S.No. |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
1 |
|
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 |
|
ADITYA BIRLA MONEY LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
14-JUL-2012
|
|
3 |
|
ADITYA BIRLA MONEY LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
31-MAY-2011
|
|
4 |
|
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 |
|
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
|
6 |
|
ALKA SECURITIES LTD.
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
24-JAN-2011
|
|
7 |
|
ANAND RATHI SHARE & STOCK BROKERS LTD.
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
26-AUG-2009
|
|
8 |
|
ANGEL BROKING PVT.LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
07-DEC-2017
|
|
9 |
|
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
|
|
10 |
|
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
|
|
11 |
|
ANUGRAH STOCK & BROKING PVT.LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
27-JUN-2011
|
|
12 |
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
15-SEP-2011
|
|
13 |
|
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 |
|
BAKLIWAL FINANCIAL SERVICES (INDIA) PVT.LTD.
|
|
DID NOT REFUND MARGIN MONEY
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
19-JAN-2018
|
|
15 |
|
BANSAL FINSTOCK PVT.LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
03-DEC-2018
|
APPEAL DISMISSED
|
16 |
|
BMA WEALTH CREATORS LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
20-AUG-2015
|
|
17 |
|
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
|
18 |
|
BMA WEALTH CREATORS LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
19-NOV-2014
|
|
19 |
|
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
|
20 |
|
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
|
|
21 |
|
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
|
|
22 |
|
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
|
|
23 |
|
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
|
|
24 |
|
BMA WEALTH CREATORS LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
07-JUN-2017
|
|
25 |
|
BMA WEALTH CREATORS LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
30-JUN-2017
|
|
26 |
|
BMA WEALTH CREATORS LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
12-JUL-2013
|
|
27 |
|
BMA WEALTH CREATORS LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
16-MAY-2016
|
|
28 |
|
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
|
|
29 |
|
BONANZA PORTFOLIO LTD.
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED AWARD AMOUNT: RS.8,951
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
18-APR-2013
|
|
30 |
|
BONANZA PORTFOLIO LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
03-NOV-2009
|
|
31 |
|
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
|
|
32 |
|
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
|
33 |
|
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 |
|
CLICK2TRADE CAPITAL LTD.
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
26-APR-2014
|
|
35 |
|
CLICK2TRADE CAPITAL LTD.
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
16-MAY-2014
|
|
36 |
|
CLICK2TRADE CAPITAL LTD.
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
15-JUL-2014
|
|
37 |
|
CLICK2TRADE CAPITAL LTD.
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
11-AUG-2014
|
|
38 |
|
COIMBATORE CAPITAL LTD.
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
25-JAN-2010
|
|
39 |
|
COIMBATORE CAPITAL LTD.
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
10-FEB-2010
|
|
40 |
|
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 |
|
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 |
|
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 |
|
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 |
|
FAIRWEALTH SECURITIES LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
18-OCT-2017
|
|
45 |
|
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 |
|
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 |
|
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 |
|
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 |
|
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 |
|
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 |
|
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 |
|
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 |
|
INDIA INFOLINE LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
11-SEP-2014
|
|
54 |
|
INDIA INFOLINE LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
07-SEP-2017
|
|
55 |
|
INDIA INFOLINE LTD.
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
15-FEB-2010
|
|
56 |
|
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
|
57 |
|
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
|
|
58 |
|
INDIA INFOLINE LTD.
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
23-DEC-2010
|
|
59 |
|
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
|
60 |
|
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 |
|
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 |
|
INDIABULLS SECURITIES LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
17-APR-2012
|
|
63 |
|
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 |
|
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
|
|
65 |
|
INTERFACE BROKERAGE & RESEARCH LTD.
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
27-JUL-2010
|
|
66 |
|
INTERFACE BROKERAGE & RESEARCH LTD.
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
08-JUL-2010
|
|
67 |
|
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 |
|
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 |
|
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 |
|
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 |
|
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 |
|
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 |
|
KARVY STOCK BROKING LTD.
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
24-FEB-2014
|
APPEAL DISMISSED
|
74 |
|
KARVY STOCK BROKING LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
24-SEP-2015
|
|
75 |
|
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
|
76 |
|
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 |
|
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
|
|
78 |
|
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
|
79 |
|
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
|
|
80 |
|
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
|
|
81 |
|
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
|
82 |
|
KARVY STOCK BROKING LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
04-NOV-2015
DIRECTED TO RETURN UNAUTHORISED GAINS
|
|
83 |
|
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
|
|
84 |
|
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
|
|
85 |
|
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 |
|
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 |
|
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 |
|
KASS SECURITIES PVT.LTD.
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
07-FEB-2008
|
|
89 |
|
KASS SECURITIES PVT.LTD.
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
07-FEB-2008
|
|
90 |
|
KASS SECURITIES PVT.LTD.
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.20,000
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
17-MAR-2008
|
|
91 |
|
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
|
|
92 |
|
KASSA FINVEST PVT.LTD.
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND & BONUS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
09-APR-2015
|
|
93 |
|
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 |
|
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 |
|
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 |
|
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 |
|
KSBL SECURITIES LTD.
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
09-DEC-2019
|
|
98 |
|
KSBL SECURITIES LTD.
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.25,000
09-DEC-2019
|
|
99 |
|
KSBL SECURITIES LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
30-JAN-2020
|
|
100 |
|
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 |
|
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 |
|
MARWADI SHARES & FINANCE LTD.
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
29-JUL-2008
|
|
103 |
|
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 |
|
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 |
|
MUNOTH CAPITAL MARKET LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
28-JUN-2011
|
|
106 |
|
MUTHOOT SECURITIES LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
28-FEB-2014
|
|
107 |
|
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 |
|
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 |
|
NETWORTH STOCK BROKING LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
10-DEC-2014
|
|
110 |
|
NETWORTH STOCK BROKING LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
21-FEB-2012
|
|
111 |
|
NG RATHI INVESTRADES PVT.LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
15-OCT-2019
|
|
112 |
|
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 |
|
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 |
|
PACE FINANCIAL SERVICES PVT.LTD.
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
01-MAY-2012
|
|
115 |
|
PRABHUDAS LILLADHER PVT.LTD.
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
12-OCT-2009
|
|
116 |
|
PRABODH ARTHWARDHINI PVT.LTD.
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
09-MAY-2011
|
|
117 |
|
PUG SECURITIES PVT.LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
03-JAN-2011
|
|
118 |
|
QUANTUM GLOBAL SECURITIES LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
27-JUL-2019
|
|
119 |
|
RELIANCE SECURITIES LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
23-NOV-2020
|
|
120 |
|
RELIGARE SECURITIES LTD.
|
|
NOT AVAILABLE
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
10-OCT-2008
|
|
121 |
|
RELIGARE SECURITIES LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
01-MAR-2011
|
|
122 |
|
RELIGARE SECURITIES LTD.
|
|
DID NOT PAY SALE PROCEEDS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
02-AUG-2011
|
|
123 |
|
RELIGARE SECURITIES LTD.
|
|
DID NOT EXECUTE TRADES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
10-OCT-2008
|
|
124 |
|
ROHINI CAPITAL SERVICES LTD.
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
10-APR-2013
|
|
125 |
|
ROYAL INTERNATIONAL SHARES PVT.LTD.
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
02-AUG-2016
|
|
126 |
|
ROYAL INTERNATIONAL SHARES PVT.LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
10-OCT-2013
|
|
127 |
|
ROYAL INTERNATIONAL SHARES PVT.LTD.
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
02-AUG-2016
|
|
128 |
|
ROYAL INTERNATIONAL SHARES PVT.LTD.
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
02-AUG-2016
|
|
129 |
|
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 |
|
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 |
|
SHAREKHAN LTD.
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
09-JUN-2009
|
|
132 |
|
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
|
133 |
|
SHAREKHAN LTD.
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
14-JUL-2008
|
|
134 |
|
SHAREKHAN LTD.
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
15-APR-2014
|
|
135 |
|
SHAREKHAN LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
02-SEP-2021
DIRECTED TO PAY DIVIDEND
|
|
136 |
|
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 |
|
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
|
|
138 |
|
SHRIRAM INSIGHT SHARE BROKERS LTD.
|
|
DID NOT DELIVER SHARES
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
10-APR-2011
|
|
139 |
|
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
|
|
140 |
|
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
|
|
141 |
|
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
|
|
142 |
|
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
|
|
143 |
|
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 |
|
SMC GLOBAL SECURITIES LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
04-FEB-2013
|
|
145 |
|
SUMPOORNA PORTFOLIO LTD.
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
06-MAY-2016
|
|
146 |
|
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 |
|
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 |
|
TRADEBULLS SECURITIES PVT.LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
12-JAN-2017
|
|
149 |
|
UNICON SECURITIES PVT.LTD.
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
16-DEC-2014
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
|
|
150 |
|
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 |
|
UNICON SECURITIES PVT.LTD.
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
28-NOV-2014
|
|
152 |
|
UNICON SECURITIES PVT.LTD.
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
01-SEP-2014
|
|
153 |
|
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
|
|
154 |
|
UNICON SECURITIES PVT.LTD.
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
10-AUG-2009
|
|
155 |
|
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
|
|
156 |
|
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
|
|
157 |
|
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 |
|
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 |
|
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 |
|
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
|
161 |
|
WAY2WEALTH BROKERS PVT.LTD.
|
|
DID NOT EXECUTE TRADES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
20-NOV-2009
|
|
162 |
|
WAY2WEALTH BROKERS PVT.LTD.
|
|
DID NOT EXECUTE TRADES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
11-NOV-2009
|
|
163 |
|
WAY2WEALTH BROKERS PVT.LTD.
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
15-SEP-2009
|
|
164 |
|
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
|
|
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |