| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 501 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.9,000
17-DEC-2015
|
|
| 502 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
DIRECTED TO DELIVER SHARES
AWARD AMOUNT: RS.1,05,682
23-SEP-2015
|
|
| 503 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,21,215
04-NOV-2015
|
|
| 504 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.7,532
06-JAN-2016
|
|
| 505 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,340
07-JAN-2016
|
|
| 506 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.13,828
21-DEC-2015
|
|
| 507 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.679
23-OCT-2015
|
|
| 508 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,65,551
01-SEP-2015
|
|
| 509 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.89,253
29-SEP-2015
|
|
| 510 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,18,080
24-SEP-2015
|
SAT VIDE ITS DATED 31/01/2018 ALLOWED THE APPEAL AND SET ASIDES IMPUGNED ORDER DATED 24/09/2015. DIRECTED BSE TO PAY THE AMOUNT PAYABLE UNDER THE ARBITRAL AWARD TO APPELLANT WITHIN A PERIOD OF 30 DAYS FROM DATE OF THIS ORDER. NO COSTS
|
| 511 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.88,368
08-OCT-2015
|
|
| 512 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.7,360
13-OCT-2015
|
|
| 513 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.15,073
13-AUG-2015
|
|
| 514 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.24,670
03-AUG-2015
|
|
| 515 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,275
10-JUL-2015
|
|
| 516 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.25,801
15-JUN-2015
|
|
| 517 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.17,108
15-JUN-2015
|
|
| 518 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.60,857
27-JUN-2015
|
|
| 519 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.11,398
23-JUL-2015
|
|
| 520 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,570
02-JUL-2015
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 26 of 38 |
