| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
NIRMAL BANG SECURITIES PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.26,882
27-FEB-2012
|
|
| 82 |
|
|
NIRMAL BANG SECURITIES PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.45,570
30-NOV-2011
|
|
| 83 |
|
|
NIRMAL BANG SECURITIES PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,05,406
31-DEC-2013
|
APPEAL WITHDRAWN AS THE CASE HAS BEEN SETTLED ON CONSENT TERMS DATED 13/03/2014. APPELLANT AGREED TO PAY RS.1.25 LACS
|
| 84 |
|
|
NNM SECURITIES PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.25,000
17-MAR-2022
|
BSE VIDE ITS AWARD DATED 07/09/2022 DIRECTED APPELLANT TO TRANSFER 48000 EQUITY SHARES OF WAA SOLAR LTD. TODP ACCOUNT OF RESPONDENT WITHIN 15 DAYS FROM THE DATE OF AWARD, FAILING WHICH THE APPELLANT – TRADING MEMBER SHALL PAY THE VALUE BASED ON CLOSING PRICE THE 48000 EQUITY SHARES AS ON DATE OF RECEIPT OF THIS AWARD WITH INTEREST @12% P.A. (SIMPLE INTEREST) WILL BE CHARGED FROM THE DATE OF RECEIPT OF AWARD
|
| 85 |
|
|
PROGRESSIVE SHARE BROKERS PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.30,000
31-DEC-2013
|
|
| 86 |
|
|
RELIANCE SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.61,000
12-DEC-2017
|
|
| 87 |
|
|
RELIANCE SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,16,589
18-NOV-2013
|
APPEAL DISMISSED AND DIRECTED RESPONDENT TO PAY RS.4,16,589.30 TOGETHER WITH INTEREST @9% P.A.
|
| 88 |
|
|
RELIGARE SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.94,701
17-MAR-2010
|
|
| 89 |
|
|
RELIGARE SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,02,846
07-DEC-2012
|
|
| 90 |
|
|
SHAREKHAN LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
22-MAR-2010
|
|
| 91 |
|
|
SHAREKHAN LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.94,695
13-NOV-2013
|
|
| 92 |
|
|
SHAREKHAN LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
22-NOV-2012
|
|
| 93 |
|
|
SHAREKHAN LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
DIRECTED TO TRANSFER SHARES
09-JUL-2007
|
|
| 94 |
|
|
SHAREKHAN LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
08-JUL-2009
|
|
| 95 |
|
|
SHAREKHAN LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
08-MAR-2011
|
|
| 96 |
|
|
SHAREKHAN LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.20,00,000
22-MAR-2017
|
|
| 97 |
|
|
SHAREKHAN LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,89,406
29-JUN-2017
|
BSE VIDE ITS ARBITRATION AWARD DATED 09/01/2018 REJECTED CLAIM OF RS 1.84 LACS AND UPHELD AWARD GIVEN BY SOLE ARBITRATOR TO RS.1.84 LACS TO RESPONDENT AND INTEREST OF RS.5,406.00 IS PAYABLE BY SHAREKHAN LTD. TO RESPONDENT (MR.PRITAM KUMAR JHA)
|
| 98 |
|
|
SHCIL SERVICES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,50,000
17-JUL-2018
|
BSE VIDE ITS ARBITRATION AWARD DATED 17/07/2018 PARTLY ALLOWED ARBITRATION APPLICATION 21/02/2018 AND DIRECTED RESPONDENT TO PAY RS.2.50 LACS TO APPLICANT. NO COSTS
|
| 99 |
|
|
SHCIL SERVICES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.23,185
05-JAN-2012
|
|
| 100 |
|
|
SHCIL SERVICES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.16,861
11-JAN-2011
|
|
| 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 5 of 6 |
