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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: DIRECTED TO REFUND BROKERAGE

S.No. ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person CHOICE EQUITY BROKING PVT.LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.12,03,112

DIRECTED TO REFUND BROKERAGE

18-APR-2024 		 
2
History of entity/person IIFL SECURITIES LTD.  
CHARGED EXCESS BROKERAGE  DIRECTED TO REFUND BROKERAGE

30-MAR-2023 		 
3
History of entity/person KOTAK SECURITIES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REFUND BROKERAGE
AWARD AMOUNT: RS.6,00,000

30-JAN-2021 		nse vide its arbitration award dated 30/09/2021 directed appellant to pay rs.6.00 lacs to respondent towards all the claims  
4
History of entity/person MOTILAL OSWAL FINANCIAL SERVICES LTD.  
EARNED WRONGFUL BROKERAGE  DIRECTED TO REFUND BROKERAGE
AWARD AMOUNT: RS.60,003

15-MAR-2024 		 
5
History of entity/person SHAREKHAN LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REFUND BROKERAGE
AWARD AMOUNT: RS.10,16,735

05-NOV-2019 		 
6
History of entity/person SHAREKHAN LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

MISCONDUCTED DURING ARBITRATION HEARING AND OPENED DEFIANCE WRITTEN DIRECTIVES/INSTRUCTIONS/GUIDELINES OF ARBITRATION TRIBUNAL  		CLAIM ADMITTED Rs.25,000
AWARD AMOUNT: RS.1,10,13,584

IMPOSED FINE

DIRECTED TO REFUND BROKERAGE

18-NOV-2019 		NSE VIDE ITS ARBITRATION AWARD DATED 03/06/2021 ALLOWED THE APPEAL AND SET ASIDED IMPUGNED AWARD DATED 18/11/2019  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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