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SOURCE OF INFORMATION : NATIONAL STOCK EXCHANGE OF INDIA LTD. LISTS/WEBSITE
PERIOD COVERED : 01-JAN-2000 TO 21-NOV-2024

STOCK BROKERS: DEFAULT IN PAYMENT OF DEPOSIT AMOUNT

S.No. ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ABHIPRA CAPITAL LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.10,03,190

11-FEB-2010 		Award is set aside by appellate tribunal and appeal of the constituent in Bombay High court is also dismissed  
2
History of entity/person ABHIPRA CAPITAL LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.5,53,766

11-FEB-2010 		Award is set aside by appellate tribunal and appeal of the constituent in Bombay High court is also dismissed  
3
History of entity/person ADITYA BIRLA MONEY LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.45,000

02-JUN-2011 		 
4
History of entity/person ALKA SECURITIES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.50,00,000

25-FEB-2014 		 
5
History of entity/person 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 		 
6
History of entity/person ANGEL BROKING PVT.LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.12,000

24-NOV-2014 		 
7
History of entity/person ANGEL BROKING PVT.LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  		CLAIM ADMITTED
AWARD AMOUNT: RS.27,441

28-FEB-2015 		 
8
History of entity/person ARHAM SHARE CONSULTANTS PVT.LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  		CLAIM ADMITTED
AWARD AMOUNT: RS.56,745

14-SEP-2017 		 
9
History of entity/person ASL CAPITAL HOLDINGS PVT.LTD.  
DID NOT PAY CORRECT AMOUNT OF SHARE SOLD

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  		CLAIM ADMITTED
AWARD AMOUNT: RS.35,350

20-AUG-2010 		 
10
History of entity/person BELAIR CORP.PVT.LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.2,15,000

25-OCT-2012 		 
11
History of entity/person BELAIR CORPORATION PVT.LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.2,40,000

14-JUL-2014 		 
12
History of entity/person BELAIR CORPORATION PVT.LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.2,50,000

16-JUN-2014 		APPEAL DISMISSED AND AWARD UPHELD  
13
History of entity/person BMA WEALTH CREATORS LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.10,000

15-APR-2013 		 
14
History of entity/person BMA WEALTH CREATORS LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.5,82,000

15-NOV-2017 		 
15
History of entity/person BMA WEALTH CREATORS LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.13,000

10-JUN-2014 		 
16
History of entity/person BMA WEALTH CREATORS LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.10,000

04-SEP-2013 		 
17
History of entity/person BMA WEALTH CREATORS LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.50,000

08-APR-2014 		 
18
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 		 
19
History of entity/person BONANZA PORTFOLIO LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,21,956

03-FEB-2014 		APPEAL DISMISSED. NO COSTS  
20
History of entity/person CD EQUISEARCH PVT.LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.87,790

20-MAR-2014 		NSE VIDE ITS ARBITRATION AWARD DATED 11/08/2014 SET ASIDED ITS AWARD DATED 20/03/2014. NO COSTS  
21
History of entity/person CD EQUISEARCH PVT.LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.2,00,000

18-AUG-2014 		 
22
History of entity/person CPR CAPITAL SERVICES LTD.  
DID NOT REFUND EXCESS PAYMENT RECEIVED  CLAIM ADMITTED
AWARD AMOUNT: RS.1,40,260

24-SEP-2009 		 
23
History of entity/person DESTOMONY SECURITIES PVT.LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  		CLAIM ADMITTED
AWARD AMOUNT: RS.2,57,026

06-FEB-2013 		 
24
History of entity/person EDELWEISS BROKING LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  		CLAIM ADMITTED
AWARD AMOUNT: RS.9,94,000

09-JUN-2017 		 
25
History of entity/person EDELWEISS BROKING LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.51,225

14-JUN-2016 		 
26
History of entity/person EDELWEISS BROKING LTD.  
DID NOT PAY BROKERAGE

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  		CLAIM ADMITTED
AWARD AMOUNT: RS.32,66,596

12-OCT-2022 		 
27
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 		 
28
History of entity/person EDELWEISS FINANCIAL ADVISORS LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.1,00,000

31-MAR-2015 		NSE VIDE ITS ARBITRATION AWARD DATED 31/03/2015 DISMISSED THE APPEAL AND DIRECTED APPELLANT TO PAY RS.1 LAC TO RESPONDENT  
29
History of entity/person EXPONENTIAL FINANCIAL SERVICES PVT.LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.9,00,000

29-AUG-2017 		NSE VIDE ITS ARBITRATION AWARD DATED 31/01/2018 SET ASIDED THE AWARD DATED 29/08/2017. AFFIRMED ORDER OF THE SOLE ARBITRATOR WHEREBY COUNTER CLAIMS PREFERRED BY RESPONDENT / CONSTITUENT ARE REJECTED. NO COSTS  
30
History of entity/person FUTURE CAPITAL SECURITIES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.1,10,000

10-JAN-2013 		 
31
History of entity/person ICICI SECURITIES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  		CLAIM ADMITTED
AWARD AMOUNT: RS.9,90,000

14-FEB-2013 		 
32
History of entity/person IIFL SECURITIES LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,21,761

29-DEC-2019 		NSE VIDE ITS ARBITRATION AWARD DATED 29/12/2019 SET ASIDED AWARD DATED 20/08/2019 AND DIRECTED RESPONDENT TO RS.1,21,761 TOWARDS HALF OF PENALTY AMOUNT AND BALANCE AMOUNT OF DEPOSIT  
33
History of entity/person INDIA INFOLINE LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.40,000

27-OCT-2007 		 
34
History of entity/person INDIA INFOLINE LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.4,45,919

21-JUL-2011 		 
35
History of entity/person INDIA INFOLINE LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,27,478

16-MAY-2014 		NSE VIDE ITS ARBITRATION AWARD DATED 31/12/2014 REDUCED AWARD AMOUNT TO RS.1,27,478.00 FROM RS.1,52,487.00  
36
History of entity/person INDIABULLS SECURITIES LTD.  
DID NOT PAY SALE PROCEEDS

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  		CLAIM ADMITTED
AWARD AMOUNT: RS.4,80,000

07-MAY-2007 		 
37
History of entity/person INTEGRATED ENTERPRISES (INDIA) LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.19,000

30-DEC-2014 		 
38
History of entity/person INTIME EQUITIES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  		CLAIM ADMITTED
AWARD AMOUNT: RS.8,776

08-SEP-2015 		 
39
History of entity/person JM FINANCIAL SERVICES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.82,000

28-DEC-2011 		 
40
History of entity/person JRG SECURITIES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.1,07,424

23-SEP-2013 		NSE VIDE ITS ARBITRATION AWARD DATED 08/01/2014 DISMISSED THE APPEAL. NO COSTS  
41
History of entity/person JRG SECURITIES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.1,59,680

23-SEP-2013 		 
42
History of entity/person K & A SECURITIES PVT.LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.5,00,500

16-MAY-2011 		 
43
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 		 
44
History of entity/person KARVY STOCK BROKING LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.25,000

12-SEP-2017 		 
45
History of entity/person KARVY STOCK BROKING LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT PAY DIVIDEND

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,35,22,961

01-DEC-2015 		 
46
History of entity/person KARVY STOCK BROKING LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.2,95,555

28-JUL-2015 		 
47
History of entity/person KEYNOTE CAPITALS LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.1,44,767

16-JUN-2015 		 
48
History of entity/person KEYNOTE CAPITALS LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.65,500

12-NOV-2013 		 
49
History of entity/person KOTAK SECURITIES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.50,000

03-DEC-2022 		nse vide its arbitration award dated 26/05/2023 modified award dated 03/12/2022 and directed appellant to refund security deposit to respondent on submission of indemnity bond. no costs  
50
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  
51
History of entity/person KRISHA INCAP SERVICES PVT.LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.10,00,000

28-FEB-2023 		 
52
History of entity/person LKP SECURITIES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.18,000

23-SEP-2015 		 
53
History of entity/person LKP SECURITIES LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  		CLAIM ADMITTED
AWARD AMOUNT: RS.80,000

05-DEC-2016 		 
54
History of entity/person MANGAL KESHAV SECURITIES LTD.  
DELAY IN RELEASE OF SECURITY DEPOSIT

DELAY IN RELEASE OF BROKERAGE  		CLAIM ADMITTED
AWARD AMOUNT: RS.35,000

13-JAN-2016 		 
55
History of entity/person MASTER CAPITAL SERVICES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  		CLAIM ADMITTED
AWARD AMOUNT: RS.17,36,120

12-FEB-2016 		 
56
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 		 
57
History of entity/person MAX PLANWEALTH SECURITIES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.7,313

04-JUN-2015 		 
58
History of entity/person MOTILAL OSWAL SECURITIES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.4,00,000

20-JUL-2007 		 
59
History of entity/person MOTILAL OSWAL SECURITIES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,01,96,410

28-APR-2017 		 
60
History of entity/person NIRMAL BANG SECURITIES PVT.LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.4,45,000

21-JUN-2013 		 
61
History of entity/person OMJI CAPITAL SERVICES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.15,000

07-MAR-2014 		 
62
History of entity/person OMJI CAPITAL SERVICES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.2,39,932

14-JAN-2014 		 
63
History of entity/person ORION CAPITAL & DEBT MARKET  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.1,80,445

14-OCT-2015 		 
64
History of entity/person PUG SECURITIES PVT.LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.2,848

15-OCT-2010 		 
65
History of entity/person RAGA SHARE TRADING PVT.LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  		CLAIM ADMITTED
AWARD AMOUNT: RS.17,28,233

08-JUN-2011 		 
66
History of entity/person RAGHUNANDAN CAPITAL PVT.LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.8,52,890

17-SEP-2014 		 
67
History of entity/person RELIGARE SECURITIES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.1,06,000

26-APR-2011 		 
68
History of entity/person RELIGARE SECURITIES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.31,32,000

13-APR-2011 		 
69
History of entity/person RELIGARE SECURITIES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.39,790

10-FEB-2016 		 
70
History of entity/person RELIGARE SECURITIES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.1,00,000

28-JUN-2012 		 
71
History of entity/person RELIGARE SECURITIES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.1,800

21-DEC-2009 		 
72
History of entity/person ROYAL INTERNATIONAL SHARES PVT.LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.35,879

30-NOV-2015 		 
73
History of entity/person ROYAL INTERNATIONAL SHARES PVT.LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.4,28,252

23-DEC-2014 		 
74
History of entity/person ROYAL INTERNATIONAL SHARES PVT.LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,70,339

01-AUG-2014 		 
75
History of entity/person ROYAL INTERNATIONAL SHARES PVT.LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  		CLAIM ADMITTED
AWARD AMOUNT: RS.2,77,034

01-AUG-2014 		 
76
History of entity/person RR EQUITY BROKERS PVT.LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.6,169

05-JAN-2015 		 
77
History of entity/person SAI SOFT SECURITIES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.1,51,00,000

24-JUL-2014 		 
78
History of entity/person SAI SOFT SECURITIES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.1,83,00,000

31-MAY-2014 		NSE VIDE ITS ARBITRATION AWARD DATED 12/12/2014 DISMISSED THE APPEAL AND OTHER CLAIMS AND COUNTER CLAIMS OF THE PARTIES REJECTED  
79
History of entity/person SHAREKHAN LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.750

28-JUL-2009 		 
80
History of entity/person SHRI PARASRAM HOLDINGS PVT.LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.1,06,000

15-APR-2010 		 
81
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 		 
82
History of entity/person SHRIRAM INSIGHT SHARE BROKERS LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.1,25,500

15-JUL-2015 		 
83
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 		 
84
History of entity/person SHRIRAM INSIGHT SHARE BROKERS LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.6,064

18-JAN-2008 		 
85
History of entity/person SHRIRAM INSIGHT SHARE BROKERS LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.44,848

30-SEP-2014 		APPEAL DISMISSED  
86
History of entity/person SMC GLOBAL SECURITIES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.4,641

15-DEC-2011 		 
87
History of entity/person STANDARD CHARTERED-STCI CAPITAL MARKETS LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT

DID NOT PAY BROKERAGE

AMOUNT WRONGLY DEBITED AGAINST NON-PAYMENT OF DEBTS

AMOUNT WRONGLY DEBITED AGAINST DELAYED PAYMENT CHARGES  		CLAIM ADMITTED
AWARD AMOUNT: RS.79,98,329

12-JUN-2009 		 
88
History of entity/person STAR SHARE & STOCK BROKERS LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.32,07,478

18-FEB-2019 		 
89
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.27,05,365

15-JUN-2009 		 
90
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.9,03,964

29-JUN-2009 		 
91
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.7,37,654

20-JUL-2009 		 
92
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.7,34,037

20-JUL-2009 		 
93
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.2,59,891

01-JUL-2009 		 
94
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.2,05,968

17-AUG-2009 		 
95
History of entity/person SUNCHAN SECURITIES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.11,22,659

19-AUG-2009 		 
96
History of entity/person SYSTEMATIX SHARES & STOCKS (INDIA) LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,92,596

08-MAR-2010 		 
97
History of entity/person SYSTEMATIX SHARES & STOCKS (INDIA) LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.15,00,000

15-SEP-2008 		 
98
History of entity/person TRUSTLINE SECURITIES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.2,14,186

17-DEC-2019 		 
99
History of entity/person TRUSTLINE SECURITIES LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.4,39,186

15-JUL-2019 		 
100
History of entity/person UNICON SECURITIES PVT.LTD.  
DID NOT PAY BROKERAGE

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,22,600

15-OCT-2014 		 
101
History of entity/person UNICON SECURITIES PVT.LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.25,586

21-OCT-2014 		 
102
History of entity/person UNICON SECURITIES PVT.LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.36,000

10-JUL-2009 		 
103
History of entity/person UNICON SECURITIES PVT.LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.23,35,000

30-APR-2013 		NSE VIDE ITS ARBITRATION AWARD DATED 21/11/2013 REJECTED THE APPEAL AND UPHELD IMPUGNED AWARD DATED 30/04/2013. NO COSTS  
104
History of entity/person UNICON SECURITIES PVT.LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.85,000

15-SEP-2014 		 
105
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 		 
106
History of entity/person UNICON SECURITIES PVT.LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.3,30,000

06-NOV-2009 		 
107
History of entity/person UNICON SECURITIES PVT.LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

CHARGED EXCESS BROKERAGE

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  		CLAIM ADMITTED
AWARD AMOUNT: RS.56,163

22-DEC-2009 		 
108
History of entity/person UNICON SECURITIES PVT.LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.3,10,000

05-NOV-2009 		 
109
History of entity/person WAY2WEALTH BROKERS PVT.LTD.  
DID NOT PAY LEDGER BALANCE

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  		CLAIM ADMITTED
AWARD AMOUNT: RS.3,00,000

11-FEB-2008 		 
110
History of entity/person ZUARI INVESTMENTS LTD.  
DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT  CLAIM ADMITTED
AWARD AMOUNT: RS.24,506

31-DEC-2014 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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