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Complaints received from clients against Trading Members (TMs) during 2009-10
Last updated on 10-Jan-2020
Download the file to view all records. (.xls)
| DETAILS OF COMPLAINT | DETAILS OF TM | STATUS OF COMPLAINT | |||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|
| SN | DATE OF RECEIPT | NAME OF CLIENT | TYPE OF COMPLAINT* | NAME OF TM | MARKET SEGMENT | IF DEFAULTER DATE OF ITS DECLARATION | STATUS** | STATUS DATE## | DATE OF FILING ARBITRATION | NAME OF ARBITRATOR(S) | DATE OF ARBITRATION AWARD |
| 1 | 01-Apr-2009 | Rajshekhar Bangera | Type IX | KOTAK SECURITIES LTD. | Capital Market | - | Resolved | 13-Apr-2009 | - | - | - |
| 2 | 01-Apr-2009 | Vasant Mhaisdhune | Type III | SHAREKHAN LTD. | Capital Market | - | Resolved | 10-Jul-2009 | - | - | - |
| 3 | 01-Apr-2009 | Atanu Roy | Type IV | SMC GLOBAL SECURITIES LTD. | Future & Options | - | Opted for Arbitration | 12-May-2009 | - | - | - |
| 4 | 01-Apr-2009 | Arun Kumar Tekriwal | Type IV | INDIABULLS SECURITIES LTD. | Future & Options | - | Opted for Arbitration | 23-Jul-2009 | - | - | - |
| 5 | 01-Apr-2009 | Amar Kumar | Type V | RELIANCE SECURITIES LIMITED | Capital Market | - | Resolved | 06-May-2009 | - | - | - |
| 6 | 01-Apr-2009 | Dhruv R Gupta | Type V | ANGEL CAPITAL AND DEBT MARKET LIMITED | Capital Market | - | Resolved | 12-Jun-2009 | - | - | - |
| 7 | 01-Apr-2009 | Usman Isaq Mukadam | Type II | SUNCHAN SECURITIES LTD. | Capital Market | 18-May-2009 | Non - Actionable | 01-Apr-2009 | - | - | - |
| 8 | 02-Apr-2009 | Nita B Vora | Type IX | MARWADI SHARES AND FINANCE LIMITED | Capital Market | - | Resolved | 24-Apr-2009 | - | - | - |
| 9 | 02-Apr-2009 | Rajesh P. Jashnani | Type I & II | SUNCHAN SECURITIES LTD. | Capital Market | 18-May-2009 | Non - Actionable | 22-May-2009 | - | - | - |
| 10 | 02-Apr-2009 | Pahlajrai Lachhmandas Jashnani | Type I & II | SUNCHAN SECURITIES LTD. | Capital Market | 18-May-2009 | Non - Actionable | 22-May-2009 | - | - | - |
| 11 | 02-Apr-2009 | Haresh G. Bhojwani | Type I & II | SUNCHAN SECURITIES LTD. | Capital Market | 18-May-2009 | Non - Actionable | 22-May-2009 | - | - | - |
| 12 | 02-Apr-2009 | G Venkata Ramana | Type IX | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 02-Apr-2009 | - | - | - |
| 13 | 03-Apr-2009 | Gautam Nirmaldas Wadhwani | Type IV & VI | KOTAK SECURITIES LTD. | Capital Market | - | Resolved | 24-Apr-2009 | - | - | - |
| 14 | 03-Apr-2009 | Shrinath Chauhan | Type IV & VI | DIPAN MEHTA SHARE & STOCK BROKERS PVT. LTD. | Capital Market | - | Resolved | 18-May-2009 | - | - | - |
| 15 | 03-Apr-2009 | Narendra Mehta | Type IX | SEBI | Capital Market | - | Resolved | 03-Apr-2009 | - | - | - |
| 16 | 06-Apr-2009 | Kavitha R | Type V | COIMBATORE CAPITAL LIMITED | Capital Market | - | Opted for Arbitration | 28-Jul-2009 | - | - | - |
| 17 | 06-Apr-2009 | Rakesh S Patel | Type IX | RELIANCE SECURITIES LIMITED | Capital Market | - | Resolved | 29-Apr-2009 | - | - | - |
| 18 | 06-Apr-2009 | P J Kurien | Type IV & VI | ANGEL CAPITAL AND DEBT MARKET LIMITED | Capital Market | - | Resolved | 27-Apr-2009 | - | - | - |
| 19 | 06-Apr-2009 | S Seshadri | Type IV & VI | CANARA BANK SECURITIES LIMITED | Capital Market | - | Resolved | 28-Jul-2009 | - | - | - |
| 20 | 06-Apr-2009 | Om Prakash | Type IV & VI | MASTER CAPITAL SERVICES LIMITED | Capital Market | - | Resolved | 09-Jun-2009 | - | - | - |
| 21 | 06-Apr-2009 | Preeti Soni | Type IV & VI | GLOBE CAPITAL MARKET LIMITED | Capital Market | - | Resolved | 08-May-2009 | - | - | - |
| 22 | 06-Apr-2009 | Abbas Ahmad | Type IV & VI | CONSORTIUM SECURITIES PRIVATE LTD. | Capital Market | - | Resolved | 24-Jul-2009 | - | - | - |
| 23 | 06-Apr-2009 | Amrit Varsha | Type II | ALANKIT ASSIGNMENTS LTD. | Capital Market | - | Resolved | 14-Apr-2009 | - | - | - |
| 24 | 06-Apr-2009 | Anil Kumar Chhabra | Type I & II | ALANKIT ASSIGNMENTS LTD. | Capital Market | - | Resolved | 14-Apr-2009 | - | - | - |
| 25 | 06-Apr-2009 | Anju Paweria | Type V | MOTILAL OSWAL SECURITIES LTD. | Capital Market | - | Resolved | 18-Jul-2009 | - | - | - |
| 26 | 06-Apr-2009 | Neelam Mishra | Type IV & VI | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 28-May-2009 | - | - | - |
| 27 | 08-Apr-2009 | Vinay Sansare | Type V | INDIABULLS SECURITIES LTD. | Future & Options | - | Resolved | 28-Apr-2009 | - | - | - |
| 28 | 08-Apr-2009 | Mohammad Azimabdul Wahab | Type I & II | SUNCHAN SECURITIES LTD. | Capital Market | 18-May-2009 | Non - Actionable | 22-May-2009 | - | - | - |
| 29 | 08-Apr-2009 | Abdul Wahid Ansari | Type IV & VI | RIKHAV SECURITIES LIMITED | Capital Market | - | Resolved | 28-Apr-2009 | - | - | - |
| 30 | 08-Apr-2009 | Arnab Biswas | Type I | SMC GLOBAL SECURITIES LTD. | Capital Market | - | Resolved | 22-Apr-2009 | - | - | - |
| 31 | 08-Apr-2009 | Narender Bhadu | Type IX | RELIGARE SECURITIES LTD. | Capital Market | - | Resolved | 12-May-2009 | - | - | - |
| 32 | 08-Apr-2009 | Rajeev Taluja | Type I & II | ANAND RATHI SHARE AND STOCK BROKERS LIMITED | Capital Market | - | Resolved | 08-May-2009 | - | - | - |
| 33 | 08-Apr-2009 | Swati Khandelwal | Type IX | GANGA YAMUNA FINVEST PRIVATE LIMITED | Capital Market | 27-Jul-2009 | Non - Actionable | 29-Jul-2009 | - | - | - |
| 34 | 08-Apr-2009 | Hemant Kukreja | Type IV & VI | SMC GLOBAL SECURITIES LTD. | Capital Market | - | Resolved | 30-Jul-2009 | - | - | - |
| 35 | 08-Apr-2009 | Ajay Dalal | Type IV & VI | KOTAK SECURITIES LTD. | Capital Market | - | Resolved | 25-May-2009 | - | - | - |
| 36 | 08-Apr-2009 | Ashwini Arora | Type IV & VI | SHAREKHAN LTD. | Capital Market | - | Resolved | 12-May-2009 | - | - | - |
| 37 | 08-Apr-2009 | Kuldeep Gupta | Type I & II | SEETA PORTFOLIO MANAGEMENT LTD. | Capital Market | - | Opted for Arbitration | 30-Apr-2009 | - | - | - |
| 38 | 08-Apr-2009 | Bhanwarlal Kumhar | Type III | STANDARD CHARTERED-STCI CAPITAL MARKETS LTD. | Capital Market | - | Resolved | 12-May-2009 | - | - | - |
| 39 | 08-Apr-2009 | Dungar Mal Lahoti | Type III | STANDARD CHARTERED-STCI CAPITAL MARKETS LTD. | Capital Market | - | Resolved | 12-May-2009 | - | - | - |
| 40 | 08-Apr-2009 | Pankaj Kumar Manju | Type III | STANDARD CHARTERED-STCI CAPITAL MARKETS LTD. | Capital Market | - | Resolved | 12-May-2009 | - | - | - |
| 41 | 08-Apr-2009 | Bajrang Lal Sharma | Type III | STANDARD CHARTERED-STCI CAPITAL MARKETS LTD. | Capital Market | - | Resolved | 12-May-2009 | - | - | - |
| 42 | 08-Apr-2009 | Kalyan Singh | Type III | STANDARD CHARTERED-STCI CAPITAL MARKETS LTD. | Capital Market | - | Resolved | 12-May-2009 | - | - | - |
| 43 | 08-Apr-2009 | Murlidhar Soni | Type III | STANDARD CHARTERED-STCI CAPITAL MARKETS LTD. | Capital Market | - | Resolved | 12-May-2009 | - | - | - |
| 44 | 08-Apr-2009 | Sunita Tantia | Type IX | Sam Global Sec Ltd | Capital Market | - | Resolved | 25-May-2009 | - | - | - |
| 45 | 09-Apr-2009 | Navin Kumar Poddar | Type IV | SHREE BAHUBALI INTERNATIONAL LTD. | Capital Market | - | Resolved | 09-Jun-2009 | - | - | - |
| 46 | 09-Apr-2009 | Nita Bipin Kedia | Type IV & VI | LABDHI FINANCE CORPORATION | Capital Market | - | Resolved | 30-Nov-2009 | - | - | - |
| 47 | 09-Apr-2009 | Pravina Pradip Bajwala | Type IV & VI | INDIA ADVANTAGE SECURITIES LTD. | Capital Market | - | Resolved | 08-May-2009 | - | - | - |
| 48 | 09-Apr-2009 | Ashok Sequeira | Type IV & VI | ANGEL CAPITAL AND DEBT MARKET LIMITED | Future & Options | - | Resolved | 08-May-2009 | - | - | - |
| 49 | 09-Apr-2009 | Sudhir Kumar Khade | Type IX | Anagram Stock broking ltd (TM of BSE) | Capital Market | - | Resolved | 09-Apr-2009 | - | - | - |
| 50 | 09-Apr-2009 | Pradip Biswas | Type IV | INDIA INFOLINE LTD. | Capital Market | - | Opted for Arbitration | 23-Jul-2009 | - | - | - |
| 51 | 09-Apr-2009 | Rajkumari | Type IV & VI | ANAGRAM CAPITAL LIMITED | Capital Market | - | Resolved | 13-May-2009 | - | - | - |
| 52 | 09-Apr-2009 | Shivkant | Type IV & VI | ANAND RATHI SHARE AND STOCK BROKERS LIMITED | Capital Market | - | Opted for Arbitration | 26-Jun-2009 | - | - | - |
| 53 | 09-Apr-2009 | Rambir Agrawal | Type IV & VI | SMC GLOBAL SECURITIES LTD. | Future & Options | - | Resolved | 25-May-2009 | - | - | - |
| 54 | 09-Apr-2009 | Naresh Nagpal | Type IV & VI | ICICI SECURITIES LIMITED | Capital Market | - | Resolved | 13-May-2009 | - | - | - |
| 55 | 09-Apr-2009 | Rajesh Tawani | Type IX | ICICI SECURITIES LIMITED | Capital Market | - | Resolved | 12-May-2009 | - | - | - |
| 56 | 09-Apr-2009 | Shyam Sunder | Type IV & VI | KOTAK SECURITIES LTD. | Capital Market | - | Opted for Arbitration | 10-Jul-2009 | - | - | - |
| 57 | 09-Apr-2009 | Mahendra Kumar Bohra | Type V | INDIABULLS SECURITIES LTD. | Capital Market | - | Resolved | 04-May-2009 | - | - | - |
| 58 | 09-Apr-2009 | Kiran Chopra | Type I & II | INDIABULLS SECURITIES LTD. | Capital Market | - | Resolved | 05-May-2009 | - | - | - |
| 59 | 09-Apr-2009 | Renu Devi Bhartia | Type IV & VI | ALANKIT ASSIGNMENTS LTD. | Capital Market | - | Resolved | 21-Apr-2009 | - | - | - |
| 60 | 09-Apr-2009 | Varun Koshal | Type IV & VI | MOTILAL OSWAL SECURITIES LTD. | Capital Market | - | Resolved | 22-Jun-2009 | - | - | - |
| 61 | 09-Apr-2009 | Ketan Kumar Choudhary | Type I & II | MOTILAL OSWAL SECURITIES LTD. | Capital Market | - | Resolved | 12-May-2009 | - | - | - |
| 62 | 09-Apr-2009 | Navneet Kaur | Type IV & VI | SHAREKHAN LTD. | Capital Market | - | Resolved | 12-May-2009 | - | - | - |
| 63 | 09-Apr-2009 | Goonjit Singh Pahwa | Type IX | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 01-Jun-2009 | - | - | - |
| 64 | 09-Apr-2009 | Sushma Dungarpuria | Type IX | RELIANCE SECURITIES LIMITED | Capital Market | - | Resolved | 20-Apr-2009 | - | - | - |
| 65 | 09-Apr-2009 | Sunita Talwar | Type IX | RELIANCE SECURITIES LIMITED | Capital Market | - | Resolved | 13-May-2009 | - | - | - |
| 66 | 09-Apr-2009 | Sudhir Kumar Bajpai | Type IV & VI | RELIANCE SECURITIES LIMITED | Capital Market | - | Resolved | 29-Jul-2009 | - | - | - |
| 67 | 09-Apr-2009 | Madhu Sharma | Type III | STANDARD CHARTERED-STCI CAPITAL MARKETS LTD. | Capital Market | - | Resolved | 19-May-2009 | - | - | - |
| 68 | 09-Apr-2009 | Kanta Devi | Type III | STANDARD CHARTERED-STCI CAPITAL MARKETS LTD. | Capital Market | - | Resolved | 19-May-2009 | - | - | - |
| 69 | 09-Apr-2009 | Ratan Lal Sharma | Type III | STANDARD CHARTERED-STCI CAPITAL MARKETS LTD. | Capital Market | - | Resolved | 19-May-2009 | - | - | - |
| 70 | 09-Apr-2009 | Kapil Dew Singodia | Type III | STANDARD CHARTERED-STCI CAPITAL MARKETS LTD. | Capital Market | - | Resolved | 19-May-2009 | - | - | - |
| 71 | 13-Apr-2009 | Uma Shankarlal Shrivastava | Type IV & VI | SWASTIKA INVESTMART LIMITED | Capital Market | - | Resolved | 28-Jul-2009 | - | - | - |
| 72 | 13-Apr-2009 | I Kamalajaythi | Type IV & VI | NETWORTH STOCK BROKING LTD. | Capital Market | - | Resolved | 27-Aug-2009 | - | - | - |
| 73 | 13-Apr-2009 | Sanjay Kumar Premchand | Type V | RELIGARE SECURITIES LTD. | Capital Market | - | Resolved | 27-May-2009 | - | - | - |
| 74 | 13-Apr-2009 | G Sankara Narayanan | Type V | KARVY STOCK BROKING LTD. | Capital Market | - | Resolved | 27-Jul-2009 | - | - | - |
| 75 | 13-Apr-2009 | Pradeep Balakrishnan | Type IV & VI | NAVIA MARKETS LTD. | Capital Market | - | Opted for Arbitration | 03-Jul-2009 | - | - | - |
| 76 | 13-Apr-2009 | Anupam Gupta | Type IX | KOTAK SECURITIES LTD. | Capital Market | - | Resolved | 03-Jul-2009 | - | - | - |
| 77 | 13-Apr-2009 | Rajendran Rs | Type IV & VI | INDIABULLS SECURITIES LTD. | Capital Market | - | Resolved | 21-Aug-2009 | - | - | - |
| 78 | 13-Apr-2009 | Janabai Vasudevan | Type IV & VI | SBICAP SECURITIES LIMITED | Future & Options | - | Resolved | 17-Jul-2009 | - | - | - |
| 79 | 13-Apr-2009 | Gracia Jacqueline | Type IV & VI | SHAREKHAN LTD. | Capital Market | - | Resolved | 29-Jul-2009 | - | - | - |
| 80 | 13-Apr-2009 | N Raja Rjeswari | Type IV & VI | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 09-Sep-2009 | 20-Jun-2017 | Mr. Pramod Vaidya | 07-Sep-2017 |
| 81 | 13-Apr-2009 | Viswanadham Srighakollapu | Type IV & VI | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 14-Aug-2009 | - | - | - |
| 82 | 13-Apr-2009 | Unnikrishnan Nair V | Type IV & VI | CAPSTOCKS & SECURITIES (INDIA) PRIVATE LIMITED | Future & Options | - | Opted for Arbitration | 03-Jun-2009 | - | - | - |
| 83 | 13-Apr-2009 | Karnam Ramamurthy Vanitha | Type IV & VI | ALMONDZ GLOBAL SECURITIES LTD. | Capital Market | - | Opted for Arbitration | 17-Aug-2009 | - | - | - |
| 84 | 13-Apr-2009 | Madan Mohan | Type V | VENTURA SECURITIES LTD. | Capital Market | - | Resolved | 13-Apr-2009 | - | - | - |
| 85 | 13-Apr-2009 | Prakash Batham | Type IX | KASSA FINVEST PRIVATE LIMITED | Capital Market | - | Resolved | 08-May-2009 | - | - | - |
| 86 | 13-Apr-2009 | Mrunmayee Prasad Lanke | Type I & II | SUNCHAN SECURITIES LTD. | Capital Market | - | Resolved | 13-Apr-2009 | - | - | - |
| 87 | 13-Apr-2009 | Jasmin M. Vora H.U.F | Type I & II | MEHTA FINSTOCK PRIVATE LIMITED | Capital Market | - | Resolved | 10-Jun-2009 | - | - | - |
| 88 | 13-Apr-2009 | M K Sylaja | Type V | COIMBATORE CAPITAL LIMITED | Capital Market | - | Resolved | 13-Apr-2009 | - | - | - |
| 89 | 13-Apr-2009 | K Parameswaran Nair | Type V | COIMBATORE CAPITAL LIMITED | Capital Market | - | Resolved | 13-Apr-2009 | - | - | - |
| 90 | 13-Apr-2009 | K Parameswaran Nair | Type V | COIMBATORE CAPITAL LIMITED | Capital Market | - | Resolved | 03-Jul-2009 | - | - | - |
| 91 | 13-Apr-2009 | M K Sylaja | Type V | COIMBATORE CAPITAL LIMITED | Capital Market | - | Resolved | 03-Jul-2009 | - | - | - |
| 92 | 13-Apr-2009 | I Swaminathan | Type VI | ANUSH SHARES & SECURITIES PVT.LTD. | Capital Market | - | Resolved | 14-Jul-2009 | - | - | - |
| 93 | 13-Apr-2009 | Purushothaaman Thilakavathi | Type IV & VI | INDIABULLS SECURITIES LTD. | Capital Market | - | Resolved | 29-Sep-2009 | - | - | - |
| 94 | 13-Apr-2009 | Hariharan | Type IV & VI | MOTILAL OSWAL SECURITIES LTD. | Capital Market | - | Resolved | 09-Jul-2009 | - | - | - |
| 95 | 13-Apr-2009 | Usha R Madhyastha | Type I & II | CAPSTOCKS & SECURITIES (INDIA) PRIVATE LIMITED | Capital Market | - | Resolved | 30-Jun-2009 | - | - | - |
| 96 | 13-Apr-2009 | Anil Kumar Poddar | Type VI | PRABHUDAS LILLADHER PVT. LTD. | Capital Market | - | Opted for Arbitration | 18-May-2009 | - | - | - |
| 97 | 13-Apr-2009 | Moolchand | Type IV & VI | ANAGRAM CAPITAL LIMITED | Capital Market | - | Opted for Arbitration | 22-Jun-2009 | - | - | - |
| 98 | 13-Apr-2009 | Sangeet Swami | Type I | ANAGRAM CAPITAL LIMITED | Capital Market | - | Resolved | 01-Jun-2009 | - | - | - |
| 99 | 13-Apr-2009 | Udit Narayan Singh | Type IV & VI | ASIT C MEHTA INVESTMENT INTERRMEDIATES LTD. | Capital Market | - | Resolved | 08-May-2009 | - | - | - |
| 100 | 13-Apr-2009 | Anand Mohan Singh | Type IV & VI | ASIT C MEHTA INVESTMENT INTERRMEDIATES LTD. | Capital Market | - | Resolved | 13-May-2009 | - | - | - |
In all there are 5927 records of which only 100 are displayed on the page. Kindly download the xls file to view all records.
Download the file to view all records. (.xls)
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