| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 401 |
|
DREAMS BROKING PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,35,000
11-JAN-2016
|
|
| 402 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.8,31,345
27-APR-2016
|
|
| 403 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.95,424
27-APR-2016
|
|
| 404 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.12,994
22-SEP-2016
|
|
| 405 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.14,447
28-JUN-2016
|
|
| 406 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.91,577
25-MAY-2016
|
|
| 407 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.73,142
22-SEP-2016
|
|
| 408 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,11,814
19-SEP-2016
|
|
| 409 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,75,858
19-SEP-2016
|
|
| 410 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,04,688
21-SEP-2016
|
|
| 411 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,13,328
21-SEP-2016
|
|
| 412 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.77,141
21-SEP-2016
|
|
| 413 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.22,610
21-SEP-2016
|
|
| 414 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.10,055
21-SEP-2016
|
|
| 415 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.46,851
22-SEP-2016
|
|
| 416 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.11,133
22-SEP-2016
|
|
| 417 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.52,861
22-SEP-2016
|
|
| 418 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,12,404
22-SEP-2016
|
|
| 419 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,02,826
22-SEP-2016
|
|
| 420 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,81,935
22-SEP-2016
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 21 of 113 |
