| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
4A SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
29-DEC-2016
|
|
| 2 |
|
|
ANAND RATHI FINANCIAL SERVICES LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.2,757
20-FEB-2010
|
|
| 3 |
|
|
AXIS SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
28-MAR-2017
|
DIRECTED TO REVERSE THE DEBIT OF RS.3,71,805.00 ON ACCOUNT OF PURCHASE PRICE OF SHARES OF SBL
|
| 4 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
12-SEP-2016
|
|
| 5 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.9,141
06-OCT-2016
|
|
| 6 |
|
|
INDIA INFOLINE LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.0
29-MAR-2011
|
|
| 7 |
|
|
JASH SECURITIES PVT.LTD.
|
|
|
DID NOT PAY DIVIDEND
DID NOT PAY LEDGER BALANCE
DID NOT PAY MARGIN MONEY
|
CLAIM ADMITTED
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
DIRECTED TO PAY DIVIDEND
DIRECTED TO REFUND THE MARGIN DEPOSIT
AWARD AMOUNT: RS.80,649
20-DEC-2021
|
|
| 8 |
|
|
JM FINANCIAL SERVICES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
12-OCT-2018
|
BSE VIDE ITS ARBITRATION AWARD DATED 01/03/2019 ALLOWED THE APPEAL AND SET ASIDED THE ARBITRATION AWARD DATED 12/10/2018
|
| 9 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.500
23-JUN-2015
|
|
| 10 |
|
|
KUMAR SHARE BROKERS LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.6,38,967
26-MAY-2016
|
BSE VIDE ITS ARBITRATION AWARD DATED 28/09/2016 DIRECTED APPELLANT TO ADJUST OUTSTANDING AMOUNT OF RS.6,38,967.30 AND RETURN 3,00,000 SHARES OF QUANTUM BUILD TECHNOLOGIES HELD IN DEMAT ACCOUNT WITH IMMEDIAATE EFFECT
|
| 11 |
|
|
KUMAR SHARE BROKERS LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
CLAIM ADMITTED
AWARD AMOUNT: RS.6,83,663
14-NOV-2016
|
|
| 12 |
|
|
MOONGIPA INVESTMENTS LTD.
|
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
21-DEC-2016
|
|
| 13 |
|
|
MOONGIPA INVESTMENTS LTD.
|
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.21,436
18-JAN-2016
|
|
| 14 |
|
|
MOONGIPA INVESTMENTS LTD.
|
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
28-DEC-2015
|
|
| 15 |
|
|
MOONGIPA INVESTMENTS LTD.
|
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.99,622
15-FEB-2016
|
|
| 16 |
|
|
MOONGIPA INVESTMENTS LTD.
|
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
26-FEB-2016
|
|
| 17 |
|
|
MOONGIPA INVESTMENTS LTD.
|
|
|
DID NOT PAY DIVIDEND
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.26,400
28-APR-2016
|
|
| 18 |
|
|
MOONGIPA INVESTMENTS LTD.
|
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
23-JUN-2016
|
|
| 19 |
|
|
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
|
| 20 |
|
|
UNICON SERVICES PVT.LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
09-SEP-2014
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
