| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 761 |
|
KALPATARU INVESTMENT
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.6,37,010
13-APR-2015
|
|
| 762 |
|
|
KAMAL KUMAR JALAN SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.35,309
17-AUG-2009
|
|
| 763 |
|
|
KAMAL KUMAR JALAN SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.84,120
17-AUG-2009
|
|
| 764 |
|
|
KANTILAL CHHAGANLAL SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.75,000
02-SEP-2011
|
|
| 765 |
|
|
KANTILAL CHHAGANLAL SECURITIES PVT.LTD.
|
|
|
DID NOT REFUND DEPOSIT AMOUNT
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.59,018
31-MAY-2016
|
|
| 766 |
|
|
KARVY STOCK BROKING LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.10,62,657
18-JAN-2010
|
|
| 767 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.41,135
20-JUL-2015
|
|
| 768 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.73,675
20-JUL-2015
|
|
| 769 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.41,775
16-JUL-2015
|
|
| 770 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,29,376
02-NOV-2015
|
|
| 771 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.16,21,476
27-NOV-2015
|
|
| 772 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.8,09,257
24-JUL-2015
|
|
| 773 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.19,88,586
06-AUG-2015
|
|
| 774 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.5,15,088
03-AUG-2015
|
|
| 775 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,64,355
24-SEP-2015
|
|
| 776 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.13,97,472
13-FEB-2016
|
|
| 777 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,56,956
30-JAN-2016
|
|
| 778 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.15,00,000
24-OCT-2016
|
ARBITRATOR OF BSE VIDE ITS ARBITRATION AWARD DATED 24/10/2016 DIRECTED BSE TO PAY RS.15,00,000.00 TO APPLICANT FROM INVESTOR PROTECTION FUND (IPF). NO COSTS
|
| 779 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,50,000
12-DEC-2016
|
|
| 780 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
DIRECTED TO DEPOSIT AMOUNT IN STOCK EXCHANGE INVESTORS PROTECTION FUND
AWARD AMOUNT: RS.3,74,446
26-OCT-2016
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 39 of 51 |
