Back
Complaints received from clients against Trading Members (TMs) during 2010-11
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-2010 | Nathu Ram Yadav | Type IV & VI | RELIGARE SECURITIES LTD. | Future & Options | - | Opted for Arbitration | 22-Jun-2010 | - | - | - |
| 2 | 01-Apr-2010 | Sunil Kumar Gupta | Type I & II | BHARAT RASAYAN FINANCE LTD | Capital Market | - | Resolved | 23-Apr-2010 | - | - | - |
| 3 | 01-Apr-2010 | Rupinder Kaur | Type IV & VI | GEOJIT BNP PARIBAS FINANCIAL SERVICES LIMITED | Capital Market | - | Resolved | 21-May-2010 | - | - | - |
| 4 | 01-Apr-2010 | Harpreet Singh | Type IV & VI | HSBC INVESTDIRECT SECURITIES (INDIA) LIMITED | Capital Market | - | Resolved | 20-Sep-2010 | - | - | - |
| 5 | 03-Apr-2010 | Manish Kumar Mittal | Type IX | ANAND RATHI SHARE AND STOCK BROKERS LIMITED | Capital Market | - | Resolved | 14-May-2010 | - | - | - |
| 6 | 03-Apr-2010 | Malti Devi Jain | Type I & II | ANAGRAM CAPITAL LIMITED | Capital Market | - | Resolved | 19-Oct-2010 | - | - | - |
| 7 | 03-Apr-2010 | Pramod Raj Pillai | Type V | KOTAK SECURITIES LTD. | Capital Market | - | Resolved | 13-May-2010 | - | - | - |
| 8 | 03-Apr-2010 | Kavita Garg | Type V | SHAREKHAN LTD. | Capital Market | - | Resolved | 14-May-2010 | - | - | - |
| 9 | 03-Apr-2010 | Suresh Singh | Type IX | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 13-May-2010 | - | - | - |
| 10 | 03-Apr-2010 | Manoj Kumar | Type IX | INDIA INFOLINE LTD. | Future & Options | - | Resolved | 30-Aug-2010 | - | - | - |
| 11 | 03-Apr-2010 | Jeth Mal Lohiya | Type I & II | ANAGRAM CAPITAL LIMITED | Capital Market | - | Resolved | 22-Jul-2010 | - | - | - |
| 12 | 03-Apr-2010 | Hardev Singh | Type IV & VI | KARVY STOCK BROKING LTD. | Future & Options | - | Resolved | 16-Jun-2010 | - | - | - |
| 13 | 03-Apr-2010 | Ashima | Type IX | KASSA FINVEST PRIVATE LIMITED | Future & Options | - | Resolved | 13-May-2010 | - | - | - |
| 14 | 03-Apr-2010 | Sanjeev Garg | Type IX | KASSA FINVEST PRIVATE LIMITED | Future & Options | - | Resolved | 28-Apr-2010 | - | - | - |
| 15 | 03-Apr-2010 | Rajiv Kumar Aggarwal | Type IX | KOTAK SECURITIES LTD. | Capital Market | - | Resolved | 13-May-2010 | - | - | - |
| 16 | 03-Apr-2010 | Hem Lata Sharma | Type IX | INDIABULLS SECURITIES LTD. | Future & Options | - | Resolved | 14-May-2010 | - | - | - |
| 17 | 03-Apr-2010 | Abhishek Rai | Type IX | INDIABULLS SECURITIES LTD. | Future & Options | - | Resolved | 02-Jun-2010 | - | - | - |
| 18 | 03-Apr-2010 | Atul Gulati | Type IX | CONSORTIUM SECURITIES PRIVATE LTD. | Capital Market | - | Resolved | 02-Jul-2010 | - | - | - |
| 19 | 03-Apr-2010 | Priti Jain | Type IV & VI | KANTILAL CHHAGANLAL SECURITIES PRIVATE LIMITED | Capital Market | - | Resolved | 10-Dec-2010 | - | - | - |
| 20 | 03-Apr-2010 | Himanshu Jha | Type IV & VI | MOTILAL OSWAL SECURITIES LTD. | Future & Options | - | Resolved | 13-May-2010 | - | - | - |
| 21 | 05-Apr-2010 | Chandulal Keshavlal Patel | Type IX | INDIA INFOLINE LTD. | Future & Options | - | Resolved | 25-Jun-2010 | - | - | - |
| 22 | 05-Apr-2010 | Vinaben Chandulal Patel | Type IX | INDIA INFOLINE LTD. | Future & Options | - | Resolved | 25-Jun-2010 | - | - | - |
| 23 | 05-Apr-2010 | Dipak Hasmukhray Kamdar | Type IV & VI | INDIA INFOLINE LTD. | Future & Options | - | Resolved | 23-Feb-2011 | - | - | - |
| 24 | 05-Apr-2010 | Amitava Kali | Type V | SBICAP SECURITIES LIMITED | Capital Market | - | Resolved | 05-Apr-2010 | - | - | - |
| 25 | 06-Apr-2010 | Manish Agrawal | Type V | RELIANCE SECURITIES LIMITED | Capital Market | - | Resolved | 20-Apr-2010 | - | - | - |
| 26 | 06-Apr-2010 | Pareshkumar Kundanlal Patel | Type I & II | MONARCH PROJECT & FINMARKETS LIMITED | Capital Market | - | Resolved | 10-Jun-2010 | - | - | - |
| 27 | 06-Apr-2010 | Joginder Singh Chhabra | Type IV & VI | RELIGARE SECURITIES LTD. | Capital Market | - | Resolved | 19-Aug-2010 | - | - | - |
| 28 | 06-Apr-2010 | Sonali Morankar | Type IV & VI | RELIGARE SECURITIES LTD. | Capital Market | - | Resolved | 27-May-2010 | - | - | - |
| 29 | 06-Apr-2010 | Prafulla Millind Kamble | Type I & II | RELIGARE SECURITIES LTD. | Capital Market | - | Resolved | 07-May-2010 | - | - | - |
| 30 | 06-Apr-2010 | Sanjeev Subhash Shah | Type IV & VI | ANAND RATHI SHARE AND STOCK BROKERS LIMITED | Capital Market | - | Resolved | 23-Jun-2010 | - | - | - |
| 31 | 06-Apr-2010 | Rajesh Vyas | Type IV & VI | TECHNO SHARES & STOCKS LIMITED | Capital Market | - | Resolved | 08-Jul-2010 | - | - | - |
| 32 | 06-Apr-2010 | Ashok Kumar S Chawlani | Type IV & VI | SBICAP SECURITIES LIMITED | Capital Market | - | Resolved | 11-Jun-2010 | - | - | - |
| 33 | 06-Apr-2010 | Amit Laxman Gavande | Type IX | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 13-Apr-2010 | - | - | - |
| 34 | 06-Apr-2010 | Laltoo Malkani | Type IX | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 13-Apr-2010 | - | - | - |
| 35 | 06-Apr-2010 | Jayesh Jamindar | Type IV & VI | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 13-Apr-2010 | - | - | - |
| 36 | 06-Apr-2010 | Nilesh Kolhe | Type IX | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 26-May-2010 | - | - | - |
| 37 | 06-Apr-2010 | Subhas Kumar Agarwal | Type IV & VI | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 30-Jun-2010 | - | - | - |
| 38 | 06-Apr-2010 | Satya Prakash Agarwal | Type III | INDIA INFOLINE LTD. | Future & Options | - | Resolved | 30-Jun-2010 | - | - | - |
| 39 | 06-Apr-2010 | Bhavna Sejpal | Type V | RELIANCE SECURITIES LIMITED | Capital Market | - | Resolved | 20-Apr-2010 | - | - | - |
| 40 | 06-Apr-2010 | Killol Bharat Shah | Type I & II | RELIANCE SECURITIES LIMITED | Capital Market | - | Resolved | 21-Apr-2010 | - | - | - |
| 41 | 06-Apr-2010 | Sameer Narkar | Type V | RELIANCE SECURITIES LIMITED | Capital Market | - | Resolved | 26-May-2010 | - | - | - |
| 42 | 06-Apr-2010 | Vadilal Ramabhai Patel | Type V | RELIANCE SECURITIES LIMITED | Capital Market | - | Resolved | 16-Apr-2010 | - | - | - |
| 43 | 06-Apr-2010 | Arun Upadhyay | Type V | RELIANCE SECURITIES LIMITED | Capital Market | - | Resolved | 26-May-2010 | - | - | - |
| 44 | 06-Apr-2010 | Gulshan Gandhi | Type V | RELIANCE SECURITIES LIMITED | Capital Market | - | Resolved | 17-Aug-2010 | - | - | - |
| 45 | 06-Apr-2010 | Umesh Choursiya | Type I & II | RELIANCE SECURITIES LIMITED | Capital Market | - | Resolved | 26-May-2010 | - | - | - |
| 46 | 06-Apr-2010 | Joseph D'Souza | Type IV & VI | RELIGARE SECURITIES LTD. | Capital Market | - | Resolved | 01-Jun-2010 | - | - | - |
| 47 | 06-Apr-2010 | Girishkumar O | Type IV & VI | RELIGARE SECURITIES LTD. | Capital Market | - | Opted for Arbitration | 22-Oct-2010 | - | - | - |
| 48 | 06-Apr-2010 | N Ahamed Mohideen | Type IV & VI | KARVY STOCK BROKING LTD. | Capital Market | - | Resolved | 25-May-2010 | - | - | - |
| 49 | 06-Apr-2010 | Pradeep Kichidi | Type IX | ICICI SECURITIES LIMITED | Capital Market | - | Resolved | 04-May-2010 | - | - | - |
| 50 | 06-Apr-2010 | Kanakar Bhaskara Surendra | Type I & II | ICICI SECURITIES LIMITED | Capital Market | - | Resolved | 04-May-2010 | - | - | - |
| 51 | 06-Apr-2010 | Kusuma J | Type III | INDIABULLS SECURITIES LTD. | Capital Market | - | Resolved | 19-Apr-2010 | - | - | - |
| 52 | 06-Apr-2010 | Praveen Davuluri | Type IV & VI | INDIABULLS SECURITIES LTD. | Capital Market | - | Resolved | 11-Oct-2010 | - | - | - |
| 53 | 06-Apr-2010 | Ketha Venkat Ramswamy | Type IX | NORTHEAST BROKING SERVICES LTD. | Future & Options | - | Resolved | 13-May-2010 | - | - | - |
| 54 | 06-Apr-2010 | Murali Krishnan | Type I & II | BAJAJ CAPITAL INVESTOR SERVICES LTD | Capital Market | - | Resolved | 01-Jun-2010 | - | - | - |
| 55 | 07-Apr-2010 | Saroj Karwa | Type V | INDIABULLS SECURITIES LTD. | Capital Market | - | Resolved | 09-Jul-2010 | - | - | - |
| 56 | 07-Apr-2010 | Navneet Daga | Type IV & VI | KARVY STOCK BROKING LTD. | Capital Market | - | Resolved | 15-Jun-2010 | - | - | - |
| 57 | 07-Apr-2010 | Sukanta Banerjee | Type IV & VI | SHRIRAM INSIGHT SHARE BROKERS LIMITED | Capital Market | - | Resolved | 27-May-2010 | - | - | - |
| 58 | 07-Apr-2010 | Ajit Kumar Saha | Type IX | SBICAP SECURITIES LIMITED | Capital Market | - | Resolved | 25-May-2010 | - | - | - |
| 59 | 07-Apr-2010 | Arun Kumar Jha | Type IV & VI | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 04-May-2010 | - | - | - |
| 60 | 07-Apr-2010 | Sidharth Gupta | Type V | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 07-May-2010 | - | - | - |
| 61 | 07-Apr-2010 | Pramod Kumar | Type IV & VI | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 02-Jul-2010 | - | - | - |
| 62 | 07-Apr-2010 | Jatindra Kumar Dey | Type IV & VI | INDIA INFOLINE LTD. | Future & Options | - | Resolved | 18-May-2010 | - | - | - |
| 63 | 07-Apr-2010 | Sudarshan Dutta | Type I & II | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 18-May-2010 | - | - | - |
| 64 | 07-Apr-2010 | Birendra Nath Poria | Type IV & VI | BMA WEALTH CREATORS PRIVATE LIMITED | Capital Market | - | Resolved | 02-Nov-2010 | - | - | - |
| 65 | 07-Apr-2010 | Ranjita Satpathy | Type IX | BMA WEALTH CREATORS PRIVATE LIMITED | Capital Market | - | Resolved | 13-Aug-2010 | - | - | - |
| 66 | 07-Apr-2010 | Supratim Majumdar | Type IV & VI | ANGEL CAPITAL AND DEBT MARKET LIMITED | Capital Market | - | Resolved | 06-May-2010 | - | - | - |
| 67 | 07-Apr-2010 | Dipak Bishwas | Type I & II | STANDARD CHARTERED-STCI CAPITAL MARKETS LTD. | Capital Market | - | Resolved | 05-Aug-2010 | - | - | - |
| 68 | 07-Apr-2010 | Kamla Devi | Type IV & VI | ANAGRAM CAPITAL LIMITED | Capital Market | - | Opted for Arbitration | 05-May-2010 | - | - | - |
| 69 | 07-Apr-2010 | Santosh Acharya | Type IX | RELIGARE SECURITIES LTD. | Capital Market | - | Resolved | 28-Apr-2010 | - | - | - |
| 70 | 07-Apr-2010 | Rakesh Gupta Huf | Type IV & VI | GLOBE CAPITAL MARKET LIMITED | Capital Market | - | Resolved | 13-Apr-2010 | - | - | - |
| 71 | 07-Apr-2010 | Jai Karan Singh | Type IV & VI | K K SECURITIES LTD. | Capital Market | - | Resolved | 27-Oct-2010 | - | - | - |
| 72 | 07-Apr-2010 | Subhash Chand | Type IX | SMC GLOBAL SECURITIES LTD. | Capital Market | - | Opted for Arbitration | 11-May-2010 | - | - | - |
| 73 | 07-Apr-2010 | Yogendra Bhanu Khandelwal | Type IV & VI | INDIA INFOLINE LTD. | Capital Market | - | Opted for Arbitration | 04-May-2010 | - | - | - |
| 74 | 07-Apr-2010 | Hukum Singh Pal | Type IX | BONANZA PORTFOLIO LTD. | Capital Market | - | Resolved | 28-Jun-2010 | - | - | - |
| 75 | 07-Apr-2010 | Chandrachur Majumder | Type III | INDIABULLS SECURITIES LTD. | Capital Market | - | Resolved | 27-May-2010 | - | - | - |
| 76 | 07-Apr-2010 | Rukmanibai S Bhatia | Type IX | MOTILAL OSWAL SECURITIES LTD. | Future & Options | - | Opted for Arbitration | 12-Jan-2011 | - | - | - |
| 77 | 07-Apr-2010 | Ram Kumar Gupta | Type IV & VI | SHAREKHAN LTD. | Capital Market | - | Resolved | 07-Apr-2010 | - | - | - |
| 78 | 07-Apr-2010 | Kanchan Kumar | Type IX | IDBI CAPITAL MARKET SERVICES LTD. | Capital Market | - | Resolved | 21-Apr-2010 | - | - | - |
| 79 | 07-Apr-2010 | Kamal Das | Type IV & VI | KOTAK SECURITIES LTD. | Capital Market | - | Resolved | 30-Sep-2010 | - | - | - |
| 80 | 07-Apr-2010 | Ashok Kumar D | Type IV & VI | KOTAK SECURITIES LTD. | Capital Market | - | Resolved | 29-Apr-2010 | - | - | - |
| 81 | 07-Apr-2010 | Susheela Unnikrishnan | Type IV & VI | MOTILAL OSWAL SECURITIES LTD. | Capital Market | - | Resolved | 27-Apr-2010 | - | - | - |
| 82 | 07-Apr-2010 | Sanjay K Nilavar | Type IX | SHCIL SERVICES LIMITED | Capital Market | - | Resolved | 06-May-2010 | - | - | - |
| 83 | 07-Apr-2010 | Anubhav Jain | Type IX | ANGEL CAPITAL AND DEBT MARKET LIMITED | Capital Market | - | Resolved | 17-May-2010 | - | - | - |
| 84 | 07-Apr-2010 | S Ramaswamy | Type I & II | JRG SECURITIES LTD. | Capital Market | - | Resolved | 15-Nov-2010 | - | - | - |
| 85 | 07-Apr-2010 | Suruliraghu Tks | Type IV & VI | JRG SECURITIES LTD. | Capital Market | - | Resolved | 22-Jun-2010 | - | - | - |
| 86 | 07-Apr-2010 | Satyanarayana Bvv | Type IX | ADITYA BIRLA MONEY LIMITED | Capital Market | - | Resolved | 19-Apr-2010 | - | - | - |
| 87 | 08-Apr-2010 | Devendra Setty | Type V | RELIGARE SECURITIES LTD. | Capital Market | - | Resolved | 27-Apr-2010 | - | - | - |
| 88 | 08-Apr-2010 | Vasudev L | Type IX | VERTEX SECURITIES LTD. | Capital Market | - | Resolved | 08-Apr-2010 | - | - | - |
| 89 | 08-Apr-2010 | R Krishnamoorthy | Type IV & VI | KARVY STOCK BROKING LTD. | Capital Market | - | Resolved | 27-May-2010 | - | - | - |
| 90 | 08-Apr-2010 | Suresh Jain | Type IX | ICICI SECURITIES LIMITED | Capital Market | - | Resolved | 29-Apr-2010 | - | - | - |
| 91 | 08-Apr-2010 | Satish Satish | Type III | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 06-Jul-2010 | - | - | - |
| 92 | 08-Apr-2010 | Usha Garg | Type IX | RELIGARE SECURITIES LTD. | Capital Market | - | Resolved | 07-May-2010 | - | - | - |
| 93 | 08-Apr-2010 | Ajay Goyal | Type IV & VI | RELIGARE SECURITIES LTD. | Capital Market | - | Resolved | 31-May-2010 | - | - | - |
| 94 | 08-Apr-2010 | R D Sankhnar | Type IV & VI | K & A SECURITIES (P) LTD. | Capital Market | - | Resolved | 07-Jun-2010 | - | - | - |
| 95 | 08-Apr-2010 | M.I.H Ansari | Type IX | VENTURA SECURITIES LTD. | Capital Market | - | Resolved | 04-May-2010 | - | - | - |
| 96 | 08-Apr-2010 | Raj Kumar Singla | Type I & II | MITHUN SECURITIES PVT. LTD. | Capital Market | - | Resolved | 10-May-2010 | - | - | - |
| 97 | 08-Apr-2010 | Amit Kumar Bajpai | Type IV & VI | SMC GLOBAL SECURITIES LTD. | Capital Market | - | Resolved | 04-Jun-2010 | - | - | - |
| 98 | 08-Apr-2010 | Sham Sunder Thapar | Type IV & VI | SMC GLOBAL SECURITIES LTD. | Capital Market | - | Resolved | 16-Nov-2010 | - | - | - |
| 99 | 08-Apr-2010 | Anoop Singh | Type IV & VI | SMC GLOBAL SECURITIES LTD. | Capital Market | - | Resolved | 18-May-2010 | - | - | - |
| 100 | 08-Apr-2010 | Sarnam Singh | Type IX | KOTAK SECURITIES LTD. | Capital Market | - | Resolved | 31-May-2010 | - | - | - |
In all there are 6610 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)
|
| ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||