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Complaints received from clients against Trading Members (TMs) during 2017-18
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 | 03-Apr-2017 | Nishtha Dewaskar | Type IX | ICICI SECURITIES LIMITED | Future & Options | - | Resolved | 19-Apr-2017 | - | - | - |
| 2 | 03-Apr-2017 | Naveen Bokaria | Type III | MOTILAL OSWAL SECURITIES LTD. | Capital Market | - | Resolved | 07-Apr-2017 | - | - | - |
| 3 | 03-Apr-2017 | Ruchi Agarwal | Type V | EDELWEISS BROKING LIMITED | Capital Market | - | Resolved | 27-Apr-2017 | - | - | - |
| 4 | 03-Apr-2017 | Nandkishore Gangaram Porwal | Type V | ANAND RATHI SHARE AND STOCK BROKERS LIMITED | Capital Market | - | Resolved | 05-Apr-2017 | - | - | - |
| 5 | 03-Apr-2017 | Vijay A Makharia | Type IV & VI | ARCADIA SHARE & STOCK BROKERS PRIVATE LIMITED | Capital Market | - | Resolved | 10-Apr-2017 | - | - | - |
| 6 | 03-Apr-2017 | Priti Narielwala | Type IV & VI | NIRMAL BANG SECURITIES PVT. LTD. | Capital Market | - | Resolved | 25-Apr-2017 | - | - | - |
| 7 | 03-Apr-2017 | Deepak Ashok Jaiswar | Type IV & VI | INDIANIVESH SECURITIES LTD. | Future & Options | - | Resolved | 18-Apr-2017 | - | - | - |
| 8 | 03-Apr-2017 | Swapan Kumar Chattopadhyay | Type IV & VI | SBICAP SECURITIES LIMITED | Capital Market | - | Resolved | 02-May-2017 | - | - | - |
| 9 | 03-Apr-2017 | Asit Baran Patra | Type IV & VI | BMA WEALTH CREATORS LIMITED | Capital Market | - | Resolved | 18-Apr-2017 | 16-May-2017 | Mr. ATANU SEN | 17-Jul-2017 |
| 10 | 03-Apr-2017 | Pardeep Kumar Sood | Type IV & VI | SMC GLOBAL SECURITIES LTD. | Capital Market | - | Resolved | 02-May-2017 | - | - | - |
| 11 | 03-Apr-2017 | Rishi Rana | Type IV & VI | ADITYA BIRLA MONEY LIMITED | Capital Market | - | Resolved | 03-May-2017 | - | - | - |
| 12 | 03-Apr-2017 | Manoj Kumar Singh | Type IV & VI | INDO JATALIA SECURITIES PRIVATE LIMITED | Capital Market | - | Resolved | 03-Apr-2017 | - | - | - |
| 13 | 03-Apr-2017 | Kajal Sandip Joshi | Type IV & VI | ANGEL BROKING PRIVATE LIMITED | Future & Options | - | Resolved | 18-Apr-2017 | - | - | - |
| 14 | 03-Apr-2017 | Navinchandra M Shah | Type IV & VI | TRADEBULLS SECURITIES (P) LTD. | Future & Options | - | Resolved | 19-Apr-2017 | - | - | - |
| 15 | 03-Apr-2017 | Nandlal P Chandak | Type IV & VI | RELIGARE SECURITIES LTD. | Currency Derivatives | - | Resolved | 26-Apr-2017 | - | - | - |
| 16 | 03-Apr-2017 | Rituraj Singh Parihar | Type IX | ANAND RATHI SHARE AND STOCK BROKERS LIMITED | Capital Market | - | Resolved | 05-Apr-2017 | - | - | - |
| 17 | 03-Apr-2017 | Dagadu Baba Hadambar | Type IX | LKP SECURITIES LTD. | Capital Market | - | Resolved | 06-Apr-2017 | - | - | - |
| 18 | 04-Apr-2017 | Mala Mukherjee | Type IV & VI | BMA WEALTH CREATORS LIMITED | Capital Market | - | Resolved | 11-Apr-2017 | - | - | - |
| 19 | 04-Apr-2017 | Rabi Singh | Type IX | ANGEL BROKING PRIVATE LIMITED | Capital Market | - | Resolved | 12-Apr-2017 | - | - | - |
| 20 | 05-Apr-2017 | Apoorv Saxena | Type I & II | VENTURA SECURITIES LTD. | Future & Options | - | Resolved | 20-Apr-2017 | - | - | - |
| 21 | 05-Apr-2017 | Rupinder Sandhu Anand | Type IV & VI | MOTILAL OSWAL SECURITIES LTD. | Future & Options | - | Resolved | 04-May-2017 | 25-Oct-2017 | Justice A S Aguiar,Mr. ASHWIN BAPULAL ANKHAD,S C Gupta | 23-Mar-2018 |
| 22 | 05-Apr-2017 | Giridhar Giridhar | Type IV & VI | MOTILAL OSWAL SECURITIES LTD. | Capital Market | - | Resolved | 05-May-2017 | - | - | - |
| 23 | 05-Apr-2017 | Vishal Bhardwaj | Type V | HDFC SECURITIES LTD. | Capital Market | - | Resolved | 05-May-2017 | - | - | - |
| 24 | 05-Apr-2017 | Dr Anil Ghagare | Type IV & VI | BMA WEALTH CREATORS LIMITED | Capital Market | - | Resolved | 24-Apr-2017 | - | - | - |
| 25 | 05-Apr-2017 | Atul Kishor Gupta | Type IV & VI | NG RATHI INVESTRADES PRIVATED LIMITED | Capital Market | - | Resolved | 18-Apr-2017 | - | - | - |
| 26 | 05-Apr-2017 | Amey Ashok Gawade | Type IV & VI | VRISE SECURITIES PRIVATE LIMITED | Future & Options | - | Resolved | 12-Apr-2017 | - | - | - |
| 27 | 05-Apr-2017 | Ramadoss Vinayagam | Type V | ZERODHA | Capital Market | - | Resolved | 20-Apr-2017 | - | - | - |
| 28 | 05-Apr-2017 | Monotosh Das | Type IV & VI | NIRMAL BANG SECURITIES PVT. LTD. | Capital Market | - | Resolved | 19-Apr-2017 | - | - | - |
| 29 | 05-Apr-2017 | Kanishk Jain | Type V | MOTILAL OSWAL SECURITIES LTD. | Capital Market | - | Resolved | 12-Apr-2017 | - | - | - |
| 30 | 05-Apr-2017 | Tapovan Vasisht | Type V | ZERODHA | Future & Options | - | Resolved | 20-Apr-2017 | - | - | - |
| 31 | 05-Apr-2017 | Manoj Kumar Singh | Type IV & VI | INDO JATALIA SECURITIES PRIVATE LIMITED | Future & Options | - | Resolved | 03-May-2017 | - | - | - |
| 32 | 05-Apr-2017 | Jk Sabherwal | Type IV & VI | VERACITY FINANCIAL SERVICES PVT LTD | Capital Market | - | Resolved | 05-May-2017 | 23-May-2017 | - | - |
| 33 | 06-Apr-2017 | Madhusudan Mundhra | Type V | AXIS CAPITAL MARKET (INDIA) LIMITED | Capital Market | - | Resolved | 10-Apr-2017 | - | - | - |
| 34 | 06-Apr-2017 | Ashok Kumar Mehta | Type V | JOINDRE CAPITAL SERVICES LTD | Capital Market | - | Resolved | 17-Apr-2017 | - | - | - |
| 35 | 06-Apr-2017 | Naresh Pathak | Type I & II | ANAND RATHI SHARE AND STOCK BROKERS LIMITED | Capital Market | - | Resolved | 08-May-2017 | - | - | - |
| 36 | 06-Apr-2017 | Dinesh Kumar | Type I & II | ANAND RATHI SHARE AND STOCK BROKERS LIMITED | Capital Market | - | Resolved | 08-May-2017 | - | - | - |
| 37 | 06-Apr-2017 | Shankarayya Sali | Type I & II | ANAND RATHI SHARE AND STOCK BROKERS LIMITED | Capital Market | - | Resolved | 09-May-2017 | - | - | - |
| 38 | 06-Apr-2017 | Arun Bansal | Type IX | ANGEL BROKING PRIVATE LIMITED | Future & Options | - | Resolved | 17-Apr-2017 | - | - | - |
| 39 | 06-Apr-2017 | Ravikumar S | Type V | SHAREKHAN LTD. | Capital Market | - | Resolved | 21-Apr-2017 | - | - | - |
| 40 | 06-Apr-2017 | Avijit Sarkar | Type IV & VI | MOTILAL OSWAL SECURITIES LTD. | Capital Market | - | Resolved | 21-Apr-2017 | - | - | - |
| 41 | 06-Apr-2017 | Gopal Saxena | Type IV & VI | KANTILAL CHHAGANLAL SECURITIES PRIVATE LIMITED | Capital Market | - | Resolved | 18-Apr-2017 | - | - | - |
| 42 | 06-Apr-2017 | Kartik Metre | Type V | EDELWEISS SECURITIES LIMITED | Capital Market | - | Resolved | 10-May-2017 | - | - | - |
| 43 | 06-Apr-2017 | Govind Singh | Type IV & VI | BMA WEALTH CREATORS LIMITED | Capital Market | - | Resolved | 02-May-2017 | - | - | - |
| 44 | 06-Apr-2017 | Shreelaxmi Associatesprivatelimited | Type V | ADITYA BIRLA MONEY LIMITED | Future & Options | - | Resolved | 06-Apr-2017 | - | - | - |
| 45 | 06-Apr-2017 | Venugopal D | Type IV & VI | MOTILAL OSWAL SECURITIES LTD. | Capital Market | - | Resolved | 05-May-2017 | - | - | - |
| 46 | 06-Apr-2017 | Hari Prasad Reddy Kontham | Type IX | MOTILAL OSWAL SECURITIES LTD. | Capital Market | - | Resolved | 07-Apr-2017 | - | - | - |
| 47 | 06-Apr-2017 | Pavan Kumar B | Type V | SBICAP SECURITIES LIMITED | Capital Market | - | Resolved | 26-Apr-2017 | - | - | - |
| 48 | 06-Apr-2017 | Raja Kumar Chowdary | Type IV & VI | SHAREKHAN LTD. | Capital Market | - | Resolved | 13-Apr-2017 | - | - | - |
| 49 | 06-Apr-2017 | Hari Prasad Reddy Kontham | Type IX | HDFC SECURITIES LTD. | Capital Market | - | Resolved | 07-Apr-2017 | - | - | - |
| 50 | 06-Apr-2017 | Nirav H Mehta | Type IV & VI | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 19-Apr-2017 | - | - | - |
| 51 | 06-Apr-2017 | Dharmavardhan Ramgopal Gupta | Type III | ANGEL BROKING PRIVATE LIMITED | Future & Options | - | Resolved | 25-Apr-2017 | - | - | - |
| 52 | 06-Apr-2017 | Ramavtar Soni | Type IV & VI | ANGEL BROKING PRIVATE LIMITED | Capital Market | - | Resolved | 12-Apr-2017 | - | - | - |
| 53 | 07-Apr-2017 | Satyanarayan Bansal | Type IV & VI | C. M. GOENKA STOCK BROKERS PVT. LTD. | Capital Market | - | Resolved | 11-Apr-2017 | - | - | - |
| 54 | 07-Apr-2017 | Jayshankar Prasad | Type I & II | HDFC SECURITIES LTD. | Capital Market | - | Resolved | 11-Apr-2017 | - | - | - |
| 55 | 07-Apr-2017 | Sadashiv Raghunath Pol | Type IV & VI | VRISE SECURITIES PRIVATE LIMITED | Future & Options | - | Resolved | 21-Apr-2017 | - | - | - |
| 56 | 07-Apr-2017 | Jayshree Shah | Type V | BCB BROKERAGE PRIVATE LIMITED | Capital Market | - | Resolved | 19-Apr-2017 | - | - | - |
| 57 | 07-Apr-2017 | Sanjay Agarwal | Type V | ANGEL BROKING PRIVATE LIMITED | Capital Market | - | Resolved | 02-May-2017 | - | - | - |
| 58 | 07-Apr-2017 | K M Shah | Type IX | LKP SECURITIES LTD. | Capital Market | - | Resolved | 17-Apr-2017 | - | - | - |
| 59 | 10-Apr-2017 | Alok Upadhyaya | Type IV & VI | KAYNET FINANCE LIMITED | Future & Options | - | Resolved | 19-May-2017 | - | - | - |
| 60 | 10-Apr-2017 | Nikunj Bubna | Type IV & VI | SW CAPITAL PRIVATE LIMITED | Capital Market | - | Resolved | 08-May-2017 | - | - | - |
| 61 | 10-Apr-2017 | Pramod C Jain | Type I & II | KOTAK SECURITIES LTD. | Capital Market | - | Resolved | 20-Apr-2017 | - | - | - |
| 62 | 10-Apr-2017 | Ampa Sindhu Sagar | Type IX | SBICAP SECURITIES LIMITED | Capital Market | - | Resolved | 18-Apr-2017 | - | - | - |
| 63 | 10-Apr-2017 | Krishnappa Ramesh | Type IV & VI | BMA WEALTH CREATORS LIMITED | Capital Market | - | Resolved | 05-May-2017 | - | - | - |
| 64 | 10-Apr-2017 | N Karthikeyan | Type V | ANGEL BROKING PRIVATE LIMITED | Capital Market | - | Resolved | 05-May-2017 | - | - | - |
| 65 | 10-Apr-2017 | Jayesh Rangwani | Type IV & VI | ANGEL BROKING PRIVATE LIMITED | Capital Market | - | Resolved | 21-Apr-2017 | - | - | - |
| 66 | 10-Apr-2017 | Niladri Kanti Das | Type I & II | RELIANCE SECURITIES LIMITED | Capital Market | - | Resolved | 18-Apr-2017 | - | - | - |
| 67 | 10-Apr-2017 | Hema Gadodia | Type IX | RELIANCE SECURITIES LIMITED | Capital Market | - | Resolved | 20-Apr-2017 | - | - | - |
| 68 | 10-Apr-2017 | Rahul Beri | Type V | MOTILAL OSWAL SECURITIES LTD. | Capital Market | - | Resolved | 02-May-2017 | - | - | - |
| 69 | 10-Apr-2017 | Anuj Kumar | Type IV & VI | ANGEL BROKING PRIVATE LIMITED | Capital Market | - | Resolved | 05-May-2017 | - | - | - |
| 70 | 10-Apr-2017 | Anjali Negi | Type IV & VI | GEOJIT BNP PARIBAS FINANCIAL SERVICES LIMITED | Future & Options | - | Resolved | 03-May-2017 | - | - | - |
| 71 | 10-Apr-2017 | Rajesh Negi | Type IV & VI | GEOJIT BNP PARIBAS FINANCIAL SERVICES LIMITED | Future & Options | - | Resolved | 03-May-2017 | - | - | - |
| 72 | 10-Apr-2017 | Siva Kumar | Type V | ZERODHA | Future & Options | - | Resolved | 10-Apr-2017 | - | - | - |
| 73 | 10-Apr-2017 | Pawan Singh | Type IV & VI | SHAREKHAN LTD. | Capital Market | - | Resolved | 05-May-2017 | 05-Dec-2018 | Mr. amar sinha | 09-Apr-2019 |
| 74 | 10-Apr-2017 | Sachin Gorakh Kamble | Type IX | HDFC SECURITIES LTD. | Capital Market | - | Resolved | 22-May-2017 | 29-May-2017 | Mr. DEEPAK SHAH | 27-Jul-2017 |
| 75 | 10-Apr-2017 | Siddharth Lakhani | Type IV & VI | J M GLOBAL EQUITIES PRIVATE LIMITED | Future & Options | - | Resolved | 22-May-2017 | 14-Jun-2017 | Mr. Nishikant Deshpande | 11-Sep-2017 |
| 76 | 11-Apr-2017 | Mangi Lal Jain | Type V | ANGEL BROKING PRIVATE LIMITED | Capital Market | - | Resolved | 13-Apr-2017 | - | - | - |
| 77 | 11-Apr-2017 | Sandeep Ailawadi | Type V | ICICI SECURITIES LIMITED | Capital Market | - | Resolved | 27-Apr-2017 | - | - | - |
| 78 | 11-Apr-2017 | Pankaj S Shah | Type IV & VI | ICICI SECURITIES LIMITED | Capital Market | - | Resolved | 08-May-2017 | - | - | - |
| 79 | 11-Apr-2017 | Chidanand K Malawadi | Type IV & VI | KOTAK SECURITIES LTD. | Capital Market | - | Resolved | 20-Apr-2017 | - | - | - |
| 80 | 11-Apr-2017 | Sunil Mahajan | Type IX | VENTURA SECURITIES LTD. | Capital Market | - | Resolved | 27-Apr-2017 | - | - | - |
| 81 | 11-Apr-2017 | Jagdeep Bhargav | Type V | HDFC SECURITIES LTD. | Capital Market | - | Resolved | 27-Apr-2017 | - | - | - |
| 82 | 11-Apr-2017 | John Fernandez | Type IX | WAY2WEALTH BROKERS PRIVATE LIMITED | Capital Market | - | Resolved | 11-Apr-2017 | - | - | - |
| 83 | 11-Apr-2017 | Swapan Sarkar | Type IX | SBICAP SECURITIES LIMITED | Future & Options | - | Resolved | 15-May-2017 | - | - | - |
| 84 | 11-Apr-2017 | Bikash Chandra Mondal | Type V | GLOBE CAPITAL MARKET LIMITED | Capital Market | - | Resolved | 05-May-2017 | - | - | - |
| 85 | 11-Apr-2017 | Sanjay Jhunjhunwala | Type V | EAST INDIA SECURITIES LTD. | Capital Market | - | Resolved | 13-Apr-2017 | - | - | - |
| 86 | 11-Apr-2017 | Anil Kumar Poddar | Type IX | NIRMAL BANG SECURITIES PVT. LTD. | Capital Market | - | Resolved | 16-May-2017 | - | - | - |
| 87 | 11-Apr-2017 | Gita Chowdhury | Type IV & VI | BMA WEALTH CREATORS LIMITED | Capital Market | - | Resolved | 16-Jun-2017 | 05-Sep-2017 | Mr. SHAMIK DASGUPTA | 15-Nov-2017 |
| 88 | 11-Apr-2017 | Sanjay Kumar Sah | Type IV & VI | SKUNG TRADELINK LIMITED | Capital Market | - | Resolved | 05-May-2017 | - | - | - |
| 89 | 11-Apr-2017 | Robin Singh | Type V | SHAREKHAN LTD. | Capital Market | - | Resolved | 13-Apr-2017 | - | - | - |
| 90 | 11-Apr-2017 | Faquir Chand Tanwar | Type IV & VI | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 10-May-2017 | 27-Sep-2017 | Justice V S AGGARWAL | 11-Dec-2017 |
| 91 | 11-Apr-2017 | Harjeet Singh | Type V | INDIA INFOLINE LTD. | Capital Market | - | Resolved | 28-Apr-2017 | - | - | - |
| 92 | 11-Apr-2017 | Gaurav Dhawan | Type V | ANGEL BROKING PRIVATE LIMITED | Capital Market | - | Resolved | 05-May-2017 | - | - | - |
| 93 | 11-Apr-2017 | Faquir Chand Tanwar | Type IV & VI | EDELWEISS BROKING LIMITED | Capital Market | - | Resolved | 10-May-2017 | - | - | - |
| 94 | 11-Apr-2017 | Praveen Prasad Puppala | Type I & II | RELIANCE SECURITIES LIMITED | Capital Market | - | Resolved | 26-Apr-2017 | - | - | - |
| 95 | 11-Apr-2017 | Sakshi Ghiya | Type IV & VI | INDITRADE CAPITAL LIMITED | Future & Options | - | Resolved | 22-May-2017 | - | - | - |
| 96 | 11-Apr-2017 | Sahithya Divakaruni | Type IV & VI | EDELWEISS BROKING LIMITED | Capital Market | - | Resolved | 26-May-2017 | 19-Jun-2017 | DR BRAHMAIAH BEZAWADA | 12-Sep-2017 |
| 97 | 11-Apr-2017 | Anil Kumar Sharma | Type V | KARVY STOCK BROKING LTD. | Capital Market | - | Resolved | 25-Apr-2017 | - | - | - |
| 98 | 12-Apr-2017 | Narayan Jadhav | Type IV & VI | ANGEL BROKING PRIVATE LIMITED | Capital Market | - | Resolved | 25-Apr-2017 | - | - | - |
| 99 | 12-Apr-2017 | Shantilal Bohra Huf | Type I & II | MAYUR SHARE BROKING PVT. LTD. | Future & Options | - | Resolved | 07-Jun-2017 | - | - | - |
| 100 | 12-Apr-2017 | Saravana Kumar | Type III | C.D. EQUISEARCH PVT. LTD | Future & Options | - | Resolved | 26-Apr-2017 | - | - | - |
In all there are 7137 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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