| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
4A SECURITIES LTD.
|
|
|
DEFICIENCY IN RENDERING SERVICE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.9,81,326
24-DEC-2022
|
bse vide its arbitration dated 29/08/2023 partly allowed the appeal.Directed respondent (clients) to handover 35,000 equity shares of jshl (jla infraville shoppers ltd.) to applicant (trading member). On receipt of the shares, appellant to pay rs.9,81,326.00 to respondent
|
| 2 |
|
|
A.C.CHOKSI SHARE BROKERS PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
DIRECTED TO DELIVER SHARES
AWARD AMOUNT: RS.10,000
05-JUN-2009
|
COMPANY VIDE TRANSACTION STATEMENT DATED 08/06/2009 DELIVERED 40 SHARES OF JAI CORP.LTD. AND PAID RS.10,250.00 VIDE CHEQUE NO.529437 DATED 08/06/2009 DRAWN ON AXIS BANK TO MR.GIRDHAR B.VAISHNAV
|
| 3 |
|
|
AAMRAPALI AADYA TRADING & INVESTMENT PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,66,775
27-NOV-2015
|
|
| 4 |
|
|
ABHIPRA CAPITAL LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.78,640
13-MAR-2015
|
Matter settled BSE status report dated 17/06/2019
|
| 5 |
|
|
ADINATH STOCK BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.30,408
23-JAN-2009
|
|
| 6 |
|
|
ADITYA BIRLA MONEY LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,66,403
09-JAN-2014
|
APPEAL ALLOWED AND THE AWARD DATED 09/01/2014 SET ASIDE. CLAIM FILED BY MR.SHREEKANT DISMISSED
|
| 7 |
|
|
AMI STOCK & SHARE BROKERS PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
11-JAN-2011
|
|
| 8 |
|
|
ANAGRAM STOCK BROKING LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,49,357
02-NOV-2010
|
|
| 9 |
|
|
ANAGRAM STOCK BROKING LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.34,782
29-JUL-2008
|
|
| 10 |
|
|
ANAGRAM STOCK BROKING LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,43,419
19-NOV-2007
|
|
| 11 |
|
|
ANAND RATHI FINANCIAL SERVICES LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.6,500
06-OCT-2010
|
|
| 12 |
|
|
ANAND RATHI FINANCIAL SERVICES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.7,347
31-MAR-2009
|
|
| 13 |
|
|
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
|
|
| 14 |
|
|
ANAND RATHI FINANCIAL SERVICES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.10,75,284
14-MAY-2009
|
|
| 15 |
|
|
ANAND RATHI FINANCIAL SERVICES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,94,899
17-MAR-2010
|
|
| 16 |
|
|
ANAND RATHI SHARE & STOCK BROKERS LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
DIRECTED TO DELIVER SHARES
AWARD AMOUNT: RS.2,20,093
21-JUN-2012
|
|
| 17 |
|
|
ANAND RATHI SHARE & STOCK BROKERS LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.6,921
02-NOV-2011
|
|
| 18 |
|
|
ANAND RATHI SHARE & STOCK BROKERS LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,507
02-NOV-2011
|
|
| 19 |
|
|
ANAND RATHI SHARE & STOCK BROKERS LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,379
02-NOV-2011
|
|
| 20 |
|
|
ANAND RATHI SHARE & STOCK BROKERS LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.53,483
31-OCT-2011
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 1 of 82 |
