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SOURCE OF INFORMATION : NATIONAL STOCK EXCHANGE OF INDIA LTD. LISTS/WEBSITE
PERIOD COVERED : 01-JAN-2000 TO 13-JUL-2024

STOCK BROKERS: DEFAULT IN MAKING PAYMENT OF DIVIDEND AND/OR BONUS

S.No. ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ALKA SECURITIES LTD.  
DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.8,11,300

13-MAR-2014 		 
2
History of entity/person ALKA SECURITIES LTD.  
DID NOT PAY DIVIDEND

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED Rs.2,500
AWARD AMOUNT: RS.15,341

20-DEC-2010 		BSE ARBITRATION AWARD DATED 20/12/2010 SET ASIDED  
3
History of entity/person ALKA SECURITIES LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.10,000

03-DEC-2010 		NSE VIDE ITS ABRITRATION AWARD DATED 11/01/2011 PASSED THE ARBITRATOR A) CORPORATE BENEFITS LIKE DIVIDEND ETC., SHALL BE PAYABLE FROM THE DATE OF PURCHASE OF SHARES AS STATED IN ANNEXURE-A B) INTEREST WILL BE PAYABLE BY THE RESPONDENTS TO THE APPLICANT AS PER CLAUSE 3 PARA 5 OF THE AWARD FROM THE DATE OF FILING OF THE ARBITRATION APPLICATION  
4
History of entity/person ANGEL ONE LTD.  
DID NOT PAY DIVIDEND  CLAIM ADMITTED
AWARD AMOUNT: RS.46,700

12-OCT-2023 		 
5
History of entity/person BMA WEALTH CREATORS LTD.  
DID NOT PAY LEDGER BALANCE

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.25,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

03-AUG-2017 		APPEAL DISMISSED  
6
History of entity/person BONANZA PORTFOLIO LTD.  
DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.20,000

19-MAR-2014 		 
7
History of entity/person COIMBATORE CAPITAL LTD.  
DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

10-FEB-2010 		 
8
History of entity/person DESTINY SECURITIES LTD.  
DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND

DID NOT PAY LEDGER BALANCE  		CLAIM ADMITTED
AWARD AMOUNT: RS.40,30,053

14-DEC-2018 		NSE VIDE ITS ARBITRATION AWARD DATED 06/05/2019 DISMISSED THE APPEAL AND DIRECTED RESPONDENT TO PAY RS.40,30,053.00 INSTEAD OF RS.77,18,087.00. NO COSTS  
9
History of entity/person DHYAN SECURITIES PVT.LTD.  
DID NOT PAY LEDGER BALANCE

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.36,976

06-OCT-2009 		 
10
History of entity/person DHYAN SECURITIES PVT.LTD.  
DID NOT PAY LEDGER BALANCE

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.48,817

06-OCT-2009 		 
11
History of entity/person INDIA INFOLINE LTD.  
DID NOT PAY DIVIDEND  CLAIM ADMITTED
AWARD AMOUNT: RS.4,51,115

21-FEB-2014 		NSE VIDE ITS ARBITRATION AWARD DATED 02/09/2014 PARTLY MODIFIED ITS AWARD DATED 21/02/2014 BY REDUCING TO RS.4,51,115.00 FROM RS.4,62,295.00  
12
History of entity/person INTERFACE BROKERAGE & RESEARCH LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,72,185

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

12-AUG-2010 		 
13
History of entity/person INTERFACE BROKERAGE & RESEARCH LTD.  
DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

27-JUL-2010 		 
14
History of entity/person JAS ONE SECURITIES PVT.LTD.  
DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

16-AUG-2023

DIRECTED TO PAY DIVIDEND 		 
15
History of entity/person JAS-ONE SECURITIES PVT.LTD.  
DID NOT PAY DIVIDEND

DID NOT DELIVER SHARES  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.1,77,665

DIRECTED TO PAY DIVIDEND

07-JUL-2022 		nse vide its arbitration award dated 15/06/2023 dismissed the cross appeal of trading member  
16
History of entity/person JAS-ONE SECURITIES PVT.LTD.  
DID NOT PAY DIVIDEND

DID NOT DELIVER SHARES  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.1,33,604

DIRECTED TO PAY DIVIDEND

07-JUL-2022 		nse vide its arbitration award dated 07/06/2023 rejected the appeal filed by mr.rajesh chamanlal shah (HUF). no cost

nse vide its arbitration award dated 07/06/2023 partly allowed the appeal by directing trading member to deliver shares as per details in annexure i and pay dividend in annexure ii excluding dividend on securities under contract notes prior to 16/03/2017.no costs  
17
History of entity/person JAS-ONE SECURITIES PVT.LTD.  
DID NOT PAY DIVIDEND

DID NOT DELIVER SHARES  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.46,680

DIRECTED TO PAY DIVIDEND

07-JUL-2022 		 
18
History of entity/person KARVY STOCK BROKING LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.60,70,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

DIRECTED KARVY TO DE-ACTIVATE REGISTRATION FROM CURRENCY & F&O SEGMENT

30-DEC-2019 		NSE VIDE ITS ARBITRATION AWARD DATED 24/02/2021 SET ASIDED IMPUGNED ORDER DATED 30/12/2019 AND REJECTED CLAIM OF THE APPELLANT FOR COST  
19
History of entity/person KARVY STOCK BROKING LTD.  
DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

24-FEB-2014 		APPEAL DISMISSED  
20
History of entity/person KARVY STOCK BROKING LTD.  
DID NOT PAY DIVIDEND  CLAIM ADMITTED
AWARD AMOUNT: RS.1,600

28-DEC-2009 		 
21
History of entity/person KARVY STOCK BROKING LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT PAY DIVIDEND

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,35,22,961

01-DEC-2015 		 
22
History of entity/person KASS SECURITIES PVT.LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.2,22,333

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

06-FEB-2008 		 
23
History of entity/person KASS SECURITIES PVT.LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.2,20,798

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

06-FEB-2008 		 
24
History of entity/person KASSA FINVEST PVT.LTD.  
DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND & BONUS  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

09-APR-2015 		 
25
History of entity/person KEYNOTE CAPITALS LTD.  
DID NOT PAY DIVIDEND  CLAIM ADMITTED
AWARD AMOUNT: RS.738

30-AUG-2016 		 
26
History of entity/person KOTAK SECURITIES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.18,80,506

25-NOV-2010 		 
27
History of entity/person KSBL SECURITIES LTD.  
DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.30,93,806

DIRECTED TO PAY DIVIDEND

12-FEB-2020 		 
28
History of entity/person LABDHI STOCK & DERIVATIVES SERVICES PVT.LTD.  
DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.57,21,000

13-SEP-2013 		 
29
History of entity/person MARKET CREATORS LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,25,978

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

29-OCT-2010 		 
30
History of entity/person MOONGIPA INVESTMENTS LTD.  
DID NOT PAY DIVIDEND

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.5,36,152

28-JAN-2016 		 
31
History of entity/person MOONGIPA INVESTMENTS LTD.  
DID NOT PAY DIVIDEND

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.6,48,085

28-JAN-2016 		 
32
History of entity/person NETWORTH STOCK BROKING LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT PAY DIVIDEND & BONUS  		CLAIM ADMITTED
AWARD AMOUNT: RS.6,49,805

25-JUL-2011 		 
33
History of entity/person NETWORTH STOCK BROKING LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT PAY DIVIDEND & BONUS  		CLAIM ADMITTED
AWARD AMOUNT: RS.5,82,949

25-JUL-2011 		 
34
History of entity/person NIRMAL BANG SECURITIES PVT.LTD.  
DID NOT PAY LEDGER BALANCE

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.3,71,390

DIRECTED TO RESTORE OPEN POSITION

25-SEP-2020 		 
35
History of entity/person PRABODH ARTHWARDHINI PVT.LTD.  
DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

09-MAY-2011 		 
36
History of entity/person ROYAL INTERNATIONAL SHARES PVT.LTD.  
DID NOT PAY DIVIDEND

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.3,02,051

05-SEP-2014 		 
37
History of entity/person SHAH INVESTOR'S HOME LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT PAY SALE PROCEEDS

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.59,860

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

31-JUL-2007 		 
38
History of entity/person SHRIRAM INSIGHT SHARE BROKERS LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT PAY DIVIDEND

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.7,18,750

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

11-MAR-2011 		 
39
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.57,850

01-SEP-2009 		 
40
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,09,351

12-AUG-2009 		 
41
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT PAY DIVIDEND

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.6,47,050

05-JUN-2009 		 
42
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT PAY DIVIDEND & BONUS

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.4,97,563

03-JUN-2009 		 
43
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,84,768

20-JUL-2009 		 
44
History of entity/person UNICON SECURITIES PVT.LTD.  
DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,82,345

29-SEP-2014 		 
45
History of entity/person UNICON SECURITIES PVT.LTD.  
DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

01-SEP-2014 		 
46
History of entity/person UTI SECURITIES LTD.  
DID NOT PAY DIVIDEND

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.50,249

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

31-AUG-2007 		 
47
History of entity/person VIMAL & SONS  
DID NOT PAY LEDGER BALANCE

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.44,573

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

03-DEC-2008 		 
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