| 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 |
|
|
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 |
|
|
ANAGRAM STOCK BROKING LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,49,357
02-NOV-2010
|
|
| 4 |
|
|
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
|
|
| 5 |
|
|
ANAND RATHI FINANCIAL SERVICES LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.6,500
06-OCT-2010
|
|
| 6 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.70,434
13-APR-2009
|
|
| 7 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.13,080
13-JUL-2012
|
|
| 8 |
|
|
APOLLO SINDOORI CAPITAL INVESTMENTS LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,80,725
19-NOV-2009
|
|
| 9 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
14-JUN-2019
|
|
| 10 |
|
|
BONANZA PORTFOLIO LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.20,612
18-SEP-2009
|
|
| 11 |
|
|
CENTRUM BROKING LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.25,13,035
25-JUL-2011
|
|
| 12 |
|
|
CLICK2TRADE CAPITAL LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.52,50,000
11-DEC-2014
|
|
| 13 |
|
|
CLICK2TRADE CAPITAL LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.908
28-MAR-2016
|
|
| 14 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,95,000
29-MAR-2016
|
|
| 15 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.32,961
26-APR-2016
|
|
| 16 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.64,339
25-APR-2016
|
|
| 17 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.44,484
08-MAR-2016
|
|
| 18 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,01,612
09-MAR-2016
|
|
| 19 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.5,13,171
25-APR-2016
|
|
| 20 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.31,099
21-MAR-2016
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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