| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1921 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.60,380
08-DEC-2015
|
|
| 1922 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
DIRECTED TO DELIVER SHARES
AWARD AMOUNT: RS.1,05,682
23-SEP-2015
|
|
| 1923 |
|
|
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
|
|
| 1924 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,275
10-JUL-2015
|
|
| 1925 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,65,166
19-AUG-2015
|
|
| 1926 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,62,64,570
07-JUL-2015
|
|
| 1927 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.88,368
08-OCT-2015
|
|
| 1928 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.7,360
13-OCT-2015
|
|
| 1929 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,94,449
22-JAN-2015
|
|
| 1930 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.17,998
30-MAY-2016
|
|
| 1931 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,798
01-JUN-2015
|
|
| 1932 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,21,215
04-NOV-2015
|
|
| 1933 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.31,667
02-JUN-2015
|
|
| 1934 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,992
16-JUN-2015
|
|
| 1935 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.57,935
10-JUN-2015
|
|
| 1936 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.32,368
12-JUL-2017
|
|
| 1937 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.30,003
13-APR-2015
|
|
| 1938 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,01,079
10-MAR-2015
|
|
| 1939 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.5,12,200
15-MAR-2015
|
|
| 1940 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,50,850
14-MAR-2015
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 97 of 113 |
