| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 2181 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY BROKERAGE
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,66,053
11-AUG-2014
|
|
| 2182 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.30,000
29-MAR-2016
|
|
| 2183 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.55,823
29-APR-2016
|
|
| 2184 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.858
08-APR-2016
|
|
| 2185 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.22,022
25-APR-2016
|
|
| 2186 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.6,415
08-APR-2016
|
|
| 2187 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.25,096
11-JAN-2016
|
|
| 2188 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.16,653
15-JAN-2016
|
|
| 2189 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,838
15-JAN-2016
|
|
| 2190 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.16,035
08-JAN-2016
|
|
| 2191 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.7,099
11-JAN-2016
|
|
| 2192 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.16,000
11-JAN-2016
|
|
| 2193 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.31,944
11-JAN-2016
|
|
| 2194 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.28,943
14-JAN-2016
|
|
| 2195 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.17,640
22-APR-2016
|
|
| 2196 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,57,625
08-APR-2016
|
|
| 2197 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.67,575
07-APR-2016
|
|
| 2198 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.70,000
11-MAY-2016
|
|
| 2199 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.30,059
18-JAN-2016
|
|
| 2200 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
DID NOT PAY DIVIDEND & BONUS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.6,74,903
13-APR-2017
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 110 of 113 |
