| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
SHRI PARASRAM HOLDINGS PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,07,699
17-JUN-2011
|
|
| 102 |
|
|
SHRIRAM INSIGHT SHARE BROKERS LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.13,19,764
25-AUG-2010
|
|
| 103 |
|
|
SMC GLOBAL SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,71,304
09-FEB-2012
|
|
| 104 |
|
|
SPFL SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,00,000
23-MAY-2019
|
|
| 105 |
|
|
STANDARD CHARTERED-STCI CAPITAL MARKETS LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.16,54,976
28-JAN-2008
|
|
| 106 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.8,95,140
08-MAY-2009
|
|
| 107 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.63,063
18-MAR-2009
|
|
| 108 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.26,727
16-NOV-2009
|
|
| 109 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.35,663
18-MAR-2009
|
|
| 110 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.89,021
08-OCT-2009
|
|
| 111 |
|
|
SURANA CAPITAL MARKET
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.50,782
20-DEC-2007
|
|
| 112 |
|
|
SUSHIL FINANCIAL SERVICES PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.51,000
29-DEC-2008
|
|
| 113 |
|
|
TRUSTLINE SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,52,97,227
15-OCT-2019
|
|
| 114 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,62,64,570
07-JUL-2015
|
|
| 115 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,65,166
19-AUG-2015
|
|
| 116 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.31,944
11-JAN-2016
|
|
| 117 |
|
|
VENTURA SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.18,118
19-DEC-2008
|
|
| 118 |
|
|
VENTURES CAPITAL PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,92,01,190
25-JAN-2019
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 6 of 6 |
