| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 841 |
|
SHAREKHAN LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
01-JUL-2010
|
|
| 842 |
|
|
SHAREKHAN LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
22-DEC-2009
|
|
| 843 |
|
|
SHAREKHAN LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
08-JUL-2009
|
|
| 844 |
|
|
SIC STOCKS & SERVICES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.47,232
16-JUL-2013
|
ARBITRATION TRIBUNAL VIDE ITS ORDER DATED 08/10/2013 DIRECTED RESPONDENT TO PAY TO THE APPELLANT A REVISED SUM OF RS.79,539.00 AND INTEREST @ 12% AND FURTHER DIRECTED RESPONDENT TO TRANSFER THE UNDERLYING SHARES WITHHELD WITIN 30 DAYS FROM THE SERVICE OF THIS ORDER
|
| 845 |
|
|
STANDARD CHARTERED-STCI CAPITAL MARKETS LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
30-JUL-2013
|
|
| 846 |
|
|
STANDARD CHARTERED-STCI CAPITAL MARKETS LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
24-MAR-2008
|
|
| 847 |
|
|
SUBHKAM SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,21,960
16-APR-2010
|
|
| 848 |
|
|
SUMPOORNA PORTFOLIO LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.6,51,174
22-JAN-2013
|
|
| 849 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.47,019
15-MAR-2010
|
|
| 850 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.15,951
24-APR-2010
|
|
| 851 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,45,971
20-JAN-2010
|
|
| 852 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,33,173
20-JUN-2011
|
|
| 853 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,34,457
29-JAN-2010
|
|
| 854 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.49,394
20-JAN-2010
|
|
| 855 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.70,515
12-APR-2010
|
|
| 856 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,18,360
01-DEC-2009
|
|
| 857 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.12,467
02-FEB-2010
|
|
| 858 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,49,875
22-FEB-2010
|
|
| 859 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.9,88,764
14-MAY-2009
|
|
| 860 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.39,336
17-MAR-2010
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 43 of 51 |
