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MSEI > Investors

Regulatory orders/ Arbitral Awards

Relevant SEBI Circular

Regulatory Orders Against the listed Company(s)

S. No. Date Name of the Company Orders
1. -- -- --

Regulatory Orders Against the Trading / Clearing Member(s)

S. No. Date Name of the Trading/ Clearing Member Orders
1. 20 May 2010 Sunchan Securities Ltd
2. 23 Jun 2010 Ganga Yamuna Finvest Pvt. Ltd.
3. 09 Nov 2011 Mudra Bullions Pvt Ltd.
4. 24 Aug 2012 Marigold Vanijya Pvt. Ltd.
5. 24 Aug 2012 Swastika Investmart Ltd.
6. 24 Aug 2012 Jaypee Capital Services Limited
7. 21 Mar 2013 Composite Securities Ltd.
8. 07 May 2013 Mudra Bullion Pvt. Ltd.
9. 20 May 2013 Pushpak Finstock
10. 20 May 2013 Credo Securities Pvt. Ltd.
11. 16 July 2013 Mauzampuria Securities Broking Pvt. Ltd
12. 31 Mar 2014 Prime Broking Company (India) Ltd.
13. 31 Mar 2014 SAARC Net Ltd
14. 25 April 2014 Kundan Care Products Ltd.
15. 26 Jun 2014 Amber Solutions Pvt Ltd.
16. 26 Jun 2014 Jain Broking Pvt Ltd.
17. 26 Jun 2014 Aastha Agencies
18. 26 Jun 2014 Aanya Commodities Pvt Ltd.
19. 24 Sep 2014 Unickon Securities Pvt. Ltd.
20. 09 Dec 2014 Jain broking Pvt Ltd.
21. 09 Dec 2014 Aastha Agencies
22. 29 May 2015 Max Plan Wealth Securities Ltd
23. 29 May 2015 Kassa Finvest Private Limited
24. 18 Aug 2015 Aimco Finex Limited
25. 18 Aug 2015 Micro forex Equity & Derivatives Private Limited
26. 19 Sep 2015 Click2trade Capital Limited
27. 19 Sep 2015 Fin Brains Securities (India) Limited
28. 22 Nov 2015 Moongipa Investments Limited
29. 22 Nov 2015 Orion Capital and Debt Market
30. 22 May 2016 Maa Padmawati Share And Stock Broking Private Limited
31. 22 May 2016 Camellia Securities Pvt. Ltd
32. 22 May 2016 RS Financial Services

Arbitral Awards

S. No. Date Name of Applicant Name of Respondent Name of
Arbitrator(s)
Awards
1. 05 Aug 2011 Ms. Manjulika Rani Religare Securities Ltd. R.K.Ahooja A.M. No. 01/2011
2. 05 Aug 2011 Mr. Mahinder Pal Gupta Religare Securities Ltd. R.K.Ahooja A.M. No. 02/2011
3. 02 Nov 2011 Mr. Mohit Kumar Religare Securities Ltd. R.K.Ahooja A.M. No. 03/2011
4. 18 Jan 2012 Mrs. Jayasree Vijaya Kumar Anand Rathi Share & Stock Brokers Ltd Mr. S. Subramanian A.M. No. CHE-01/2011
5. 03 Apr 2012 Mr. Rishi Gupta Religare Securities Ltd. Vijai N. Mathur A.M. No. DEL-04/2011
6. 15 Jun 2012 Mrs. Shashikala Rathi Religare Securities Ltd. R.K.Ahooja A.M. No. DEL-05/2012
7. 15 Jun 2012 Mr. Binod Kumar Rathi Religare Securities Ltd. R.K.Ahooja A.M. No. DEL-06/2012
8. 12 Oct 2012 Mr. Biraham Dutt Sharma M/s. Angel Broking Ltd. R. K. Ahooja A. M. No. DEL. 07/2012
9. 15 Nov 2012 Mr. Rohit Shandil M/s. Religare Securities Ltd. Smt. Lakshmi Swaminathan A. M. No. DEL. 08/2012
10. 13 Dec 2012 Mr. Asoke Kumar Sinha M/s. IndiaNivesh Securities Pvt. Ltd. Shri C. K. Basu A. M. No. KOL- 02/2012
11. 18 Dec 2012 Mr. Jetho Khemani M/s. Religare Securities Ltd. Mr. Pradip Kedia A. M. No. MUM- 01/2012
12. 10 Jan 2013 Mr. Deepanwita Chatterjee SMC Global Securities Ltd Shri C. K. Basu A.M. No. KOL-01/2012
13. 10 Jan 2013 Mr. Ravindra Kumar Srivastava Religare Securities Ltd. R. K. Ahooja A.M. No. DEL-09/2012
14. 12 Jan 2013 Mr. Prabhakar Bhaskarrao Pawar M/s. Angel Broking Ltd. Justice Dr. Pratibha Upasani (Retd.) A.M. No. MUM-02/2012
15. 14 Feb 2013 Mr. Deepak Kumar M/s. Angel Broking Ltd. Neeraj Aarora A.M. No. DEL-10/2012
16. 15 Mar 2013 Mr. Amanpreet Singh M/s. Angel Broking Ltd. Neeraj Aarora A.M. No. DEL-11/2012
17. 16 Apr 2013 Mrs. Debjani Gautam Nandi SMC Global Securities Ltd. Justice A. S. Aguiar (Retd.) A.M. No. KOL-01/2012
18. 25 Apr 2013 Mr. Sailendra Kumar Kaynet Capital Ltd. Justice Mahmood Ali Khan (Retd.) A.M. No. DEL-12/2013
19. 30 Apr 2013 Mrs. Sunita Gupte RTG Share Broking Ltd. Mr. Deba Prasad Roy A.M No. MUM-04/2012
20. 13 May 2013 Ms. Pooja Kalra Angel Broking Ltd Shri R. K. Ahooja A.M No. DEL-13/2013
21. 23 May 2013 Ms. Taposi Mitra Nirmal Bang Securities Pvt. Ltd. Shri Chandan Kumar Basu A.M No. KOL-03/2013
22. 26 Jun 2013 Mr. Dheeraj Agarwal Nirmal Bang Securities Pvt. Ltd. Shri Vijay Mathur A.M No. DEL-14/2013
23. 10 Aug 2013 HRIM Finance and Securities Pvt. Ltd. Globe Capital Market Ltd. Mr. Narendra J. Mehta CCL/A.M No.MUM-01/2013
24. 19 Aug 2013 Kedia Stocks & Commodities Research Pvt.Ltd. Gauri Shankar Sharma Shri. Anil Agrawal A.M.No. DEL-15/2013
25. 06 Sep 2013 HRIM Finance and Securities Pvt. Ltd. Globe Capital Market Ltd. Mr. Narendra J. Mehta CCL/A.M No.MUM-01/2013
26. 21 Oct 2013 Mr. Sambhu Nath Rudra Pal Nirmal Bang Securities Pvt. Ltd. Mr. Amitabha Mandal A.M No. KOL-04/2013
27. 12 Mar 2014 Mrs. Usha Devi Banka Nirmal Bang Securities Pvt. Ltd. Mr. Sanjay Bajoria A.M No. KOL-05/2013
28. 13 Mar 2014 Mr. Ashish Gupta Click2Trade Capital Ltd. Mr. Tejinder Singh Laschar A.M No. DEL-17/2013
29. 03 Apr 2014 Mr. Prasanta Kumar Aditya Nirmal Bang Securities Pvt. Ltd. Mr. P. K. Bhattacharjee A.M No. KOL-06/2013
30. 03 Apr 2014 Fairwealth Securities Ltd Mrs. Rashpal Kaur Mr. Ashok Jain A.M No. DEL-18/2013
31. 10 Apr 2014 Religare Securities Ltd. Mr. Hemanshu Shah Mr. P. K. Thothawala A.M No. AMD-01/2013
32. 05 May 2014 Mr. Gyan Chandra Jain Angel Broking Ltd Mr. Vinod Kumar Shantilal Jain A.M. No. IND-01/2014
33. 26 May 2014 Mr. Liyakat Ali Khan Fairwealth Securities Ltd Mr. Narendra Mehta A.M. No. MUM-01/2014
34. 11 Jul 2014 Mr. Vyom Srivastava Angel Broking Ltd Mr. Dileep Kumar Srivastava A.M. No. KAN-01/2014
35. 11 Jul 2014 Mrs. Vinnie Srivastava Angel Broking Ltd Mr. Dileep Kumar Srivastava A.M. No. KAN-02/2014
36. 04 Sep 2014 Religare Securities Ltd. Mr. Rohit C Patel Mr. Divyabhash C Anjaria A.M.No AMD-01/2014
37. 08 Oct 2014 Mr. Shyamal Majumder Nirmal Bang Securities Pvt. Ltd. Ms Priti Todi
Justice Arunabha Barua
Ms Neeloo Biswas
A.M.No KOL-01/2014
38. 15 Oct 2014 Mr. Shib Kumar Dey Achiievers Equities Ltd. Mr. C K Basu A.M.No KOL-02/2014
39. 24 Nov 2014 Ms. Rabika Sultana Mondal Religare Securities Ltd. Mr. Natraj Radhakrishnan A.M.No KOL-03/2014
40. 26 Dec 2014 Mr. Dev Raj Gupta Kassa Finvest Limited Mr. Ashutosh Aggarwal A.M.No DEL-02/2014
41. 27 Dec 2014 Angel Broking Ltd. Mr. Vijay Rochlani Dwarkanath Annappa Kamat A.M.No MUM-03/2014
42. 05 Jan 2015 Mrs. Kanta Gupta Kassa Finvest Pvt. Ltd. Mr. P. K. Banerji A.M.No DEL-01/2014
43. 03 Feb 2015 Nirmal Bang Securities Pvt. Ltd. Mr. Ambarish Ghose Mr. Sanjay Bajoria A.M.No KOL-04/2014
44. 12 Feb 2015 Ms. Kinjal Joshi Monarch Project and Finmarkets Ltd. Mr. Ajay Pandey A.M.No AMD-03/2014
45. 24 Feb 2015 Mr. Jayesh N. Doshi Monarch Project and Finmarkets Ltd. Mr. Dharmendra Dhelariya A.M.No AMD-02/2014
46. 06 Aug 2015 Mr. Vijendra Kumar Religare Securities Ltd Mr. Govind Krishna A.M.No KAN-01/2015
47. 21 Oct 2015 Mrs. Nidhi S Kedia Religare Securities Ltd Justice D. K. Trivedi (Retd.) A.M.No AMD-01/2015
48. 22 Feb 2016 Angel Broking Pvt Ltd Mr. Raymond J. Patel Mr. Shailesh R. Ghedia A.M.No MUM-02/2015
49. 04 Mar 2016 Mr. Girishkumar Panchal Mr. Arvind D. Gaonkar- Respondent 1
SMC Global Securities Limited- Respondent 2
Mr. Rajesh Lalji Shethia A.M.No MUM-01/2015
50. 30 May 2016 Purti Vanaspati Pvt. Ltd. Karvy Stock Broking Ltd. Mr. Sanwar Mal Gupta (Presiding Arbitrator)
Mr. Vasudeo Agarwal
Mr. Chandan Kumar Basu
A.M.No KOL-01/2016
51. 05 Sep 2016 Mrs. Radhika Sareen Religare Securities Limited Mr. Anil Agrawal A.M.No DEL-02/2016
52. 05 Jan 2017 Maverick Share Brokers Limited Vama Gems Private Limited Mr. Neeraj Aarora(Presiding Arbitrator)
Mr. P. K. Banerjee
Mr. Anil Agarwal
A.M.No. DEL-01/2016

Appellate Arbitral Awards

S. No. Date Name of Appellant Name of Respondent Name of
Arbitrator(s)
Awards
1. 10 Aug 2012 Mrs. Jayasree Vijaya Kumar Anand Rathi Share & Stock Brokers Ltd. Shri C. Rangamani (Presiding Member),
Shri A.V. Haridasan,
Shri R. Ravi
A.A.M No. CHE-Appellate-01/2012
2. 02 Mar 2013 Mr. Rohit Shandil Religare Securities Ltd. Justice S. N. Kapoor (Presiding Member),
Shri R. K. Ahooja,
Shri Vijay Mathur
A.A.M No. DEL-Appellate-01/2012
3. 21 May 2013 Mr. Deepak Kumar M/s. Angel Broking Ltd. Shri Vijai Mathur,
Shri R K Ahooja,
Justice S N Kapoor
A.A.M No. DEL-Appellate-02/2012
4. 28 May 2013 Mr. Prabhakar Bhaskarrao Pawar M/s. Angel Broking Ltd. Mr. Deba P. Roy (Presiding Member),
Mr. Deepak Shah,
Mr. Pradip Kedia
A.A.M No. MUM-Appellate-01/2012
5. 24 Sep 2013 Mrs. Debjani Gautam Nandi SMC Global Securities Ltd. Mr Babulal Mundada (Presiding Arbitrator)
Mr.Pankaj M Patel
Mr Brijmohan L. Sarda
A.A.M No. MUM-Appellate-02/2012
6. 21 Feb 2014 Globe Capital Market Ltd. HRIM Finance and Securities Pvt. Ltd. Mr Babulal Mundada (Presiding Arbitrator)
Mr. Gopal K Sharma
Mr. Bharat B. Sharma
CCL/A.A.M No. MUM-Appellate-01/2013
7. 24 Sep 2014 Fairwealth Securities Ltd. Mr. Liyakat Ali Khan Mr. S C. Gupta
(Presiding Member)
Mr. Pankaj M Patel
Mr. Babulal Mundada
A.A.M NoARB/MUM-Appellate-01/2014
8. 05 Jan 2015 Mr. Rohit Patel Religare Securities Ltd. Mr. Viral Bhatt
(Presiding Member)
Mr. Fenil Shah
Mr. Paresh Thothawala
A.A.M No. AMD-Appellate-01/2014
9. 13 Feb 2015 Nirmal Bang Securities Pvt. Ltd. Mr. Shyamal Majumder Mr. Alok Bhattacharyya
(Presiding Arbitrator)
Mr. Arup Ratan Chattopadhyay
Mr. Saubir Bhattacharyya
A.A.M No. KOL-Appellate-01/2014
10. 29 Apr 2015 Mr. Vijay Rochlani Angel Broking Pvt. Ltd. Mr. Anil Shah
(Presiding Arbitrator)
Mr. Bharat Sharma
Mr. Jasbir Saluja
MUM/APPELLATE-01/2015
11. 24 Jun 15 Monarch Project and Finmarkets Ltd. Ms. Kinjal Doshi Mr. Ashwin Shah
(Presiding Arbitrator)
Mr. Rasesh Parikh
Mr. Dharmendra Thelariya
AMD/APPELLATE-01/2015
12. 24 Jun 15 Monarch Project and Finmarkets Ltd. Mr. Jayesh Doshi Mr. Anil Shah
(Presiding Arbitrator)
Mr. Ashwin Shah
Mr. Rasesh Parikh
AMD/APPELLATE-02/2015
13. 16 Jul 15 Nirmal Bang Securities Pvt. Ltd. Mr. Ambarish Ghose Ms. Anjali Agrawal
(Presiding Arbitrator)
Mr. Anil Murarka
Mr. Shashi Mishra
KOL/APPELLATE-01/2015
14. 07 Nov 16 Purti Vanaspati Pvt. Ltd. Karvy Stock Broking Ltd. Mr. Dilip Kumar Das
(Presiding Arbitrator)
Smt. Priti Todi
Mr. Mahesh Mathur
KOL/APPELLATE-01/2016