| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AAMRAPALI AADYA TRADING & INVESTMENT PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,66,775
27-NOV-2015
|
|
| 2 |
|
|
ADINATH STOCK BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.30,408
23-JAN-2009
|
|
| 3 |
|
|
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
|
| 4 |
|
|
AMI STOCK & SHARE BROKERS PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
11-JAN-2011
|
|
| 5 |
|
|
ANAGRAM STOCK BROKING LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,43,419
19-NOV-2007
|
|
| 6 |
|
|
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
|
|
| 7 |
|
|
ANAND RATHI FINANCIAL SERVICES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.7,347
31-MAR-2009
|
|
| 8 |
|
|
ANAND RATHI SHARE & STOCK BROKERS LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.6,921
02-NOV-2011
|
|
| 9 |
|
|
ANAND RATHI SHARE & STOCK BROKERS LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,507
02-NOV-2011
|
|
| 10 |
|
|
ANAND RATHI SHARE & STOCK BROKERS LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,379
02-NOV-2011
|
|
| 11 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,474
04-SEP-2020
|
|
| 12 |
|
|
ANUGRAH STOCK & BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.93,825
09-DEC-2016
|
BSE VIDE ITS AWARD DATED 11/04/2017 CONFIRMEND ITS AWARD DATED 09/12/2016
|
| 13 |
|
|
ANUGRAH STOCK & BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT RESOLVE INVESTOR'S PROBLEM
|
CLAIM ADMITTED
DIRECTED TO TRANSFER SHARES
AWARD AMOUNT: RS.80,766
26-MAY-2011
|
|
| 14 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
21-DEC-2010
|
|
| 15 |
|
|
ASHIKA STOCK BROKING LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,18,626
08-FEB-2010
|
|
| 16 |
|
|
BANSAL FINSTOCK PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,01,154
20-JAN-2015
|
|
| 17 |
|
|
BONANZA PORTFOLIO LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,50,063
08-JAN-2016
|
|
| 18 |
|
|
BONANZA PORTFOLIO LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,314
17-JUL-2009
|
|
| 19 |
|
|
CENTRUM BROKING LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.83,093
12-MAR-2009
|
|
| 20 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.43,169
13-JAN-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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