| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ANAGRAM STOCK BROKING LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.34,782
29-JUL-2008
|
|
| 2 |
|
|
ARIHANT CAPITAL MARKETS LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.69,571
26-NOV-2007
|
|
| 3 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,06,908
15-JAN-2016
|
|
| 4 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.12,287
26-APR-2016
|
|
| 5 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.7,840
07-JUN-2016
|
|
| 6 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.49,593
26-MAY-2016
|
|
| 7 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.5,593
15-JUL-2016
|
|
| 8 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,24,190
11-JUL-2016
|
|
| 9 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.13,045
11-JUL-2016
|
|
| 10 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,37,989
08-JUL-2016
|
|
| 11 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.69,303
28-JUL-2016
|
|
| 12 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.11,670
25-JUL-2016
|
|
| 13 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT PAY SALE PROCEEDS
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.82,985
20-JUL-2016
|
|
| 14 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.68,833
20-JUL-2016
|
|
| 15 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.45,766
12-AUG-2016
|
|
| 16 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.21,982
05-AUG-2016
|
|
| 17 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.21,966
05-AUG-2016
|
|
| 18 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,18,517
04-AUG-2016
|
|
| 19 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.29,071
04-AUG-2016
|
|
| 20 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,79,291
04-AUG-2016
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
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