| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A.B.FINANCIAL SERVICES
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,61,508
10-SEP-2009
|
|
| 2 |
|
|
ADIOS TRADES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.26,03,304
11-JUN-2010
|
|
| 3 |
|
|
ADITYA BIRLA MONEY LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.55,500
09-MAR-2012
|
|
| 4 |
|
|
ADITYA BIRLA MONEY LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.43,723
27-DEC-2011
|
|
| 5 |
|
|
ADITYA BIRLA MONEY LTD.
|
|
|
DID NOT REFUND DEPOSIT AMOUNT
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,60,000
07-DEC-2010
|
|
| 6 |
|
|
B.LODHA SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
03-AUG-2017
|
|
| 7 |
|
|
BALAJI INVESTMENT
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.5,85,531
18-FEB-2010
|
|
| 8 |
|
|
BASTI SHARE BAZAR
|
|
|
|
RAJESH YADAV
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,76,323
19-JUL-2011
|
|
| 9 |
|
|
BENIGOPAL MAHESHWARI,M/S
|
|
|
|
BENIGOPAL MAHESHWARI
|
|
DID NOT DEPOSIT SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.57,47,888
16-DEC-2019
|
BSE VIDE ITS ARBITRATION AWARD DATED 16/09/2020 ALLOWED THE APPEAL AND SET ASIDED IMPUGNED AWARD DATED 16/12/2019
|
| 10 |
|
|
DYNAMIC GLOBAL PROPFANCHISES
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,40,289
08-SEP-2010
|
|
| 11 |
|
|
GAJANAND MITTAL INVESTMENTS PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,77,67,795
20-JAN-2009
|
|
| 12 |
|
|
GANNAYAK TRADERS PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.71,66,841
16-JUN-2011
|
|
| 13 |
|
|
GEOJIT BNP PARIBAS FINANCIAL SERVICES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.42,178
08-SEP-2016
|
BSE VIDE ITS ARBITRATION AWARD DATED 13/02/2017 CONCLUDE NOT TO INTERFERE WITH THE AWARD PASSED ON 08/09/2016. NO COSTS
|
| 14 |
|
|
GHCL EMPLOYEE STOCK OPTION TRUST
|
|
|
DID NOT SEGREGATE NSE & BSE TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.10,000
22-JUL-2014
|
|
| 15 |
|
|
GIFTS & NOVELTIES IMPEX
|
|
|
|
SHRIPRAKASH VINAYKUMAR SARDESAI
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,15,46,309
31-JUL-2010
|
|
| 16 |
|
|
GIRISH BHAVANJI GALA (HUF)
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.34,863
24-SEP-2018
|
BSE VIDE ITS ARBITRATION AWARD DATED 22/01/2019 DIRECTED TO PAY BALANCE AMOUNT RS.34,863.00 WITHIN 15 DAYS FROM DATE OF RECEIPT OF THIS AWARD. NO COSTS
|
| 17 |
|
|
H.K.JESANI,M/S
|
|
|
|
H.K.JESANI
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,05,406
31-DEC-2013
|
APPEAL WITHDRAWN AS THE CASE HAS BEEN SETTLED ON CONSENT TERMS DATED 13/03/2014. APPELLANT AGREED TO PAY RS.1.25 LACS
|
| 18 |
|
|
HITESH K.SHAH (HUF)
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.59,102
03-NOV-2009
|
|
| 19 |
|
|
J.B.SHARES & STOCKS LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.21,52,135
25-JUN-2014
|
|
| 20 |
|
|
JAI MATA DI TRADERS
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.6,04,727
13-JUL-2011
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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