| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1601 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.858
08-APR-2016
|
|
| 1602 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,57,625
08-APR-2016
|
|
| 1603 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.67,575
07-APR-2016
|
|
| 1604 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.22,022
25-APR-2016
|
|
| 1605 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.32,219
22-MAR-2016
|
|
| 1606 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.5,54,687
21-MAR-2016
|
APPELLATE VIDE ITS AWARD DATED 04/07/2016 PASSED THE CLAIM FOR RS.5,54,687.50, AS PER CLOSING RATE ON BSE WEBSITE ON 18/03/2016. NO COSTS
|
| 1607 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,53,445
05-APR-2016
|
BSE VIDE ITS ARBITRATION AWARD DATED 13/06/2016 REVISED THE AWARD AMOUNT TO RS.4,53,445.00 (INCLUDING DIVIDEND OF RS.10,000.00) FROM RS.4,07,655.00 WHICH WAS AWARDED VIDE ARBITRATION AWARD DATED 05/04/2016
|
| 1608 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.55,823
29-APR-2016
|
|
| 1609 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.42,815
18-MAY-2016
|
|
| 1610 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.21,375
23-MAY-2016
|
|
| 1611 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.25,913
10-MAY-2016
|
|
| 1612 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.55,930
07-JUN-2016
|
|
| 1613 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.50,901
23-JUN-2016
|
BSE VIDE ITS ARBITRATION AWARD DATED 15/11/2016 AWARDED AN ADDITIONAL AWARD OF RS.43,552.00 IN ADDITION TO AWARD OF RS.7,348.91 AWARDED VIDE ARBITRATION AWARD DATED 23/06/2016.
|
| 1614 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,39,678
20-MAY-2016
|
|
| 1615 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,33,571
24-JUN-2016
|
|
| 1616 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
DID NOT PAY DIVIDEND
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,22,420
25-MAY-2016
|
|
| 1617 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.10,806
12-AUG-2016
|
|
| 1618 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.70,000
11-MAY-2016
|
|
| 1619 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.17,640
22-APR-2016
|
|
| 1620 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.15,312
20-JUL-2016
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 81 of 82 |
