Sidebar Menu
Investors Regulatory Orders and Arbitral Awards

Relevant SEBI Circular

Regulatory Orders Against the listed Company(s)

Sr. No.

Date

Name of the Company

Orders
1 - - -
Regulatory Orders Against the Trading / Clearing Member(s)

Sr. 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
33 30 Nov 2017 Amrapali Aadya Trading & Investment Pvt. Ltd.
34 30 Aug 2024 SEBI Order Against Members
Arbitral Awards

Sr. 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 20 May 2010 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 19 Aug 2013 Kedia Stocks & Commodities Research Pvt.Ltd. Gauri Shankar Sharma Shri. Anil Agrawal A.M.No. DEL-15/2013
24 06 Sep 2013 HRIM Finance and Securities Pvt. Ltd. Globe Capital Market Ltd. Mr. Narendra J. Mehta CCL/A.M No.MUM-01/2013
25 21 Oct 2013 Mr. Sambhu Nath Rudra Pal Nirmal Bang Securities Pvt. Ltd. Mr. Amitabha Mandal A.M No. KOL-04/2013
26 12 Mar 2014 Mrs. Usha Devi Banka Nirmal Bang Securities Pvt. Ltd. Mr. Sanjay Bajoria A.M No. KOL-05/2013
27 13 Mar 2014 Mr. Ashish Gupta Click2Trade Capital Ltd. Mr. Tejinder Singh Laschar A.M No. DEL-17/2013
28 03 Apr 2014 Mr. Prasanta Kumar Aditya Nirmal Bang Securities Pvt. Ltd. Mr. P. K. Bhattacharjee A.M No. KOL-06/2013
29 03 Apr 2014 Fairwealth Securities Ltd Mrs. Rashpal Kaur Mr. Ashok Jain A.M No. DEL-18/2013
30 10 Apr 2014 Religare Securities Ltd. Mr. Hemanshu Shah Mr. P. K. Thothawala A.M No. AMD-01/2013
31 05 May 2014 Mr. Gyan Chandra Jain Angel Broking Ltd Mr. Vinod Kumar Shantilal Jain A.M. No. IND-01/2014
32 26 May 2014 Mr. Liyakat Ali Khan Fairwealth Securities Ltd. Mr. Narendra Mehta A.M. No. MUM-01/2014
33 11 Jul 2014 Mr. Vyom Srivastava Angel Broking Ltd Mr. Dileep Kumar Srivastava A.M. No. KAN-01/2014
34 11 Jul 2014 Mrs. Vinnie Srivastava Angel Broking Ltd Mr. Dileep Kumar Srivastava A.M. No. KAN-01/2014
35 04 Sep 2014 Religare Securities Ltd. Mr. Rohit C Patel Mr. Divyabhash C Anjaria A.M.No AMD-01/2014
36 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
37 15 Oct 2014 Mr. Shib Kumar Dey Achiievers Equities Ltd. Mr. C K Basu A.M.No KOL-02/2014
38 24 Nov 2014 Ms. Rabika Sultana Mondal Religare Securities Ltd. Mr. Natraj Radhakrishnan A.M.No KOL-03/2014
39 26 Dec 2014 Mr. Dev Raj Gupta Kassa Finvest Limited Mr. Ashutosh Aggarwa A.M.No DEL-02/2014
40 27 Dec 2014 Angel Broking Ltd. Mr. Vijay Rochlani Dwarkanath Annappa Kamat A.M.No MUM-03/2014
41 05 Jan 2015 Mrs. Kanta Gupta Kassa Finvest Pvt. Ltd. Mr. P. K. Banerji A.M.No DEL-01/2014
42 03 Feb 2015 Nirmal Bang Securities Pvt. Mr. Ambarish Ghose Mr. Sanjay Bajoria A.M.No KOL-04/2014
43 12 Feb 2015 Ms. Kinjal Joshi Monarch Project and Finmarkets Ltd. Mr. Ajay Pandey A.M.No AMD-03/2014
44 24 Feb 2015 Mr. Jayesh N. Doshi Monarch Project and Finmarkets Ltd. Mr. Dharmendra Dhelariya A.M.No AMD-02/2014
45 06 Aug 2015 Mr. Vijendra Kumar Religare Securities Ltd Mr. Govind Krishna A.M.No KAN-01/2015
46 21 Oct 2015 Mrs. Nidhi S Kedia Religare Securities Ltd Justice D. K. Trivedi (Retd.) A.M.No AMD-01/2015
47 22 Feb 2016 Angel Broking Pvt Ltd Mr. Raymond J. Patel Mr. Shailesh R. Ghedia A.M.No MUM-02/2015
48 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
49 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
50 05 Sep 2016 Mrs. Radhika Sareen Religare Securities Limited Mr. Anil Agrawal A.M.No DEL-02/2016
51 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
52 20 Dec 2019 Mr. Prafull Barodia Religare Securities Limited Mr. Ashwin Ankhad(Presiding Arbitrator), Mr. D P Roy and Mr. Rajkumar Adukia ARB/MUM-01-2019
53 20 Dec 2019 Mrs. Purnima Barodia Religare Securities Limited Mr. Ashwin Ankhad(Presiding Arbitrator), Mr. D P Roy and Mr. Rajkumar Adukia ARB/MUM-02-2019
Appellate Arbitral Awards

Sr. 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 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
7 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
8 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
9 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
10 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
11 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
12 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
13 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
14 03 Dec 2020 Mr. Prafull Barodia. Religare Broking Limited Shri. S C Gupta (Presiding Arbitrator), Shri. Debasish Rabindra Mallick and Shri. Paresh Manilal Joshi ARB/MUM/-APPELLATE-01/2020
15 03 Dec 2020 Mrs. Purnima Prafull Barodia Religare Broking Limited Shri. S C Gupta (Presiding Arbitrator), Shri. Debasish Rabindra Mallick and Shri. Paresh Manilal Joshi ARB/MUM/-APPELLATE-02/2020

Quick Links

Related Links

DOWNLOADS