| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 2061 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.22,833
13-APR-2015
|
|
| 2062 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.3,08,806
13-APR-2015
|
|
| 2063 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.39,198
13-APR-2015
|
|
| 2064 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.4,576
13-APR-2015
|
|
| 2065 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.7,999
13-APR-2015
|
|
| 2066 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.16,720
03-MAR-2015
|
|
| 2067 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.58,785
27-MAY-2015
|
|
| 2068 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.25,913
10-MAY-2016
|
|
| 2069 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED AWARD AMOUNT: RS.9,19,593
15-JAN-2015
|
|
| 2070 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED AWARD AMOUNT: RS.18,749
20-JAN-2015
|
|
| 2071 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.52,950
07-APR-2015
|
|
| 2072 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED AWARD AMOUNT: RS.17,493
07-APR-2015
|
|
| 2073 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.8,212
04-APR-2015
|
|
| 2074 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.30,858
06-APR-2015
|
|
| 2075 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED AWARD AMOUNT: RS.9,00,000
22-JAN-2015
|
|
| 2076 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED AWARD AMOUNT: RS.6,05,555
27-JAN-2015
|
|
| 2077 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.4,09,274
22-JAN-2015
|
|
| 2078 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED AWARD AMOUNT: RS.77,115
22-JAN-2015
|
|
| 2079 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.41,248
09-MAR-2015
|
|
| 2080 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED AWARD AMOUNT: RS.1,33,761
25-MAR-2015
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
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| Page 104 of 114 |