHEQUE WITHOUT SUFFICIENT FUNDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,40,572
05-FEB-2016
|
|
| 6 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
ISSUED CHEQUE WITHOUT SUFFICIENT FUNDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,95,029
24-MAY-2016
|
|
| 7 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
ISSUED CHEQUE WITHOUT SUFFICIENT FUNDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,00,092
14-SEP-2016
|
|
| 8 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
ISSUED CHEQUE WITHOUT SUFFICIENT FUNDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,95,902
20-OCT-2016
|
|
| 9 |
|
|
HDFC SECURITIES LTD.
|
|
|
DID NOT MAKE PAYMENT OF ITS CLIENTS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.18,135
27-NOV-2015
|
|
| 10 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT MAKE PAYMENT OF ITS CLIENTS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,57,565
09-MAR-2017
|
|
| 11 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
ISSUED CHEQUE WITHOUT SUFFICIENT FUNDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,85,000
17-AUG-2016
|
|
| 12 |
|
|
MOONGIPA INVESTMENTS LTD.
|
|
|
ISSUED CHEQUE WITHOUT SUFFICIENT FUNDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.52,96,578
10-MAY-2016
|
|
| 13 |
|
|
SPFL SECURITIES LTD.
|
|
|
DID NOT MAKE PAYMENT OF ITS CLIENTS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.7,63,381
17-SEP-2013
|
|
| 14 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
ISSUED CHEQUE WITHOUT SUFFICIENT FUNDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.44,071
12-FEB-2015
|
|
| 15 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
ISSUED CHEQUE WITHOUT SUFFICIENT FUNDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,34,121
09-MAR-2015
|
|
| 16 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
ISSUED CHEQUE WITHOUT SUFFICIENT FUNDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.15,165
16-MAR-2015
|
|
| 17 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT PAY DIVIDEND
ISSUED CHEQUE WITHOUT SUFFICIENT FUNDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,27,337
16-MAR-2015
|
|
| 18 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
ISSUED CHEQUE WITHOUT SUFFICIENT FUNDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.9,16,292
27-MAR-2015
|
|
| 19 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
ISSUED CHEQUE WITHOUT SUFFICIENT FUNDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,55,000
26-MAR-2015
|
|
| 20 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
ISSUED CHEQUE WITHOUT SUFFICIENT FUNDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.12,358
10-APR-2015
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
