| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
ICICI SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.8,00,000
07-NOV-2017
|
BSE VIDE ITS ARBITRATION AWARD DATED 28/02/2018 UPHELD AWARD DATED 07/11/2017 AND DIRECTED APPELLANT TO COMPENSATE RESPONDENT LOSS ON ACCOUNT OF SQUARING OFF POSITION RS.6 LACS AND ADDITIONAL COST TOWARDS REPURCHASE OF SHARES OF RICO AUTO INDUSTRIES LTD. ON 27/06/2017
|
| 42 |
|
|
IFCI FINANCIAL SERVICES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,00,000
01-OCT-2014
|
|
| 43 |
|
|
IFCI FINANCIAL SERVICES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,25,100
06-JAN-2012
|
|
| 44 |
|
|
IIFL SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.6,26,149
12-DEC-2022
|
bse vide its award dated 12/06/2023 allowed the appeal and set aside the impugned award dated 12/12/2022. Dismissed the appeal claim petition filed by the investor/respondent
|
| 45 |
|
|
IIFL SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.12,464
20-FEB-2019
|
|
| 46 |
|
|
INDIA ADVANTAGE SECURITIES PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.851
25-MAR-2010
|
|
| 47 |
|
|
INDIA INFOLINE LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,38,900
26-JUL-2012
|
|
| 48 |
|
|
INDIA INFOLINE LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.9,42,000
10-AUG-2012
|
|
| 49 |
|
|
INDIA INFOLINE LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,45,400
15-SEP-2009
|
|
| 50 |
|
|
INDIA INFOLINE LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,36,500
12-SEP-2012
|
|
| 51 |
|
|
INDIA INFOLINE LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.0
29-MAR-2011
|
|
| 52 |
|
|
INDIA INFOLINE LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,86,000
20-JUL-2009
|
|
| 53 |
|
|
INDIA INFOLINE LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,02,242
16-MAY-2009
|
|
| 54 |
|
|
INDIA INFOLINE LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,93,399
27-NOV-2014
|
|
| 55 |
|
|
J M GLOBAL EQUITIES PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,08,315
16-AUG-2017
|
|
| 56 |
|
|
JAYANTILAL KHANDWALA & SONS PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
16-MAY-2011
|
|
| 57 |
|
|
JHAVERI SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
09-FEB-2016
|
COMPANY VIDE DEMAND DRAFTS NO.000055 AND 000056 DATED 23/03/2016 DRAWN ON HDFC BANK LTD. FOR RS.3,000.00 AND RS.98,350.00 RESPECTIVELY PAID THE AWARD AMOUNT
|
| 58 |
|
|
JHP SECURITIES PVT.LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
10-NOV-2009
|
|
| 59 |
|
|
JM FINANCIAL SERVICES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
12-OCT-2018
|
BSE VIDE ITS ARBITRATION AWARD DATED 01/03/2019 ALLOWED THE APPEAL AND SET ASIDED THE ARBITRATION AWARD DATED 12/10/2018
|
| 60 |
|
|
JOINDRE CAPITAL SERVICES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.7,04,294
16-APR-2014
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 3 of 6 |
