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

PERSONS: EXECUTED UNAUTHORISED TRANSACTIONS

S.No. ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ANIL VIJAY KSHIRSAGAR  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.7,633

27-JUN-2014 		NSE VIDE ITS ARBITRATION AWARD DATED 13/10/2014 SET ASIDED AWARD DATED 27/06/2014. DIRECTED TO WAIVE OFF DEBIT BALANCE OF RS.51,348.90 OUTSTANDING IN ACCOUNT OF RESPONDENT NO.1 BY THE APPELLANT. IN ADDITION, APPELLANT IS REQUIRED TO PAY OF RS.7,633.32 TO RESPONDENT NO.1. NO COSTS  
2
History of entity/person ARUNKUMAR PARASA  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.4,57,000

25-JAN-2014 		 
3
History of entity/person ARVIND DEVRUKHAKAR  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.25,000

27-MAR-2008 		 
4
History of entity/person ASHOK DASAPPA SWAMI  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.6,00,000

27-APR-2015 		 
5
History of entity/person CHETAN DESHMUKH  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.58,00,000

25-OCT-2019 		nse vide its arbitration award dated 03/06/2021 allowed the appeal and set asided the impugned order dated 25/10/2019  
6
History of entity/person CHETAN DESHMUKH  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED Rs.19,887
AWARD AMOUNT: RS.25,39,362

DIRECTED TO REFUND PENALTY

05-NOV-2019 		NSE VIDE ITS ARBITRATION AWARD DATED 25/05/2021 DISMISSED THE APPEAL AND DIRECTED APPELLANT AND RESPENDENT NO.2 TO PAY JOINTLY AND SEVERALLY RS.24,89,362.00 (PRINCIPAL - RS.14,52,740.00, BROKERAGE - RS.10,16,735.00 AND PENALTY RS.19,887.00) TO RESPONDENT NO.1, WITHIN 15 DAYS FROM DATE OF RECEIPT OF DATE OF THIS ORDER WITH SIMPLE INTEREST OF 18% P.A. TILL ITS ACTUAL PAYMENT  
7
History of entity/person CHETAN DESHMUKH  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.18,01,754

29-OCT-2019 		NSE VIDE ITS ARBITRATION AWARD DATED 30/07/2020 UPHELD AND CONFIRMED IMPUGNED AWARD DATED 29/10/2019. No costs  
8
History of entity/person CHETAN DESHMUKH  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.16,03,698

29-OCT-2019 		 
9
History of entity/person CHETAN DESHMUKH  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.25,00,000

29-OCT-2019 		 
10
History of entity/person CHOICE EQUITY BROKING PVT.LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.37,97,367

01-JAN-2024 		 
11
History of entity/person HEMANT NANJI DEDHIA  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.39,97,857

21-MAR-2022 		nse vide its arbitration award dated 29/09/2022 partly allowed the appeal and directed respondents no.1 & 2 to pay rs.25,11,857.13 jointly and severally with interest @10% from 13/03/2020 and also pay rs.14.86 lacs jointly and severally with interest @10% p.a. from 13/03/2020 till date of payment. No costs  
12
History of entity/person JASMINE CHANDRAKANT OZA  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.25,000

02-MAY-2014 		APPEAL DISMISSED. NO COSTS  
13
History of entity/person JRG SECURITIES LTD.  
DID NOT PAY LEDGER BALANCE

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  		CLAIM ADMITTED
AWARD AMOUNT: RS.3,42,112

19-JUN-2009 		 
14
History of entity/person KARAN SINGH SHARMA  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.5,25,209

28-OCT-2011 		 
15
History of entity/person KARAN SINGH SHARMA  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.2,54,265

28-OCT-2011 		 
16
History of entity/person KARVY STOCK BROKING LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.6,71,390

28-DEC-2017 		 
17
History of entity/person KAUSHIK HINGU  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.12,00,860

13-MAR-2014 		APPEAL DISMISSED. NO COSTS  
18
History of entity/person KAUSHIK HINGU  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.20,38,211

13-MAR-2014 		 
19
History of entity/person KINTAN RAJESHBHAI SHAH  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.2,34,169

14-FEB-2013 		 
20
History of entity/person KRISHNAMACHARY IYENGAR  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.76,000

13-FEB-2014 		 
21
History of entity/person KUNAL KAMAT  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.1,11,712

30-APR-2018 		NSE VIDE ITS ARBITRATION AWARD DATED 18/09/2018 PARTLY ALLOWED THE APPEAL AND APPELLANT DIRECTED TO PAY RS.1,11,712.50 TO RESPONDENT NO.1 WITHIN 30 DAYS FROM THE DATE OF AWARD. NO COSTS  
22
History of entity/person KUNAL KAMAT  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.10,23,729

30-APR-2018 		NSE VIDE ITS ARBITRATION AWARD DATED 18/09/2018 ALLOWED THE APPEAL AND SET ASIDED ITS AWARD DATED 30/04/2018  
23
History of entity/person KUNAL KAMAT  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.2,38,230

19-APR-2018 		NSE VIDE ITS ARBITRATION AWARD DATED 21/08/2018 ALLOWED THE APPEAL AND SET ASIDED AWARD DATED 19/04/2018  
24
History of entity/person KUNAL KAMAT  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.1,55,678

19-APR-2018 		NSE VIDE ITS ARBITRATION AWARD DATED 21/08/2018 DID NOT ALLOW THE APPLICATION AND UPHELD & CONFIRMED ITS IMPUGNED AWARD DATED 19/04/2018. NO COSTS  
25
History of entity/person KUNAL KAMAT  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.10,92,180

30-APR-2018 		NSE VIDE ITS ARBITRATION AWARD DATED 18/09/2018 DID NOT ALLOW THE APPEAL AND UPHELD & CONFIRMED ITS AWARD DATED 30/04/2018. NO COSTS  
26
History of entity/person KUNAL KAMAT  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.2,09,858

19-APR-2018 		NSE VIDE ITS ARBITRATION AWARD DATED 18/09/2018 ALLOWED THE APPEAL AND SET ASIDED ITS AWARD DATED 19/04/2018  
27
History of entity/person LALLU PRASAD  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.10,00,000

12-MAR-2012 		 
28
History of entity/person MAHESH CHANDRA GUPTA  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.1,25,625

17-APR-2008 		 
29
History of entity/person MOTILAL OSWAL FINANCIAL SERVICES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.17,00,000

04-AUG-2021 		nse vide its arbitration award dated 05/05/2022 dismissed the appeal dated 07/09/2021 and affirmed award dated 04/08/2021 passed by lower tribunal  
30
History of entity/person MUTHUSWAMY GANAPATHY  
DID NOT PAY LEDGER BALANCE

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  		CLAIM ADMITTED
AWARD AMOUNT: RS.8,32,113

11-JAN-2010 		 
31
History of entity/person NALINI RADHAKRISHNAN  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.3,59,000

23-OCT-2017 		 
32
History of entity/person NARAYANASAMI SANKAR  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.2,79,627

06-OCT-2015 		 
33
History of entity/person NAROTTAMDAS GOEL  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.18,14,392

29-MAR-2011 		 
34
History of entity/person RAJESH  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.4,63,000

03-AUG-2012 		 
35
History of entity/person RAJESH  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.4,63,000

03-AUG-2012 		 
36
History of entity/person RAJESH KHANNA  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.4,63,000

05-OCT-2012 		 
37
History of entity/person RELIGARE BROKING LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.15,78,929

14-SEP-2021 		nse vide its arbitration award dated 13/04/2022 dismissed the appeal  
38
History of entity/person SANDEEP SETHIYA  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.15,23,795

30-JUL-2013 		ALLOWED THE APPEAL AND SET ASIDED IMPUGNED ORDER DATED 30/07/2012. NO COSTS  
39
History of entity/person SARMISTHA PALIT  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.4,22,802

07-AUG-2012 		 
40
History of entity/person SOBHA RAO  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.4,93,582

28-JUL-2009 		 
41
History of entity/person SUBRATA BHAUMIK  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.50,168

17-JUL-2019 		NSE VIDE ITS ARBITRATION AWARD DATED 16/12/2019 SET ASIDED ARBITRATION AWARD DATED 17/07/2019 AND DIRECTED SUBRATA BHAUMIK TO PAY RS.45,168.00 TO PROFITMART WITH COST OF RS.5,000.00 FOR NON-COOPERATING THE TRIBUNAL  
42
History of entity/person SUNIL KUMAR  
DID NOT PAY LEDGER BALANCE

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,80,815

18-DEC-2008 		 
43
History of entity/person SURESH H.KOLI  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.4,383

06-APR-2011 		 
44
History of entity/person SURESH KALOOR POTHERA  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.15,89,183

30-JUL-2021 		nse vide its arbitration award dated 19/02/2022 partly allowed the appeal by modifying award dated 30/07/2021 by reducing award amount to rs.15,89,183.00 from rs.31,78,366.08  
45
History of entity/person SWAPNA RANI PAUL  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.4,50,000

25-JUL-2014 		NSE VIDE ITS ARBITRATION AWARD DATED 25/07/2014 SET ASIDED ITS AWARD DATED 06/03/2014. RESPONDENT PAYS OF RS.4,50,000 TO THE APPELLANT AS COMPENSATION FOR UNDULY SELLING THE SHARES  
46
History of entity/person T.HANUMANTHAPPA  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.1,34,097

03-DEC-2014 		 
47
History of entity/person UPAGUPTA MOHAPATRA  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.37,60,684

19-MAY-2009 		 
48
History of entity/person VEENA GUPTA  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.3,02,609

20-MAR-2011 		 
49
History of entity/person VINAY KUMAR TEKRIWAL  
DID NOT PAY LEDGER BALANCE

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,95,186

18-AUG-2010 		 
50
History of entity/person VISHAL MALKAN  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

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

25-NOV-2010 		 
51
History of entity/person VIVEK BOTHRA  
DID NOT PAY LEDGER BALANCE

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  		CLAIM ADMITTED
AWARD AMOUNT: RS.3,07,085

14-MAY-2009 		 
52
History of entity/person YERRABOLU MAHALAKSHMI  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.5,40,338

20-SEP-2017 		 
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