| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
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
|
|
| 62 |
|
|
KARVY STOCK BROKING LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.21,020
15-NOV-2007
|
|
| 63 |
|
|
KARVY STOCK BROKING LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.7,08,899
29-MAY-2017
|
APPEAL DISSMISSED. NO COSTS
|
| 64 |
|
|
KARVY STOCK BROKING LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.51,250
17-MAR-2016
|
|
| 65 |
|
|
KARVY STOCK BROKING LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.5,000
28-DEC-2015
|
|
| 66 |
|
|
KARVY STOCK BROKING LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.5,00,000
25-FEB-2019
|
BSE VIDE ITS ARBITRATION AWARD DATED 25/02/2019 ALLOWED THE CLAIM FILED BY TRADING MEMBER KARVY STOCK BROKING LTD. AND SET ASIDED THE IGRC ORDER DATED 22/10/2018 IN FAVOUR OF GOPAL KUMAR VATSA
|
| 67 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.12,90,136
15-OCT-2015
|
|
| 68 |
|
|
KOTAK SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,73,147
24-JAN-2007
|
|
| 69 |
|
|
KUBER COMMODITY HOUSE
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.50,782
20-DEC-2007
|
|
| 70 |
|
|
KUMAR SHARE BROKERS LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.6,38,967
26-MAY-2016
|
BSE VIDE ITS ARBITRATION AWARD DATED 28/09/2016 DIRECTED APPELLANT TO ADJUST OUTSTANDING AMOUNT OF RS.6,38,967.30 AND RETURN 3,00,000 SHARES OF QUANTUM BUILD TECHNOLOGIES HELD IN DEMAT ACCOUNT WITH IMMEDIAATE EFFECT
|
| 71 |
|
|
LKP SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,00,077
12-NOV-2013
|
|
| 72 |
|
|
MASTER CAPITAL SERVICES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
19-OCT-2010
|
|
| 73 |
|
|
MASTER CAPITAL SERVICES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
19-OCT-2010
|
|
| 74 |
|
|
MASTER CAPITAL SERVICES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
19-OCT-2010
|
|
| 75 |
|
|
MICROSEC CAPITAL LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.6,76,829
14-JAN-2010
|
|
| 76 |
|
|
MONARCH NETWORTH CAPITAL LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,69,353
14-FEB-2011
|
|
| 77 |
|
|
MONARCH NETWORTH CAPITAL LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.60,000
25-APR-2014
|
|
| 78 |
|
|
MONARCH NETWORTH CAPITAL LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.6,86,964
15-JAN-2013
|
|
| 79 |
|
|
MONEYPLEX SECURITIES PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.33,483
15-DEC-2016
|
|
| 80 |
|
|
MSE FINANCIAL SERVICES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.50,782
20-DEC-2007
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 4 of 6 |
