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Complaints received from clients against Trading Members (TMs) during 2014-15
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-2014 | Pushpa Khandelwal | Type IV & VI | KARVY STOCK BROKING LTD. | Capital Market | - | Resolved | 01-May-2014 | - | - | - |
| 2 | 01-Apr-2014 | Pushpa Khandelwal | Type I & II | KARVY STOCK BROKING LTD. | Capital Market | - | Resolved | 01-May-2014 | - | - | - |
| 3 | 01-Apr-2014 | Sudarshan Mantri | Type V | KOTAK SECURITIES LTD. | Capital Market | - | Resolved | 05-May-2014 | - | - | - |
| 4 | 01-Apr-2014 | Hasmukhlal Vadilal Shah | Type IV & VI | ANGEL BROKING PRIVATE LIMITED | Capital Market | - | Resolved | 12-May-2014 | - | - | - |
| 5 | 01-Apr-2014 | Sridhar Ragothaman | Type IX | ICICI SECURITIES LIMITED | Capital Market | - | Resolved | 09-Apr-2014 | - | - | - |
| 6 | 01-Apr-2014 | Raj Kumar Chowrasia | Type IV & VI | BONANZA PORTFOLIO LTD. | Capital Market | - | Resolved | 28-Apr-2014 | - | - | - |
| 7 | 01-Apr-2014 | Satish Kumar Jain | Type IV & VI | BALJIT SECURITIES PVT. LTD. | Capital Market | - | Resolved | 28-Apr-2014 | - | - | - |
| 8 | 01-Apr-2014 | Sk.Toumim Hossain | Type IV & VI | ANGEL BROKING PRIVATE LIMITED | Capital Market | - | Resolved | 28-Apr-2014 | - | - | - |
| 9 | 01-Apr-2014 | Arun Khetan | Type I & II | UNICON SECURITIES PVT. LTD. | Capital Market | - | Non - Actionable | 06-Sep-2014 | - | - | - |
| 10 | 01-Apr-2014 | Ashok Sankar Varma Chekuri | Type V | UNICON SECURITIES PVT. LTD. | Capital Market | - | Resolved | 28-Apr-2014 | - | - | - |
| 11 | 01-Apr-2014 | Bhavishaben Alpeshbhai Gangani | Type V | UNICON SECURITIES PVT. LTD. | Capital Market | - | Non - Actionable | 08-Sep-2014 | - | - | - |
| 12 | 01-Apr-2014 | Anil Kumar Pathak | Type V | KARVY STOCK BROKING LTD. | Capital Market | - | Resolved | 29-Apr-2014 | - | - | - |
| 13 | 01-Apr-2014 | Vandana Pathak | Type V | KARVY STOCK BROKING LTD. | Capital Market | - | Resolved | 30-May-2014 | - | - | - |
| 14 | 01-Apr-2014 | Neha Pathak | Type V | KARVY STOCK BROKING LTD. | Capital Market | - | Resolved | 29-Apr-2014 | - | - | - |
| 15 | 01-Apr-2014 | Gunjan Gokhru | Type I & II | UNICON SECURITIES PVT. LTD. | Capital Market | - | Resolved | 06-May-2014 | - | - | - |
| 16 | 01-Apr-2014 | Vivek Kumar Brijwasi | Type IV & VI | ANAND RATHI SHARE AND STOCK BROKERS LIMITED | Capital Market | - | Resolved | 09-Apr-2014 | - | - | - |
| 17 | 01-Apr-2014 | Reena Gupta | Type I & II | UNICON SECURITIES PVT. LTD. | Capital Market | - | Resolved | 28-Apr-2014 | - | - | - |
| 18 | 01-Apr-2014 | Pradeep Chatterjee | Type V | MOTILAL OSWAL SECURITIES LTD. | Capital Market | - | Resolved | 14-May-2014 | - | - | - |
| 19 | 01-Apr-2014 | Manisha Bansal | Type V | UNICON SECURITIES PVT. LTD. | Capital Market | - | Resolved | 04-Jul-2014 | - | - | - |
| 20 | 02-Apr-2014 | Vandana Jain | Type I & II | UNICON SECURITIES PVT. LTD. | Capital Market | - | Resolved | 07-May-2014 | - | - | - |
| 21 | 02-Apr-2014 | Saroj R Jain | Type V | RELIGARE SECURITIES LTD. | Future & Options | - | Resolved | 30-Apr-2014 | - | - | - |
| 22 | 02-Apr-2014 | Premsukh Khandelwal | Type V | RELIGARE SECURITIES LTD. | Future & Options | - | Resolved | 28-Apr-2014 | - | - | - |
| 23 | 02-Apr-2014 | Sumati Ashok Patil | Type IV & VI | KARVY STOCK BROKING LTD. | Capital Market | - | Resolved | 23-Apr-2014 | - | - | - |
| 24 | 02-Apr-2014 | Hema | Type I & II | KARVY STOCK BROKING LTD. | Capital Market | - | Resolved | 09-Jun-2014 | - | - | - |
| 25 | 02-Apr-2014 | Surendra Babu | Type IV & VI | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 09-Jun-2014 | 08-Jul-2014 | A V MURALIDHARAN,Mr. AMIT MADGI,Mr. V SREEDHARAN | 17-Nov-2014 |
| 26 | 02-Apr-2014 | Sharada | Type I & II | UNICON SECURITIES PVT. LTD. | Capital Market | - | Resolved | 09-Jun-2014 | - | - | - |
| 27 | 02-Apr-2014 | Vijaykumar Mehta | Type I & II | UNICON SECURITIES PVT. LTD. | Capital Market | - | Resolved | 09-Jun-2014 | - | - | - |
| 28 | 02-Apr-2014 | Ninganagouda H G | Type IV & VI | DESTIMONEY SECURITIES PRIVATE LIMITED | Future & Options | - | Resolved | 06-Aug-2014 | 18-Feb-2015 | Mr. MICHAEL BASTIAN | 22-Jul-2015 |
| 29 | 02-Apr-2014 | Sunita G Dave | Type I & II | VASANTI SHARE BROKERS LIMITED | Capital Market | - | Resolved | 23-Jun-2014 | - | - | - |
| 30 | 02-Apr-2014 | Girish Manoharlal Dave | Type I & II | VASANTI SHARE BROKERS LIMITED | Capital Market | - | Resolved | 23-Jun-2014 | - | - | - |
| 31 | 02-Apr-2014 | Parasmal Chandnmal Jain | Type IV & VI | SMC GLOBAL SECURITIES LTD. | Capital Market | - | Resolved | 06-May-2014 | - | - | - |
| 32 | 02-Apr-2014 | Ayan Kumar Bhattacharyya | Type IV & VI | BMA WEALTH CREATORS LIMITED | Capital Market | - | Resolved | 06-May-2014 | - | - | - |
| 33 | 02-Apr-2014 | Banibrata Chakraborty | Type IV & VI | BMA WEALTH CREATORS LIMITED | Capital Market | - | Resolved | 06-May-2014 | - | - | - |
| 34 | 02-Apr-2014 | Amal Kumar Maity | Type I & II | UNICON SECURITIES PVT. LTD. | Capital Market | - | Non - Actionable | 06-Sep-2014 | - | - | - |
| 35 | 02-Apr-2014 | Nitai Routh | Type I & II | UNICON SECURITIES PVT. LTD. | Capital Market | - | Non - Actionable | 06-Sep-2014 | - | - | - |
| 36 | 02-Apr-2014 | Ansh | Type V | INTIME EQUITIES LIMITED | Capital Market | - | Resolved | 01-May-2014 | - | - | - |
| 37 | 02-Apr-2014 | Lovelash Kukreja Kukreja | Type IX | ICICI SECURITIES LIMITED | Future & Options | - | Resolved | 25-Apr-2014 | - | - | - |
| 38 | 02-Apr-2014 | Hemant Pandey | Type IV & VI | ANGEL BROKING PRIVATE LIMITED | Capital Market | - | Resolved | 09-May-2014 | - | - | - |
| 39 | 02-Apr-2014 | Nirmala Mishra | Type I & II | UNICON SECURITIES PVT. LTD. | Capital Market | - | Non - Actionable | 08-Sep-2014 | - | - | - |
| 40 | 02-Apr-2014 | Virender Kumar | Type I & II | UNICON SECURITIES PVT. LTD. | Capital Market | - | Non - Actionable | 08-Sep-2014 | - | - | - |
| 41 | 02-Apr-2014 | Radhey Shyam Jangid | Type I & II | UNICON SECURITIES PVT. LTD. | Capital Market | - | Resolved | 05-May-2014 | - | - | - |
| 42 | 02-Apr-2014 | Puneet Kumar | Type I & II | UNICON SECURITIES PVT. LTD. | Capital Market | - | Resolved | 08-May-2014 | - | - | - |
| 43 | 02-Apr-2014 | Satish Mohan Gupta | Type V | GEOJIT BNP PARIBAS FINANCIAL SERVICES LIMITED | Capital Market | - | Resolved | 25-Apr-2014 | - | - | - |
| 44 | 02-Apr-2014 | Maulik Pujara | Type I & II | UNICON SECURITIES PVT. LTD. | Capital Market | - | Non - Actionable | 08-Sep-2014 | - | - | - |
| 45 | 02-Apr-2014 | Rahul Jayavant Dhavade | Type I & II | UNICON SECURITIES PVT. LTD. | Capital Market | - | Resolved | 08-May-2014 | - | - | - |
| 46 | 03-Apr-2014 | Prakash Chand Gujar | Type IX | BMA WEALTH CREATORS LIMITED | Capital Market | - | Resolved | 24-Apr-2014 | - | - | - |
| 47 | 03-Apr-2014 | Mahavir Prasad Jain | Type I & II | UNICON SECURITIES PVT. LTD. | Capital Market | - | Resolved | 24-Apr-2014 | - | - | - |
| 48 | 03-Apr-2014 | Abhijeet Khaparde | Type I & II | VNS FINANCE & CAPITAL SERVICES LTD. | Capital Market | - | Resolved | 05-May-2014 | - | - | - |
| 49 | 03-Apr-2014 | Prasad | Type IV & VI | ANAND RATHI SHARE AND STOCK BROKERS LIMITED | Capital Market | - | Resolved | 09-Jun-2014 | - | - | - |
| 50 | 03-Apr-2014 | V S Chandramouli | Type IV & VI | JHP SECURITIES PRIVATE LIMITED | Capital Market | - | Resolved | 15-May-2014 | - | - | - |
| 51 | 03-Apr-2014 | Vijay Kusalavan | Type V | SBICAP SECURITIES LIMITED | Capital Market | - | Resolved | 09-May-2014 | - | - | - |
| 52 | 03-Apr-2014 | S Praveen | Type IV & VI | ANGEL BROKING PRIVATE LIMITED | Capital Market | - | Resolved | 15-May-2014 | - | - | - |
| 53 | 03-Apr-2014 | Devendra Jain | Type I & II | UNICON SECURITIES PVT. LTD. | Capital Market | - | Resolved | 26-Jun-2014 | - | - | - |
| 54 | 03-Apr-2014 | Miloni Bharat Shah | Type IX | WAY2WEALTH BROKERS PRIVATE LIMITED | Future & Options | - | Resolved | 30-Apr-2014 | - | - | - |
| 55 | 03-Apr-2014 | Chandrika S Shah | Type I & II | VASANTI SHARE BROKERS LIMITED | Capital Market | - | Resolved | 23-Jun-2014 | - | - | - |
| 56 | 03-Apr-2014 | Medha Mohan Kshirsagar | Type V | RELIANCE SECURITIES LIMITED | Capital Market | - | Resolved | 17-Apr-2014 | - | - | - |
| 57 | 03-Apr-2014 | Rupesh Bharat Gangwani | Type I & II | UNICON SECURITIES PVT. LTD. | Future & Options | - | Resolved | 15-May-2014 | - | - | - |
| 58 | 03-Apr-2014 | Hrishikesh Sharma | Type I & II | UNICON SECURITIES PVT. LTD. | Capital Market | - | Resolved | 07-May-2014 | - | - | - |
| 59 | 03-Apr-2014 | Gaurav Gupta | Type V | UNICON SECURITIES PVT. LTD. | Capital Market | - | Resolved | 15-May-2014 | - | - | - |
| 60 | 03-Apr-2014 | Mohammed Irfan | Type IX | VENTURA SECURITIES LTD. | Capital Market | - | Resolved | 08-May-2014 | - | - | - |
| 61 | 03-Apr-2014 | Dasan Vinod Kumar B | Type V | ICICI SECURITIES LIMITED | Capital Market | - | Resolved | 10-Apr-2014 | - | - | - |
| 62 | 03-Apr-2014 | Surendra Roy | Type IV & VI | DB (INTERNATIONAL) STOCK BROKERS LTD. | Future & Options | - | Resolved | 11-Apr-2014 | - | - | - |
| 63 | 03-Apr-2014 | Sanjeet Kumar Chourasia | Type IV & VI | GLOBE CAPITAL MARKET LIMITED | Capital Market | - | Resolved | 19-May-2014 | - | - | - |
| 64 | 03-Apr-2014 | Baldeep Singh Bhatia | Type I & II | UNICON SECURITIES PVT. LTD. | Capital Market | - | Non - Actionable | 06-Sep-2014 | - | - | - |
| 65 | 03-Apr-2014 | Manish Negi | Type I & II | UNICON SECURITIES PVT. LTD. | Capital Market | - | Resolved | 06-May-2014 | - | - | - |
| 66 | 03-Apr-2014 | Manish Yadav | Type I & II | UNICON SECURITIES PVT. LTD. | Capital Market | - | Non - Actionable | 08-Sep-2014 | - | - | - |
| 67 | 03-Apr-2014 | A K Gurnani | Type I & II | UNICON SECURITIES PVT. LTD. | Capital Market | - | Resolved | 30-Apr-2014 | - | - | - |
| 68 | 03-Apr-2014 | Srinivas | Type V | C.D. EQUISEARCH PVT. LTD | Capital Market | - | Resolved | 10-Apr-2014 | - | - | - |
| 69 | 03-Apr-2014 | M Pratap | Type IV & VI | PEERLESS SECURITIES LIMITED | Capital Market | - | Resolved | 29-Apr-2014 | - | - | - |
| 70 | 03-Apr-2014 | Rita V Vora | Type V | RELIGARE SECURITIES LTD. | Capital Market | - | Resolved | 08-Apr-2014 | - | - | - |
| 71 | 03-Apr-2014 | Satyadev Chaturvedi | Type IX | SBICAP SECURITIES LIMITED | Capital Market | - | Resolved | 11-Apr-2014 | - | - | - |
| 72 | 03-Apr-2014 | Padmawati Jain | Type IV & VI | MPSE SECURITIES LIMITED | Capital Market | - | Resolved | 22-May-2014 | - | - | - |
| 73 | 03-Apr-2014 | Nakul Arora | Type I & II | UNICON SECURITIES PVT. LTD. | Capital Market | - | Resolved | 06-May-2014 | - | - | - |
| 74 | 03-Apr-2014 | Arunish Shrivastava | Type I & II | UNICON SECURITIES PVT. LTD. | Capital Market | - | Resolved | 06-May-2014 | - | - | - |
| 75 | 03-Apr-2014 | Sharmila Pandey | Type V | UNICON SECURITIES PVT. LTD. | Capital Market | - | Resolved | 29-Apr-2014 | - | - | - |
| 76 | 03-Apr-2014 | Rajesh Kumar Singh | Type V | UNICON SECURITIES PVT. LTD. | Capital Market | - | Non - Actionable | 05-Sep-2014 | - | - | - |
| 77 | 03-Apr-2014 | Sunil Mittal | Type I & II | UNICON SECURITIES PVT. LTD. | Capital Market | - | Resolved | 13-May-2014 | - | - | - |
| 78 | 03-Apr-2014 | Devendra Sethiya | Type I & II | UNICON SECURITIES PVT. LTD. | Capital Market | - | Resolved | 13-May-2014 | - | - | - |
| 79 | 04-Apr-2014 | Chandrakanta Manoharlal | Type I & II | VASANTI SHARE BROKERS LIMITED | Capital Market | - | Resolved | 22-Apr-2014 | - | - | - |
| 80 | 04-Apr-2014 | Manoharlal Mukundlal | Type I & II | VASANTI SHARE BROKERS LIMITED | Capital Market | - | Resolved | 25-Jun-2014 | - | - | - |
| 81 | 04-Apr-2014 | V Naveen Kumar | Type IV & VI | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 04-Apr-2014 | - | - | - |
| 82 | 04-Apr-2014 | Sivaraman | Type IV & VI | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 21-Apr-2014 | - | - | - |
| 83 | 04-Apr-2014 | P Amithap Khan | Type V | PACE STOCK BROKING SERVICES PRIVATE LIMITED | Capital Market | - | Resolved | 30-Apr-2014 | - | - | - |
| 84 | 04-Apr-2014 | S Hariprakash | Type IX | INTEGRATED ENTERPRISES (INDIA) LIMITED | Capital Market | - | Resolved | 08-May-2014 | - | - | - |
| 85 | 04-Apr-2014 | Reeta Bansal | Type I & II | UNICON SECURITIES PVT. LTD. | Capital Market | - | Non - Actionable | 08-Sep-2014 | - | - | - |
| 86 | 04-Apr-2014 | Shivangi Poddar | Type I & II | UNICON SECURITIES PVT. LTD. | Capital Market | - | Non - Actionable | 08-Sep-2014 | - | - | - |
| 87 | 04-Apr-2014 | Randhir Kumar Singh | Type I & II | SBICAP SECURITIES LIMITED | Capital Market | - | Resolved | 07-May-2014 | - | - | - |
| 88 | 04-Apr-2014 | Lalit Kumar Agarwala | Type IV & VI | GUINESS SECURITIES LIMITED | Capital Market | - | Resolved | 14-May-2014 | 24-Jun-2014 | MR BISWAJIT CHOUDHURI | 20-Nov-2014 |
| 89 | 04-Apr-2014 | Rohita Bhaskaran | Type IV & VI | GUINESS SECURITIES LIMITED | Capital Market | - | Resolved | 14-May-2014 | 24-Jun-2014 | PRAJESH KUMAR CHOUDHURY | 16-Dec-2014 |
| 90 | 04-Apr-2014 | Sheetal Agarwala | Type IV & VI | GUINESS SECURITIES LIMITED | Capital Market | - | Resolved | 14-May-2014 | 24-Jun-2014 | CHANDAN KUMAR BASU | 28-Oct-2014 |
| 91 | 04-Apr-2014 | Dolly Agarwala | Type IV & VI | GUINESS SECURITIES LIMITED | Capital Market | - | Resolved | 14-May-2014 | 24-Jun-2014 | Arup Ratan Chattopadhyay | 13-Oct-2014 |
| 92 | 04-Apr-2014 | Lalit Kumar Agarwala(Huf) | Type IV & VI | GUINESS SECURITIES LIMITED | Capital Market | - | Resolved | 14-May-2014 | 24-Jun-2014 | SAUBIR BHATTACHARYYA | 20-Oct-2014 |
| 93 | 04-Apr-2014 | Lt Biren Borpuzari | Type IV & VI | BMA WEALTH CREATORS LIMITED | Capital Market | - | Resolved | 19-May-2014 | - | - | - |
| 94 | 04-Apr-2014 | Lakhima Das | Type IV & VI | BMA WEALTH CREATORS LIMITED | Capital Market | - | Resolved | 19-May-2014 | - | - | - |
| 95 | 04-Apr-2014 | Lal Bahadur Lama | Type IV & VI | BMA WEALTH CREATORS LIMITED | Capital Market | - | Resolved | 19-May-2014 | - | - | - |
| 96 | 04-Apr-2014 | Dipak Chakrabarty | Type IV & VI | BMA WEALTH CREATORS LIMITED | Capital Market | - | Resolved | 19-May-2014 | - | - | - |
| 97 | 04-Apr-2014 | Biren Gogoi | Type IV & VI | BMA WEALTH CREATORS LIMITED | Capital Market | - | Resolved | 19-May-2014 | - | - | - |
| 98 | 04-Apr-2014 | Subhankar Sinha | Type V | UNICON SECURITIES PVT. LTD. | Capital Market | - | Non - Actionable | 06-Sep-2014 | - | - | - |
| 99 | 04-Apr-2014 | Ram Kishan Gupta | Type I & II | RELIGARE SECURITIES LTD. | Capital Market | - | Resolved | 24-Apr-2014 | - | - | - |
| 100 | 04-Apr-2014 | Sukhbir Singh Bhardwaj | Type IV & VI | MODEX INTERNATIONAL SECURITIES LTD. | Capital Market | - | Resolved | 24-Apr-2014 | - | - | - |
In all there are 7125 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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