| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 2161 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,62,64,570
07-JUL-2015
|
|
| 2162 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
DID NOT PAY DIVIDEND
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,69,348
14-JUL-2015
|
|
| 2163 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,65,551
01-SEP-2015
|
|
| 2164 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.89,253
29-SEP-2015
|
|
| 2165 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,23,886
13-JAN-2016
|
|
| 2166 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.58,116
12-FEB-2016
|
|
| 2167 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.51,153
18-FEB-2016
|
|
| 2168 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,07,231
29-FEB-2016
|
|
| 2169 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.6,107
21-DEC-2015
|
|
| 2170 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.38,950
01-JAN-2016
|
|
| 2171 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.21,200
11-JAN-2016
|
|
| 2172 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,18,080
24-SEP-2015
|
SAT VIDE ITS DATED 31/01/2018 ALLOWED THE APPEAL AND SET ASIDES IMPUGNED ORDER DATED 24/09/2015. DIRECTED BSE TO PAY THE AMOUNT PAYABLE UNDER THE ARBITRAL AWARD TO APPELLANT WITHIN A PERIOD OF 30 DAYS FROM DATE OF THIS ORDER. NO COSTS
|
| 2173 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,97,021
28-APR-2017
|
|
| 2174 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.5,54,687
21-MAR-2016
|
APPELLATE VIDE ITS AWARD DATED 04/07/2016 PASSED THE CLAIM FOR RS.5,54,687.50, AS PER CLOSING RATE ON BSE WEBSITE ON 18/03/2016. NO COSTS
|
| 2175 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,53,445
05-APR-2016
|
BSE VIDE ITS ARBITRATION AWARD DATED 13/06/2016 REVISED THE AWARD AMOUNT TO RS.4,53,445.00 (INCLUDING DIVIDEND OF RS.10,000.00) FROM RS.4,07,655.00 WHICH WAS AWARDED VIDE ARBITRATION AWARD DATED 05/04/2016
|
| 2176 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,21,017
27-APR-2017
|
|
| 2177 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,968
18-MAR-2015
|
|
| 2178 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.55,639
17-MAR-2015
|
|
| 2179 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.46,608
17-MAR-2015
|
|
| 2180 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.8,38,588
17-MAR-2015
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 109 of 114 |
