| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
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
|
| 2 |
|
|
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
|
|
| 3 |
|
|
ANAND RATHI FINANCIAL SERVICES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,94,899
17-MAR-2010
|
|
| 4 |
|
|
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
|
|
| 5 |
|
|
ANAND RATHI SHARE & STOCK BROKERS LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.53,483
31-OCT-2011
|
|
| 6 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,57,164
20-MAR-2012
|
|
| 7 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.78,430
15-FEB-2012
|
|
| 8 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.9,000
27-MAR-2012
|
|
| 9 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.86,400
16-APR-2009
|
|
| 10 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.6,54,754
30-JAN-2014
|
APPEAL DISMISSED AND IMPUGNED ARBITRATION AWARD CONFIRMED. PARTIES SHALL BE BEAR THEIR OWN COSTS
|
| 11 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.71,000
18-FEB-2014
|
|
| 12 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.61,983
07-MAR-2014
|
|
| 13 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.94,743
24-NOV-2017
|
|
| 14 |
|
|
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
|
| 15 |
|
|
BALANCE EQUITY BROKING (INDIA) PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,15,465
16-MAR-2009
|
|
| 16 |
|
|
BMA WEALTH CREATORS LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,14,830
31-DEC-2012
|
|
| 17 |
|
|
BMA WEALTH CREATORS LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.323
11-MAY-2012
|
|
| 18 |
|
|
BMA WEALTH CREATORS LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.63,00,000
06-FEB-2012
|
|
| 19 |
|
|
BONANZA PORTFOLIO LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
DIRECTED NOT TO DEAL AND DISPOSE OFF SPECIFIED SCRIPS
AWARD AMOUNT: RS.0
12-APR-2012
|
|
| 20 |
|
|
BONANZA PORTFOLIO LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.16,500
18-JUL-2012
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
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