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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 PAY-IN OBLIGATIONS

S.No. ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ADYA TRADING & INVESTMENT PVT.LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.67,951

15-MAY-2009 		 
2
History of entity/person ALKA SECURITIES LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,66,012

08-AUG-2013 		 
3
History of entity/person ALKA SECURITIES LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,53,064

29-JUL-2011 		 
4
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  
5
History of entity/person ANAGRAM CAPITAL LTD.  
DID NOT PAY CORRECT AMOUNT OF SHARE SOLD  CLAIM ADMITTED
AWARD AMOUNT: RS.90,155

12-JUL-2009 		 
6
History of entity/person ANAGRAM SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.13,296

13-JUL-2007 		 
7
History of entity/person ANAGRAM SECURITIES LTD.  
DID NOT PAY CORRECT AMOUNT OF SHARE SOLD  CLAIM ADMITTED
AWARD AMOUNT: RS.14,645

12-JUL-2007 		 
8
History of entity/person ANAND RATHI SHARE & STOCK BROKERS LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.7,50,000

14-JUN-2017 		 
9
History of entity/person ANAND RATHI SHARE & STOCK BROKERS LTD.  
DID NOT PAY CORRECT AMOUNT OF SHARE SOLD  CLAIM ADMITTED
AWARD AMOUNT: RS.85,140

14-MAY-2009 		 
10
History of entity/person ANGEL BROKING PVT.LTD.  
DID NOT PAY CORRECT AMOUNT OF SHARE SOLD  CLAIM ADMITTED
AWARD AMOUNT: RS.83,700

18-JUN-2013 		 
11
History of entity/person APOLLO SINDHOORI CAPITAL INVESTMENTS LTD.  
DID NOT EXECUTE TRADES

DID NOT PAY CORRECT AMOUNT OF SHARE SOLD  		CLAIM ADMITTED
AWARD AMOUNT: RS.36,487

12-JUL-2009 		 
12
History of entity/person ASL CAPITAL HOLDINGS PVT.LTD.  
DID NOT PAY CORRECT AMOUNT OF SHARE SOLD

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  		CLAIM ADMITTED
AWARD AMOUNT: RS.35,350

20-AUG-2010 		 
13
History of entity/person BMA WEALTH CREATORS LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.44,170

06-AUG-2013 		 
14
History of entity/person BONANZA PORTFOLIO LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,21,956

03-FEB-2014 		APPEAL DISMISSED. NO COSTS  
15
History of entity/person BURGEON SECURITIES  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.37,416

28-AUG-2020 		 
16
History of entity/person BURGEON SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.2,03,000

25-SEP-2013 		 
17
History of entity/person BURGEON SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.39,577

05-FEB-2014 		 
18
History of entity/person CANNY SECURITIES PVT.LTD.  
DID NOT DELIVER SHARES

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,62,263

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

19-MAY-2008 		 
19
History of entity/person CLICK2TRADE CAPITAL LTD.  
DID NOT PAY SALE PROCEEDS

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.60,299

16-MAY-2014 		 
20
History of entity/person COMFORT SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.5,78,929

19-JAN-2022 		nse vide its arbitration award dated 03/01/2023 allowed the appeal and set aside impugned award dated 19/01/2022. matter remanded to lower arbitral tribunal for re-hearing with direction to decide the matter afresh. no costs

nse vide its arbitration award dated 10/10/2023 directed respondent to pay applicant’s claim of rs.5,78,929.00 within thirty days from the date of receipt of this award  
21
History of entity/person EDELWEISS BROKING LTD.  
DID NOT PAY CORRECT AMOUNT OF SHARE SOLD  CLAIM ADMITTED
AWARD AMOUNT: RS.1,75,875

27-JUN-2014 		NSE VIDE ITS ARBITRATION AWARD DATED 28/11/2014 REJECTED THE APPEAL AND DIRECTED RESPONDENT TO MAKE PAYMENT OF RS.1,75,875.00 WITH INTEREST @ 12% P.A. FROM 19/09/2013 TILL DATE OF PAYMENT TO APPLICANT  
22
History of entity/person FAIR INTERMEDIATE INVESTMENT PVT.LTD.  
DID NOT DELIVER SHARES

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,72,300

28-FEB-2008 		 
23
History of entity/person FIN BRAINS SECURITIES (INDIA) LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.2,20,000

08-SEP-2014 		 
24
History of entity/person GEMS EQUITIES & SECURITIES PVT.LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.24,69,237

31-MAY-2010 		 
25
History of entity/person HDFC SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.14,14,076

25-APR-2023 		nse vide its arbitration award dated 14/08/2023 dismissed the appeal. Confirmed Arbitration award dated 25/04/2023 for claim of rs.14,14,076.28 in favour of respondent ms.maitrey ahuja. No costs  
26
History of entity/person INDIA INFOLINE LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,69,427

18-APR-2013 		DISMISSED THE APPLICANT CLAIM. NO CISTS  
27
History of entity/person INDIA INFOLINE LTD.  
DID NOT PAY SALE PROCEEDS

DID NOT DELIVER SHARES

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  		CLAIM ADMITTED
AWARD AMOUNT: RS.2,35,542

14-AUG-2008 		 
28
History of entity/person INDIA INFOLINE LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.3,71,000

07-DEC-2013 		 
29
History of entity/person INDIA INFOLINE SECURITIES PVT.LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.55,550

15-APR-2009 		 
30
History of entity/person INDIA INFOLINE SECURITIES PVT.LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.90,572

12-NOV-2007 		 
31
History of entity/person INDIABULLS SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  		CLAIM ADMITTED
AWARD AMOUNT: RS.4,80,000

07-MAY-2007 		 
32
History of entity/person INDIANIVESH SECURITIES PVT.LTD.  
DID NOT PAY CORRECT AMOUNT OF SHARE SOLD  CLAIM ADMITTED
AWARD AMOUNT: RS.1,60,450

27-APR-2017 		 
33
History of entity/person INDITRADE CAPITAL LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.7,24,493

31-OCT-2017 		APPEAL NOT ALLOWED. NO COSTS  
34
History of entity/person INTERFACE BROKERAGE & RESEARCH LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,80,726

30-JUN-2010 		 
35
History of entity/person ISF SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.37,804

16-APR-2014 		 
36
History of entity/person JOINDRE CAPITAL SERVICES LTD.  
DID NOT PAY CORRECT AMOUNT OF SHARE SOLD  CLAIM ADMITTED
AWARD AMOUNT: RS.3,03,530

25-FEB-2009 		 
37
History of entity/person KARVY STOCK BROKING LTD.  
DID NOT PAY CORRECT AMOUNT OF SHARE SOLD  CLAIM ADMITTED
AWARD AMOUNT: RS.65,000

21-APR-2015 		 
38
History of entity/person KARVY STOCK BROKING LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.1,09,833

10-DEC-2014 		NSE VIDE ITS ARBITRATION AWARD DATED 26/06/2015 APPEAL ALLOWED AND QUASHED AND SET ASIDED ITS IMPUGNED AWARD DATED 10/12/2014. NO COSTS  
39
History of entity/person KASS SECURITIES PVT.LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.1,71,206

08-SEP-2008 		 
40
History of entity/person KASS SECURITIES PVT.LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.3,21,034

08-SEP-2008 		 
41
History of entity/person KASS SECURITIES PVT.LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.95,115

08-SEP-2008 		 
42
History of entity/person KASSA FINVEST PVT.LTD.  
DID NOT PAY SALE PROCEEDS

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  		CLAIM ADMITTED
AWARD AMOUNT: RS.2,62,036

12-AUG-2010 		 
43
History of entity/person KOTAK SECURITIES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT PAY CORRECT AMOUNT OF SHARE SOLD  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,09,616

19-MAY-2009 		 
44
History of entity/person LABDHI STOCK & DERIVATIVES SERVICES PVT.LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.4,29,620

03-JUN-2014 		 
45
History of entity/person MADAN & CO.  
DID NOT PAY LEDGER BALANCE

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.18,67,978

31-MAY-2007 		 
46
History of entity/person MADAN & CO.  
DID NOT PAY LEDGER BALANCE

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.2,08,952

18-JUN-2007 		 
47
History of entity/person MADAN & CO.LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.4,92,057

01-MAY-2007 		 
48
History of entity/person MADAN & CO.LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.6,36,039

19-JUL-2007 		 
49
History of entity/person MADAN & CO.LTD.  
DID NOT DELIVER SHARES

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,06,157

01-MAY-2007 		 
50
History of entity/person MARKET CREATORS LTD.  
DID NOT PAY CORRECT AMOUNT OF SHARE SOLD  CLAIM ADMITTED
AWARD AMOUNT: RS.5,26,391

20-FEB-2009 		 
51
History of entity/person MAX PLANWEALTH SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.26,973

15-MAY-2015 		 
52
History of entity/person MONARCH PROJECT & FINMARKETS LTD.  
DID NOT PAY CORRECT AMOUNT OF SHARE SOLD  CLAIM ADMITTED
AWARD AMOUNT: RS.3,62,545

12-JUL-2009 		 
53
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 		 
54
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 		 
55
History of entity/person MOTILAL OSWAL FINANCIAL SERVICES LTD.  
DID NOT PAY CORRECT AMOUNT OF SHARE SOLD  CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.1,57,133

17-DEC-2019 		 
56
History of entity/person MOTILAL OSWAL FINANCIAL SERVICES LTD.  
DID NOT PAY CORRECT AMOUNT OF SHARE SOLD  CLAIM ADMITTED
AWARD AMOUNT: RS.2,61,536

03-FEB-2022 		nse vide its arbitration award dated 27/05/2022 setaside grc order dated 07/04/2021 and award dated 03/02/2022. Directed appellant to pay of rs.2,61,535.92 to respondent within 30 days from date of this award with @9% p.a. from date of the award till actual settlement  
57
History of entity/person NARAYAN SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.3,55,651

02-SEP-2008 		 
58
History of entity/person OMJI CAPITAL SERVICES LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.12,753

27-AUG-2015 		 
59
History of entity/person OMJI CAPITAL SERVICES LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.6,787

22-AUG-2014 		 
60
History of entity/person OMJI CAPITAL SERVICES LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.44,259

23-MAY-2014 		 
61
History of entity/person PENINSULAR CAPITAL MARKET LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.1,65,825

30-AUG-2007 		 
62
History of entity/person R.K.GLOBAL SHARES & SECURITIES LTD.  
DID NOT PAY CORRECT AMOUNT OF SHARE SOLD  CLAIM ADMITTED
AWARD AMOUNT: RS.74,850

07-DEC-2009 		 
63
History of entity/person RELIGARE SECURITIES LTD.  
DID NOT PAY CORRECT AMOUNT OF SHARE SOLD  CLAIM ADMITTED
AWARD AMOUNT: RS.30,540

30-MAR-2009 		 
64
History of entity/person RELIGARE SECURITIES LTD.  
DID NOT PAY CORRECT AMOUNT OF SHARE SOLD

DID NOT PAY LEDGER BALANCE  		CLAIM ADMITTED
AWARD AMOUNT: RS.3,36,175

23-FEB-2010 		 
65
History of entity/person RELIGARE SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.1,84,052

23-DEC-2008 		 
66
History of entity/person RELIGARE SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.2,54,201

23-DEC-2008 		 
67
History of entity/person RELIGARE SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.12,55,526

25-JAN-2010 		 
68
History of entity/person RELIGARE SECURITIES LTD.  
DID NOT PAY CORRECT AMOUNT OF SHARE SOLD  CLAIM ADMITTED
AWARD AMOUNT: RS.1,55,760

23-MAR-2009 		 
69
History of entity/person RELIGARE SECURITIES LTD.  
DID NOT PAY CORRECT AMOUNT OF SHARE SOLD  CLAIM ADMITTED
AWARD AMOUNT: RS.6,91,192

23-JUN-2010 		 
70
History of entity/person RELIGARE SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

02-AUG-2011 		 
71
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 		 
72
History of entity/person S.G.STOCK SERVICES LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.30,000

16-OCT-2007 		 
73
History of entity/person SBICAP SECURITIES LTD.  
DID NOT PAY CORRECT AMOUNT OF SHARE SOLD  CLAIM ADMITTED
AWARD AMOUNT: RS.1,83,500

29-JAN-2024 		 
74
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 		 
75
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 		 
76
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.2,83,750

16-JUN-2009 		 
77
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.72,32,557

07-MAY-2009 		 
78
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.10,52,024

24-JUL-2009 		 
79
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.4,38,818

20-JUL-2009 		 
80
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.9,01,146

20-JUL-2009 		 
81
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,26,839

11-SEP-2009 		 
82
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.57,841

14-AUG-2009 		 
83
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.27,938

14-AUG-2009 		 
84
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.27,05,365

15-JUN-2009 		 
85
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.2,97,180

24-JUL-2009 		 
86
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.12,26,041

24-JUL-2009 		 
87
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.6,21,713

20-JUL-2009 		 
88
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.2,93,208

01-JUL-2009 		 
89
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.1,85,591

30-JUN-2009 		 
90
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 		 
91
History of entity/person SUNCHAN SECURITIES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,65,131

27-MAY-2009 		 
92
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 		 
93
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 		 
94
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.9,55,550

03-JUL-2009 		 
95
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.97,170

03-JUL-2009 		 
96
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT DELIVER SHARES

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.81,870

01-JUN-2009 		 
97
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.12,27,461

20-JUL-2009 		 
98
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.9,52,199

20-JUL-2009 		 
99
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS

DID NOT PAY CORRECT AMOUNT OF SHARE SOLD  		CLAIM ADMITTED
AWARD AMOUNT: RS.50,682

15-JUL-2009 		 
100
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.11,22,659

19-AUG-2009 		 
101
History of entity/person SURESH RATHI SECURITIES PVT.LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.2,11,940

02-JUL-2021 		 
102
History of entity/person SURESH RATHI SECURITIES PVT.LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.43,139

02-JUL-2021 		 
103
History of entity/person UNICON SECURITIES PVT.LTD.  
DID NOT PAY SALE PROCEEDS

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.4,45,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

20-JUN-2014 		 
104
History of entity/person UNICORN SECURITIES PVT.LTD.  
DID NOT PAY CORRECT AMOUNT OF SHARE SOLD  CLAIM ADMITTED
AWARD AMOUNT: RS.1,42,617

30-JUN-2009 		 
105
History of entity/person UNITY FIN-CAP PVT.LTD.  
DID NOT PAY SALE PROCEEDS  CLAIM ADMITTED
AWARD AMOUNT: RS.59,446

27-AUG-2007 		 
106
History of entity/person WAY2WEALTH BROKERS PVT.LTD.  
DID NOT PAY CORRECT AMOUNT OF SHARE SOLD  CLAIM ADMITTED
AWARD AMOUNT: RS.60,095

22-JUL-2008 		 
107
History of entity/person WAY2WEALTH BROKERS PVT.LTD.  
DID NOT PAY CORRECT AMOUNT OF SHARE SOLD  CLAIM ADMITTED
AWARD AMOUNT: RS.2,136

14-MAR-2017 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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