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Complaints received from clients against Trading Members (TMs) during 2013-14
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-2013 | Aseem Prabhu | Type IV & VI | BONANZA PORTFOLIO LTD. | Capital Market | - | Resolved | 05-Apr-2013 | - | - | - |
| 2 | 01-Apr-2013 | Ali Arshad Minhaj Shaikh | Type I & II | IDBI CAPITAL MARKET SERVICES LTD. | Capital Market | - | Resolved | 24-May-2013 | - | - | - |
| 3 | 01-Apr-2013 | Preeti Narendra Chavan | Type IV & VI | KARVY STOCK BROKING LTD. | Capital Market | - | Resolved | 11-Jun-2013 | 20-Jun-2013 | NARENDRA J MEHTA | 03-Sep-2013 |
| 4 | 01-Apr-2013 | Kunal Shelar | Type V | KOTAK SECURITIES LTD. | Capital Market | - | Resolved | 08-May-2013 | - | - | - |
| 5 | 01-Apr-2013 | Subhash Phootarmal Rathod | Type I & II | ARTISTIC FINANCE PRIVATE LIMITED | Capital Market | - | Resolved | 16-Apr-2013 | - | - | - |
| 6 | 01-Apr-2013 | Archana Singh | Type IV & VI | ROYAL INTERNATIONAL SHARES PRIVATE LIMITED | Capital Market | - | Resolved | 10-Jun-2013 | - | - | - |
| 7 | 01-Apr-2013 | Shikha Rawat | Type IV & VI | SHRIRAM INSIGHT SHARE BROKERS LIMITED | Capital Market | - | Resolved | 11-Jun-2013 | 10-Apr-2014 | Justice I S Shrivastava | 30-Sep-2014 |
| 8 | 01-Apr-2013 | Prema Devi Agarwal | Type IV & VI | KARVY STOCK BROKING LTD. | Capital Market | - | Resolved | 21-Jun-2013 | - | - | - |
| 9 | 01-Apr-2013 | Anuradha Vemuri | Type V | KOTAK SECURITIES LTD. | Capital Market | - | Resolved | 30-May-2013 | 16-Sep-2013 | N P SENGUPTA | 12-Dec-2013 |
| 10 | 01-Apr-2013 | Kalyani Kundu | Type V | IL&FS SECURITIES SERVICES LIMITED | Capital Market | - | Resolved | 09-Apr-2013 | - | - | - |
| 11 | 01-Apr-2013 | Harsh Vardhan Jhunjhunwala | Type I & II | FAIRWEALTH SECURITIES LIMITED | Capital Market | - | Resolved | 04-Apr-2013 | - | - | - |
| 12 | 01-Apr-2013 | Ashok Kumar Yadav | Type IV & VI | RELIGARE SECURITIES LTD. | Capital Market | - | Resolved | 20-May-2013 | 17-Jun-2013 | MR ASHWIN AMRUTLAL SHAH | 24-Aug-2013 |
| 13 | 01-Apr-2013 | Indrajit Bhatia | Type IV & VI | RELIGARE SECURITIES LTD. | Capital Market | - | Resolved | 20-May-2013 | 11-Sep-2013 | DR KAUSHIKKUMAR CHIMANLAL RAVAL | 09-Jan-2014 |
| 14 | 01-Apr-2013 | Rajnikant Dave | Type V | KOTAK SECURITIES LTD. | Capital Market | - | Resolved | 15-Apr-2013 | - | - | - |
| 15 | 01-Apr-2013 | Mukesh Shantilal Shah | Type IV & VI | NIRMAL BANG SECURITIES PVT. LTD. | Capital Market | - | Resolved | 13-Jun-2013 | - | - | - |
| 16 | 01-Apr-2013 | Vinod Oswal | Type V | MOTILAL OSWAL SECURITIES LTD. | Capital Market | - | Resolved | 16-May-2013 | - | - | - |
| 17 | 01-Apr-2013 | Rita Kotwani | Type I & II | SHAREKHAN LTD. | Capital Market | - | Resolved | 30-Apr-2013 | - | - | - |
| 18 | 01-Apr-2013 | Paresh Maiyani | Type I & II | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 20-May-2013 | - | - | - |
| 19 | 01-Apr-2013 | Apurva Investments | Type I & II | RELIANCE SECURITIES LIMITED | Capital Market | - | Resolved | 09-Apr-2013 | - | - | - |
| 20 | 01-Apr-2013 | Arun Shah | Type IV & VI | UNICON SECURITIES PVT. LTD. | Capital Market | - | Resolved | 20-May-2013 | - | - | - |
| 21 | 01-Apr-2013 | Piyush S Panwala | Type IV & VI | EDELWEISS BROKING LIMITED | Capital Market | - | Resolved | 20-May-2013 | - | - | - |
| 22 | 01-Apr-2013 | Vinod Ramsaran Bindal | Type IV & VI | ASHIKA STOCK BROKING LTD. | Capital Market | - | Opted for Arbitration | 27-Jun-2013 | - | - | - |
| 23 | 02-Apr-2013 | Harshad Deshpande | Type I & II | MOTILAL OSWAL SECURITIES LTD. | Capital Market | - | Resolved | 16-Apr-2013 | - | - | - |
| 24 | 02-Apr-2013 | Shashikant S Khade | Type IV & VI | BMA WEALTH CREATORS LIMITED | Capital Market | - | Opted for Arbitration | 01-Aug-2013 | - | - | - |
| 25 | 02-Apr-2013 | Hemant Manohar Satam | Type V | ANGEL BROKING LIMITED | Capital Market | - | Resolved | 10-May-2013 | - | - | - |
| 26 | 02-Apr-2013 | L N R Janardhanan | Type IX | IDBI CAPITAL MARKET SERVICES LTD. | Capital Market | - | Resolved | 10-Apr-2013 | - | - | - |
| 27 | 02-Apr-2013 | V Sankar | Type I & II | RELIANCE SECURITIES LIMITED | Capital Market | - | Resolved | 29-Apr-2013 | - | - | - |
| 28 | 02-Apr-2013 | Abdul Majeed T M | Type IV & VI | RBG FINANCIAL SERVICES PRIVATE LIMITED | Capital Market | - | Resolved | 18-Jun-2013 | - | - | - |
| 29 | 02-Apr-2013 | Naiyar Shafique | Type IV & VI | BONANZA PORTFOLIO LTD. | Capital Market | - | Resolved | 02-Jul-2013 | - | - | - |
| 30 | 02-Apr-2013 | Suresh Kumar Agrawal | Type IX | KARVY STOCK BROKING LTD. | Capital Market | - | Resolved | 12-Jul-2013 | - | - | - |
| 31 | 02-Apr-2013 | Prem Lata Khemani | Type III | SMC GLOBAL SECURITIES LTD. | Currency Derivatives | - | Resolved | 10-May-2013 | - | - | - |
| 32 | 02-Apr-2013 | Piush Khemani | Type III | SMC GLOBAL SECURITIES LTD. | Currency Derivatives | - | Resolved | 13-May-2013 | - | - | - |
| 33 | 02-Apr-2013 | Purushottam Kumar Khemani | Type III | SMC GLOBAL SECURITIES LTD. | Currency Derivatives | - | Resolved | 10-May-2013 | - | - | - |
| 34 | 02-Apr-2013 | Ambika Prasad Baral | Type IV & VI | ICICI SECURITIES LIMITED | Future & Options | - | Resolved | 27-May-2013 | - | - | - |
| 35 | 02-Apr-2013 | Dilip Kumar Laha | Type IV & VI | BMA WEALTH CREATORS LIMITED | Capital Market | - | Resolved | 30-Jul-2013 | 08-Dec-2015 | RAJESH KUMAR KANKARIA | 24-Feb-2016 |
| 36 | 02-Apr-2013 | Deepanjana Nandi | Type IX | DESTIMONEY SECURITIES PRIVATE LIMITED | Capital Market | - | Resolved | 02-Jul-2013 | - | - | - |
| 37 | 02-Apr-2013 | Ashish Bansal | Type III | TRUSTLINE SECURITIES LIMITED | Capital Market | - | Resolved | 05-Jul-2013 | - | - | - |
| 38 | 02-Apr-2013 | Murli Dhar Agarwal | Type V | SMC GLOBAL SECURITIES LTD. | Capital Market | - | Resolved | 02-May-2013 | - | - | - |
| 39 | 02-Apr-2013 | Viral Sheth | Type V | ICICI SECURITIES LIMITED | Capital Market | - | Resolved | 22-Apr-2013 | - | - | - |
| 40 | 02-Apr-2013 | Dhaval Shah | Type IX | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 13-May-2013 | - | - | - |
| 41 | 02-Apr-2013 | Poonam Sharma | Type I & II | HSBC INVESTDIRECT SECURITIES (INDIA) LIMITED | Capital Market | - | Resolved | 24-May-2013 | - | - | - |
| 42 | 02-Apr-2013 | Vishwas Nyaik | Type IV & VI | SKI CAPITAL SERVICES LTD. | Future & Options | - | Resolved | 16-May-2013 | - | - | - |
| 43 | 03-Apr-2013 | Ram Singh | Type IV & VI | HDFC SECURITIES LTD. | Capital Market | - | Resolved | 27-May-2013 | - | - | - |
| 44 | 03-Apr-2013 | Akshat Gupta | Type IV & VI | D R SHARE & STOCK BROKERS PVT. LTD. | Capital Market | - | Resolved | 10-Apr-2013 | - | - | - |
| 45 | 03-Apr-2013 | Parul Bharat Shah | Type IV & VI | ANGEL BROKING LIMITED | Capital Market | - | Resolved | 05-Jun-2013 | - | - | - |
| 46 | 03-Apr-2013 | Ashok Mohta | Type V | ADITYA BIRLA MONEY LIMITED | Capital Market | - | Resolved | 02-May-2013 | - | - | - |
| 47 | 03-Apr-2013 | R Manoharan | Type I & II | DANI SHARES & STOCKS PRIVATE LIMITED | Capital Market | - | Resolved | 24-Apr-2013 | - | - | - |
| 48 | 03-Apr-2013 | M Sailaja | Type IV & VI | ANGEL BROKING LIMITED | Future & Options | - | Resolved | 11-Sep-2013 | - | - | - |
| 49 | 03-Apr-2013 | G Venkatesan | Type V | CANARA BANK SECURITIES LIMITED | Capital Market | - | Resolved | 28-Jun-2013 | - | - | - |
| 50 | 03-Apr-2013 | Dharmalingam | Type IV & VI | JRG SECURITIES LTD. | Capital Market | - | Resolved | 30-May-2013 | - | - | - |
| 51 | 03-Apr-2013 | Arunachalam Natrajen | Type V | EDELWEISS BROKING LIMITED | Capital Market | - | Resolved | 16-Apr-2013 | - | - | - |
| 52 | 03-Apr-2013 | Chandrasen Bharti | Type IV & VI | ROYAL INTERNATIONAL SHARES PRIVATE LIMITED | Capital Market | - | Resolved | 27-May-2013 | - | - | - |
| 53 | 03-Apr-2013 | Gita Arya | Type IV & VI | KARVY STOCK BROKING LTD. | Capital Market | - | Resolved | 24-May-2013 | - | - | - |
| 54 | 03-Apr-2013 | Prateek Chopra | Type V | KARVY STOCK BROKING LTD. | Capital Market | - | Resolved | 26-Apr-2013 | - | - | - |
| 55 | 03-Apr-2013 | Tejinder Singh | Type IV & VI | SMC GLOBAL SECURITIES LTD. | Capital Market | - | Resolved | 05-Jun-2013 | 14-Mar-2014 | Mr. Tejinder Singh Laschar | 29-Sep-2014 |
| 56 | 03-Apr-2013 | Jasdeep Singh | Type V | SMC GLOBAL SECURITIES LTD. | Capital Market | - | Resolved | 23-May-2013 | - | - | - |
| 57 | 03-Apr-2013 | Joginder Pal Pabbi | Type I & II | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 17-Apr-2013 | - | - | - |
| 58 | 03-Apr-2013 | Rohit Baijal | Type IV & VI | ASHLAR SECURITIES PRIVATE LIMITED | Capital Market | - | Resolved | 10-May-2013 | 12-Nov-2013 | DEEPAK JUNEJA | 14-Feb-2014 |
| 59 | 03-Apr-2013 | Hiten Shah | Type IX | SPAN CAPLEASE PVT. LTD. | Capital Market | - | Resolved | 20-May-2013 | - | - | - |
| 60 | 03-Apr-2013 | Darshan Sheth | Type IX | SPAN CAPLEASE PVT. LTD. | Capital Market | - | Resolved | 20-May-2013 | - | - | - |
| 61 | 03-Apr-2013 | Mahendra Bhansali | Type IX | SPAN CAPLEASE PVT. LTD. | Capital Market | - | Resolved | 20-May-2013 | - | - | - |
| 62 | 03-Apr-2013 | Kunal Kumar | Type IV & VI | SHAREKHAN LTD. | Capital Market | - | Resolved | 15-Apr-2013 | - | - | - |
| 63 | 03-Apr-2013 | Niruben Gupta | Type IV & VI | ANGEL BROKING LIMITED | Capital Market | - | Resolved | 13-Jun-2013 | 19-Aug-2013 | Justice D K Trivedi | 04-Oct-2013 |
| 64 | 04-Apr-2013 | Farya | Type I & II | B D SHAH SECURITIES LIMITED | Capital Market | - | Resolved | 05-Apr-2013 | - | - | - |
| 65 | 04-Apr-2013 | Ashish Agrawal | Type I & II | MOTILAL OSWAL SECURITIES LTD. | Capital Market | - | Resolved | 17-Apr-2013 | - | - | - |
| 66 | 04-Apr-2013 | Dipesh Shah | Type V | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 19-Apr-2013 | - | - | - |
| 67 | 04-Apr-2013 | Kamal Sohanlal Jain | Type IV & VI | BMA WEALTH CREATORS LIMITED | Future & Options | - | Resolved | 22-May-2013 | - | - | - |
| 68 | 04-Apr-2013 | Yusuf Alihusien Painter | Type I & II | HSBC INVESTDIRECT SECURITIES (INDIA) LIMITED | Capital Market | - | Resolved | 25-Apr-2013 | - | - | - |
| 69 | 04-Apr-2013 | Gopala Krishna K | Type IV & VI | GLOBE CAPITAL MARKET LIMITED | Capital Market | - | Resolved | 17-Jun-2013 | - | - | - |
| 70 | 04-Apr-2013 | Sureshbabu P | Type V | ICICI SECURITIES LIMITED | Capital Market | - | Resolved | 23-May-2013 | - | - | - |
| 71 | 04-Apr-2013 | S Chidambaram | Type V | SHAREKHAN LTD. | Future & Options | - | Resolved | 31-Jul-2013 | - | - | - |
| 72 | 04-Apr-2013 | Anirban Hrishikes Biswas | Type I & II | MICROSEC CAPITAL LIMITED | Capital Market | - | Resolved | 03-Jun-2013 | - | - | - |
| 73 | 04-Apr-2013 | Krishna Ballabh Sahay | Type IV & VI | BMA WEALTH CREATORS LIMITED | Future & Options | - | Resolved | 29-Apr-2013 | - | - | - |
| 74 | 04-Apr-2013 | Santanu Bhattacharyya | Type IV & VI | AXIS SHARES & SECURITIES PRIVATE LIMITED | Capital Market | - | Resolved | 23-Apr-2013 | - | - | - |
| 75 | 04-Apr-2013 | Sarita Murarka | Type I & II | RELIGARE SECURITIES LTD. | Capital Market | - | Resolved | 20-May-2013 | - | - | - |
| 76 | 04-Apr-2013 | Gbstockssecurities | Type I & II | ARIHANT CAPITAL MARKETS LIMITED | Capital Market | - | Resolved | 30-Apr-2013 | - | - | - |
| 77 | 04-Apr-2013 | Vikram | Type V | CONSORTIUM SECURITIES PRIVATE LTD. | Capital Market | - | Resolved | 01-May-2013 | - | - | - |
| 78 | 04-Apr-2013 | Dharamvir Basantilal Prajapati | Type I & II | BEST BULL STOCK TRADING | Capital Market | - | Resolved | 28-May-2013 | - | - | - |
| 79 | 04-Apr-2013 | Altaf Husain Saiyed | Type V | DANI SHARES & STOCKS PRIVATE LIMITED | Capital Market | - | Resolved | 09-Apr-2013 | - | - | - |
| 80 | 04-Apr-2013 | Amit Shah | Type IX | JAINAM SHARE CONSULTANTS PRIVATE LIMITED | Future & Options | - | Resolved | 14-Jun-2013 | - | - | - |
| 81 | 04-Apr-2013 | Kacha Dhaval | Type V | BMA WEALTH CREATORS LIMITED | Capital Market | - | Resolved | 15-Apr-2013 | - | - | - |
| 82 | 04-Apr-2013 | Nitin Kumar Rathore | Type IV & VI | SBICAP SECURITIES LIMITED | Capital Market | - | Resolved | 20-May-2013 | - | - | - |
| 83 | 05-Apr-2013 | Rupa Shailesh Kanani | Type V | RELIGARE SECURITIES LTD. | Capital Market | - | Resolved | 13-May-2013 | - | - | - |
| 84 | 05-Apr-2013 | Naveed Motlekar | Type IV & VI | KOTAK SECURITIES LTD. | Capital Market | - | Resolved | 10-Apr-2013 | - | - | - |
| 85 | 05-Apr-2013 | Mobin Razzaq Sayyed | Type IV & VI | MOTILAL OSWAL SECURITIES LTD. | Capital Market | - | Resolved | 20-May-2013 | - | - | - |
| 86 | 05-Apr-2013 | L Gunasekaran | Type V | C.D. EQUISEARCH PVT. LTD | Capital Market | - | Resolved | 15-Jul-2013 | - | - | - |
| 87 | 05-Apr-2013 | Sivasubramanian S N | Type V | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 29-May-2013 | - | - | - |
| 88 | 05-Apr-2013 | Sambhunath Rudra Pal | Type IV & VI | NIRMAL BANG SECURITIES PVT. LTD. | Future & Options | - | Resolved | 10-Jun-2013 | 20-Aug-2013 | PAWAN KUMAR SARAWAGI | 20-Mar-2014 |
| 89 | 05-Apr-2013 | Sneha Vyas | Type IV & VI | NIRMAL BANG SECURITIES PVT. LTD. | Capital Market | - | Resolved | 21-Jun-2013 | - | - | - |
| 90 | 05-Apr-2013 | Arup Bera | Type IV & VI | DESTIMONEY SECURITIES PRIVATE LIMITED | Capital Market | - | Resolved | 05-Jun-2013 | - | - | - |
| 91 | 05-Apr-2013 | Raghava Raju | Type IV & VI | STEEL CITY SECURITIES LTD. | Capital Market | - | Resolved | 12-Jul-2013 | - | - | - |
| 92 | 05-Apr-2013 | Ritaben C Tanna | Type IV & VI | KOTAK SECURITIES LTD. | Capital Market | - | Resolved | 30-May-2013 | - | - | - |
| 93 | 05-Apr-2013 | Manmohan Modi | Type V | INDIABULLS SECURITIES LTD. | Capital Market | - | Resolved | 12-Apr-2013 | - | - | - |
| 94 | 05-Apr-2013 | Sunil Bhatia | Type III | BONANZA PORTFOLIO LTD. | Future & Options | - | Resolved | 19-Jun-2013 | - | - | - |
| 95 | 08-Apr-2013 | Vachan Maniklal Shah | Type IV & VI | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 07-May-2013 | - | - | - |
| 96 | 08-Apr-2013 | Suresh Bhat | Type IV & VI | STANDARD CHARTERED SECURITIES (INDIA) LIMITED | Capital Market | - | Resolved | 12-Aug-2013 | 30-Aug-2013 | SUBRAMANIAN NARAYANAN ANANTHASUBRAMANIAN | 09-Jan-2014 |
| 97 | 08-Apr-2013 | Mansamata Securities Pvt Ltd | Type IV & VI | STEWART & MACKERTICH WEALTH MANAGEMENT LTD. | Capital Market | - | Resolved | 01-Aug-2013 | - | - | - |
| 98 | 08-Apr-2013 | Amitava Kali | Type V | SBICAP SECURITIES LIMITED | Capital Market | - | Resolved | 13-May-2013 | - | - | - |
| 99 | 08-Apr-2013 | Pawan Kumar Agrawal | Type III | SHILPA STOCK BROKER PRIVATE LIMITED | Capital Market | - | Resolved | 08-May-2013 | - | - | - |
| 100 | 08-Apr-2013 | Suman Kapoor | Type I & II | NIRMAL BANG SECURITIES PVT. LTD. | Capital Market | - | Resolved | 20-May-2013 | - | - | - |
In all there are 4845 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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