| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 601 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.2,487
19-MAR-2015
|
|
| 602 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.61,971
19-MAR-2015
|
|
| 603 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.3,436
16-MAR-2015
|
|
| 604 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.37,500
16-MAR-2015
|
|
| 605 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.24,654
16-MAR-2015
|
|
| 606 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.5,12,200
15-MAR-2015
|
|
| 607 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.1,50,850
14-MAR-2015
|
|
| 608 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.4,38,345
13-MAR-2015
|
|
| 609 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.49,000
13-MAR-2015
|
|
| 610 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.12,002
13-MAR-2015
|
|
| 611 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.4,02,998
13-MAR-2015
|
|
| 612 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.32,085
13-MAR-2015
|
|
| 613 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.5,009
13-MAR-2015
|
|
| 614 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.2,78,101
13-MAR-2015
|
|
| 615 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED AWARD AMOUNT: RS.1,07,72,822
12-MAR-2015
|
|
| 616 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.28,350
11-MAR-2015
|
|
| 617 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.22,165
11-MAR-2015
|
|
| 618 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.62,556
11-MAR-2015
|
|
| 619 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.23,000
11-MAR-2015
|
|
| 620 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.76,529
11-MAR-2015
|
|
| 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 31 of 38 |