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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 MAKING PAYMENT TO CLIENT

S.No. ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ALKA SECURITIES LTD.  
DID NOT MAKE PAYMENT TO ITS CLIENTS  CLAIM ADMITTED
AWARD AMOUNT: RS.1,01,301

05-NOV-2012 		 
2
History of entity/person HRIM FINANCE & SECURITIES PVT.LTD.  
DID NOT MAKE PAYMENT TO ITS CLIENTS  CLAIM ADMITTED
AWARD AMOUNT: RS.48,62,323

05-DEC-2012 		 
3
History of entity/person HRIM FINANCE & SECURITIES PVT.LTD.  
DID NOT MAKE PAYMENT TO ITS CLIENTS  CLAIM ADMITTED
AWARD AMOUNT: RS.2,68,611

05-DEC-2012 		 
4
History of entity/person MOTILAL OSWAL FINANCIAL SERVICES LTD.  
DID NOT MAKE PAYMENT TO ITS CLIENTS  CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.26,000

24-MAY-2023 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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