Back

Complaints received from clients against Trading Members (TMs) during 2012-13

Last updated on 21-Nov-2014

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-2012 Ashok Kumar Type IV & VI VENTURA SECURITIES LTD. Capital Market - Resolved 01-Jun-2012 - - -
2 03-Apr-2012 Radhaballav Khamari Type I & II ICICI SECURITIES LIMITED Capital Market - Resolved 30-Apr-2012 - - -
3 03-Apr-2012 Iva Chatterjee Type IV & VI NIRMAL BANG SECURITIES PVT. LTD. Capital Market - Resolved 24-Jul-2012 - - -
4 03-Apr-2012 Raju Dutta Type IX ANAND RATHI FINANCIAL SERVICES LIMITED Capital Market - Resolved 30-Apr-2012 - - -
5 03-Apr-2012 Dipankar Biswas Type IV & VI BMA WEALTH CREATORS LIMITED Capital Market - Resolved 30-May-2012 - - -
6 03-Apr-2012 Gita Debi Kandoi Type IV & VI BMA WEALTH CREATORS LIMITED Future & Options - Resolved 26-Jul-2012 09-Aug-2012 Arunabha Barua 22-Jan-2013
7 03-Apr-2012 Ramani Goapalan Type IV & VI B N RATHI SECURITIES LIMITED Future & Options - Resolved 10-Apr-2012 - - -
8 03-Apr-2012 Madhav Sudheer Type IV & VI INDIA INFOLINE LTD. Capital Market - Resolved 05-Jul-2012 - - -
9 03-Apr-2012 Madhav Sudheer Type IV & VI INDIA INFOLINE LTD. Capital Market - Resolved 03-Apr-2012 - - -
10 04-Apr-2012 Ganesan Periyan Type IV & VI RELIGARE SECURITIES LTD. Capital Market - Resolved 17-Jul-2012 - - -
11 04-Apr-2012 Pradip Kumar Dutta Type I & II DESTIMONEY SECURITIES PRIVATE LIMITED Future & Options - Resolved 24-Jul-2012 26-Sep-2012 N P SENGUPTA 06-Feb-2013
12 04-Apr-2012 D D Rakibe Type IV & VI ANAND RATHI SHARE AND STOCK BROKERS LIMITED Capital Market - Resolved 17-Apr-2012 - - -
13 04-Apr-2012 Sanjay Jugal Kishore Jakhotiya Type IV & VI LKP SECURITIES LTD. Capital Market - Resolved 22-May-2012 - - -
14 04-Apr-2012 Ranjit Singh Type IV & VI PUMARTH CREDIT & CAPITAL LTD. Capital Market - Resolved 04-Jul-2012 - - -
15 04-Apr-2012 Milan Mehta Type I & II INDIABULLS SECURITIES LTD. Capital Market - Resolved 03-May-2012 - - -
16 04-Apr-2012 S Ramakrishna Rao Type IV & VI ANGEL BROKING LIMITED Capital Market - Resolved 15-May-2012 - - -
17 04-Apr-2012 Nitu Joshi Type V STANDARD CHARTERED SECURITIES (INDIA) LIMITED Capital Market - Resolved 04-Jul-2012 - - -
18 04-Apr-2012 S Palaniappan Type V SHRIRAM INSIGHT SHARE BROKERS LIMITED Capital Market - Resolved 23-Apr-2012 - - -
19 04-Apr-2012 Umesh Chand S Type IV & VI HSBC INVESTDIRECT SECURITIES (INDIA) LIMITED Capital Market - Resolved 30-Jul-2012 - - -
20 04-Apr-2012 Tara Chand Jain Type I & II ASIT C MEHTA INVESTMENT INTERRMEDIATES LTD. Capital Market - Resolved 09-May-2012 - - -
21 04-Apr-2012 T G Gopalakrishnan Type IX NETWORTH STOCK BROKING LTD. Capital Market - Resolved 30-May-2012 - - -
22 04-Apr-2012 D N Sharma Type V KOTAK SECURITIES LTD. Future & Options - Resolved 17-May-2012 - - -
23 04-Apr-2012 Chouthmal Agarwal Type I & II KOTAK SECURITIES LTD. Capital Market - Resolved 19-Jun-2012 - - -
24 04-Apr-2012 Shivank Singhania Type IX INDIA INFOLINE LTD. Capital Market - Resolved 19-Apr-2012 - - -
25 04-Apr-2012 Deepayan Chakraborty Type V BMA WEALTH CREATORS LIMITED Capital Market - Resolved 23-May-2012 - - -
26 04-Apr-2012 Arun Kumar Sen Type III JV CAPITAL SERVICES PVT. LTD. Capital Market - Resolved 11-May-2012 - - -
27 04-Apr-2012 Arvind Kumar Gupta Type V BONANZA PORTFOLIO LTD. Capital Market - Resolved 02-Jul-2012 - - -
28 04-Apr-2012 Sanjay Ahuja Type V MASTER CAPITAL SERVICES LIMITED Capital Market - Resolved 19-Apr-2012 - - -
29 04-Apr-2012 Tripta Type IX FORTUNE EQUITY BROKERS (INDIA) LIMITED Capital Market - Resolved 04-Apr-2012 - - -
30 04-Apr-2012 M K Rai Type IV & VI ANAND RATHI SHARE AND STOCK BROKERS LIMITED Capital Market - Resolved 08-May-2012 - - -
31 04-Apr-2012 Sanjay Khanna Type I & II ROHINI CAPITAL SERVICES LTD. Capital Market - Opted for Arbitration 06-Aug-2012 18-Oct-2012 Justice M A Khan 10-Apr-2013
32 04-Apr-2012 Rajesh Kumar Singhal Type IX INDIABULLS SECURITIES LTD. Capital Market - Resolved 27-Apr-2012 - - -
33 04-Apr-2012 Jagdish Kumar Type IV & VI INDIAN FINANCE GUARANTY LTD. Capital Market - Resolved 19-Jun-2012 - - -
34 04-Apr-2012 Bharti Mitra Type IV & VI INDIA INFOLINE LTD. Capital Market - Resolved 10-Jul-2012 - - -
35 04-Apr-2012 Sanjay Prasad Type IV & VI BMA WEALTH CREATORS LIMITED Capital Market - Resolved 12-Jul-2012 - - -
36 04-Apr-2012 Ashok Bhambri Type IV & VI ANGEL BROKING LIMITED Capital Market - Resolved 20-Jun-2012 - - -
37 04-Apr-2012 Dharmendra Kumar Type I & II EDELWEISS BROKING LIMITED Capital Market - Resolved 07-May-2012 - - -
38 04-Apr-2012 Yogesh Kumar Patel Type V INDIA INFOLINE LTD. Capital Market - Resolved 07-Sep-2012 - - -
39 04-Apr-2012 Ram Ratan Joshi Type III EDELWEISS SECURITIES LIMITED Capital Market - Resolved 30-Apr-2012 - - -
40 04-Apr-2012 Pravina Parikh Type V ANGEL BROKING LIMITED Capital Market - Resolved 15-May-2012 - - -
41 04-Apr-2012 Mrugesh G. Kantesariya Type I & II ADITYA BIRLA MONEY LIMITED Capital Market - Resolved 03-Jul-2012 - - -
42 05-Apr-2012 Biswadev Sinha Type IV & VI RELIGARE SECURITIES LTD. Capital Market - Resolved 31-Aug-2012 - - -
43 05-Apr-2012 Sangeeta Tiwari Type V IDBI CAPITAL MARKET SERVICES LTD. Capital Market - Resolved 09-May-2012 - - -
44 05-Apr-2012 Asit Kumar Dey Type IX BEST BULL STOCK TRADING Capital Market - Resolved 29-Aug-2012 - - -
45 05-Apr-2012 Abaidur Type IV & VI ASHIKA STOCK BROKING LTD. Capital Market - Resolved 05-Jul-2012 - - -
46 05-Apr-2012 Rohit Somani Type IV & VI INDIABULLS SECURITIES LTD. Capital Market - Resolved 14-Jun-2012 - - -
47 05-Apr-2012 Mittra Banerjee Type IV & VI NIRMAL BANG SECURITIES PVT. LTD. Capital Market - Resolved 30-May-2012 - - -
48 05-Apr-2012 Ratan Dhali Type IX PUG SECURITIES PRIVATE LIMITED Capital Market - Resolved 17-May-2012 - - -
49 05-Apr-2012 Arun Kumar Ginodia Type IV & VI VASANTI SHARE BROKERS LIMITED Future & Options - Resolved 30-Aug-2012 - - -
50 05-Apr-2012 Sukumar Bhattacharya Type IV & VI CHOLAMANDALAM SECURITIES LIMITED Capital Market - Resolved 20-Jun-2012 - - -
51 05-Apr-2012 Saroj Kumar Subudhi Type IV & VI EDELWEISS BROKING LIMITED Capital Market - Resolved 30-May-2012 - - -
52 05-Apr-2012 Ramesh Type IX ANUGRAH STOCK & BROKING PVT. LTD. Capital Market - Resolved 15-Jun-2012 - - -
53 05-Apr-2012 N Chandrasekhar Type IV & VI ANGEL BROKING LIMITED Capital Market - Resolved 14-May-2012 - - -
54 05-Apr-2012 Niranjanlal Tiwari Type IX FUTURE CAPITAL SECURITIES LIMITED Capital Market - Resolved 11-May-2012 - - -
55 07-Apr-2012 Tripta Type I & II FORTUNE EQUITY BROKERS (INDIA) LIMITED Capital Market - Resolved 17-Apr-2012 - - -
56 07-Apr-2012 Brij Mohan Mourya Type IV & VI KOTAK SECURITIES LTD. Capital Market - Opted for Arbitration 27-Jun-2012 23-Jul-2012 Mr. RAVI KANT 30-Nov-2012
57 07-Apr-2012 Bhupinder Walia Type IV & VI LSE SECURITIES LIMITED Capital Market - Resolved 18-Apr-2012 - - -
58 07-Apr-2012 Rajiv Mehta Type IV & VI UNICON SECURITIES PVT. LTD. Capital Market - Opted for Arbitration 23-May-2012 21-Jun-2012 Justice M A Khan 31-Dec-2012
59 09-Apr-2012 Bishwa Kanta Samanta Type IV & VI AJCON GLOBAL SERVICES LIMITED Capital Market - Resolved 04-Jul-2012 - - -
60 09-Apr-2012 Ashok Kumar Mehta Type IV & VI KARVY STOCK BROKING LTD. Capital Market - Resolved 22-Jun-2012 - - -
61 09-Apr-2012 Inder Singh Type I & II ANGEL BROKING LIMITED Capital Market - Resolved 25-Jun-2012 - - -
62 09-Apr-2012 Gajanan Soni Type V EDELWEISS BROKING LIMITED Capital Market - Resolved 23-May-2012 - - -
63 09-Apr-2012 Bhataji D Patil Type IV & VI HSBC INVESTDIRECT SECURITIES (INDIA) LIMITED Capital Market - Resolved 03-Aug-2012 - - -
64 09-Apr-2012 Jagruti J Thakur Type IV & VI ROYAL INTERNATIONAL SHARES PRIVATE LIMITED Capital Market - Resolved 25-Sep-2012 - - -
65 09-Apr-2012 Bharath Mehta Type IV & VI INDIABULLS SECURITIES LTD. Capital Market - Resolved 24-Apr-2012 - - -
66 09-Apr-2012 Mini Satheesh Type V INDIABULLS SECURITIES LTD. Capital Market - Resolved 18-Sep-2012 - - -
67 09-Apr-2012 Moocool Kothary Type III KARVY STOCK BROKING LTD. Capital Market - Resolved 19-Apr-2012 - - -
68 09-Apr-2012 Dinesh Kumar Khandelwal Type III ICICI SECURITIES LIMITED Capital Market - Resolved 25-May-2012 - - -
69 09-Apr-2012 Apurba Kumar Dutta Type IV & VI MOTILAL OSWAL SECURITIES LTD. Future & Options - Resolved 22-Jun-2012 - - -
70 09-Apr-2012 Probir Kumar Das Type IX MOTILAL OSWAL SECURITIES LTD. Capital Market - Resolved 17-Apr-2012 - - -
71 09-Apr-2012 Goutam Kumar Sen Type IV & VI MOTILAL OSWAL SECURITIES LTD. Future & Options - Resolved 24-May-2012 - - -
72 09-Apr-2012 Krishnendu Sarkar Type IX SBICAP SECURITIES LIMITED Capital Market - Resolved 17-Apr-2012 - - -
73 09-Apr-2012 Joydeep Nandi Type V HDFC SECURITIES LTD. Capital Market - Resolved 19-Apr-2012 - - -
74 09-Apr-2012 Parikha N Shah Type IV & VI KARVY STOCK BROKING LTD. Capital Market - Resolved 17-Aug-2012 - - -
75 10-Apr-2012 Bhushan Shivaji Arute Type IV & VI ANGEL BROKING LIMITED Future & Options - Resolved 17-Jul-2012 - - -
76 10-Apr-2012 Dinesh K Sampat Type I & II ANAND RATHI SHARE AND STOCK BROKERS LIMITED Capital Market - Resolved 18-Jun-2012 - - -
77 10-Apr-2012 Balram Parkar Type I & II ARCADIA SHARE & STOCK BROKERS PRIVATE LIMITED Capital Market - Resolved 29-May-2012 - - -
78 10-Apr-2012 Pradeep Chandan Type I & II ARCADIA SHARE & STOCK BROKERS PRIVATE LIMITED Capital Market - Resolved 30-May-2012 - - -
79 10-Apr-2012 Trupti Gosar Type V INDIA INFOLINE LTD. Capital Market - Resolved 07-May-2012 - - -
80 10-Apr-2012 Kaladarshan Investment Pvt Ltd. Type I & II AMRAPALI AADYA TRADING & INVESTMENT PRIVATE LIMITED Capital Market - Resolved 12-Jul-2012 - - -
81 10-Apr-2012 Anjali Parakh Type IV & VI PUG SECURITIES PRIVATE LIMITED Capital Market - Resolved 16-Oct-2012 - - -
82 10-Apr-2012 Sumit Agarwal Type IV & VI BANSAL FINSTOCK PRIVATE LIMITED Capital Market - Resolved 09-Jul-2012 - - -
83 10-Apr-2012 Govind Bhimarao Kulkarni Type IV & VI JRG SECURITIES LTD. Future & Options - Resolved 09-Jul-2012 - - -
84 10-Apr-2012 Jagannath Shit Type IV & VI KARVY STOCK BROKING LTD. Capital Market - Resolved 18-Jun-2012 - - -
85 10-Apr-2012 Ramotar Sharma Type I & II SMC GLOBAL SECURITIES LTD. Capital Market - Resolved 20-Apr-2012 - - -
86 10-Apr-2012 Mrinal Das Type IV & VI MOTILAL OSWAL SECURITIES LTD. Future & Options - Opted for Arbitration 22-Jun-2012 27-Jun-2012 SAUBIR BHATTACHARYYA 03-Nov-2012
87 10-Apr-2012 Sunil Kumar Bera Type III INDIA INFOLINE LTD. Capital Market - Resolved 22-May-2012 - - -
88 10-Apr-2012 Kamalesh Basu Type V BMA WEALTH CREATORS LIMITED Future & Options - Resolved 28-Aug-2012 - - -
89 10-Apr-2012 Krishna Sinha Type I & II BMA WEALTH CREATORS LIMITED Capital Market - Resolved 10-Aug-2012 - - -
90 10-Apr-2012 Jayendu Kumar Type V EDELWEISS BROKING LIMITED Capital Market - Resolved 18-Apr-2012 - - -
91 10-Apr-2012 Mithilesh Kumar Type IV & VI BONANZA PORTFOLIO LTD. Future & Options - Resolved 10-Apr-2012 - - -
92 10-Apr-2012 Monika Type IX RELIGARE SECURITIES LTD. Capital Market - Resolved 10-Apr-2012 - - -
93 10-Apr-2012 Rakesh Type IV & VI RELIGARE SECURITIES LTD. Capital Market - Resolved 15-May-2012 - - -
94 10-Apr-2012 Sangeeta Saxena Type IV & VI KOTAK SECURITIES LTD. Capital Market - Resolved 19-Jul-2012 - - -
95 10-Apr-2012 Mamta Type IV & VI MOTILAL OSWAL SECURITIES LTD. Capital Market - Resolved 08-May-2012 - - -
96 10-Apr-2012 Ritu Singh Type IX INDIA INFOLINE LTD. Capital Market - Resolved 02-May-2012 - - -
97 10-Apr-2012 Vikas Aggarwal Type IV & VI INDIA INFOLINE LTD. Capital Market - Resolved 23-Apr-2012 - - -
98 10-Apr-2012 Ashish Bansal Type IX INDIA INFOLINE LTD. Capital Market - Resolved 08-May-2012 - - -
99 10-Apr-2012 Rakesh Kumar Type IV & VI FAIRWEALTH SECURITIES PVT. LTD Capital Market - Resolved 25-May-2012 - - -
100 10-Apr-2012 Deepak Dhanjibhai Parmar Type IV & VI MAXIMUS SECURITIES LIMITED Capital Market - Resolved 27-Sep-2012 - - -

In all there are 4714 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)

* Type of Complaints
TypeDescription
INon-receipt / delay in payment:
I aDelay in payment
I bNon-receipt of payment
I cDelay in refund of margin payment
I dNon settlement of accounts
IINon-receipt / delay in securities:
II aDelay in delivery
II bNon-receipt of delivery
II cDelay in refund of margin deposit
II dNon settlement of accounts
IIINon-receipt of documents:
III aContract notes
III bBills
III cAccount statements
III dAgreement copies
IVUnauthorized trades / misappropriation:
IV aUnauthorized trades in client account
IV bmis-appropriation of client?s funds / securities
VService related:
V aExcess brokerage
V bNon-execution of order
V cWrong execution of order
V dConnectivity / system related problem
V eNon-receipt of corporate benefits
V fOther service defaults
VIClosing out / squaring up:
VI aClosing off / squaring up position without consent
VI bDispute in Auction value / close out value
VIINon implementation of arbitration award
VIIIIPO related
IXOthers
** Status
TypeDescription
INon actionable
I aComplaint incomplete
I bOutside the scope of stock exchange
IIResolved
IIIUnder Process
IVReferred to Arbitration