| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 901 |
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,45,113
10-JUL-2009
|
|
| 902 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,91,757
13-AUG-2009
|
|
| 903 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,23,862
31-JUL-2009
|
|
| 904 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.23,189
30-JUN-2009
|
|
| 905 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND & BONUS
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,19,920
10-JUL-2009
|
|
| 906 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.74,757
10-JUL-2009
|
|
| 907 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.78,128
01-JUL-2009
|
|
| 908 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,97,746
13-AUG-2009
|
|
| 909 |
|
|
SUNIDHI SECURITIES & FINANCE LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,81,329
15-MAR-2018
|
BSE VIDE ITS ARBITRATION AWARD DATED 09/08/2018 QUASHED AND SET ASIDED AWARD DATED 15/03/2018. FURTHRT, DIRECTED BSE TO RELEASE RS.7,74,317.37 TAKE ACTIONS IN REGARD TO RECOVERY OR FOR ADJUSTMENT ETC. OF RS.2 LACS. NO COSTS
|
| 910 |
|
|
SWASTIKA INVESTMART LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.359
12-FEB-2014
|
|
| 911 |
|
|
SYKES & RAY EQUITIES (MUMBAI) PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,62,000
04-MAY-2007
|
|
| 912 |
|
|
SYSTEMATIX SHARES & STOCKS (INDIA) LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
18-SEP-2012
|
|
| 913 |
|
|
TRIVENI MANAGEMENT CONSULTANCY SERVICES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,26,00,000
14-JAN-2010
|
|
| 914 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,89,508
15-DEC-2014
|
|
| 915 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.72,492
26-DEC-2014
|
|
| 916 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,06,566
29-DEC-2014
|
|
| 917 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,09,000
12-JAN-2015
|
|
| 918 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.8,986
07-JAN-2015
|
|
| 919 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.6,05,555
27-JAN-2015
|
|
| 920 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.77,115
22-JAN-2015
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 46 of 51 |
