| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 2201 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.28,943
14-JAN-2016
|
|
| 2202 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.16,534
18-AUG-2016
|
|
| 2203 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.94,660
18-AUG-2016
|
|
| 2204 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.92,194
11-AUG-2016
|
|
| 2205 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.34,205
12-AUG-2016
|
|
| 2206 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.10,806
12-AUG-2016
|
|
| 2207 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.30,059
18-JAN-2016
|
|
| 2208 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.25,096
11-JAN-2016
|
|
| 2209 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,57,625
08-APR-2016
|
|
| 2210 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.67,575
07-APR-2016
|
|
| 2211 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.70,000
11-MAY-2016
|
|
| 2212 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,33,571
24-JUN-2016
|
|
| 2213 |
|
|
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
|
|
| 2214 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.17,640
22-APR-2016
|
|
| 2215 |
|
|
UNICON SERVICES PVT.LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
09-SEP-2014
|
|
| 2216 |
|
|
UNICORN SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.25,158
24-OCT-2016
|
ARBITRATOR OF BSE VIDE ITS ARBITRATION AWARD DATED 24/10/2016 DIRECTED BSE TO PAY RS.25,157.50 TO APPLICANT FROM INVESTOR PROTECTION FUND (IPF). NO COSTS
|
| 2217 |
|
|
UPEN M.DOSHI,M/S
|
|
|
|
UPEN M.DOSHI
|
|
NOT AVAILABLE
|
TRADING RIGHTS WITHDRAWN
26-MAR-2024
|
|
| 2218 |
|
|
UPMOVE FINANCIAL TECHNOLOGIES SERVICES PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
20-MAR-2020
|
|
| 2219 |
|
|
VAJANI SECURITIES PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
12-APR-2021
|
BSE VIDE ITS NOTICE DATED 09/09/2021 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| 2220 |
|
|
VAKRANGEE SHARES & STOCK BROKERS PVT.LTD.
|
|
|
RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
03-MAR-2022
|
BSE VIDE ITS NOTICE DATED 14/10/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 111 of 113 |
