| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 2081 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.9,787
27-MAR-2015
|
|
| 2082 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.4,45,825
05-MAR-2015
|
|
| 2083 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.13,10,090
04-MAR-2015
|
|
| 2084 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED AWARD AMOUNT: RS.6,525
04-MAR-2015
|
|
| 2085 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.1,22,673
23-MAR-2015
|
|
| 2086 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.5,802
20-MAR-2015
|
|
| 2087 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.17,388
20-MAR-2015
|
|
| 2088 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
ISSUED CHEQUE WITHOUT SUFFICIENT FUNDS
|
CLAIM ADMITTED AWARD AMOUNT: RS.9,16,292
27-MAR-2015
|
|
| 2089 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.71,629
27-MAR-2015
|
|
| 2090 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.27,023
27-MAR-2015
|
|
| 2091 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.1,84,309
23-MAR-2015
|
|
| 2092 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.97,861
23-MAR-2015
|
|
| 2093 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.9,57,659
23-MAR-2015
|
|
| 2094 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED AWARD AMOUNT: RS.13,188
11-MAR-2015
|
|
| 2095 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.43,738
19-MAR-2015
|
|
| 2096 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.2,08,116
25-MAR-2015
|
|
| 2097 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED AWARD AMOUNT: RS.94,727
25-MAR-2015
|
|
| 2098 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.10,258
15-APR-2015
|
|
| 2099 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
ISSUED CHEQUE WITHOUT SUFFICIENT FUNDS
|
CLAIM ADMITTED AWARD AMOUNT: RS.2,55,000
26-MAR-2015
|
|
| 2100 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.3,20,077
09-APR-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 105 of 114 |