| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ALICE BLUE FINANCIAL SERVICES PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.45,000
22-OCT-2020
|
|
| 2 |
|
|
BP EQUITIES PVT.LTD.
|
|
|
WRONG RECOMMENDATION TO PURCHASE THE SCRIP
|
CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.15,000
22-MAY-2023
|
|
| 3 |
|
|
DEALMONEY SECURITIES PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.4,45,375
19-MAR-2020
|
|
| 4 |
|
|
EDELWEISS BROKING LTD.
|
|
|
NOT AVAILABLE
|
CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.45,000
14-AUG-2019
|
|
| 5 |
|
|
EDELWEISS BROKING LTD.
|
|
|
NOT AVAILABLE
|
CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.10,000
14-AUG-2019
|
|
| 6 |
|
|
EDELWEISS BROKING LTD.
|
|
|
NOT AVAILABLE
|
CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.45,000
14-AUG-2019
|
|
| 7 |
|
|
GLOBE CAPITAL MARKET LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.8,00,000
22-NOV-2023
|
|
| 8 |
|
|
ICICI SECURITIES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.20,669
17-MAR-2023
|
|
| 9 |
|
|
IIFL SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.2,60,000
28-JAN-2020
|
|
| 10 |
|
|
IIFL SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.2,02,884
28-JAN-2020
|
|
| 11 |
|
|
IIFL SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.4,72,070
28-JAN-2020
|
|
| 12 |
|
|
IIFL SECURITIES LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.2,65,046
28-JAN-2020
|
|
| 13 |
|
|
INDIA ADVANTAGE SECURITIES PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.93,500
01-NOV-2018
|
|
| 14 |
|
|
JM FINANCIAL SERVICES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.15,000
30-JUL-2019
|
|
| 15 |
|
|
LFS BROKING PVT.LTD.
|
|
|
NOT AVAILABLE
|
CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.25,000
27-DEC-2019
|
|
| 16 |
|
|
MASTER CAPITAL SERVICES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.1,15,000
14-JUN-2021
|
|
| 17 |
|
|
MOTILAL OSWAL FINANCIAL SERVICES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.46,38,722
20-SEP-2022
|
|
| 18 |
|
|
MOTILAL OSWAL FINANCIAL SERVICES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.60,80,855
20-SEP-2022
|
|
| 19 |
|
|
MOTILAL OSWAL FINANCIAL SERVICES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.19,90,162
20-SEP-2022
|
|
| 20 |
|
|
MOTILAL OSWAL FINANCIAL SERVICES LTD.
|
|
|
DID NOT PAY CORRECT AMOUNT OF SHARE SOLD
|
CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.1,57,133
17-DEC-2019
|
|
| 21 |
|
|
MOTILAL OSWAL FINANCIAL SERVICES LTD.
|
|
|
DID NOT MAKE PAYMENT TO ITS CLIENTS
|
CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.26,000
24-MAY-2023
|
|
| 22 |
|
|
NIRMAL BANG SECURITIES PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.14,000
20-NOV-2018
|
|
| 23 |
|
|
NIRMAL BANG SECURITIES PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.16,000
20-NOV-2018
|
|
| 24 |
|
|
PRUDENT BROKING SERVICES PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.20,000
04-JUN-2018
|
|
| 25 |
|
|
QUANTUM GLOBAL SECURITIES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.5,63,058
03-DEC-2019
|
|
| 26 |
|
|
SAMCO SECURITIES LTD.
|
|
|
WRONGLY CHARGED PENALTY ON MARGIN SHORTAGE
|
CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.80,500
10-AUG-2023
|
|
| 27 |
|
|
SHRIRAM INSIGHT SHARE BROKERS LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.2,00,000
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
25-JAN-2019
|
|
| 28 |
|
|
TRADEBULLS SECURITIES PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM SETTLED UNDER CONSENT
AWARD AMOUNT: RS.3,00,000
30-MAY-2021
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
