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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 PROVIDING INFORMATION TO ARBITRAL TRIBUNAL/DID NOT CO-OPERATE WITH ARBITRAL TRIBUNAL

S.No. ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ECONO BROKING PVT.LTD.  
CHARGED EXCESS BROKERAGE

PROVIDED FALSE INFORMATION  		CLAIM ADMITTED
AWARD AMOUNT: RS.7,08,000

29-SEP-2021 		 
2
History of entity/person HDFC SECURITIES LTD.  
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES OF ARBITRAL TRIBUNAL  DIRECTED TO DEPOSIT AMOUNT IN STOCK EXCHANGE INVESTORS PROTECTION FUND Rs.10,000
AWARD AMOUNT: RS.10,000

09-OCT-2013 		 
3
History of entity/person KUMAR SHARE BROKERS LTD.  
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS TO ARBITRAL TRIBUNAL  CLAIM ADMITTED
AWARD AMOUNT: RS.5,000

12-OCT-2015 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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