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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: DEFAULTED IN EXECUTION OF TRADES

S.No. ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ALKA SECURITIES LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.22,890

20-APR-2015 		 
2
History of entity/person ANAND RATHI SHARE & STOCK BROKERS LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

CHARGED EXCESS BROKERAGE

DID NOT EXECUTE TRADES  		CLAIM ADMITTED
AWARD AMOUNT: RS.50,000

16-FEB-2009 		 
3
History of entity/person ANGEL BROKING PVT.LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.1,97,983

14-OCT-2020 		 
4
History of entity/person ANGEL BROKING PVT.LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.5,565

15-JUN-2019 		 
5
History of entity/person ANGEL CAPITAL & DEBT MARKET LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.1,55,205

15-JAN-2009 		 
6
History of entity/person ANGEL CAPITAL & DEBT MARKET LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.1,78,696

14-APR-2009 		 
7
History of entity/person ANGEL CAPITAL & DEBT MARKET LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.8,57,589

16-MAY-2009 		 
8
History of entity/person APOLLO SINDHOORI CAPITAL INVESTMENTS LTD.  
DID NOT EXECUTE TRADES

DID NOT PAY CORRECT AMOUNT OF SHARE SOLD  		CLAIM ADMITTED
AWARD AMOUNT: RS.36,487

12-JUL-2009 		 
9
History of entity/person ARIHANT CAPITAL MARKETS LTD.  
DELAY IN EXECUTION OF TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.7,000

29-DEC-2016 		 
10
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 		 
11
History of entity/person ASTHA CREDIT & SECURITIES PVT.LTD.  
DID NOT TRANSFER SHARES TO NEW BROKER

BLOCKED ACCOUNT AND DID NOT ALLOW TRADE  		CLAIM ADMITTED
AWARD AMOUNT: RS.11,58,398

03-JAN-2024 		nse vide its arbitration award dated 03/06/2024 dismissed the appeal  
12
History of entity/person BMA WEALTH CREATORS LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.3,03,000

21-MAR-2013 		 
13
History of entity/person EDELWEISS SECURITIES LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.19,000

04-AUG-2010 		 
14
History of entity/person FINVASIA SECURITIES PVT.LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.60,400

14-OCT-2019 		NSE VIDE ITS ARBITRATION AWARD DATED 27/08/2020 ALLOWED THE APPEAL AND SET ASIDED AWARD DATED 14/10/2019  
15
History of entity/person HDFC SECURITIES LTD.  
DELAY IN EXECUTION OF TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.19,250

22-JAN-2021 		 
16
History of entity/person ICICI SECURITIES LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.36,24,600

12-JAN-2021 		nse vide its arbitration award dated 30/06/2021 dismissed the appeal and directed appellant to pay rs.36,24,600 to respondent with interest @6% p.a. from 01/02/2020 till the date of payment  
17
History of entity/person ICICI SECURITIES LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.4,49,624

17-MAR-2020 		 
18
History of entity/person ICICI SECURITIES LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.7,850

25-MAR-2014 		 
19
History of entity/person ICICI SECURITIES LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.23,920

26-NOV-2008 		 
20
History of entity/person IIFL SECURITIES LTD.  
DELAY IN EXECUTION OF TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.5,203

23-NOV-2021 		 
21
History of entity/person INDIA INFOLINE LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.5,875

22-APR-2009 		 
22
History of entity/person INDIA INFOLINE LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.49,322

02-DEC-2008 		 
23
History of entity/person INDIA INFOLINE LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.2,02,800

26-MAY-2008 		 
24
History of entity/person INDIA INFOLINE LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.29,090

02-FEB-2010 		 
25
History of entity/person INDIA INFOLINE LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.25,000

28-DEC-2009 		 
26
History of entity/person INDIABULLS SECURITIES LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.20,000

09-FEB-2009 		 
27
History of entity/person INDIABULLS SECURITIES LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.14,77,035

20-APR-2013 		APPEAL DISMISSED. NO COSTS  
28
History of entity/person INDIANIVESH SECURITIES PVT.LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.20,000

16-JUL-2014 		 
29
History of entity/person ISHTA SECURITIES  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.31,737

29-JAN-2021 		 
30
History of entity/person KOTAK SECURITIES LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.68,950

21-NOV-2013 		NSE VIDE ITS ARBITRATION AWARD DATED 09/05/2014 AWARDED ADDITIONAL AMOUNT RS.60,000 FROM RESPONDENT WITH INTEREST @ 12% P.A. FROM THE DATE OF AWARD. NO COSTS  
31
History of entity/person KOTAK SECURITIES LTD.  
DELAY IN EXECUTION OF TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.34,000

02-JUN-2016 		 
32
History of entity/person MOTILAL OSWAL SECURITIES LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.3,300

06-AUG-2015 		 
33
History of entity/person MOTILAL OSWAL SECURITIES LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.35,000

12-JAN-2010 		 
34
History of entity/person MOTILAL OSWAL SECURITIES LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.10,000

15-APR-2010 		 
35
History of entity/person NETWORTH STOCK BROKING LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.2,08,451

23-JAN-2009 		 
36
History of entity/person NETWORTH STOCK BROKING LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.32,897

20-SEP-2010 		 
37
History of entity/person R K GLOBAL SHARES AND SECURITIES LIMITED  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.20,000

18-NOV-2008 		 
38
History of entity/person RELIANCE SECURITIES LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.1,47,495

11-OCT-2022 		 
39
History of entity/person RELIGARE SECURITIES LTD.  
DID NOT EXECUTE TRADES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

10-OCT-2008 		 
40
History of entity/person RELIGARE SECURITIES LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.9,750

15-JUN-2009 		 
41
History of entity/person RELIGARE SECURITIES LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.84,013

30-MAR-2009 		 
42
History of entity/person RELIGARE SECURITIES LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.1,10,996

26-SEP-2008 		 
43
History of entity/person RELIGARE SECURITIES LTD.  
DID NOT PAY LEDGER BALANCE

DID NOT EXECUTE TRADES  		CLAIM ADMITTED
AWARD AMOUNT: RS.59,754

11-AUG-2008 		 
44
History of entity/person RELIGARE SECURITIES LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.5,180

28-JUN-2013 		 
45
History of entity/person RELIGARE SECURITIES LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.19,880

06-OCT-2009 		 
46
History of entity/person SBICAP SECURITIES LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.73,500

13-JUN-2019 		 
47
History of entity/person SMC GLOBAL SECURITIES LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.48,495

18-MAR-2009 		 
48
History of entity/person UNICON SECURITIES PVT.LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.1,00,000

15-OCT-2010 		NSE VIDE ITS ARBITRATION AWARD DATED 15/10/2010 SET ASIDED THE AWARD DATED 15/10/2008. FURTHER DIRECTED RESPONDENT TO PAY TO APPLICANT RS. 1.00 LAC TOWARDS COST AND LEGAL EXPENSES  
49
History of entity/person UNICON SECURITIES PVT.LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.9,92,730

07-DEC-2009 		 
50
History of entity/person UNICON SECURITIES PVT.LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.11,00,000

04-OCT-2008 		 
51
History of entity/person VERTEX SECURITIES LTD.  
DID NOT EXECUTE TRADES  CLAIM ADMITTED
AWARD AMOUNT: RS.84,600

28-MAR-2023 		 
52
History of entity/person WAY2WEALTH BROKERS PVT.LTD.  
DID NOT EXECUTE TRADES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

20-NOV-2009 		 
53
History of entity/person WAY2WEALTH BROKERS PVT.LTD.  
DID NOT EXECUTE TRADES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

11-NOV-2009 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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