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SOURCE OF INFORMATION : NATIONAL STOCK EXCHANGE OF INDIA LTD. LISTS/WEBSITE
PERIOD COVERED : 01-JAN-2000 TO 02-JUL-2025

PERSONS: EXECUTED UNAUTHORISED TRANSACTIONS

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ANIL VIJAY KSHIRSAGAR  
History of entity/person ANIL VIJAY KSHIRSAGAR,M/S
  		INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.7,633

27-JUN-2014 		NSE VIDE ITS ARBITRATION AWARD DATED 13/10/2014 SET ASIDED AWARD DATED 27/06/2014. DIRECTED TO WAIVE OFF DEBIT BALANCE OF RS.51,348.90 OUTSTANDING IN ACCOUNT OF RESPONDENT NO.1 BY THE APPELLANT. IN ADDITION, APPELLANT IS REQUIRED TO PAY OF RS.7,633.32 TO RESPONDENT NO.1. NO COSTS  
2
History of entity/person ARUNKUMAR PARASA  
  INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.4,57,000

25-JAN-2014 		 
3
History of entity/person ARVIND DEVRUKHAKAR  
History of entity/person ARVIND DEORUKHKAR,M/S
  		INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.25,000

27-MAR-2008 		 
4
History of entity/person ASHOK DASAPPA SWAMI  
  INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.6,00,000

27-APR-2015 		 
5
History of entity/person CHETAN DESHMUKH  
  INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.58,00,000

25-OCT-2019 		nse vide its arbitration award dated 03/06/2021 allowed the appeal and set asided the impugned order dated 25/10/2019  
6
History of entity/person CHETAN DESHMUKH  
History of entity/person ICEBERG CONSULTANCY
  		INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED Rs.19,887
AWARD AMOUNT: RS.25,39,362

DIRECTED TO REFUND PENALTY

05-NOV-2019 		NSE VIDE ITS ARBITRATION AWARD DATED 25/05/2021 DISMISSED THE APPEAL AND DIRECTED APPELLANT AND RESPENDENT NO.2 TO PAY JOINTLY AND SEVERALLY RS.24,89,362.00 (PRINCIPAL - RS.14,52,740.00, BROKERAGE - RS.10,16,735.00 AND PENALTY RS.19,887.00) TO RESPONDENT NO.1, WITHIN 15 DAYS FROM DATE OF RECEIPT OF DATE OF THIS ORDER WITH SIMPLE INTEREST OF 18% P.A. TILL ITS ACTUAL PAYMENT  
7
History of entity/person CHETAN DESHMUKH  
History of entity/person ICEBERG CONSULTANCY
  		INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.16,03,698

29-OCT-2019 		 
8
History of entity/person CHETAN DESHMUKH  
History of entity/person ICEBERG CONSULTANCY
  		INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.25,00,000

29-OCT-2019 		 
9
History of entity/person CHETAN DESHMUKH  
History of entity/person ICEBERG CONSULTANCY
  		INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.18,01,754

29-OCT-2019 		NSE VIDE ITS ARBITRATION AWARD DATED 30/07/2020 UPHELD AND CONFIRMED IMPUGNED AWARD DATED 29/10/2019. No costs  
10
History of entity/person HEMANT NANJI DEDHIA  
History of entity/person MAITRI STOCK BROKING PVT.LTD.
  		INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.39,97,857

21-MAR-2022 		nse vide its arbitration award dated 29/09/2022 partly allowed the appeal and directed respondents no.1 & 2 to pay rs.25,11,857.13 jointly and severally with interest @10% from 13/03/2020 and also pay rs.14.86 lacs jointly and severally with interest @10% p.a. from 13/03/2020 till date of payment. No costs  
11
History of entity/person JASMINE CHANDRAKANT OZA  
History of entity/person BONANZA PORTFOLIO LTD.
  		INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.25,000

02-MAY-2014 		APPEAL DISMISSED. NO COSTS  
12
History of entity/person KARAN SINGH SHARMA  
History of entity/person MOTILAL OSWAL SECURITIES LTD.
  		INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.5,25,209

28-OCT-2011 		 
13
History of entity/person KARAN SINGH SHARMA  
History of entity/person MOTILAL OSWAL SECURITIES LTD.
  		INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.2,54,265

28-OCT-2011 		 
14
History of entity/person KAUSHIK HINGU  
History of entity/person MOTILAL OSWAL SECURITIES LTD.
  		INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.20,38,211

13-MAR-2014 		 
15
History of entity/person KAUSHIK HINGU  
History of entity/person MOTILAL OSWAL SECURITIES LTD.
  		INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.12,00,860

13-MAR-2014 		APPEAL DISMISSED. NO COSTS  
16
History of entity/person KINTAN RAJESHBHAI SHAH  
  INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.2,34,169

14-FEB-2013 		 
17
History of entity/person KRISHNAMACHARY IYENGAR  
History of entity/person MULTIPLE INVESTMENT
  		INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.76,000

13-FEB-2014 		 
18
History of entity/person KUNAL KAMAT  
History of entity/person GARIMA FINANCIAL SERVICES
  		INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.10,92,180

30-APR-2018 		NSE VIDE ITS ARBITRATION AWARD DATED 18/09/2018 DID NOT ALLOW THE APPEAL AND UPHELD & CONFIRMED ITS AWARD DATED 30/04/2018. NO COSTS  
19
History of entity/person KUNAL KAMAT  
History of entity/person GARIMA FINANCIAL SERVICES
  		INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.1,11,712

30-APR-2018 		NSE VIDE ITS ARBITRATION AWARD DATED 18/09/2018 PARTLY ALLOWED THE APPEAL AND APPELLANT DIRECTED TO PAY RS.1,11,712.50 TO RESPONDENT NO.1 WITHIN 30 DAYS FROM THE DATE OF AWARD. NO COSTS  
20
History of entity/person KUNAL KAMAT  
History of entity/person GARIMA FINANCIAL SERVICES
  		INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.10,23,729

30-APR-2018 		NSE VIDE ITS ARBITRATION AWARD DATED 18/09/2018 ALLOWED THE APPEAL AND SET ASIDED ITS AWARD DATED 30/04/2018  
21
History of entity/person KUNAL KAMAT  
History of entity/person GARIMA FINANCIAL SERVICES
  		INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.1,55,678

19-APR-2018 		NSE VIDE ITS ARBITRATION AWARD DATED 21/08/2018 DID NOT ALLOW THE APPLICATION AND UPHELD & CONFIRMED ITS IMPUGNED AWARD DATED 19/04/2018. NO COSTS  
22
History of entity/person KUNAL KAMAT  
History of entity/person GARIMA FINANCIAL SERVICES
  		INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.2,09,858

19-APR-2018 		NSE VIDE ITS ARBITRATION AWARD DATED 18/09/2018 ALLOWED THE APPEAL AND SET ASIDED ITS AWARD DATED 19/04/2018  
23
History of entity/person KUNAL KAMAT  
History of entity/person GARIMA FINANCIAL SERVICES
  		INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.2,38,230

19-APR-2018 		NSE VIDE ITS ARBITRATION AWARD DATED 21/08/2018 ALLOWED THE APPEAL AND SET ASIDED AWARD DATED 19/04/2018  
24
History of entity/person LALLU PRASAD  
  INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.10,00,000

12-MAR-2012 		 
25
History of entity/person MAHESH CHANDRA GUPTA  
  INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.1,25,625

17-APR-2008 		 
26
History of entity/person MUTHUSWAMY GANAPATHY  
  DID NOT PAY LEDGER BALANCE

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  		CLAIM ADMITTED
AWARD AMOUNT: RS.8,32,113

11-JAN-2010 		 
27
History of entity/person NALINI RADHAKRISHNAN  
  INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.3,59,000

23-OCT-2017 		 
28
History of entity/person NARAYANASAMI SANKAR  
  INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.2,79,627

06-OCT-2015 		 
29
History of entity/person NAROTTAMDAS GOEL  
  INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.18,14,392

29-MAR-2011 		 
30
History of entity/person RAJESH  
History of entity/person RAJESH,M/S
  		INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.4,63,000

03-AUG-2012 		 
31
History of entity/person RAJESH  
History of entity/person RAJESH,M/S
  		INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.4,63,000

03-AUG-2012 		 
32
History of entity/person RAJESH KHANNA  
History of entity/person RAJESH KHANNA,M/S
  		INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.4,63,000

05-OCT-2012 		 
33
History of entity/person SANDEEP SETHIYA  
History of entity/person HURSH INVESTMENTS
  		INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.15,23,795

30-JUL-2013 		ALLOWED THE APPEAL AND SET ASIDED IMPUGNED ORDER DATED 30/07/2012. NO COSTS  
34
History of entity/person SARMISTHA PALIT  
  INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.4,22,802

07-AUG-2012 		 
35
History of entity/person SOBHA RAO  
  INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.4,93,582

28-JUL-2009 		 
36
History of entity/person SUBRATA BHAUMIK  
  INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.50,168

17-JUL-2019 		NSE VIDE ITS ARBITRATION AWARD DATED 16/12/2019 SET ASIDED ARBITRATION AWARD DATED 17/07/2019 AND DIRECTED SUBRATA BHAUMIK TO PAY RS.45,168.00 TO PROFITMART WITH COST OF RS.5,000.00 FOR NON-COOPERATING THE TRIBUNAL  
37
History of entity/person SUNIL KUMAR  
  DID NOT PAY LEDGER BALANCE

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,80,815

18-DEC-2008 		 
38
History of entity/person SURESH H.KOLI  
  INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.4,383

06-APR-2011 		 
39
History of entity/person SURESH KALOOR POTHERA  
History of entity/person SURESH KALOORE POTHERA,M/S
  		INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.15,89,183

30-JUL-2021 		nse vide its arbitration award dated 19/02/2022 partly allowed the appeal by modifying award dated 30/07/2021 by reducing award amount to rs.15,89,183.00 from rs.31,78,366.08  
40
History of entity/person SWAPNA RANI PAUL  
  INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.4,50,000

25-JUL-2014 		NSE VIDE ITS ARBITRATION AWARD DATED 25/07/2014 SET ASIDED ITS AWARD DATED 06/03/2014. RESPONDENT PAYS OF RS.4,50,000 TO THE APPELLANT AS COMPENSATION FOR UNDULY SELLING THE SHARES  
41
History of entity/person T.HANUMANTHAPPA  
  INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.1,34,097

03-DEC-2014 		 
42
History of entity/person UPAGUPTA MOHAPATRA  
  INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.37,60,684

19-MAY-2009 		 
43
History of entity/person VEENA GUPTA  
  INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.3,02,609

20-MAR-2011 		 
44
History of entity/person VINAY KUMAR TEKRIWAL  
  DID NOT PAY LEDGER BALANCE

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,95,186

18-AUG-2010 		 
45
History of entity/person VISHAL MALKAN  
History of entity/person KOTAK SECURITIES LTD.
  		INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.18,80,506

25-NOV-2010 		 
46
History of entity/person VIVEK BOTHRA  
  DID NOT PAY LEDGER BALANCE

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  		CLAIM ADMITTED
AWARD AMOUNT: RS.3,07,085

14-MAY-2009 		 
47
History of entity/person YERRABOLU MAHALAKSHMI  
  INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  CLAIM ADMITTED
AWARD AMOUNT: RS.5,40,338

20-SEP-2017 		 
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