| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
CD EQUISEARCH PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.15,000
05-DEC-2011
|
|
| 22 |
|
|
CHOICE EQUITY BROKING PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,00,000
23-MAY-2018
|
|
| 23 |
|
|
COMFORT SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,63,833
25-AUG-2021
|
bse vide its arbitration award dated 31/12/2021 upheld impugned award dated 25/08/2021 and directed appellant to pay rs.1,63,833.00 to the respondent as per award dated 25/08/2021. no cost
|
| 24 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,09,400
25-JUL-2016
|
BSE VIDE ITS AWARD 30/11/2016 SET ASIDED AWARD DATED 25/07/2016 TO THE EXTENT THAT IT DISALLOWS RS.2,50,000.00 AND DIRETCTED DIRECTED RESPONDENT TO PAY TO APPELLANT OF RS.4,59,400.00. NO COSTS
|
| 25 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.8,47,228
04-JUL-2016
|
|
| 26 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,35,000
11-JAN-2016
|
|
| 27 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,75,813
01-FEB-2016
|
|
| 28 |
|
|
EDELWEISS SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,13,70,184
18-SEP-2009
|
|
| 29 |
|
|
ESCORTS SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.8,26,982
16-AUG-2021
|
|
| 30 |
|
|
ESCORTS SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.9,50,571
16-AUG-2021
|
|
| 31 |
|
|
FAIRWEALTH SECURITIES LTD.
|
|
|
DID NOT SUBMIT CONTRACT NOTES AND LEDGER
DID NOT DEPOSIT ARBITRATION COST
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS TO ARBITRAL TRIBUNAL
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
28-JUN-2010
|
|
| 32 |
|
|
FUTURE CAPITAL SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.10,06,629
03-MAY-2012
|
|
| 33 |
|
|
GUINESS SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REVERSE UNAUTHORISED TRANSACTIONS
11-DEC-2014
|
|
| 34 |
|
|
GUINESS SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REVERSE UNAUTHORISED TRANSACTIONS
11-DEC-2014
|
APPELLATE BRANCH ARBITRATION DEPARTMENT, BSE LTD. VIDE ITS ORDER DATED 18/07/2015 UPHELD THE AWARD OF 11/12/2014 EXCEPT FOR THE SUBSTITUTION OF THE WORD "NULLIFY" FOR THE WORD 'REVERSE'
|
| 35 |
|
|
GUINESS SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.20,21,600
20-OCT-2014
|
|
| 36 |
|
|
HEM SECURITIES LTD.
(AABCH8005N)
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.12,600
20-JUN-2018
|
|
| 37 |
|
|
HSBC INVESTDIRECT SECURITIES (INDIA) LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.29,17,000
30-APR-2012
|
|
| 38 |
|
|
I VENTURES CAPITAL PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,92,01,190
04-FEB-2019
|
APPEAL DISMISSED. NO COSTS
STAY ORDER HAS BEEN GRANTED BY DELHI HIGH COURT DATED 21/08/2019 AND 11/11/2022 IN OMP 319/2019 AGAINST ORDER OF ARBITRAL TRIBUNAL DATED 12/05/2019 AND COMPANY HAS DEPOSITED AMOUNT AS REQUIRED BY COURT ON ACCOUNT OF SECURITY DEPOSIT
|
| 39 |
|
|
ICICI SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.50,000
27-JAN-2021
|
BSE VIDE ITS ARBITRATION AWARD DATED 27/05/2021 DIRECTED APPEALLANT TO PAY RESPONDENT/CONSTITUENT RS.50,000.00 PURELY AS EX-GRATIA PAYMENT WITHIN FROM DATE OF THIS ORDER. NO COSTS
|
| 40 |
|
|
ICICI SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.7,32,000
07-NOV-2017
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
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| Page 2 of 6 |
