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Complaints received from clients against Trading Members (TMs) during 2011-12
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 | 22-Feb-2012 | Pratima Das | Type IV & VI | SHREE BAHUBALI INTERNATIONAL LTD. | Capital Market | - | Resolved | 14-Jun-2012 | 19-Mar-2013 | VASUDEO AGARWAL | 10-Oct-2013 |
| 2 | 12-May-2011 | Anjana Tyagi | Type IV & VI | CONSORTIUM SECURITIES PRIVATE LTD. | Capital Market | - | Resolved | 30-Jul-2011 | 08-Mar-2016 | TEJINDER SINGH SAINI | 11-Jul-2016 |
| 3 | 26-Sep-2011 | Biman Kumar Rakshit | Type IV & VI | KOTAK SECURITIES LTD. | Capital Market | - | Resolved | 30-Nov-2011 | 24-Dec-2015 | SURENDRA NATH SINGH | 05-May-2016 |
| 4 | 20-Apr-2011 | Geeta Singh | Type IV & VI | RELIGARE SECURITIES LTD. | Capital Market | - | Resolved | 12-Aug-2011 | 25-Oct-2011 | SAUBIR BHATTACHARYYA | 15-May-2012 |
| 5 | 21-Jun-2011 | Sanatan Bhattacharya | Type I & II | ARCADIA SHARE & STOCK BROKERS PRIVATE LIMITED | Capital Market | - | Opted for Arbitration | 14-Oct-2011 | 11-Oct-2011 | SAUBIR BHATTACHARYYA | 05-May-2012 |
| 6 | 06-Feb-2012 | Tohera Hassan | Type IV & VI | NIRMAL BANG SECURITIES PVT. LTD. | Future & Options | - | Opted for Arbitration | 19-Jun-2012 | 27-Aug-2012 | SAUBIR BHATTACHARYYA | 01-Feb-2013 |
| 7 | 28-Jul-2011 | Snehankita Suhas Rawade | Type IV & VI | BONANZA PORTFOLIO LTD. | Capital Market | - | Opted for Arbitration | 22-Nov-2011 | 26-Feb-2013 | S C Gupta | 01-Jul-2013 |
| 8 | 21-Nov-2011 | Sunil Shantaram Chalke | Type IV & VI | FCH CENTRUM WEALTH MANAGERS LIMITED | Capital Market | - | Resolved | 02-May-2012 | 15-Apr-2013 | S C Gupta | 07-Aug-2013 |
| 9 | 08-Apr-2011 | Arvind Ramesh Shahu | Type I & II | ALKA SECURITIES LTD | Capital Market | - | Resolved | 28-May-2013 | 11-Jun-2013 | RASHESH KANTILAL GANDHI | 06-Sep-2013 |
| 10 | 11-Oct-2011 | Mohini Ramlal Talwar | Type IV & VI | EDELWEISS SECURITIES LIMITED | Capital Market | - | Resolved | 30-May-2012 | 10-Feb-2014 | PARESH K THOTHAWALA | 06-May-2014 |
| 11 | 12-Dec-2011 | Kanhaiyalal Kochar | Type IV & VI | ADITYA BIRLA MONEY LIMITED | Capital Market | - | Opted for Arbitration | 05-Jun-2012 | 04-Jun-2014 | NIRMAL KUMAR BOTHRA,PRITI TODI,SANJAY KUMAR PODDAR | 09-Feb-2015 |
| 12 | 02-Dec-2011 | Fakharuddin Ahmed | Type IV & VI | RELIGARE SECURITIES LTD. | Capital Market | - | Resolved | 04-Jun-2012 | 19-Apr-2013 | NEELOO BISWAS,Justice D K Trivedi,Mr. Chandrakant Kamdar,Mr. Jayprakash Vyas | 28-Aug-2013 |
| 13 | 26-May-2011 | Nasim Banu | Type IV & VI | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 29-Dec-2011 | 02-Feb-2012 | NEELOO BISWAS | 13-Jun-2012 |
| 14 | 30-May-2011 | Shashi Pandey | Type IV & VI | BMA WEALTH CREATORS LIMITED | Capital Market | - | Opted for Arbitration | 27-Oct-2011 | 21-Nov-2011 | NEELOO BISWAS | 22-Mar-2012 |
| 15 | 12-Aug-2011 | Babulal Bengani | Type IV & VI | GUINESS SECURITIES LIMITED | Capital Market | - | Opted for Arbitration | 30-Nov-2011 | 03-May-2012 | NEELOO BISWAS | 30-Nov-2012 |
| 16 | 12-Aug-2011 | Bhiki Devi Bengani | Type IV & VI | GUINESS SECURITIES LIMITED | Capital Market | - | Opted for Arbitration | 30-Nov-2011 | 03-May-2012 | NEELOO BISWAS | 26-Sep-2012 |
| 17 | 25-Oct-2011 | Nilkamal Biswas | Type I & II | SHAREKHAN LTD. | Capital Market | - | Resolved | 30-Mar-2012 | 22-Jun-2012 | NEELOO BISWAS | 16-Oct-2012 |
| 18 | 17-Jan-2012 | Dayal Singh Rathore | Type IV & VI | FRR SHARES AND SECURITIES LIMITED | Capital Market | - | Opted for Arbitration | 30-May-2012 | 16-Jul-2012 | NEELOO BISWAS | 22-Nov-2012 |
| 19 | 16-Mar-2012 | Parmeshwar Rai | Type IV & VI | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 06-Jun-2012 | 20-Jul-2012 | NEELOO BISWAS | 21-Dec-2012 |
| 20 | 20-Apr-2011 | Pankaj Kumar Mahato | Type IV & VI | NIRMAL BANG SECURITIES PVT. LTD. | Capital Market | - | Resolved | 20-Jun-2011 | 26-Jul-2011 | N P SENGUPTA | 07-Dec-2011 |
| 21 | 18-May-2011 | Anil Dugar | Type IV & VI | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 20-Oct-2011 | 03-Feb-2012 | N P SENGUPTA | 09-May-2012 |
| 22 | 25-May-2011 | Sudipta Kumar Das | Type IV & VI | KARVY STOCK BROKING LTD. | Capital Market | - | Opted for Arbitration | 05-Aug-2011 | 09-May-2012 | N P SENGUPTA | 17-Aug-2012 |
| 23 | 18-Nov-2011 | Pawan Kumar Saraswat | Type IV & VI | NETWORTH STOCK BROKING LTD. | Future & Options | - | Opted for Arbitration | 29-Mar-2012 | 02-May-2012 | N P SENGUPTA | 25-Sep-2012 |
| 24 | 30-Dec-2011 | Narendra Nath Das | Type IV & VI | BMA WEALTH CREATORS LIMITED | Capital Market | - | Opted for Arbitration | 25-Jan-2012 | 14-Jun-2012 | N P SENGUPTA | 30-Oct-2012 |
| 25 | 03-Feb-2012 | B K Mishra | Type IV & VI | KARVY STOCK BROKING LTD. | Capital Market | - | Resolved | 31-Aug-2012 | 25-Feb-2013 | N P SENGUPTA | 02-Jul-2013 |
| 26 | 27-Mar-2012 | Sanjay Kumar Jain | Type IV & VI | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 26-Jul-2012 | 07-Sep-2012 | N P SENGUPTA | 14-Feb-2013 |
| 27 | 01-Jun-2011 | Praful Hbhandari | Type IV & VI | EMKAY GLOBAL FINANCIAL SERVICES LIMITED | Capital Market | - | Opted for Arbitration | 23-Aug-2011 | 22-Aug-2011 | Ms. P S Prema | 19-Dec-2011 |
| 28 | 19-Oct-2011 | Deepa Gandhi Tn | Type IV & VI | ANGEL BROKING LIMITED | Capital Market | - | Opted for Arbitration | 20-Feb-2012 | 03-May-2012 | Ms. P S Prema | 05-Oct-2012 |
| 29 | 03-Feb-2012 | D Srinivasan | Type IV & VI | MOTILAL OSWAL SECURITIES LTD. | Capital Market | - | Resolved | 25-Apr-2012 | 14-Jun-2012 | Ms. P S Prema | 30-Aug-2012 |
| 30 | 17-Oct-2011 | Bharti Ranjan Agrawal | Type IV & VI | TECHNO SHARES & STOCKS LIMITED | Capital Market | - | Opted for Arbitration | 18-Nov-2011 | 30-Nov-2011 | Mrs. Padma Rajendran | 02-May-2012 |
| 31 | 08-Apr-2011 | Madhumita Srivastava | Type IV & VI | INDIA ADVANTAGE SECURITIES LTD. | Capital Market | - | Opted for Arbitration | 28-Apr-2011 | 21-Feb-2012 | Mrs. Lakshmi Swaminathan | 25-May-2012 |
| 32 | 18-Apr-2011 | Ganesh Prasad Srivastava | Type IV & VI | INDIA ADVANTAGE SECURITIES LTD. | Capital Market | - | Opted for Arbitration | 06-May-2011 | 21-Feb-2012 | Mrs. Lakshmi Swaminathan | 25-May-2012 |
| 33 | 24-May-2011 | Anupama Saxena | Type IV & VI | INDIA ADVANTAGE SECURITIES LTD. | Capital Market | - | Opted for Arbitration | 28-Sep-2011 | 15-Feb-2012 | Mrs. Lakshmi Swaminathan | 25-May-2012 |
| 34 | 27-May-2011 | Vijayender Singh | Type IX | TRUSTLINE SECURITIES LIMITED | Capital Market | - | Opted for Arbitration | 09-Nov-2011 | 29-Dec-2011 | Mrs. Lakshmi Swaminathan | 23-Feb-2012 |
| 35 | 09-Jun-2011 | Rakesh Kumar Sharma | Type IV & VI | INDIA INFOLINE LTD. | Capital Market | - | Opted for Arbitration | 26-Aug-2011 | 14-Dec-2011 | Mrs. Lakshmi Swaminathan | 20-Jun-2012 |
| 36 | 08-Jul-2011 | Gurpreet Kaur Sawahney | Type V | D R SHARE & STOCK BROKERS PVT. LTD. | Future & Options | - | Opted for Arbitration | 25-Aug-2011 | 20-Oct-2011 | Mrs. Lakshmi Swaminathan | 30-Dec-2011 |
| 37 | 16-Aug-2011 | Yashdip Vitthalrao Pawar | Type IV & VI | ANGEL BROKING LIMITED | Capital Market | - | Resolved | 05-Dec-2011 | 29-Feb-2012 | Mrs. Lakshmi Swaminathan | 03-May-2012 |
| 38 | 18-Oct-2011 | Geeta Gupta | Type IV & VI | RELIGARE SECURITIES LTD. | Capital Market | - | Opted for Arbitration | 24-Feb-2012 | 19-Apr-2012 | Mrs. Lakshmi Swaminathan | 26-Sep-2012 |
| 39 | 18-Nov-2011 | Amar Bhatia | Type IV & VI | FAIRWEALTH SECURITIES PVT. LTD | Capital Market | - | Opted for Arbitration | 23-Dec-2011 | 17-Feb-2012 | Mrs. Lakshmi Swaminathan | 07-Nov-2012 |
| 40 | 05-Dec-2011 | Shobha Sehgal | Type IV & VI | SBICAP SECURITIES LIMITED | Capital Market | - | Opted for Arbitration | 13-Feb-2012 | 12-Mar-2012 | Mrs. Lakshmi Swaminathan | 24-May-2012 |
| 41 | 21-Dec-2011 | Vinay Kumar Sharma | Type IV & VI | SMC GLOBAL SECURITIES LTD. | Capital Market | - | Opted for Arbitration | 01-Feb-2012 | 23-Mar-2012 | Mrs. Lakshmi Swaminathan | 24-Sep-2012 |
| 42 | 02-Jan-2012 | Arvind Aggarwal | Type IV & VI | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 22-Mar-2012 | 29-Jun-2012 | Mrs. Lakshmi Swaminathan | 12-Sep-2012 |
| 43 | 06-Feb-2012 | Bimla Verma | Type IV & VI | PACE STOCK BROKING SERVICES PRIVATE LIMITED | Capital Market | - | Opted for Arbitration | 03-May-2012 | 18-Jun-2012 | Mrs. Lakshmi Swaminathan | 05-Oct-2012 |
| 44 | 10-Feb-2012 | Indra Damani | Type IX | PACE STOCK BROKING SERVICES PRIVATE LIMITED | Capital Market | - | Resolved | 07-May-2012 | 18-Jun-2012 | Mrs. Lakshmi Swaminathan | 12-Oct-2012 |
| 45 | 22-Feb-2012 | Satya Narayan Gupta | Type IV & VI | PACE STOCK BROKING SERVICES PRIVATE LIMITED | Capital Market | - | Resolved | 08-May-2012 | 16-Jun-2012 | Mrs. Lakshmi Swaminathan | 05-Oct-2012 |
| 46 | 22-Feb-2012 | Amitabh Mathur | Type IV & VI | PACE STOCK BROKING SERVICES PRIVATE LIMITED | Capital Market | - | Resolved | 26-Apr-2012 | 11-Jun-2012 | Mrs. Lakshmi Swaminathan | 05-Oct-2012 |
| 47 | 24-Feb-2012 | Ram Sarup Goenka | Type IX | PACE STOCK BROKING SERVICES PRIVATE LIMITED | Future & Options | - | Opted for Arbitration | 09-May-2012 | 11-Jun-2012 | Mrs. Lakshmi Swaminathan | 05-Oct-2012 |
| 48 | 19-Mar-2012 | Sita Devi | Type IX | PACE STOCK BROKING SERVICES PRIVATE LIMITED | Future & Options | - | Opted for Arbitration | 04-May-2012 | 28-May-2012 | Mrs. Lakshmi Swaminathan | 05-Oct-2012 |
| 49 | 16-May-2011 | Ambalika Singh | Type IV & VI | RELIGARE SECURITIES LTD. | Capital Market | - | Opted for Arbitration | 08-Aug-2011 | 13-Dec-2011 | Mr. VIJAI N MATHUR | 14-Feb-2012 |
| 50 | 14-Jun-2011 | Shobha Singh | Type IV & VI | RELIGARE SECURITIES LTD. | Capital Market | - | Opted for Arbitration | 16-Aug-2011 | 16-Dec-2011 | Mr. VIJAI N MATHUR | 14-Feb-2012 |
| 51 | 14-Jun-2011 | Vijay Kumar Seth | Type IV & VI | RELIGARE SECURITIES LTD. | Capital Market | - | Opted for Arbitration | 12-Sep-2011 | 15-Nov-2011 | Mr. VIJAI N MATHUR | 12-Mar-2012 |
| 52 | 12-Jul-2011 | Mamta Sharma | Type I & II | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 29-Jul-2011 | 04-Sep-2012 | Mr. VIJAI N MATHUR | 30-Nov-2012 |
| 53 | 17-Aug-2011 | Ravinder Kumar Garg | Type IV & VI | KISAN RATILAL CHOKSEY SHARES AND SECURITIES PRIVATE LIMTIED | Capital Market | - | Opted for Arbitration | 01-Feb-2012 | 31-May-2012 | Mr. VIJAI N MATHUR | 29-Aug-2012 |
| 54 | 02-Sep-2011 | Kavita Kumari | Type IV & VI | IFCI FINANCIAL SERVICES LIMITED | Capital Market | - | Opted for Arbitration | 15-Dec-2011 | 12-Jan-2012 | Mr. VIJAI N MATHUR | 12-Mar-2012 |
| 55 | 14-Jun-2011 | Rajasekharan Kr | Type IV & VI | MOTILAL OSWAL SECURITIES LTD. | Future & Options | - | Resolved | 19-Oct-2011 | 02-Dec-2011 | Mr. V Sekar | 20-Apr-2012 |
| 56 | 19-Jan-2012 | G V Pai | Type IV & VI | GLOBE CAPITAL MARKET LIMITED | Capital Market | - | Resolved | 23-Apr-2012 | 07-May-2012 | Mr. V Sekar | 22-Sep-2012 |
| 57 | 12-Apr-2011 | A Ramamurthy | Type IV & VI | EDELWEISS SECURITIES LIMITED | Capital Market | - | Resolved | 14-Sep-2011 | 29-Feb-2012 | Mr. V Paul Das | 18-May-2012 |
| 58 | 15-Nov-2011 | Aarthi Acharya | Type IV & VI | IFCI FINANCIAL SERVICES LIMITED | Capital Market | - | Opted for Arbitration | 13-Jan-2012 | 23-Mar-2012 | Mr. V Paul Das | 31-May-2012 |
| 59 | 08-Jul-2011 | Amrik Singh Bawa | Type I & II | INDIAN FINANCE GUARANTY LTD. | Capital Market | - | Opted for Arbitration | 20-Sep-2011 | 02-Nov-2011 | Mr. Tejinder Singh Laschar | 18-Apr-2012 |
| 60 | 27-Mar-2012 | Pritam Singh Ranawant | Type IV & VI | MOTILAL OSWAL SECURITIES LTD. | Capital Market | - | Opted for Arbitration | 17-May-2012 | 22-Jun-2012 | Mr. Tejinder Singh Laschar | 19-Dec-2012 |
| 61 | 11-May-2011 | D Selvakumar | Type IV & VI | GEOJIT BNP PARIBAS FINANCIAL SERVICES LIMITED | Capital Market | - | Opted for Arbitration | 30-Sep-2011 | 20-Dec-2011 | Mr. Sridharan Krishnamurthy | 12-Jun-2012 |
| 62 | 01-Jul-2011 | Mu Annamalai | Type IV & VI | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 16-Dec-2011 | 15-Jan-2013 | Mr. Sridharan Krishnamurthy | 16-Apr-2013 |
| 63 | 09-Aug-2011 | S.Chandrasekaran | Type IX | ICICI SECURITIES LIMITED | Capital Market | - | Resolved | 25-Aug-2011 | 28-Jun-2012 | Mr. Sridharan Krishnamurthy | 23-Aug-2012 |
| 64 | 07-Sep-2011 | G Murugesan | Type IV & VI | BELAIR CORPORATION PRIVATE LIMITED | Capital Market | - | Opted for Arbitration | 22-May-2012 | 03-Jul-2012 | Mr. Sridharan Krishnamurthy | 25-Oct-2012 |
| 65 | 27-Dec-2011 | Vadlamani Lalitha Kumari | Type V | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 04-Apr-2012 | 14-May-2012 | Mr. Sridharan Krishnamurthy | 18-Jul-2012 |
| 66 | 24-May-2011 | Hanumant Singh | Type IV & VI | NIRMAL BANG SECURITIES PVT. LTD. | Capital Market | - | Resolved | 13-Jun-2011 | 17-Oct-2011 | Mr. Sarweshwar Jha | 19-Mar-2012 |
| 67 | 17-Aug-2011 | Savita Tiwari | Type IV & VI | ANGEL BROKING LIMITED | Capital Market | - | Resolved | 30-Nov-2011 | 01-Mar-2012 | Mr. Sarweshwar Jha | 29-Sep-2012 |
| 68 | 06-Sep-2011 | Varun Sharma | Type IV & VI | HSBC INVESTDIRECT SECURITIES (INDIA) LIMITED | Capital Market | - | Opted for Arbitration | 05-Mar-2012 | 27-Sep-2012 | Mr. Sarweshwar Jha | 20-Dec-2012 |
| 69 | 08-Sep-2011 | Devindra Singh Kochar | Type IV & VI | KARVY STOCK BROKING LTD. | Capital Market | - | Opted for Arbitration | 31-Jan-2012 | 16-Jul-2012 | Mr. Sarweshwar Jha | 20-Dec-2012 |
| 70 | 23-Nov-2011 | Rupesh Mohanty | Type IV & VI | ANGEL BROKING LIMITED | Capital Market | - | Opted for Arbitration | 16-Jan-2012 | 13-Feb-2012 | Mr. Sarweshwar Jha | 31-Jul-2012 |
| 71 | 09-Jan-2012 | Mohit Mittal | Type IV & VI | ANGEL BROKING LIMITED | Capital Market | - | Resolved | 30-May-2012 | 04-Jun-2012 | Mr. Sarweshwar Jha | 21-Jun-2013 |
| 72 | 27-Jun-2011 | Anup Narender Kothari | Type IV & VI | HSBC INVESTDIRECT SECURITIES (INDIA) LIMITED | Capital Market | - | Opted for Arbitration | 26-Sep-2011 | 29-Nov-2011 | Mr. S.P. Marwah,Mr. VIJAI N MATHUR,Mrs. Lakshmi Swaminathan | 01-Mar-2012 |
| 73 | 05-Dec-2011 | Shivam | Type IV & VI | ANGEL BROKING LIMITED | Capital Market | - | Opted for Arbitration | 16-Apr-2012 | 11-Jun-2012 | Mr. S.P. Marwah | 12-Oct-2012 |
| 74 | 27-Apr-2011 | Rahul Khandooja | Type IV & VI | SMC GLOBAL SECURITIES LTD. | Capital Market | - | Opted for Arbitration | 04-Jul-2011 | 19-Jul-2011 | Mr. S. k. Mukhopadhyay | 15-Dec-2011 |
| 75 | 08-Dec-2011 | Ramesh Dass Gupta | Type IV & VI | BONANZA PORTFOLIO LTD. | Capital Market | - | Opted for Arbitration | 28-Mar-2012 | 07-Sep-2012 | Mr. S S Aggarwal | 10-Dec-2012 |
| 76 | 13-Dec-2011 | Ram Kishan Aggarwal | Type IV & VI | DESTIMONEY SECURITIES PRIVATE LIMITED | Capital Market | - | Opted for Arbitration | 22-Mar-2012 | 30-May-2012 | Mr. S S Aggarwal | 20-Nov-2012 |
| 77 | 22-Dec-2011 | Lalit Mittal | Type IV & VI | KASSA FINVEST PRIVATE LIMITED | Capital Market | - | Opted for Arbitration | 29-Feb-2012 | 07-Mar-2012 | Mr. S S Aggarwal | 14-Aug-2012 |
| 78 | 29-Dec-2011 | Indrani Jain | Type IV & VI | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 11-Jan-2012 | 21-Jun-2012 | Mr. S S Aggarwal | 08-Nov-2012 |
| 79 | 29-Dec-2011 | Karunakar Mallik | Type IV & VI | DESTIMONEY SECURITIES PRIVATE LIMITED | Capital Market | - | Opted for Arbitration | 14-Mar-2012 | 17-Apr-2012 | Mr. S S Aggarwal | 20-Oct-2012 |
| 80 | 22-Feb-2012 | Mustafa Khan | Type IV & VI | RELIGARE SECURITIES LTD. | Capital Market | - | Opted for Arbitration | 14-May-2012 | 05-Jun-2012 | Mr. S S Aggarwal | 11-Sep-2012 |
| 81 | 28-Mar-2012 | Rabinder Prasad Singh | Type IV & VI | MOTILAL OSWAL SECURITIES LTD. | Capital Market | - | Resolved | 28-Aug-2012 | 06-Feb-2013 | Mr. S S Aggarwal | 23-Apr-2013 |
| 82 | 06-Jun-2011 | Jai Kishan Rohilla | Type IV & VI | SMC GLOBAL SECURITIES LTD. | Capital Market | - | Opted for Arbitration | 18-Aug-2011 | 20-Jul-2012 | Mr. RAVI KANT,Justice M A Khan,Mr. Dipankar Basu,Mr. VIJAI N MATHUR | 08-Jun-2012 |
| 83 | 04-Apr-2011 | Satyapal Sharma | Type IV & VI | SBICAP SECURITIES LIMITED | Capital Market | - | Resolved | 24-Oct-2011 | 04-Jul-2012 | Mr. RAVI KANT | 21-Nov-2012 |
| 84 | 08-Jun-2011 | Bobby Verma | Type IV & VI | INDIAN FINANCE GUARANTY LTD. | Capital Market | - | Resolved | 25-Oct-2011 | 08-Feb-2012 | Mr. RAVI KANT | 14-May-2012 |
| 85 | 08-Sep-2011 | Romesh Chander Kaur | Type IV & VI | NIRMAL BANG SECURITIES PVT. LTD. | Capital Market | - | Resolved | 16-Apr-2012 | 27-Aug-2012 | Mr. RAVI KANT | 30-Nov-2012 |
| 86 | 11-Oct-2011 | Mohammad Waheed | Type IV & VI | ICICI SECURITIES LIMITED | Capital Market | - | Opted for Arbitration | 17-Apr-2012 | 21-Dec-2011 | Mr. RAVI KANT | 18-Apr-2012 |
| 87 | 19-Dec-2011 | Radheshyam Biyani | Type IV & VI | KARVY STOCK BROKING LTD. | Capital Market | - | Opted for Arbitration | 07-Mar-2012 | 03-Apr-2012 | Mr. RAVI KANT | 01-Aug-2012 |
| 88 | 29-Dec-2011 | Ravi Shankar | Type IV & VI | TRUSTLINE SECURITIES LIMITED | Capital Market | - | Opted for Arbitration | 21-Mar-2012 | 26-Apr-2012 | Mr. RAVI KANT | 31-Jul-2012 |
| 89 | 10-Jan-2012 | Harbans Kaur Khalsa | Type IV & VI | KARVY STOCK BROKING LTD. | Capital Market | - | Opted for Arbitration | 13-Mar-2012 | 03-Apr-2012 | Mr. RAVI KANT | 31-Jul-2012 |
| 90 | 17-Jan-2012 | Poonam Sharma | Type IV & VI | KARVY STOCK BROKING LTD. | Capital Market | - | Opted for Arbitration | 07-Mar-2012 | 03-Apr-2012 | Mr. RAVI KANT | 31-Jul-2012 |
| 91 | 01-Feb-2012 | Vaneeta Sharma | Type IV & VI | BONANZA PORTFOLIO LTD. | Capital Market | - | Resolved | 29-May-2012 | 11-Feb-2013 | Mr. RAVI KANT | 11-Jun-2013 |
| 92 | 01-Feb-2012 | Rajender Kumar Khanna | Type IV & VI | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 02-May-2012 | 29-Jun-2012 | Mr. RAVI KANT | 30-Nov-2012 |
| 93 | 09-Feb-2012 | Ranbir Singh Nandal | Type IV & VI | PACE STOCK BROKING SERVICES PRIVATE LIMITED | Capital Market | - | Opted for Arbitration | 09-May-2012 | 09-Jul-2012 | Mr. RAVI KANT | 30-Nov-2012 |
| 94 | 14-Feb-2012 | Anupama Malhotra | Type IV & VI | UNICON SECURITIES PVT. LTD. | Capital Market | - | Opted for Arbitration | 24-Apr-2012 | 03-Aug-2012 | Mr. RAVI KANT | 30-Nov-2012 |
| 95 | 02-Mar-2012 | Akhil K Sangal | Type IV & VI | NIRMAL BANG SECURITIES PVT. LTD. | Capital Market | - | Opted for Arbitration | 15-May-2012 | 11-Jul-2012 | Mr. RAVI KANT | 08-Oct-2012 |
| 96 | 19-Mar-2012 | Satyapal Sharma | Type IV & VI | SBICAP SECURITIES LIMITED | Capital Market | - | Resolved | 19-Jun-2012 | 04-Jul-2012 | Mr. RAVI KANT | 21-Nov-2012 |
| 97 | 29-Mar-2012 | Brij Mohan Mourya | Type IV & VI | KARVY STOCK BROKING LTD. | Capital Market | - | Opted for Arbitration | 26-Jun-2012 | 16-Jul-2012 | Mr. RAVI KANT | 30-Nov-2012 |
| 98 | 15-Apr-2011 | N P Ragunathan | Type IV & VI | RELIGARE SECURITIES LTD. | Capital Market | - | Resolved | 03-Jun-2011 | 30-Jan-2014 | Mr. Ramesh M Joshi,T R BHOWMIK,UTTAM GRAMOPADHYE | 04-Aug-2014 |
| 99 | 07-Apr-2011 | Sahdev R Tawade | Type IV & VI | ANGEL BROKING LIMITED | Capital Market | - | Opted for Arbitration | 13-Oct-2011 | 15-Apr-2014 | Mr. Ramesh M Joshi | 10-Sep-2014 |
| 100 | 28-Jul-2011 | Priti Ashish Pol | Type IV & VI | BONANZA PORTFOLIO LTD. | Capital Market | - | Opted for Arbitration | 22-Nov-2011 | 07-Feb-2013 | Mr. Ramesh M Joshi | 10-Sep-2013 |
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