| S.No. |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
5PAISA CAPITAL LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.36,000
07-JAN-2021
|
NSE VIDE ITS ARBITRATION AWARD DATED 19/04/2021 SET ASIDED AWARD DATED 07/01/2021. NO COSTS
|
| 2 |
|
|
ABIRA SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.75,000
03-MAR-2020
|
nse vide its arbitration award dated 03/03/2022 upheld arbitration award dated 03/03/2020 and dismissed the appeal filed by mr.ashish bharti. No costs
|
| 3 |
|
|
ABIRA SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,72,076
02-MAR-2020
|
NSE VIDE ITS ARBITRATION AWARD DATED 15/03/2021 PARTLY ALLOWED THE APPEAL AND DIRECTED RESPONDENT TO PAY APPELLANT RS.3,72,076.00 THROUGH DEMAND DRAFT WITHIN ONE MONTH FROM DATE OF SERVICE OF AWARD WITH INTEREST @18% P.A. FROM DATE OF AWARD
|
| 4 |
|
|
ADITYA BIRLA MONEY LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.65,000
10-JUL-2019
|
NSE VIDE ITS ARBITRATION AWARD DATED 19/12/2019 ALLOWED THE APPEAL AND SET ASIDED ARBITRATION AWARD DATED 10/07/2019
|
| 5 |
|
|
ALICE BLUE FINANCIAL SERVICES PVT.LTD.
|
|
DID NOT PAY LEDGER BALANCE
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,30,157
29-AUG-2019
|
|
| 6 |
|
|
AMRAPALI AADYA TRADING & INVESTMENT PVT.LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.34,700
21-MAR-2014
|
|
| 7 |
|
|
ANAND RATHI SHARE & STOCK BROKERS LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED Rs.10,000
AWARD AMOUNT: RS.1,02,074
31-MAY-2014
|
NSE VIDE ITS ARBITRATION AWARD DATED 22/09/2014 SET ASIDED THE IMPUGNED AWARD. REJECTED THE RESPONDENT CLAIMS AGAINST THE APPELLANT FOR COMPENSATION OF RS.10 LACS FOR MENTAL AGONY. NO COSTS. IMPOSED A PENALTY OF RS.10,000 ON APPELLANT FOR FAILING TO PRESENT ACCOUNTS AND RECORD IN A PROPER MANNER TO THE RESPONDENT AND ARBITRATION FORUM
|
| 8 |
|
|
ANAND RATHI SHARE & STOCK BROKERS LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED Rs.10,000
AWARD AMOUNT: RS.55,542
31-MAY-2014
|
NSE VIDE ITS ARBITRATION AWARD DATED 22/09/2014 SET ASIDED IMPUGNED AWARD. REJECTED RESPONDENT’S CLAIM FOR MENTAL AGONY. NO COSTS. IMPOSED PENALTY RS.10,000 ON APPELLANT FOR FAILING TO PRESENT ACCOUNTS AND RECORD IN A PROPER MANNER TO RESPONDENT AND ARBITRATION FORUM
|
| 9 |
|
|
ANGEL BROKING PVT.LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.59,800
03-JUN-2021
|
|
| 10 |
|
|
ANGEL BROKING PVT.LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.14,000
05-MAY-2016
|
|
| 11 |
|
|
ANGEL BROKING PVT.LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.70,763
04-OCT-2016
|
|
| 12 |
|
|
ANGEL ONE LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,26,812
06-JUN-2023
|
nse vide its arbitration award dated 23/01/2024 allowed the appeal and set aside impugned award dated 06/06/2023
|
| 13 |
|
|
AXIS SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.20,26,480
27-OCT-2022
|
nse vide its arbitration award dated 11/04/2023 directed axis securities ltd.to pay rs.19,76,480.25 and cost Rs.50,000.00 to respondent mr madan babani within three months from date of this award
|
| 14 |
|
|
AXIS SECURITIES LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.23,581
22-NOV-2023
|
|
| 15 |
|
|
BMA WEALTH CREATORS LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,03,000
09-APR-2014
|
|
| 16 |
|
|
BMA WEALTH CREATORS LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,71,885
08-FEB-2017
|
|
| 17 |
|
|
BMA WEALTH CREATORS LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.97,088
11-APR-2016
|
|
| 18 |
|
|
BMA WEALTH CREATORS LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.12,000
16-APR-2014
|
|
| 19 |
|
|
BP EQUITIES PVT.LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,91,800
18-JUN-2013
|
|
| 20 |
|
|
D.R.SHARE & STOCK BROKERS PVT.LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,06,204
27-AUG-2013
|
NSE VIDE ITS ARBITRATION AWARD DATED 03/01/2014 MODIFIED ITS AWARD DATED 27/08/2013 BY REDUCING THE AMOUNT TO RS.1,06,204 FROM RS.2,46,000. NO COSTS
|
| 21 |
|
|
DEALMONEY SECURITIES PVT.LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
CHARGED EXCESS BROKERAGE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,74,479
21-JAN-2022
|
|
| 22 |
|
|
DEALMONEY SECURITIES PVT.LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.35,000
05-AUG-2019
|
|
| 23 |
|
|
DHANI STOCKS LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.25,000
29-DEC-2020
|
|
| 24 |
|
|
EDELWEISS BROKING LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,42,500
28-FEB-2017
|
|
| 25 |
|
|
FAIRWEALTH SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.86,504
06-DEC-2013
|
|
| 26 |
|
|
FINVASIA SECURITIES PVT.LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.85,539
19-JAN-2024
|
|
| 27 |
|
|
FYERS SECURITIES PVT.LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.17,094
15-OCT-2020
|
|
| 28 |
|
|
GEPL CAPITAL PVT.LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,000
26-APR-2022
|
nse vide its arbitration award dated 22/08/2022 directed appellant gepl capital pvt.ltd. to pay rs.1,000.00 to respondent mr.harsh alkesh solanki in full & final consideration and settlement. no costs
|
| 29 |
|
|
GEPL CAPITAL PVT.LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.17,000
26-APR-2022
|
nse vide its arbitration award dated 22/08/2022 directed appellant gepl capital pvt.ltd. to pay rs.17,000.00 to respondent mr.alkesh solanki in full & final consideration and settlement. no costs
|
| 30 |
|
|
GEPL CAPITAL PVT.LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.17,000
26-APR-2022
|
nse vide its arbitration award dated 22/08/2022 directed appellant gepl capital pvt.ltd. to pay rs.17,000.00 to respondent ms.dipti alkesh solanki in full & final consideration and settlement. no costs
|
| 31 |
|
|
HDFC SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.41,180
12-DEC-2016
|
|
| 32 |
|
|
HDFC SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.43,528
23-SEP-2016
|
|
| 33 |
|
|
HDFC SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.5,04,750
21-JAN-2021
|
|
| 34 |
|
|
HDFC SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,44,750
09-JUN-2021
|
|
| 35 |
|
|
HDFC SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.50,000
01-JUL-2019
|
DISMISSED THE APPEAL
|
| 36 |
|
|
HDFC SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.56,496
05-NOV-2020
|
|
| 37 |
|
|
HDFC SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.20,000
08-NOV-2014
|
|
| 38 |
|
|
HDFC SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.27,000
14-OCT-2020
|
NSE VIDE ITS ARBITRATION AWARD DATED 18/02/2021 DISMISSED THE APPEAL. NO COSTS
|
| 39 |
|
|
HDFC SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.50,000
10-AUG-2023
|
nse vide its arbitration award dated 23/01/2024 modified impugned award dated 10/08/2023 and directed appellant to give rs.50,000.00 to respondent
|
| 40 |
|
|
ICICI SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,05,627
09-FEB-2010
|
|
| 41 |
|
|
ICICI SECURITIES LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,58,281
24-JAN-2010
|
|
| 42 |
|
|
ICICI SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.53,240
23-MAR-2023
|
|
| 43 |
|
|
ICICI SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.28,012
28-NOV-2023
|
|
| 44 |
|
|
ICICI SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.21,000
17-JUL-2013
|
|
| 45 |
|
|
ICICI SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.76,12,622
19-FEB-2024
|
|
| 46 |
|
|
IDBI CAPITAL MARKETS & SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
DIRECTED TO PAY COMPENSATION AND/OR COST OF DIVIDEND
AWARD AMOUNT: RS.40,000
DIRECTED TO ENSURE STRICT COMPLIANCE WITH APPLICABLE NSE AND SEBI CIRCULARS AND MAINTAIN PROPER RECORDS OF APPELLANT’S KNOW YOUR CLIENTS (KYC) DOCUMENTS
24-MAY-2024
|
|
| 47 |
|
|
IIFL SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.5,000
31-DEC-2020
|
|
| 48 |
|
|
INDIA INFOLINE LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.25,000
21-JUL-2015
|
|
| 49 |
|
|
INDIA INFOLINE LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,400
22-JAN-2010
|
|
| 50 |
|
|
JRG SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,50,160
25-OCT-2013
|
|
| 51 |
|
|
JRG SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,40,202
25-OCT-2013
|
APPEAL DISMISSED. NO COSTS
|
| 52 |
|
|
JRG SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,61,515
23-OCT-2013
|
NSE VIDE ITS ARBITRATION AWARD DATED 28/02/2014 ALLOWED THE APPEAL.NO COSTS
|
| 53 |
|
|
KARVY STOCK BROKING LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,00,000
02-DEC-2013
|
NSE VIDE ITS ARBITRATION AWARD DATED 07/04/2014 MODIFIED AWARD DATED 02/12/2013 BY REDUCING THE AMOUNT TO RS.1 LAC PAYABLE BY APPELLANT TO RESPONDENT
|
| 54 |
|
|
KOTAK SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,30,000
24-JAN-2023
|
|
| 55 |
|
|
KOTAK SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.10,000
08-MAY-2015
|
|
| 56 |
|
|
KOTAK SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.10,000
03-NOV-2015
|
|
| 57 |
|
|
KOTAK SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.10,14,912
15-JUN-2021
|
nse vide its arbitration award dated 28/01/2022 allowed the appeal by setting aside impugned order dated 15/06/2021. entitled appellant to recover rs.10,14,912.00 inclusive of contractual charges
|
| 58 |
|
|
KOTAK SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,75,01,673
25-OCT-2023
|
|
| 59 |
|
|
KOTAK SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.31,750
22-OCT-2019
|
|
| 60 |
|
|
KOTAK SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.7,914
06-OCT-2021
|
|
| 61 |
|
|
KOTAK SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,59,514
09-OCT-2023
|
nse vide its arbitration award dated 02/04/2024 dismissed the appeal. No costs
|
| 62 |
|
|
KOTAK SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,09,587
14-MAR-2022
|
|
| 63 |
|
|
MAVERICK SHARE BROKERS LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED Rs.59,000
AWARD AMOUNT: RS.1,60,759
23-MAR-2021
|
|
| 64 |
|
|
MOTILAL OSWAL FINANCIAL SERVICES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,25,000
30-MAR-2022
|
nse vide its arbitration award dated 22/08/2022 directed to pay rs.2,25,000.00 in full & final consideration and settlement to respondent and in addition to rs.21,240.00 already paid by appellant to respondent
|
| 65 |
|
|
MOTILAL OSWAL FINANCIAL SERVICES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.7,39,592
21-JUN-2023
|
nse vide its arbitration award dated 07/11/2023 DISMISSED THE APPEAL. NO COSTS
|
| 66 |
|
|
MOTILAL OSWAL FINANCIAL SERVICES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,44,809
02-NOV-2023
|
|
| 67 |
|
|
MOTILAL OSWAL FINANCIAL SERVICES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.5,85,000
11-FEB-2022
|
nse vide its arbitration award dated 14/06/2022 dismissed the appeal and upheld impugned award dated 11/02/2022. no costs
|
| 68 |
|
|
MOTILAL OSWAL SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.10,000
30-NOV-2009
|
|
| 69 |
|
|
MOTILAL OSWAL SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.10,000
29-OCT-2009
|
|
| 70 |
|
|
MOTILAL OSWAL SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.10,000
17-MAR-2017
|
|
| 71 |
|
|
NIRMAL BANG SECURITIES PVT.LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.40,000
26-OCT-2016
|
|
| 72 |
|
|
NIRMAL BANG SECURITIES PVT.LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,00,000
02-NOV-2020
|
|
| 73 |
|
|
QUANTUM GLOBAL SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
16-JAN-2020
|
|
| 74 |
|
|
RELIANCE SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
IMPOSED PENALTY Rs.1,00,000
AWARD AMOUNT: RS.1,00,000
30-APR-2024
|
|
| 75 |
|
|
RELIANCE SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
IMPOSED PENALTY Rs.1,00,000
AWARD AMOUNT: RS.1,00,000
30-APR-2024
|
|
| 76 |
|
|
RELIANCE SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
IMPOSED PENALTY Rs.1,00,000
AWARD AMOUNT: RS.1,00,000
30-APR-2024
|
|
| 77 |
|
|
RELIGARE BROKING LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.56,000
01-FEB-2024
|
|
| 78 |
|
|
RELIGARE SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,000
28-JUN-2010
|
|
| 79 |
|
|
SBICAP SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,505
14-SEP-2022
|
|
| 80 |
|
|
SBICAP SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.58,984
06-JAN-2024
|
|
| 81 |
|
|
SHAREKHAN LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.5,80,000
04-MAR-2020
|
|
| 82 |
|
|
SMC GLOBAL SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.15,249
15-SEP-2022
|
|
| 83 |
|
|
SMIFS LTD.
|
|
CHARGED EXCESS BROKERAGE
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.44,629
12-MAY-2022
|
|
| 84 |
|
|
VENTURA SECURITIES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.41,160
20-MAY-2022
|
nse vide its arbitration award dated 10/08/2022 upheld the impugned award dated 20/05/2022 and dismissed the appeal
|
| 85 |
|
|
VNS FINANCE & CAPITAL SERVICES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.7,192
10-JUL-2015
|
|
| 86 |
|
|
VNS FINANCE & CAPITAL SERVICES LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.7,192
10-JUL-2015
|
|
| 87 |
|
|
ZEBU SHARE & WEALTH MANAGEMENTS PVT.LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.38,419
07-MAR-2022
|
|
| 88 |
|
|
ZERODHA BROKING LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.28,500
16-SEP-2021
|
|
| 89 |
|
|
ZERODHA BROKING LTD.
|
|
DEFICIENCY IN RENDERING OF SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.50,670
21-MAR-2022
|
nse vide its arbitration award dated 11/08/2022 allowed the appeal and set aside impugned award dated 21/03/2022. No costs
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
