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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: DEFAULTED IN MAKING PAYMENT OF MARGIN MONEY

S.No. ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ANGEL BROKING PVT.LTD.  
DEFAULTED IN PROVIDING INFORMATION OF MARGIN MONEY REQUIREMENTS TO ITS CLIENTS  CLAIM ADMITTED
AWARD AMOUNT: RS.25,000

22-APR-2021 		 
2
History of entity/person BAKLIWAL FINANCIAL SERVICES (INDIA) PVT.LTD.  
DID NOT REFUND MARGIN MONEY  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

19-JAN-2018 		 
3
History of entity/person ICICI SECURITIES LTD.  
DEFAULTED IN PROVIDING INFORMATION OF MARGIN MONEY REQUIREMENTS TO ITS CLIENTS  CLAIM ADMITTED
AWARD AMOUNT: RS.44,537

19-MAY-2022 		 
4
History of entity/person JM FINANCIAL SERVICES LTD.  
DID NOT PAY MARGIN MONEY  CLAIM ADMITTED
AWARD AMOUNT: RS.4,716

15-JUL-2019 		 
5
History of entity/person KOTAK SECURITIES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT PAY MARGIN MONEY  		CLAIM ADMITTED
AWARD AMOUNT: RS.9,62,087

14-MAR-2008 		 
6
History of entity/person KOTAK SECURITIES LTD.  
DID NOT REFUND MARGIN MONEY

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  		CLAIM ADMITTED
AWARD AMOUNT: RS.2,05,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

11-MAY-2018 		NSE VIDE ITS ARBITRATION AWARD DATED 29/08/2018 DISMISSED STATEMENT OF CLAIM OF APPELLANT. REVERSED TRANSACTION OF 3390 SHARES OF HDIL AND DIRECTED APPELLANT TO RESTORE 273 SHARES OF ONGC SHARES OR RS.47,638.50 TO RESPONDENT. RS.30,000 REMITTED BY RESPONDENT TO BE RETURNED  
7
History of entity/person MAKHAN LAL ASHOK KUMAR PVT.LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT PAY MARGIN MONEY  		CLAIM ADMITTED
AWARD AMOUNT: RS.16,12,559

21-JAN-2009 		 
8
History of entity/person MOTILAL OSWAL SECURITIES LTD.  
CARRIED OUT TRANSACTIONS WITHOUT MARGIN REQUIREMENTS AND FUNDED DEBIT BALANCE  CLAIM ADMITTED
AWARD AMOUNT: RS.88,39,030

01-MAR-2019 		NSE VIDE ITS ARBITRATION AWARD DATED 06/08/2019 SET ASIDED AWARD DATED 01/03/2019 AND UPHELD BALANCE OF IMPUGNED AWARD. NO COSTS  
9
History of entity/person SKP SECURITIES LTD.  
DID NOT PAY MARGIN MONEY  CLAIM ADMITTED
AWARD AMOUNT: RS.1,00,000

02-APR-2008 		 
10
History of entity/person SKP SECURITIES LTD.  
DID NOT PAY MARGIN MONEY  CLAIM ADMITTED
AWARD AMOUNT: RS.1,00,000

06-MAR-2008 		 
11
History of entity/person STANDARD CHARTERED-STCI CAPITAL MARKETS LTD.  
DID NOT PAY MARGIN MONEY  CLAIM ADMITTED
AWARD AMOUNT: RS.71,458

08-APR-2009 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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