| S.No. |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
BONANZA PORTFOLIO LTD.
|
|
DID NOT PAY BROKERAGE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.11,185
15-MAR-2018
|
|
| 2 |
|
|
DEALMONEY SECURITIES PVT.LTD.
|
|
DID NOT REFUND BROKERAGE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.13,45,650
20-JAN-2021
|
nse vide its arbitration award dated 23/03/2022 partly allowed the appeal by directing respondent to pay rs.13,45,650.00 to appellant along with interest @18% p.a.with effect from filing of this appeal till the payment realizes. No costs
|
| 3 |
|
|
DEALMONEY SECURITIES PVT.LTD.
|
|
DID NOT REFUND BROKERAGE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,99,970
20-JAN-2021
|
|
| 4 |
|
|
EDELWEISS BROKING LTD.
|
|
DID NOT PAY BROKERAGE
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT
|
CLAIM ADMITTED
AWARD AMOUNT: RS.32,66,596
12-OCT-2022
|
|
| 5 |
|
|
EDELWEISS SECURITIES LTD.
|
|
DID NOT PAY BROKERAGE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,07,216
22-JAN-2010
|
|
| 6 |
|
|
ICICI SECURITIES LTD.
|
|
DELAY IN RELEASE OF BROKERAGE
DELAY IN MAKING PAYMENT
|
CLAIM ADMITTED
AWARD AMOUNT: RS.33,281
14-JUL-2023
|
|
| 7 |
|
|
ICICI SECURITIES LTD.
|
|
DID NOT REFUND BROKERAGE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,52,190
25-JUL-2023
|
nse vide its arbitration award dated 22/12/2023 dismissed the appeal and confirmed award dated 25/07/2023. directed respondent to pay rs.3,41,096.00 with interest @6% p.a. from 01/04/2022 till date of deposit/payment to appellant
|
| 8 |
|
|
IFCI FINANCIAL SERVICES LTD.
|
|
DID NOT PAY BROKERAGE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.5,00,000
10-APR-2011
|
|
| 9 |
|
|
MANGAL KESHAV SECURITIES LTD.
|
|
DELAY IN RELEASE OF SECURITY DEPOSIT
DELAY IN RELEASE OF BROKERAGE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.35,000
13-JAN-2016
|
|
| 10 |
|
|
MOTILAL OSWAL FINANCIAL SERVICES LTD.
|
|
DID NOT REFUND BROKERAGE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,36,000
18-MAY-2023
|
|
| 11 |
|
|
NIRMAL BANG SECURITIES PVT.LTD.
|
|
DID NOT REFUND BROKERAGE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.56,250
17-AUG-2023
|
|
| 12 |
|
|
NIRMAL BANG SECURITIES PVT.LTD.
|
|
DID NOT REFUND BROKERAGE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.78,66,586
14-OCT-2022
|
nse vide its arbitration award dated 15/03/2023 dismissed the appeal. No costs
|
| 13 |
|
|
NORTHEAST BROKING SERVICES LTD.
|
|
DID NOT PAY BROKERAGE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.9,89,700
11-JAN-2011
|
|
| 14 |
|
|
RELIANCE SECURITIES LTD.
|
|
DID NOT REFUND BROKERAGE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.36,000
19-OCT-2022
|
|
| 15 |
|
|
RELIGARE SECURITIES LTD.
|
|
DID NOT PAY BROKERAGE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,00,000
03-AUG-2012
|
|
| 16 |
|
|
SMC GLOBAL SECURITIES LTD.
|
|
DID NOT REFUND BROKERAGE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,74,050
28-SEP-2022
|
|
| 17 |
|
|
SMC GLOBAL SECURITIES LTD.
|
|
DID NOT PAY BROKERAGE
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.25,678
03-DEC-2009
|
|
| 18 |
|
|
STANDARD CHARTERED-STCI CAPITAL MARKETS LTD.
|
|
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT
DID NOT PAY BROKERAGE
AMOUNT WRONGLY DEBITED AGAINST NON-PAYMENT OF DEBTS
AMOUNT WRONGLY DEBITED AGAINST DELAYED PAYMENT CHARGES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.79,98,329
12-JUN-2009
|
|
| 19 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
DID NOT PAY BROKERAGE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,04,317
14-OCT-2014
|
|
| 20 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
DID NOT PAY BROKERAGE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,15,103
17-NOV-2014
|
|
| 21 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
DID NOT PAY BROKERAGE
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,22,600
15-OCT-2014
|
|
| 22 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
DID NOT PAY BROKERAGE
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT
|
CLAIM ADMITTED
AWARD AMOUNT: RS.30,167
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
07-NOV-2014
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
