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Co-Sponsors

SOURCE OF INFORMATION : NATIONAL STOCK EXCHANGE OF INDIA LTD. LISTS/WEBSITE
PERIOD COVERED : 01-JAN-2000 TO 14-APR-2026

STOCK BROKERS: DEFAULT IN DELIVERY OF SHARES

S.No. ENTITY PERSON REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ABHIPRA CAPITAL LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.15,60,384

20-OCT-2012 		Bombay High Court set aside for fresh adjudication by arbitrator  
2
History of entity/person ADROIT FINANCIAL SERVICES PVT.LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.4,38,235

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

19-MAY-2009 		 
3
History of entity/person ALKA SECURITIES LTD.  
  DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.8,11,300

13-MAR-2014 		 
4
History of entity/person ALKA SECURITIES LTD.  
  DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

24-JAN-2011 		 
5
History of entity/person ALKA SECURITIES LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.82,475

20-SEP-2013 		 
6
History of entity/person ALKA SECURITIES LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.13,000

20-SEP-2013 		 
7
History of entity/person ALKA SECURITIES LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.57,154

20-SEP-2013 		 
8
History of entity/person ALKA SECURITIES LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.1,87,265

20-SEP-2013 		 
9
History of entity/person ALKA SECURITIES LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.76,475

20-SEP-2013 		 
10
History of entity/person ALKA SECURITIES LTD.  
  DID NOT DELIVER SHARES

DID NOT PAY LEDGER BALANCE  		CLAIM ADMITTED
AWARD AMOUNT: RS.24,039

20-APR-2015 		 
11
History of entity/person ALKA SECURITIES LTD.  
  DID NOT DELIVER SHARES

DID NOT PAY LEDGER BALANCE  		CLAIM ADMITTED
AWARD AMOUNT: RS.3,127

20-APR-2015 		 
12
History of entity/person ALKA SECURITIES LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.8,83,982

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

09-DEC-2013 		APPEAL DISMISSED  
13
History of entity/person ALKA SECURITIES LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.1,40,000

11-DEC-2013 		 
14
History of entity/person ANAGRAM SECURITIES LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.67,578

10-MAY-2009 		 
15
History of entity/person ANAND RATHI SHARE & STOCK BROKERS LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.112

29-MAR-2015 		 
16
History of entity/person ANAND RATHI SHARE & STOCK BROKERS LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.26,950

09-JAN-2020 		 
17
History of entity/person ANAND RATHI SHARE & STOCK BROKERS LTD.  
  DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

26-AUG-2009 		 
18
History of entity/person ANGEL BROKING PVT.LTD.  
  INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,51,238

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

11-MAR-2021 		 
19
History of entity/person BAKLIWAL FINANCIAL SERVICES (INDIA) PVT.LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.8,72,975

07-FEB-2014 		 
20
History of entity/person BAKLIWAL FINANCIAL SERVICES (INDIA) PVT.LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.20,81,224

13-DEC-2013 		 
21
History of entity/person BMA WEALTH CREATORS LTD.  
  DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.65,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

16-SEP-2010 		 
22
History of entity/person BMA WEALTH CREATORS LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.25,390

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

02-SEP-2010 		 
23
History of entity/person BMA WEALTH CREATORS LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.2,49,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

24-FEB-2016 		 
24
History of entity/person BMA WEALTH CREATORS LTD.  
  INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.51,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

08-JUL-2014 		 
25
History of entity/person BONANZA PORTFOLIO LTD.  
  DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.20,000

19-MAR-2014 		 
26
History of entity/person CANNY SECURITIES PVT.LTD.  
  DID NOT DELIVER SHARES

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,62,263

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

19-MAY-2008 		 
27
History of entity/person CENTRUM BROKING LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.54,94,263

14-OCT-2011 		BSE ARBITRATION AWARD DATED 14/10/2011 CLAIM OF APPELLANT ALLOWED AND RESPONDENT TO PAY A SUM OF RS.54,94,263.20 WITH INTEREST @12% P.A. FROM THE DATE OF AWARD TILL PAYMENT. IN ALTERNATIVE RESPONDENT DIRECTED TO RETURN THE SHARES TO APPELLANT IN CLAIM APPLICATION. NO COSTS  
28
History of entity/person CLICK2TRADE CAPITAL LTD.  
  DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

26-APR-2014 		 
29
History of entity/person CLICK2TRADE CAPITAL LTD.  
  DID NOT PAY SALE PROCEEDS

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.60,299

16-MAY-2014 		 
30
History of entity/person CLICK2TRADE CAPITAL LTD.  
  DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

16-MAY-2014 		 
31
History of entity/person CLICK2TRADE CAPITAL LTD.  
  DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

15-JUL-2014 		 
32
History of entity/person CLICK2TRADE CAPITAL LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.2,30,000

14-FEB-2014 		 
33
History of entity/person CLICK2TRADE CAPITAL LTD.  
  DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

11-AUG-2014 		 
34
History of entity/person COIMBATORE CAPITAL LTD.  
  DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

10-FEB-2010 		 
35
History of entity/person COIMBATORE CAPITAL LTD.  
  DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

25-JAN-2010 		 
36
History of entity/person COMFORT SECURITIES LTD.  
  INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.30,655

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

21-NOV-2016 		 
37
History of entity/person DESTINY SECURITIES LTD.  
  DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND

DID NOT PAY LEDGER BALANCE  		CLAIM ADMITTED
AWARD AMOUNT: RS.40,30,053

14-DEC-2018 		NSE VIDE ITS ARBITRATION AWARD DATED 06/05/2019 DISMISSED THE APPEAL AND DIRECTED RESPONDENT TO PAY RS.40,30,053.00 INSTEAD OF RS.77,18,087.00. NO COSTS  
38
History of entity/person ENRICH FINANCE & SECURITIES LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.14,71,600

12-MAR-2015 		 
39
History of entity/person FAIR INTERMEDIATE INVESTMENT PVT.LTD.  
  DID NOT DELIVER SHARES

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,72,300

28-FEB-2008 		 
40
History of entity/person FIRST GLOBAL STOCKBROKING PVT.LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.17,90,347

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

30-AUG-2018 		NSE VIDE ITS ARBITRATION AWARD DATED 13/02/2019 UPHELD AND CONFIRMED IMPUGNED AWARD DATED 30/08/2018  
41
History of entity/person FIRST GLOBAL STOCKBROKING PVT.LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,01,383

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

30-AUG-2018 		NSE VIDE ITS ARBITRATION AWARD DATED 13/02/2019 UPHELD AND CONFIRMED IMPUGNED AWARD DATED 30/08/2018  
42
History of entity/person FIRST GLOBAL STOCKBROKING PVT.LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,61,789

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

30-AUG-2018 		NSE VIDE ITS ARBITRATION AWARD DATED 13/02/2019 UPHELD AND CONFIRMED IMPUGNED AWARD DATED 30/08/2018  
43
History of entity/person FIRST GLOBAL STOCKBROKING PVT.LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.4,13,737

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

30-AUG-2018 		NSE VIDE ITS ARBITRATION AWARD DATED 13/02/2019 UPHELD AND CONFIRMED IMPUGNED AWARD DATED 30/08/2018  
44
History of entity/person FIRST GLOBAL STOCKBROKING PVT.LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,43,163

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

30-AUG-2018 		NSE VIDE ITS ARBITRATION AWARD DATED 13/02/2019 UPHELD AND CONFIRMED IMPUGNED AWARD DATED 30/08/2018  
45
History of entity/person FUTURE CAPITAL SECURITIES LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.4,30,810

04-JUL-2014 		 
46
History of entity/person GEMS EQUITIES & SECURITIES PVT.LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.43,74,665

30-JUN-2010 		 
47
History of entity/person GEMS EQUITIES & SECURITIES PVT.LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.4,19,442

04-JAN-2010 		 
48
History of entity/person GOLDSTREET SECURITIES LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.22,71,769

08-JUL-2016 		 
49
History of entity/person GUINESS SECURITIES LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.90,000

16-MAR-2015 		APPEAL DISMISSED. NO COSTS  
50
History of entity/person GUINESS SECURITIES LTD.  
  DID NOT DELIVER SHARES

DID NOT PAY LEDGER BALANCE  		CLAIM ADMITTED
AWARD AMOUNT: RS.80,700

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

01-JAN-2020 		 
51
History of entity/person INDIA INFOLINE LTD.  
  DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

23-DEC-2010 		 
52
History of entity/person INDIA INFOLINE LTD.  
  DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.10,000

16-MAR-2013 		NSE VIDE ITS ARBITRATION AWARD DATED 16/03/2013 DISMISSED THE APPEAL. DIRECTED APPELLANT TO PAY TO RESPONDENT NO.1 THE VALUE OF THE 2500 SHARES OF PENTASOFT TECHNOLOGY AND ALSO PAY COSTS OF RS.10,000  
53
History of entity/person INDIA INFOLINE LTD.  
  INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT DELIVER SHARES

DELAY IN MAKING PAYMENT  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,35,421

20-MAR-2009 		 
54
History of entity/person INDIA INFOLINE LTD.  
  DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

15-FEB-2010 		 
55
History of entity/person INDIA INFOLINE LTD.  
  DID NOT PAY SALE PROCEEDS

DID NOT DELIVER SHARES

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  		CLAIM ADMITTED
AWARD AMOUNT: RS.2,35,542

14-AUG-2008 		 
56
History of entity/person INDIA INFOLINE LTD.  
  DID NOT PAY LEDGER BALANCE

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.2,97,800

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

11-AUG-2008 		 
57
History of entity/person INTERFACE BROKERAGE & RESEARCH LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.67,850

22-JUL-2010 		 
58
History of entity/person INTERFACE BROKERAGE & RESEARCH LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.6,00,000

30-SEP-2009 		 
59
History of entity/person INTERFACE BROKERAGE & RESEARCH LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.67,850

22-JUL-2010 		 
60
History of entity/person INTERFACE BROKERAGE & RESEARCH LTD.  
  DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

27-JUL-2010 		 
61
History of entity/person INTERFACE BROKERAGE & RESEARCH LTD.  
  DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

08-JUL-2010 		 
62
History of entity/person INTERFACE BROKERAGE & RESEARCH LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,72,185

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

12-AUG-2010 		 
63
History of entity/person INTERFACE BROKERAGE & RESEARCH LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.67,850

13-AUG-2010 		 
64
History of entity/person JAS-ONE SECURITIES PVT.LTD.  
  DID NOT PAY DIVIDEND

DID NOT DELIVER SHARES  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.1,33,604

DIRECTED TO PAY DIVIDEND

07-JUL-2022 		nse vide its arbitration award dated 07/06/2023 rejected the appeal filed by mr.rajesh chamanlal shah (HUF). no cost

nse vide its arbitration award dated 07/06/2023 partly allowed the appeal by directing trading member to deliver shares as per details in annexure i and pay dividend in annexure ii excluding dividend on securities under contract notes prior to 16/03/2017.no costs  
65
History of entity/person JAS-ONE SECURITIES PVT.LTD.  
  DID NOT PAY DIVIDEND

DID NOT DELIVER SHARES  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.46,680

DIRECTED TO PAY DIVIDEND

07-JUL-2022 		 
66
History of entity/person JAS-ONE SECURITIES PVT.LTD.  
  DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

16-AUG-2023

DIRECTED TO PAY DIVIDEND 		 
67
History of entity/person JAS-ONE SECURITIES PVT.LTD.  
  DID NOT PAY DIVIDEND

DID NOT DELIVER SHARES  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.1,77,665

DIRECTED TO PAY DIVIDEND

07-JUL-2022 		nse vide its arbitration award dated 15/06/2023 dismissed the cross appeal of trading member  
68
History of entity/person K & A SECURITIES PVT.LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.10,000

19-JUL-2007 		 
69
History of entity/person KARVY STOCK BROKING LTD.  
  DID NOT DELIVER SHARES

DID NOT PAY LEDGER BALANCE  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,57,302

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

20-DEC-2007 		 
70
History of entity/person KARVY STOCK BROKING LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.5,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

27-APR-2017 		 
71
History of entity/person KARVY STOCK BROKING LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.51,953

20-AUG-2018 		 
72
History of entity/person KARVY STOCK BROKING LTD.  
  DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

24-FEB-2014 		APPEAL DISMISSED  
73
History of entity/person KASS SECURITIES PVT.LTD.  
  DID NOT DELIVER SHARES

DID NOT PAY LEDGER BALANCE  		CLAIM ADMITTED
AWARD AMOUNT: RS.16,088

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

09-MAY-2008 		 
74
History of entity/person KASS SECURITIES PVT.LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.20,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

17-MAR-2008 		 
75
History of entity/person KASS SECURITIES PVT.LTD.  
  DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

07-FEB-2008 		 
76
History of entity/person KASS SECURITIES PVT.LTD.  
  DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

07-FEB-2008 		 
77
History of entity/person KASS SECURITIES PVT.LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.44,79,965

06-MAR-2008 		 
78
History of entity/person KASSA FINVEST PVT.LTD.  
  DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND & BONUS  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

09-APR-2015 		 
79
History of entity/person KOTAK SECURITIES LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.5,000

12-OCT-2009 		 
80
History of entity/person KSBL SECURITIES LTD.  
  DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

09-DEC-2019 		 
81
History of entity/person KSBL SECURITIES LTD.  
  DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.25,000

09-DEC-2019 		 
82
History of entity/person KSBL SECURITIES LTD.  
  DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.30,93,806

DIRECTED TO PAY DIVIDEND

12-FEB-2020 		 
83
History of entity/person LABDHI STOCK & DERIVATIVES SERVICES PVT.LTD.  
  DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.57,21,000

13-SEP-2013 		 
84
History of entity/person LABDHI STOCK & DERIVATIVES SERVICES PVT.LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.4,25,350

25-MAR-2014 		 
85
History of entity/person MADAN & CO.LTD.  
  DID NOT DELIVER SHARES

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,06,157

01-MAY-2007 		 
86
History of entity/person MADAN & CO.LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.13,890

02-MAY-2007 		 
87
History of entity/person MADAN & CO.LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,61,572

01-MAY-2007 		 
88
History of entity/person MADAN & CO.LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.1,33,526

16-MAY-2007 		 
89
History of entity/person MADAN & CO.LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.45,13,670

18-JUL-2007 		 
90
History of entity/person MADAN & CO.LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.80,862

30-JUL-2007 		 
91
History of entity/person MADAN & CO.LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.1,47,968

30-JUL-2007 		 
92
History of entity/person MADAN & CO.LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.4,51,500

30-JUL-2007 		 
93
History of entity/person MADAN & CO.LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.8,69,400

19-JUL-2007 		 
94
History of entity/person MADAN & CO.LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.1,98,787

14-JUL-2007 		 
95
History of entity/person MADAN & CO.LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,56,038

02-MAY-2007 		 
96
History of entity/person MADAN & CO.LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.9,68,835

19-JUL-2007 		 
97
History of entity/person MADAN & CO.LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.8,91,426

19-JUL-2007 		 
98
History of entity/person MADAN & CO.LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.7,22,820

19-JUL-2007 		 
99
History of entity/person MADAN & CO.LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.72,91,353

18-JUL-2007 		 
100
History of entity/person MARWADI SHARES & FINANCE LTD.  
  DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

29-JUL-2008 		 
101
History of entity/person MONARCH NETWORTH CAPITAL LTD.  
  INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT DELIVER SHARES  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

10-DEC-2014 		 
102
History of entity/person MOTILAL OSWAL SECURITIES LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.1,11,225

28-AUG-2009 		 
103
History of entity/person MOTILAL OSWAL SECURITIES LTD.  
  INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.2,72,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

30-DEC-2013 		NSE VIDE ITS ARBITRATION AWARD DATED 29/09/2014 UPHELD THE AWARD DATED 30/12/2013 AND DISMISSED THE APPEAL  
104
History of entity/person NAVKAR WEALTH SERVICES PVT.LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.42,84,014

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

31-DEC-2013 		 
105
History of entity/person NIRMAL BANG SECURITIES PVT.LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.13,35,062

08-OCT-2014 		NSE VIDE ITS ARBITRATION AWARD DATED 31/03/2015 DISMISSED CLAIM. DIRECTED NIRMAL BANG SECURITIES PVT.LTD. TO APY OF RS.13,35,062.00 TO RESPONDENT WITHIN 45 DAYS OF FROM THE DATE OF THIS AWARD  
106
History of entity/person O.J.FINANCIAL SERVICES LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.2,94,384

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

17-FEB-2011 		 
107
History of entity/person ORIENTAL CAPITAL MARKETS LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.1,24,772

10-MAY-2009 		 
108
History of entity/person PACE FINANCIAL SERVICES PVT.LTD.  
  DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

01-MAY-2012 		 
109
History of entity/person PRABHUDAS LILLADHER PVT.LTD.  
  DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

12-OCT-2009 		 
110
History of entity/person PRABODH ARTHWARDHINI PVT.LTD.  
History of entity/person DEEPAK SHAMRAO GOSAVI
  		DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

09-MAY-2011 		 
111
History of entity/person PREM SOMANI SHARE BROKERS PVT.LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.1,60,026

21-JAN-2010 		 
112
History of entity/person RELIGARE SECURITIES LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.1,31,250

05-DEC-2007 		 
113
History of entity/person RELIGARE SECURITIES LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.40,660

07-NOV-2008 		 
114
History of entity/person RELIGARE SECURITIES LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.25,000

14-MAY-2007 		 
115
History of entity/person RELIGARE SECURITIES LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.4,213

11-MAY-2009 		 
116
History of entity/person RELIGARE SECURITIES LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.1,52,461

25-NOV-2008 		 
117
History of entity/person RELIGARE SECURITIES LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.1,54,210

21-NOV-2008 		 
118
History of entity/person ROHINI CAPITAL SERVICES LTD.  
  DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

10-APR-2013 		 
119
History of entity/person ROYAL INTERNATIONAL SHARES PVT.LTD.  
  DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

02-AUG-2016 		 
120
History of entity/person ROYAL INTERNATIONAL SHARES PVT.LTD.  
  DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

02-AUG-2016 		 
121
History of entity/person ROYAL INTERNATIONAL SHARES PVT.LTD.  
  DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

02-AUG-2016 		 
122
History of entity/person ROYAL INTERNATIONAL SHARES PVT.LTD.  
  DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.4,28,252

23-DEC-2014 		 
123
History of entity/person ROYAL INTERNATIONAL SHARES PVT.LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.49,694

19-AUG-2015 		 
124
History of entity/person ROYAL INTERNATIONAL SHARES PVT.LTD.  
  DID NOT DELIVER SHARES

DID NOT PAY LEDGER BALANCE  		CLAIM ADMITTED
AWARD AMOUNT: RS.7,67,529

19-AUG-2015 		 
125
History of entity/person ROYAL INTERNATIONAL SHARES PVT.LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,61,114

23-DEC-2014 		 
126
History of entity/person SHAREKHAN LTD.  
  DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

14-JUL-2008 		 
127
History of entity/person SHAREKHAN LTD.  
  DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

15-APR-2014 		 
128
History of entity/person SHAREKHAN LTD.  
  DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

09-JUN-2009 		 
129
History of entity/person SHRIRAM INSIGHT SHARE BROKERS LTD.  
  DID NOT REFUND DEPOSIT AND/OR SECURITY DEPOSIT AMOUNT

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.59,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

11-MAR-2011 		 
130
History of entity/person SHRIRAM INSIGHT SHARE BROKERS LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.12,000

06-AUG-2012 		 
131
History of entity/person SHRIRAM INSIGHT SHARE BROKERS LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.50,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

22-APR-2010 		 
132
History of entity/person SHRIRAM INSIGHT SHARE BROKERS LTD.  
  DID NOT DELIVER SHARES

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

10-APR-2011 		 
133
History of entity/person SMC GLOBAL SECURITIES LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.10,892

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

06-AUG-2015 		 
134
History of entity/person SUMPOORNA PORTFOLIO LTD.  
  DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

06-MAY-2016 		 
135
History of entity/person SUNCHAN SECURITIES LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.19,412

13-AUG-2009 		 
136
History of entity/person SUNCHAN SECURITIES LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.13,239

15-JUN-2009 		 
137
History of entity/person SUNCHAN SECURITIES LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.2,11,081

19-JUN-2009 		 
138
History of entity/person SUNCHAN SECURITIES LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.76,941

16-JUN-2009 		 
139
History of entity/person SUNCHAN SECURITIES LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.23,497

10-AUG-2009 		 
140
History of entity/person SUNCHAN SECURITIES LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.3,28,963

27-MAY-2009 		 
141
History of entity/person SUNCHAN SECURITIES LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.15,484

20-MAY-2009 		 
142
History of entity/person SUNCHAN SECURITIES LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.1,39,520

16-JUN-2009 		 
143
History of entity/person SUNCHAN SECURITIES LTD.  
  DID NOT DELIVER SHARES

DID NOT PAY SALE PROCEEDS  		CLAIM ADMITTED
AWARD AMOUNT: RS.81,870

01-JUN-2009 		 
144
History of entity/person SUNCHAN SECURITIES LTD.  
  DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,09,351

12-AUG-2009 		 
145
History of entity/person SUNCHAN SECURITIES LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.7,483

14-AUG-2009 		 
146
History of entity/person SUNCHAN SECURITIES LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.1,32,062

10-AUG-2009 		 
147
History of entity/person SUNCHAN SECURITIES LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.3,36,47,711

23-SEP-2009 		 
148
History of entity/person SUNCHAN SECURITIES LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,91,814

08-JUN-2009 		 
149
History of entity/person SUNCHAN SECURITIES LTD.  
  DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.57,850

01-SEP-2009 		 
150
History of entity/person SUNSHINE FINSEC & MERCANTILE LTD.  
  DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

22-JAN-2021 		nse vide its arbitration award dated 04/06/2021 set asided impugned award dated 22/01/2021 as the case has been settle between the parties  
151
History of entity/person TRADEBULLS SECURITIES PVT.LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.71,222

10-MAR-2021 		 
152
History of entity/person UNICON SECURITIES PVT.LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.9,75,437

14-OCT-2014 		 
153
History of entity/person UNICON SECURITIES PVT.LTD.  
  DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		CLAIM ADMITTED
AWARD AMOUNT: RS.1,82,345

29-SEP-2014 		 
154
History of entity/person UNICON SECURITIES PVT.LTD.  
  DID NOT DELIVER SHARES

DID NOT PAY DIVIDEND  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

01-SEP-2014 		 
155
History of entity/person UNICON SECURITIES PVT.LTD.  
  DID NOT PAY SALE PROCEEDS

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.4,45,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

20-JUN-2014 		 
156
History of entity/person UNICON SECURITIES PVT.LTD.  
  DID NOT PAY LEDGER BALANCE

DID NOT DELIVER SHARES  		CLAIM ADMITTED

16-DEC-2014

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES 		 
157
History of entity/person UNICON SECURITIES PVT.LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.50,000

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

07-NOV-2014 		 
158
History of entity/person UNICON SECURITIES PVT.LTD.  
  DID NOT DELIVER SHARES  CLAIM ADMITTED
AWARD AMOUNT: RS.48,656

07-NOV-2014 		 
159
History of entity/person UNICON SECURITIES PVT.LTD.  
  DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

28-NOV-2014 		 
160
History of entity/person UTI SECURITIES LTD.  
  DID NOT PAY DIVIDEND

DID NOT DELIVER SHARES  		CLAIM ADMITTED
AWARD AMOUNT: RS.50,249

DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

31-AUG-2007 		 
161
History of entity/person WAY2WEALTH BROKERS PVT.LTD.  
  DID NOT DELIVER SHARES  DIRECTED TO REPLENISH / RESTORE / RETURN SHARES

15-SEP-2009 		 
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