| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 2141 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.16,055
15-JUN-2015
|
|
| 2142 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.7,644
30-DEC-2015
|
|
| 2143 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.25,801
15-JUN-2015
|
|
| 2144 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.56,119
08-FEB-2016
|
|
| 2145 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.56,730
09-FEB-2016
|
|
| 2146 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.13,880
11-FEB-2016
|
|
| 2147 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,90,473
01-FEB-2016
|
|
| 2148 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.32,684
04-MAY-2016
|
|
| 2149 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.40,770
24-FEB-2016
|
|
| 2150 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.37,083
17-FEB-2016
|
|
| 2151 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.21,491
16-FEB-2016
|
|
| 2152 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.16,900
16-FEB-2016
|
|
| 2153 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.13,828
21-DEC-2015
|
|
| 2154 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.679
23-OCT-2015
|
|
| 2155 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.60,380
08-DEC-2015
|
|
| 2156 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
DIRECTED TO DELIVER SHARES
AWARD AMOUNT: RS.1,05,682
23-SEP-2015
|
|
| 2157 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.88,368
08-OCT-2015
|
|
| 2158 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.7,360
13-OCT-2015
|
|
| 2159 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,275
10-JUL-2015
|
|
| 2160 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,65,166
19-AUG-2015
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 108 of 114 |
