| S.No. |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AKSHAY STANDARD INSURANCE SERVICES PVT.LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,01,00,000
23-OCT-2013
|
NSE VIDE ITS ARBITRATION AWARD DATED 08/04/2014 DISMISSED THE APPEAL AND CONFIRMED THE ITS AWARD DATED 23/10/2013. DIRECTED TO SUB-BROKER AND BROKER TO JOINTLY AND SEVERALLY PAY TO THE CONSTITUTENT RS.2 CRORES
|
| 2 |
|
|
ANIL VIJAY KSHIRSAGAR,M/S
|
|
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
|
| 3 |
|
|
ARVIND DEORUKHKAR,M/S
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.25,000
27-MAR-2008
|
|
| 4 |
|
|
DHUPPER ENTERPRISES
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.132
11-FEB-2019
|
|
| 5 |
|
|
GARIMA FINANCIAL SERVICES
|
|
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
|
| 6 |
|
|
GARIMA FINANCIAL SERVICES
|
|
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
|
| 7 |
|
|
GARIMA FINANCIAL SERVICES
|
|
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
|
| 8 |
|
|
GARIMA FINANCIAL SERVICES
|
|
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
|
| 9 |
|
|
GARIMA FINANCIAL SERVICES
|
|
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
|
| 10 |
|
|
GARIMA FINANCIAL SERVICES
|
|
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
|
| 11 |
|
|
HURSH INVESTMENTS
|
|
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
|
| 12 |
|
|
ICEBERG CONSULTANCY
|
|
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
|
| 13 |
|
|
ICEBERG CONSULTANCY
|
|
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
|
| 14 |
|
|
ICEBERG CONSULTANCY
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.16,03,698
29-OCT-2019
|
|
| 15 |
|
|
ICEBERG CONSULTANCY
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.25,00,000
29-OCT-2019
|
|
| 16 |
|
|
INDIA INFOLINE LTD.
|
|
DID NOT EXECUTE TRADES
DID NOT PAY LEDGER BALANCE
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,04,36,739
20-APR-2009
|
|
| 17 |
|
|
INDIA INFOLINE LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,19,154
11-AUG-2008
|
|
| 18 |
|
|
INDIA INFOLINE SECURITIES PVT.LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,04,135
11-FEB-2008
|
|
| 19 |
|
|
INDIA INFOLINE SECURITIES PVT.LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.25,000
27-MAR-2008
|
|
| 20 |
|
|
JITESH BABUBHAI MODI (HUF)
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.93,862
14-AUG-2014
|
|
| 21 |
|
|
KARTIKEY INVESTMENTS
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.6,31,000
28-AUG-2018
|
|
| 22 |
|
|
MUKTA INVESTMENTS
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.12,40,416
29-MAY-2013
|
APPEAL DISMISSED AND REDUCED THE COST RS.25,000 FROM RS.50,000
|
| 23 |
|
|
MULTIPLE INVESTMENT
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.76,000
13-FEB-2014
|
|
| 24 |
|
|
NEXTBILLION TECHNOLOGY PVT.LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.60,000
18-JAN-2023
|
|
| 25 |
|
|
PRABHUDAS LILLADHER PVT.LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,22,000
12-OCT-2023
|
nse vide its arbitration award dated 26/02/2024 allowed the appeal and set aside impugned order dated 12/10/2023. No costs
|
| 26 |
|
|
RAJESH KHANNA,M/S
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,63,000
05-OCT-2012
|
|
| 27 |
|
|
RAJESH,M/S
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,63,000
03-AUG-2012
|
|
| 28 |
|
|
RELIGARE SECURITIES LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.36,000
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
05-FEB-2008
|
|
| 29 |
|
|
RELIGARE SECURITIES LTD.
|
|
DID NOT PAY LEDGER BALANCE
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,74,621
13-APR-2009
|
|
| 30 |
|
|
SMC GLOBAL SECURITIES LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.49,62,602
12-AUG-2022
|
|
| 31 |
|
|
SURESH JAIN (HUF)
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,29,353
27-APR-2015
|
|
| 32 |
|
|
SURESH KALOORE POTHERA,M/S
|
|
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
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
