| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 2101 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,55,120
29-DEC-2014
|
|
| 2102 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,19,119
30-DEC-2014
|
|
| 2103 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.61,099
30-DEC-2014
|
|
| 2104 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,24,175
31-DEC-2014
|
|
| 2105 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.5,363
16-FEB-2015
|
|
| 2106 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.7,33,248
16-FEB-2015
|
|
| 2107 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.39,100
16-FEB-2015
|
|
| 2108 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.14,17,519
16-JUL-2015
|
|
| 2109 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.24,670
03-AUG-2015
|
|
| 2110 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.11,398
23-JUL-2015
|
|
| 2111 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,570
02-JUL-2015
|
|
| 2112 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.60,857
27-JUN-2015
|
|
| 2113 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.15,98,965
10-FEB-2015
|
|
| 2114 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT REFUND DEPOSIT AMOUNT
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,40,000
09-FEB-2015
|
|
| 2115 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.29,576
09-FEB-2015
|
|
| 2116 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.60,904
09-FEB-2015
|
|
| 2117 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,37,390
09-FEB-2015
|
|
| 2118 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.11,275
05-FEB-2015
|
|
| 2119 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.34,992
04-FEB-2015
|
|
| 2120 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,83,678
04-FEB-2015
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 106 of 113 |
