Report 4A Penal Action Against Trading Member 2012 13

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					Report 4A: Penal Actions against Trading Members during 2012-13: Updated on June 2012

Sr.No.    Clg.No.   Name of trading member                   SEBI                 No. of
                                                             Registration No.   Complaints
                                                                                 received


1         928       JNR Securities Broking Pvt Ltd           INB011206431           0
2         322       J G Shah Financial Consultants Pvt Ltd   INB010981534           0
3         3253      India Securities Broking Pvt Ltd         INB011293330           0
4         3287      ABANS Securities Ltd                     INB011349439           0
5         326       Goldcrest Capital Markets Ltd            INB010654631           0
6         3283      Neelam Portfolio Ltd                     INB011343432           0
Action against TM, its sub-brokers / authorized person and employees together

No. of Penal Orders issued         Monetary Penalties levied (Rs. Lakh)           No. of
                                                                                Arbitration
For complaints   For others        For complaints        For others              Awards
      0          1                          0            0.10                        0
      0          1                          0            0.10                        0
      0          1                          0            0.10                        0
      0          1                          0            0.10                        0
      0          1                          0            0.10                        0
      0          1                          0            0.10                        0

				
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