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Co-Sponsors

SOURCE OF INFORMATION : NATIONAL STOCK EXCHANGE OF INDIA LTD. LISTS/WEBSITE
PERIOD COVERED : 01-JAN-2000 TO 13-JUL-2024

STOCK BROKERS: DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

S.No. ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person A.G.SHARES & SECURITIES LTD.  
DID NOT PAY LEDGER BALANCE

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  		CLAIM ADMITTED
AWARD AMOUNT: RS.2,92,486

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

18-DEC-2013 		REJECTED THE APPEAL OF APPELLANT AND CONFIRMED ITS AWARD DATED 18/12/2013. NO COSTS  
2
History of entity/person ADITYA BIRLA MONEY LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

31-MAY-2011 		 
3
History of entity/person ADITYA BIRLA MONEY LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

14-JUL-2012 		 
4
History of entity/person ADROIT FINANCIAL SERVICES PVT.LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.4,38,235

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

19-MAY-2009 		 
5
History of entity/person ALKA SECURITIES LTD.  
DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

24-JAN-2011 		 
6
History of entity/person ALKA SECURITIES LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.8,83,982

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

09-DEC-2013 		APPEAL DISMISSED  
7
History of entity/person ANAND RATHI SHARE & STOCK BROKERS LTD.  
DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

26-AUG-2009 		 
8
History of entity/person ANGEL BROKING PVT.LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,51,238

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

11-MAR-2021 		 
9
History of entity/person ANGEL BROKING PVT.LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.10,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

25-OCT-2012 		 
10
History of entity/person ANGEL BROKING PVT.LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

07-DEC-2017 		 
11
History of entity/person ANUGRAH STOCK & BROKING PVT.LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

27-JUN-2011 		 
12
History of entity/person ARCADIA SHARE & STOCK BROKERS PVT.LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

15-SEP-2011 		 
13
History of entity/person ASIT C.MEHTA INVESTMENT INTERMEDIATES LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.11,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

12-JUL-2010 		 
14
History of entity/person BAKLIWAL FINANCIAL SERVICES (INDIA) PVT.LTD.  
DID NOT REFUND MARGIN MONEY  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

19-JAN-2018 		 
15
History of entity/person BANSAL FINSTOCK PVT.LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

03-DEC-2018 		APPEAL DISMISSED  
16
History of entity/person BMA WEALTH CREATORS LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.2,49,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

24-FEB-2016 		 
17
History of entity/person BMA WEALTH CREATORS LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.65,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

16-SEP-2010 		 
18
History of entity/person BMA WEALTH CREATORS LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.25,390

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

02-SEP-2010 		 
19
History of entity/person BMA WEALTH CREATORS LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

12-JUL-2013 		 
20
History of entity/person BMA WEALTH CREATORS LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

07-JUN-2017 		 
21
History of entity/person BMA WEALTH CREATORS LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

30-JUN-2017 		 
22
History of entity/person BMA WEALTH CREATORS LTD.  
DID NOT PAY LEDGER BALANCE

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  		CLAIM ADMITTED
AWARD AMOUNT: RS.49,777

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

08-MAY-2018 		NSE VIDE ITS ARBITRATION AWARD DATED 06/09/2018 DISMISSED THE APPEAAL AND AFFIRMED ARBITRATION AWARD DATED 08/05/2018. NO COSTS  
23
History of entity/person BMA WEALTH CREATORS LTD.  
DID NOT PAY LEDGER BALANCE

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.25,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

03-AUG-2017 		APPEAL DISMISSED  
24
History of entity/person BMA WEALTH CREATORS LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

16-MAY-2016 		 
25
History of entity/person BMA WEALTH CREATORS LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.4,57,657

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

22-DEC-2016 		 
26
History of entity/person BMA WEALTH CREATORS LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

19-NOV-2014 		 
27
History of entity/person BMA WEALTH CREATORS LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.51,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

08-JUL-2014 		 
28
History of entity/person BMA WEALTH CREATORS LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

20-AUG-2015 		 
29
History of entity/person BONANZA PORTFOLIO LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

03-NOV-2009 		 
30
History of entity/person BONANZA PORTFOLIO LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.11,90,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

21-SEP-2017 		APPEAL REJECTED. NO COSTS  
31
History of entity/person BONANZA PORTFOLIO LTD.  
DID NOT PAY LEDGER BALANCE  CLAIM ADMITTED
AWARD AMOUNT: RS.8,951

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

18-APR-2013 		 
32
History of entity/person BONANZA PORTFOLIO LTD.  
DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.20,000

19-MAR-2014 		 
33
History of entity/person CANNY SECURITIES PVT.LTD.  
DID NOT DELIVER SHARES

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,62,263

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

19-MAY-2008 		 
34
History of entity/person CLICK2TRADE CAPITAL LTD.  
DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

26-APR-2014 		 
35
History of entity/person CLICK2TRADE CAPITAL LTD.  
DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

16-MAY-2014 		 
36
History of entity/person CLICK2TRADE CAPITAL LTD.  
DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

15-JUL-2014 		 
37
History of entity/person CLICK2TRADE CAPITAL LTD.  
DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

11-AUG-2014 		 
38
History of entity/person COIMBATORE CAPITAL LTD.  
DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

25-JAN-2010 		 
39
History of entity/person COIMBATORE CAPITAL LTD.  
DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

10-FEB-2010 		 
40
History of entity/person COMFORT SECURITIES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.30,655

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

21-NOV-2016 		 
41
History of entity/person DAULAT SECURITIES LTD.  
FRAUDULENTLY GOT DUPLICATE SHARES ISSUED FOR THE SHARES ALREADY SOLD  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.2,00,000

07-SEP-2021 		nse vide its arbitration award dated 24/01/2022 dismissed the appeal and directed appellant to pay fine of rs.2,00,000  
42
History of entity/person EDELWEISS BROKING LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.50,000

13-APR-2022 		nse vide its arbitration award dated 29/08/2022 directed to restore/credit 1350 shares of itc Ltd. to account of respondent within two weeks from the date of this order and pay cost of rs.50,000 to respondent within two weeks from the date of this order  
43
History of entity/person EDELWEISS FINANCIAL ADVISORS LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  		CLAIM ADMITTED
AWARD AMOUNT: RS.5,025

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

15-JAN-2015 		 
44
History of entity/person FAIRWEALTH SECURITIES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

18-OCT-2017 		 
45
History of entity/person FIRST GLOBAL STOCKBROKING PVT.LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.17,90,347

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

30-AUG-2018 		NSE VIDE ITS ARBITRATION AWARD DATED 13/02/2019 UPHELD AND CONFIRMED IMPUGNED AWARD DATED 30/08/2018  
46
History of entity/person FIRST GLOBAL STOCKBROKING PVT.LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,01,383

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

30-AUG-2018 		NSE VIDE ITS ARBITRATION AWARD DATED 13/02/2019 UPHELD AND CONFIRMED IMPUGNED AWARD DATED 30/08/2018  
47
History of entity/person FIRST GLOBAL STOCKBROKING PVT.LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,61,789

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

30-AUG-2018 		NSE VIDE ITS ARBITRATION AWARD DATED 13/02/2019 UPHELD AND CONFIRMED IMPUGNED AWARD DATED 30/08/2018  
48
History of entity/person FIRST GLOBAL STOCKBROKING PVT.LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.4,13,737

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

30-AUG-2018 		NSE VIDE ITS ARBITRATION AWARD DATED 13/02/2019 UPHELD AND CONFIRMED IMPUGNED AWARD DATED 30/08/2018  
49
History of entity/person FIRST GLOBAL STOCKBROKING PVT.LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,43,163

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

30-AUG-2018 		NSE VIDE ITS ARBITRATION AWARD DATED 13/02/2019 UPHELD AND CONFIRMED IMPUGNED AWARD DATED 30/08/2018  
50
History of entity/person GEOJIT BNP PARIBAS FINANCIAL SERVICES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.3,58,750

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

12-JUN-2012 		 
51
History of entity/person GUINESS SECURITIES LTD.  
DID NOT DELIVER SHARES

DID NOT PAY LEDGER BALANCE  		CLAIM ADMITTED
AWARD AMOUNT: RS.80,700

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

01-JAN-2020 		 
52
History of entity/person HDFC SECURITIES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.75,74,961

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

11-FEB-2019 		NSE VIDE ITS ARBITRATION AWARD DATED 19/06/2019 DIRECTED APPELLANT TO PAY RS.72,57,573.65 WITH INTEREST @ 7% P.A. FROM DATE OF FILING OF CLAIM BY RESPONDENT AND RELEASE 5000 SHARES OF HDFC TO RESPONDET WITHIN ONE MONTH FROM DATE OF RECEIPT OF THIS AWARD  
53
History of entity/person INDIA INFOLINE LTD.  
DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

23-DEC-2010 		 
54
History of entity/person INDIA INFOLINE LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.5,22,578

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

17-SEP-2013 		NSE VIDE ITS ARBITRATION AWARD DATED 18/02/2014 DISPOSED OFF THE APPLICATION AND APPEAL. NO COSTS  
55
History of entity/person INDIA INFOLINE LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

07-SEP-2017 		 
56
History of entity/person INDIA INFOLINE LTD.  
DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

15-FEB-2010 		 
57
History of entity/person INDIA INFOLINE LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

11-SEP-2014 		 
58
History of entity/person INDIA INFOLINE LTD.  
DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.10,000

16-MAR-2013 		NSE VIDE ITS ARBITRATION AWARD DATED 16/03/2013 DISMISSED THE APPEAL. DIRECTED APPELLANT TO PAY TO RESPONDENT NO.1 THE VALUE OF THE 2500 SHARES OF PENTASOFT TECHNOLOGY AND ALSO PAY COSTS OF RS.10,000  
59
History of entity/person INDIA INFOLINE LTD.  
DID NOT PAY LEDGER BALANCE

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.2,97,800

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

11-AUG-2008 		 
60
History of entity/person INDIA SECURITIES LTD.  
DID NOT PAY LEDGER BALANCE  CLAIM ADMITTED
AWARD AMOUNT: RS.18,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

10-MAY-2010 		 
61
History of entity/person INDIABULLS SECURITIES LTD.  
DID NOT PAY LEDGER BALANCE

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  		CLAIM ADMITTED
AWARD AMOUNT: RS.47,180

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

22-SEP-2014 		 
62
History of entity/person INDIABULLS SECURITIES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

17-APR-2012 		 
63
History of entity/person INDIRA SECURITIES PVT.LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.20,000

04-APR-2011 		 
64
History of entity/person INTERFACE BROKERAGE & RESEARCH LTD.  
DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

27-JUL-2010 		 
65
History of entity/person INTERFACE BROKERAGE & RESEARCH LTD.  
DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

08-JUL-2010 		 
66
History of entity/person INTERFACE BROKERAGE & RESEARCH LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,72,185

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

12-AUG-2010 		 
67
History of entity/person JAS ONE SECURITIES PVT.LTD.  
DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

16-AUG-2023

DIRECTED TO PAY DIVIDEND 		 
68
History of entity/person JAS-ONE SECURITIES PVT.LTD.  
DID NOT PAY DIVIDEND

DID NOT DELIVER SHARES  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.1,77,665

DIRECTED TO PAY DIVIDEND

07-JUL-2022 		nse vide its arbitration award dated 15/06/2023 dismissed the cross appeal of trading member  
69
History of entity/person JAS-ONE SECURITIES PVT.LTD.  
DID NOT PAY DIVIDEND

DID NOT DELIVER SHARES  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.1,33,604

DIRECTED TO PAY DIVIDEND

07-JUL-2022 		nse vide its arbitration award dated 07/06/2023 rejected the appeal filed by mr.rajesh chamanlal shah (HUF). no cost

nse vide its arbitration award dated 07/06/2023 partly allowed the appeal by directing trading member to deliver shares as per details in annexure i and pay dividend in annexure ii excluding dividend on securities under contract notes prior to 16/03/2017.no costs  
70
History of entity/person JAS-ONE SECURITIES PVT.LTD.  
DID NOT PAY DIVIDEND

DID NOT DELIVER SHARES  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.46,680

DIRECTED TO PAY DIVIDEND

07-JUL-2022 		 
71
History of entity/person JM FINANCIAL SERVICES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.7,25,447

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

03-OCT-2018 		NSE VIDE ITS ARBITRATION AWARD DATED 04/01/2019 SET ASIDED AWARD DATED 03/10/2018 WITH REQUEST TO SOLE ARBITRATOR TO RECONSIDER THE SAME IN LIGHT OF NEW EVIDENCE AND BOMBAY HIGH COURT JUDGEMENT AND THEREAFTER PASS A DE NOVO AWARD  
72
History of entity/person JRG SECURITIES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.65,015

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

10-OCT-2008 		 
73
History of entity/person KARVY STOCK BROKING LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

04-NOV-2015

DIRECTED TO RETURN UNAUTHORISED GAINS 		 
74
History of entity/person KARVY STOCK BROKING LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

24-SEP-2015 		 
75
History of entity/person KARVY STOCK BROKING LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.1,30,836

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

01-OCT-2009 		 
76
History of entity/person KARVY STOCK BROKING LTD.  
DID NOT DELIVER SHARES

DID NOT PAY LEDGER BALANCE  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,57,302

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

20-DEC-2007 		 
77
History of entity/person KARVY STOCK BROKING LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

06-JUL-2015 		NSE VIDE ITS ARBITRATION AWARD DATED 06/07/2015 SET ASIDED AWARD DATED 09/10/2014 AND DIRECTED RESPONDENT TO RESTORE 500 SHARES OF HDFC BANK AND 100 SHARES OF ESSAR OIL WITHIN 15 DAYS FROM RECEIPT OF THIS AWARD AND DIRECTED APPELLANT TO RETURN RS.56,990.00 TO RESPONDENT WITHIN 7 DAYS  
78
History of entity/person KARVY STOCK BROKING LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.60,70,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

DIRECTED KARVY TO DE-ACTIVATE REGISTRATION FROM CURRENCY & F&O SEGMENT

30-DEC-2019 		NSE VIDE ITS ARBITRATION AWARD DATED 24/02/2021 SET ASIDED IMPUGNED ORDER DATED 30/12/2019 AND REJECTED CLAIM OF THE APPELLANT FOR COST  
79
History of entity/person KARVY STOCK BROKING LTD.  
DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

24-FEB-2014 		APPEAL DISMISSED  
80
History of entity/person KARVY STOCK BROKING LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.5,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

27-APR-2017 		 
81
History of entity/person KARVY STOCK BROKING LTD.  
DID NOT PAY LEDGER BALANCE  CLAIM ADMITTED
AWARD AMOUNT: RS.16,249

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

22-APR-2016 		 
82
History of entity/person KARVY STOCK BROKING LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  		CLAIM ADMITTED
AWARD AMOUNT: RS.77,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

03-APR-2017 		 
83
History of entity/person KARVY STOCK BROKING LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

19-SEP-2014 		NSE VIDE ITS ARBITRATION AWARD DATED 31/03/2015 DISMISSED THE APPEAL AND DIRECTED APPELLANT TO TRANSFER 520 EQUITY SHARES OF STATE BANK OF INDIA AND REIMBURSE RESPONDENT DIVIDEND DECLARED ON THESE SHARES  
84
History of entity/person KASS SECURITIES PVT.LTD.  
DID NOT PAY LEDGER BALANCE  CLAIM ADMITTED
AWARD AMOUNT: RS.58,054

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

03-JUL-2007 		 
85
History of entity/person KASS SECURITIES PVT.LTD.  
DID NOT PAY LEDGER BALANCE  CLAIM ADMITTED
AWARD AMOUNT: RS.58,619

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

06-FEB-2008 		 
86
History of entity/person KASS SECURITIES PVT.LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.2,22,333

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

06-FEB-2008 		 
87
History of entity/person KASS SECURITIES PVT.LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.2,20,798

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

06-FEB-2008 		 
88
History of entity/person KASS SECURITIES PVT.LTD.  
DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

07-FEB-2008 		 
89
History of entity/person KASS SECURITIES PVT.LTD.  
DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

07-FEB-2008 		 
90
History of entity/person KASS SECURITIES PVT.LTD.  
DID NOT DELIVER SHARES

DID NOT PAY LEDGER BALANCE  		CLAIM ADMITTED
AWARD AMOUNT: RS.16,088

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

09-MAY-2008 		 
91
History of entity/person KASS SECURITIES PVT.LTD.  
DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.20,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

17-MAR-2008 		 
92
History of entity/person KASSA FINVEST PVT.LTD.  
DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND & BONUS  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

09-APR-2015 		 
93
History of entity/person KASSA FINVEST PVT.LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.10,484

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

30-AUG-2013 		 
94
History of entity/person KOTAK SECURITIES LTD.  
DID NOT REFUND MARGIN MONEY

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  		CLAIM ADMITTED
AWARD AMOUNT: RS.2,05,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

11-MAY-2018 		NSE VIDE ITS ARBITRATION AWARD DATED 29/08/2018 DISMISSED STATEMENT OF CLAIM OF APPELLANT. REVERSED TRANSACTION OF 3390 SHARES OF HDIL AND DIRECTED APPELLANT TO RESTORE 273 SHARES OF ONGC SHARES OR RS.47,638.50 TO RESPONDENT. RS.30,000 REMITTED BY RESPONDENT TO BE RETURNED  
95
History of entity/person KOTAK SECURITIES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.1,07,098

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

28-DEC-2020 		nse vide its arbitration award dated 04/06/2021 allowed the appeal and set asided the impugned order dated 28/12/2020  
96
History of entity/person KOTAK SECURITIES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT RELEASE CAPITAL GAINS BONDS  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.12,10,000

CLAIM ADMITTED

DIRECTED TO TRANSFER THE BONDS

DIRECTED TO PAY COMPENSATION AND/OR COST OF DIVIDEND

26-FEB-2024 		 
97
History of entity/person KSBL SECURITIES LTD.  
DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

09-DEC-2019 		 
98
History of entity/person KSBL SECURITIES LTD.  
DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.25,000

09-DEC-2019 		 
99
History of entity/person KSBL SECURITIES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

30-JAN-2020 		 
100
History of entity/person KSBL SECURITIES LTD.  
DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.30,93,806

DIRECTED TO PAY DIVIDEND

12-FEB-2020 		 
101
History of entity/person MARKET CREATORS LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,25,978

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

29-OCT-2010 		 
102
History of entity/person MARWADI SHARES & FINANCE LTD.  
DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

29-JUL-2008 		 
103
History of entity/person MASTER CAPITAL SERVICES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.43,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

27-NOV-2014 		 
104
History of entity/person MOTILAL OSWAL SECURITIES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.2,72,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

30-DEC-2013 		NSE VIDE ITS ARBITRATION AWARD DATED 29/09/2014 UPHELD THE AWARD DATED 30/12/2013 AND DISMISSED THE APPEAL  
105
History of entity/person MUNOTH CAPITAL MARKET LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

28-JUN-2011 		 
106
History of entity/person MUTHOOT SECURITIES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

28-FEB-2014 		 
107
History of entity/person NARNOLIA FINANCIAL ADVISORS LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.16,46,447

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

23-JAN-2020 		 
108
History of entity/person NAVKAR WEALTH SERVICES PVT.LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.42,84,014

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

31-DEC-2013 		 
109
History of entity/person NETWORTH STOCK BROKING LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT DELIVER SHARES  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

10-DEC-2014 		 
110
History of entity/person NETWORTH STOCK BROKING LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

21-FEB-2012 		 
111
History of entity/person NG RATHI INVESTRADES PVT.LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

15-OCT-2019 		 
112
History of entity/person NIRMAL BANG SECURITIES PVT.LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.1,25,646

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

13-JUN-2016 		 
113
History of entity/person O.J.FINANCIAL SERVICES LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.2,94,384

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

17-FEB-2011 		 
114
History of entity/person PACE FINANCIAL SERVICES PVT.LTD.  
DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

01-MAY-2012 		 
115
History of entity/person PRABHUDAS LILLADHER PVT.LTD.  
DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

12-OCT-2009 		 
116
History of entity/person PRABODH ARTHWARDHINI PVT.LTD.  
DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

09-MAY-2011 		 
117
History of entity/person PUG SECURITIES PVT.LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

03-JAN-2011 		 
118
History of entity/person QUANTUM GLOBAL SECURITIES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

27-JUL-2019 		 
119
History of entity/person RELIANCE SECURITIES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

23-NOV-2020 		 
120
History of entity/person RELIGARE SECURITIES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

01-MAR-2011 		 
121
History of entity/person RELIGARE SECURITIES LTD.  
DID NOT EXECUTE TRADES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

10-OCT-2008 		 
122
History of entity/person RELIGARE SECURITIES LTD.  
NOT AVAILABLE  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

10-OCT-2008 		 
123
History of entity/person RELIGARE SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

02-AUG-2011 		 
124
History of entity/person ROHINI CAPITAL SERVICES LTD.  
DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

10-APR-2013 		 
125
History of entity/person ROYAL INTERNATIONAL SHARES PVT.LTD.  
DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

02-AUG-2016 		 
126
History of entity/person ROYAL INTERNATIONAL SHARES PVT.LTD.  
DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

02-AUG-2016 		 
127
History of entity/person ROYAL INTERNATIONAL SHARES PVT.LTD.  
DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

02-AUG-2016 		 
128
History of entity/person ROYAL INTERNATIONAL SHARES PVT.LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

10-OCT-2013 		 
129
History of entity/person S.S.KANTILAL ISHWARLAL SECURITIES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.2,791

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

06-JUL-2007 		 
130
History of entity/person SHAH INVESTOR'S HOME LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT PAY SALE PROCEEDS

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.59,860

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

31-JUL-2007 		 
131
History of entity/person SHAREKHAN LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

22-SEP-2014 		NSE VIDE ITS ARBITRATION AWARD DATED 23/01/2015 REJECTED APPLICATION DATED 15/01/2015 OF APPELLATE CONSTITUENT MR.RAJESH R.PATEL  
132
History of entity/person SHAREKHAN LTD.  
DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

14-JUL-2008 		 
133
History of entity/person SHAREKHAN LTD.  
DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

15-APR-2014 		 
134
History of entity/person SHAREKHAN LTD.  
DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

09-JUN-2009 		 
135
History of entity/person SHAREKHAN LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

02-SEP-2021

DIRECTED TO PAY DIVIDEND 		 
136
History of entity/person SHILPA STOCK BROKER PVT.LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

15-MAY-2014 		NSE VIDE ITS ARBITRATION AWARD DATED 09/12/2014 REJECTED THE APPEAL AND DIRECTED APPELLANT TO RESTORE THE SHARES ALONGWITH BENEFIT ACCRUED FROM THE DATE OF SALE OR TO PAY RS.4 LACS AS CLAIMED BY RESPONDENT ALONG WITH INTEREST @ 8% FROM DATE OF ORIGINAL APPLICATION I.E.17/12/2013  
137
History of entity/person SHRIRAM INSIGHT SHARE BROKERS LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.59,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

11-MAR-2011 		 
138
History of entity/person SHRIRAM INSIGHT SHARE BROKERS LTD.  
DID NOT PAY LEDGER BALANCE  CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.2,00,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

25-JAN-2019 		 
139
History of entity/person SHRIRAM INSIGHT SHARE BROKERS LTD.  
DID NOT DELIVER SHARES

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

10-APR-2011 		 
140
History of entity/person SHRIRAM INSIGHT SHARE BROKERS LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT PAY DIVIDEND

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.7,18,750

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

11-MAR-2011 		 
141
History of entity/person SHRIRAM INSIGHT SHARE BROKERS LTD.  
DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.50,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

22-APR-2010 		 
142
History of entity/person SHRIRAM INSIGHT SHARE BROKERS LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.1,42,222

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

DIRECTED TO PAY DIVIDEND

30-JUL-2021 		 
143
History of entity/person SMC GLOBAL SECURITIES LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.10,892

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

06-AUG-2015 		 
144
History of entity/person SMC GLOBAL SECURITIES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

04-FEB-2013 		 
145
History of entity/person SUMPOORNA PORTFOLIO LTD.  
DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

06-MAY-2016 		 
146
History of entity/person SUNSHINE FINSEC & MERCANTILE LTD.  
DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

22-JAN-2021 		nse vide its arbitration award dated 04/06/2021 set asided impugned award dated 22/01/2021 as the case has been settle between the parties  
147
History of entity/person SWASTIKA INVESTMART LTD.  
DID NOT PAY LEDGER BALANCE

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  		CLAIM ADMITTED
AWARD AMOUNT: RS.897

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

29-SEP-2014 		 
148
History of entity/person TRADEBULLS SECURITIES PVT.LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

12-JAN-2017 		 
149
History of entity/person UNICON SECURITIES PVT.LTD.  
DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

28-NOV-2014 		 
150
History of entity/person UNICON SECURITIES PVT.LTD.  
DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.50,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

07-NOV-2014 		 
151
History of entity/person UNICON SECURITIES PVT.LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.19,44,903

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

26-DEC-2013 		 
152
History of entity/person UNICON SECURITIES PVT.LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED

16-DEC-2014

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES 		 
153
History of entity/person UNICON SECURITIES PVT.LTD.  
DID NOT PAY SALE PROCEEDS

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.4,45,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

20-JUN-2014 		 
154
History of entity/person UNICON SECURITIES PVT.LTD.  
DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

01-SEP-2014 		 
155
History of entity/person UNICON SECURITIES PVT.LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

10-AUG-2009 		 
156
History of entity/person 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 		 
157
History of entity/person UTI SECURITIES LTD.  
DID NOT PAY DIVIDEND

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.50,249

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

31-AUG-2007 		 
158
History of entity/person VENTURA SECURITIES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.4,68,340

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

05-JUN-2009 		 
159
History of entity/person VIMAL & SONS  
DID NOT PAY LEDGER BALANCE

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.44,573

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

03-DEC-2008 		 
160
History of entity/person WAY2WEALTH BROKERS PVT.LTD.  
DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

15-SEP-2009 		 
161
History of entity/person WAY2WEALTH BROKERS PVT.LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

04-MAY-2018 		NSE VIDE ITS ARBITRATION AWARD DATED 14/09/2018 SET ASIDED AWARD DATED 04/05/2018  
162
History of entity/person WAY2WEALTH BROKERS PVT.LTD.  
DID NOT EXECUTE TRADES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

20-NOV-2009 		 
163
History of entity/person WAY2WEALTH BROKERS PVT.LTD.  
DID NOT EXECUTE TRADES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

11-NOV-2009 		 
164
History of entity/person ZERODHA BROKING LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.4,65,251

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

05-OCT-2020 		 
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