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    FMC mailed a letter to NSEL regarding the complaints against Brokers

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    FMC mailed a letter to NSEL regarding the complaints against Brokers

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    © All Rights Reserved
    Download as PDF or read online from Scribd
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    39 views59 pages

    Letter From FMC

    Uploaded by

    bharat
    FMC mailed a letter to NSEL regarding the complaints against Brokers

    Copyright:

    © All Rights Reserved
    Download as PDF or read online from Scribd
    Flag for inappropriate content
    of 59
    cED POST perp atree brea ere ene jorge Sanne eaten TACT AIST TAT FORWARD MARKETS COMMISSION fea AMAT / MINISTRY OF FINANCE (onftter ar Rar / DEPARTMENT OF ECONOMIC AFFAIRS) ‘ete! es Het EVEREST’ 3" FLOOR, to, AAPL FER, Bak — 09 008 100, MARINE ORIVE, MUMIBAL ~ 400 002 No. 8/1/2015(1)MD-1 (1) (Cy/Settlement C.A.N.M} 1274 @ Dated 15" June 2015 To. Shri Prakash Chaturvedi, Joint Managing Director, National Spot Exchange Ltd. FT Tower, CTS No. 256 &257, 4" Floor, Suren Road, Chakala, Andheri (East), Mumbai-400 093 Sub: A complaint against your members-regarding Sir, Please refer to this office letter of even number dated 12" May, 2015 on the above subject. You are directed to submit your replies to the queries raised in the letter under reference at the earliest without any further delay. ‘Yours faithfully. velo (Vishal Nair) Joint Director ite tre | SPEED POST le 2 a foes 2 mall: canacifmeamniein Webel ave ov Se ATE GOVERNMENT OF INDIA ‘araet arene ara FORWARD MARKETS COMMISSION fiter sTaTaa / MINISTRY OF FINANCE (aifffes asf set / DEPARTMENT OF ECONOMIC AFFAIRS) No. 8/1/2014(1)(MD)-I-C/Settiement } To ‘The Managing Director & CEO, National Spot Exchange Ltd., FT Tower, CTS No. 256 & 257, 4" Floor, Suren Road, Chakala, Andheri (East), Mumbai-400 093 Sub: Various representations ree “eae ha fet “EVEREST’ 3*° FLOOR, too, wePn FEL BAF — Foo 90%. 100, MARINE DRIVE, MUMBA! ~ 400 002 1979a5@ Dated the 12" June, 2015 ived for recovery of investments made NSEL and other related issues Sir, Lam directed to enclose herewith the following representations for your comments and necessary action in the matter under intimation to the Commission. Name of the complainant and date sjain@oneeity.in (received from SEBI) dated 12" June, 2014) Kshitij Rathi HUF dated 21 September, 2013 Recovery of investment "| He has invested hi savings in NSEL and has requested for recovery of his money. Mrs Silvia Vogl, Jamshedpur dated 26.02.2014, 18.03.2014 and 07.05.2014 (received from SEBI) dated 12" 2014) India Infoline Commodities «dated 3" Febr i Rita Ashwin Vadodaria dated 18" March, 2-15 Moti T. Dadlani dated 24% April, 2015 Achal Agrawal dated 2015 Her total investment in the transactions at NSEL is Rs.11,607,89.22 and has requested to kindly give special | consideration for her case on compassionate ground and arrange an immediate refund of at least 50% of her investment for immediate survival | ‘Complaint received from Mr. Bharat Mitter dated 23 January, 2015 and 28" January, 2015 | The investor has a client a/c number registered with Anand | Rathi. There has been delay on her part in submission of | certain details on a/c of Anand Rathi and she is suffering on a/c of defraud of the member. Various irregularities by Motilal Oswal in commodities market jit Comtrade Pvt. Ltd.,(Broker) in collusion witl ‘edits Pvt. Lid., (NBFC) together fraudulently used [S. [Name of the complainant and | ‘Subject matter No_| date | ‘on NSEL (more than 4 his account to invest their huge sun crores). His total investment is only Rs. 97,50,000/-and | total receivable as on dated in Rs.9131338.74 (without 8 | Hirisal Investment Advisors Pvt |__| Ltd., dated 8" May, 2015 9 | Velmurugan dated 2™ June, __ {2015 ____| by Adventures India for one year _ Yours faithfully, hoe (Vishal Nair) Joint Director rage bore uVat ( ~ Subject Law and Order: feedback@ PM India Wob Site From sjain@onecity in Date ‘Thursday, June 12, 2014 10:11 am Yo publiowing pmo@gov in PMO Web Site Feedback, coming through NIC Web Server{Subject) : Law and Order {Name} SUNILIAIN cial et (Address) {e_mail} : sjain@onecity.in © {Suggestions) : NSEL ed by Mr Jignesh Shah has done a au of Rs. $600 crore effecting over 13000 investors which is effecting 13000 faififiés and also effecting credit worthiness of India in international market. Nothing has happened during the Congress rle de to complacency of Govt. We have supported YOU inthe hope that Modi Govt. at center will deal strictly with these seoundrels and help us getting our money back. National Informatics Centre (NIC) WWW Service Eme https://mail.nic.in/uwe/webmail/print.html 14-06-2014 ; Page 1 of | . f \ subject Grievances : feedback@ PM India Web Site Nae From anil@convergenttest.cim ves we Date Wednesday, June 11, 2014 6:13 pm To publovin pogo in a PMO Web Site Feedback, coming through NIC Web Server{Subject) Grievances {Name} Anil kumar or : {Address} : 97 7 th ross lower palace orchards 4 s ' {e-mail}: anil@eonvergentest em (Suggestions) : Dear Sir} and my family join the rest of Kamataka andthe nation in congratulating you for assuming office as the most frtright person Prime minster of tna sever hata one of th 13000 investors of NSEL who js lost i ies ‘savings on which my son and daughters fuure depends on. My hooes of eecovering my hard earned money ffom perratrs ifthe ‘rime aad rhe influental owner of PTTL greet take the ons of retiring our lifes saving. Lam STyears old and dnt know can fulfil my familys deeams sas ¥y only hopem please. Help warm regards Anil kumar National Informatics Centre (NIC) WWW Service ™ petcl ‘This mail has been forwarded from IP Addross: 122.18¥.e7.122 + a, aE. Se | ino acer | \Sxe 18 SEP 2014 toa \ hups://mail.nic.in/uwe/webmail/print. hum) 17-06-2014 pe (= Peas FLvoriand 1/SscosooorrPHWNidlaas VINUBA NaS VuOVHETve Toret ¥ Hi-dos-Lz VSCOS00OIPFHIN/AIESS VINaSA NaS VUGVHEIVE ZaOTsT € yi-dog-2z HES0S000/PLHWIdIg3S VAY TINY 0690 zi L Pi-dag-iz LiLsoso0o/rFHWW/dIaaS: Nive INNS: £6908, ti { uo papiem ON udoy wre[dwoD 143s UIE 10389] “ON paemuy | “ON IS | L DW | cent THIH, UF goer , ge qa? 29,Sadhna Enclave,New Delhi-. UF ew 7. To r The Enforcement Director, Enforcement Directorate, 6" Floor, Lok Nayak Bhawan, khan Market. New Delhi-110003. Respected Sir, = Seat have invested my savings in the National Spot Exchange, with every single passing day coupled with the fact that the Government is doing nothing concrete to recover the dues, my hopes along with that of thousands of innocent and gullible investors, are becoming dimmer. Date: 21.09.2013 Since the NSEL ex-pose, we would like to draw everybody's attention to certain pertinent points, which although already have been discussed, by media and other agencies but for the sake of re-compilation, are as under: ¥ This fiasco is nothing but a criminal conspiracy to defraud the investor community, as a whole; W Tike complete story about adequote end insured stocks, SGF, etc, were nothing but willful mis-statements with the intent of fooling and defrauding investors; How could the exchange carry on its activities for the last five ~ six years and that too on a national platform without attracting any attention from the Government / Quasi- * Government authorities? The failure of the first settlement itself indicates the mockery that the NSEL has made in preparing the so called Settlement Schedule without having any regards of FMC and {y other regulatory authorities whatsoever; The daily varying figures quoted by NSEL (especially SGF) also raises serious questions on their fraudulent intentions, competitiveness and the style of functioning of the Board and the Management; All investors strongly feel that the following persons/ body corporates (going beyond the corporate veil) should be made personally liable and responsible: © The total Board of NSEL; © ‘© The top management of NSEL; © The auditor of NSEL (for certifying books and records without carrying basic necessary Cherks}; © IBMA {for issuing ‘nvoices without checking/ verifying the existence of physical . goods but at the same time collecting C & F char; : © The defaulting debtors’ of NSEL; Y Going by the indicative collections, currently, future pay-out is also going to be a complete wash-out over the hopes of the eagerly awaiting investors; Y As it is that the markets are passing through a bad phase, such fraudulent acts has further dented the image of our community znd markets as a whole; | feel that now some definitive and stern steps by the Government can only bring back some confidence back into the efficacy of the functioning of the markets and salvage some of our battered pride. - Thanking you Yours Faithfully For KSHITH RAIMI HUF, . . Ko tala Romy KSHITIS RATHI KARTA. ef hose Mrs. Silvia Vogt Ye Do, or) 40 Kamani Centre, 2% floor, Je Ay 7 Ait Bistupur "Jamshedpur - 831001 07.05.14 To bene The Under Secretary (RE) Department of Economic Affairs. and North Block, New Deihi- 1 Dear Sir, sé81 plover foec | Ref, e {Memorandum F.No TiziZ0 44. “ie TRARY Sub: A cry for help for reclamation of funds from; es). = lel tof) ae Jam attaching a copy of my representation and your above notes Office Memorandum. | sent one ‘errinder on 18.03.14 (copy enclosed), but have not received any reply as yet I | " In view of my precarious condition, | beg to submit again to piease pay urgent heed to my SOS. and arrange {0 remit at least 50 % of my invesiment /Lie time s--vi2ys on compassionate ground i nope, the desperate request 9) a wonely widew, who Goes ue ce eaiy VET Heine Iw sup poiL would be listened with empathy and the requested amoun! ! Rupees Six Lakhs would be =. remitted on emergency basis for my immediate suraval, (Mrs Silvia Vogl) Bee on er : Encl. 3 letters av . wet oo yedoente alee dermal hus (dE ne F) foorthesowve Rus( i) Mrs. Silvia Vogl 40 Kamani Centre, 2° floor Bistupur Jamshedpur - 831001 18.03.14 To The Under Secretary, Department of Economic Affairs North Block, New Delhi Dear Sir, ‘Sub: A cry for help lor reclamation of funds irom NSEL Ref. Office Memorandum dated 04, 03. 14 from Mr. Debal Patra, Under Secretary, Govt. of India. I had approached the Govt. for an urgent help. As mentioned in my letter dated 26.02.14 (copy attached herewith), | am a lonely widow, aged 64 and suffering from severe Diabetes. | have absolutely no other source of income, | was surviving on the interest income on the life-time savings of my husband, who had expired tong time back \ have invested all my money in NSEL, first time on 17% July, 2013, and immediately there after the NSEL scam has happened. It landed me in a catastrophic situation. | have lost the only means of my sustainability. The refund of my investment is so meagre and slow from NSEL that | am unable even to foot my medical bills. My debts for survival are inoreasing Once again, | would request you desperately to kindly give special consideration to my case on compassionate grounds and arrange, on emergency basis, a refund of at least 50 % of my investment for my immediate survival. Soliciting an early and favorable resoonse, | remain Yours faithfully, Givia Vogl Enel 2 Mrs, Silvia Vogl 40 Kamani Centre. 2" floor. Bistupur Jamshedpur - 631001 26.02.14 To The Seoretary Finance Ministry Govt. of india Dear Sir, ‘Sub: A cry for help for reclamation of funds from NSEL, lam a widow for the last 28 years with no earnings other than interest income on my husband's savings. On an advice that NSEL gives better returns than meagre interest rate and to offset the adverse effect of high inflation rate, | divested almost all my funds and invested for the first time in NSEL. | eniered into a member client agreement with my broker Systematix Commodities Services Pvt Ltd in July, 2013, | had bought a T+2 contract in Paddy in National Spot Exchacne(NSEl) on 47% July, 2013. Simultaneously, | had sold a T#25 contract in Paddy in Nationai Spot Exchange through my broker Systemalix Commodites Services Pvt Lid, having membership no, 13680 on NSEL. The total investment in this transaction involved Rs. 11,607,89.22 (Eleven lakhs sixty thousand seven hundred eighty nine and twenty two paise only). With this NSEL scam, | have lost my only means of sustainability. | am a diabetic patient and the scam is a catastrophe for me, There are big people and big money involved, but for a lonely widow and Sr Citizen, having no other source of eaming like me, it tas landed me in a catastrophic Situation. | do not have any other means to meet my ends, 2s | had invested all my available funds here. It seems to be a long legal battle with NSEL. and the refund of my investment is so meagre and slow that | am unable even te foot my medical hills Itis my eamest reauest to you to Kindly give special consideration to my case on compassionate ‘grounds and arrange an immediate refund of at least 50 % of my investment for my immediate survival Soliciting an early and favourable response, | remain Yours faithfully Hae Weess00orr HWaIeas DOA VIATIS. 828960 WO papieauiad ON uaoy qure|dMIO> 18S DUIeN 20}59AUT ON PIEMUT ONS, OWS Feb. uary 03, 2015 To Mr. Anjani Sinha Managing Director and Chief Executive Officer 4 National Spot Exchénge Ltd No. 256 & 257, ‘ad, Chakala, fheri (East), Mumbai - 400 093 FT Tower, Dear Sir, Subject: Complaint received from Mr. Bharat Mitter dated January 23, 2015 and January 28, 2015 This is with reference to the above complaint received by us about non-settlement of funds dues upon maturity from NSEL, Copy of the above complaint letter is enclosed in Attachment - 1. In this regard, we draw attention to a) NSEL circular dated July 31, 2013 regarding “Suspension of Trading and Postponement of settlement of all one day forward contracts other than e-series contracts" and particularly Para No. 3 point No. ii and iii, which provides that : “Notwithstanding anything contained in the Bye-laws or any contract, it has been decided to merge the delivery and settlement of all pending contracts with effect from today and to defer it for a period of 15 days and consequently, the positions outstanding in the contracts will be settled by way of delivery and payment after expiry of 15 days. ili. A revised settlement calendar will be announced for contracts due for settlement after such 15 days period.” b) Ministry of Consumer Affairs , Food and Public Distribution, Department of Consumer Affairs, (Government of India) Notification dated Aug 6, 2013 and particularly Para 2 (il) provides that : "Settlement of all outstanding one day forward contracts at National Spot Exchange Limited shall be done under the supervision of Forward Market Commission and any Order or direction issued ery (32 ‘ afeuls Mg India none Commodities Ld : sr Nagy = 660 O96 Ta (9* 48: 4598 2590 «Fae (9) 4) 4564 1908 am inGindieinfonins 20% MCX 40470 NCOEN:O057E NSE: 418950 NCDEX Spot 1008" by the Forward Market Commission in this regard shall be binding upon the National Spot Exchange Limited and any person, intermediary or warehouse connected with the National Spot Exchange Limited, and for this purpose the Forward Market Commission is authorized to take such measures, as it deem fit." Keeping in view the above, kindly advise on the settlement and resolution of the above complaint by NSEL with a copy to the client. Yours faithfully, Bhaskar Choudhari Investor Grievance's Cell Encl: As above Cc: Mr. snare perk S2/T6GF $- BLOCK Old Safiavir Nagar few Delhi-110018 1. _Ahe Chairman Forward Markets Commission Government of India Everest Building, 3° Floor 100, Marine Drive Mumbai - 400 002 TI. Ms. Pooja Chau! Investor Grieva National Copartfodity & Derivatives Exchange Limited; Ackruti III. Ms. Jyoti Shrivastava \ Executive: IG & Arbitrati6n Multi Commodity Exchange of India Limited, Exchange Squaré, CTS No.255, India Infoline Commodities Ltd erungut, Chennay Tami Nadu - 600 096 Te: (3-44) 4998 250 MCX 10476 NCDEX-00378 NSEL 19350 NC Tepe Office 0 HOR ] UAE B eT UA\CROTS TOTAL 7. “Arnount deployed by you at NSEL trading platform ‘came from XA Own Fund B. Loan from Friends / Relatives . Loan from Broker, Bank / NBFC / Corporate / Individual etc. (Kindly, provide Name) D. Any other source; if Yes, please specify (if amount came from more than one souree, provide amount against respective sowces) Names PAN Not Req B. | Not Required TOTAL ease attach adaitenal shots incase roqured List of Bank Accounts used for making Payin to | broker and receiving payouts from broker for transactions done at NSEL. ‘Ale No. Bank Name CAMRTAGaL see Gee EQ aS ‘ach adeionalshetta Ta case requ Page 4 of 6 National Spot Exchange Ne ecto Spot Maat yok fore you aware of the Trading Proft/ Lass you | Yes were making for each transaction? No 7B. | What is the net difference of aggregate buy and - ‘sell transactions during April 2013 to July 2013 | Total Buy Value Rs LRUAA SO from trading on NSEL for Traders Contract (after | Total Sell Value Rs LR GAVE considering all taxes & charges)? Less:- Brokerage Rs_2Ssr- We Less:- Taxes and Chgs. Rs._"S\AteR = SB Not Difference:- Rs_AU2S- eh | Net Amount receivable by you as pay-out as on ~ — 31st July, 2013 from NSEL: Rs_BENCAUS Z| Have you received all payouts as declared By ~ NSEL post 17" August, 2013 through your broker? | ‘Yes No ‘Amount received as a part of special payout which | was made by NSEL for small investors having | claims of fess than 10 lakhs Please specify the total amount received post 17° ‘August, 2013 tit 31% Jan, 2016 other than special |R5_ ARUBA payout 22. Net Amount outstanding to be received by you as - — pay-out as on 31st Jan, 2015 from NSEL: Rs SUGKEK _ 23. Do you have any claim’ dispute wih your broker financing company / any other entity towards the outstanding amount, which may affect the future Yes Wo payout amount? 24. Do you have VAT registration? Yes ‘25. | Were you clearing trades through Clearing & Yes — Forwarding (CnF) Agent? I yes, please provide the Name of your CaF Agent(s) ' aaa 2 3 26. | What isthe total value of VAT paid Tor allthe z ~ transactions done at NSEL? Rs_GRES AG Page 5 of 6 National Spot , Exchan= Electronie Spot Mark Fiave you paid ll your VAT labile to the authorities or ensured that your appointed CaF | MYes No Agent(s) has paid the same? 27] Under what head of income from wading a commodities on NSEL trading platform were shown in your Income Tax returns ‘A. Profits and gains of business or profession B. Capital g C. Income from other sources D. Any other source (please provide detail) 28, | Have you paid all other tax labiliies arising because of transactions done at NSEL including ‘Yes No that of income Tax? 25.| Provide PAN No. ofall the related entities and PAN related persons having outstanding as on 31% July, 2013. J Plgase aliachddlional ahoois a case required “30. | Documents required along with this affidavit A. Copy of KYC Documents submitted to Member earlier B. Broker Client Agreement B. Submitted Not Available \Signed, but not available ‘A. Submitted Not Available Signed, but not available C. Copy of Ledger account given by your broker | C. Submitted Hot Available Place: Verified on this day of of the year that the contents of my above affidavit ee eee Ca si Attested Signature and official seal of attesting authority Note: Affidavit to be attested by Judicial Magistrate or Executive Magistrate / Notary Publ notarial stamp would be required) (in case of notary, : appar Joneses soma a= A7 MAR 2015 Page 6 of 6 Ref: NSEL Circular bearing No. NSEL/C&S/2015/002 dated February 09, 2015. This is reference to our earlier communication on the captioned subject. We would like to inform you that on February 23, 2015, after hearing the advocates app inted by us and investors associations, the Hon'ble High Court n is to be furnished National Spot Exchange Limited (NSEL) to maintain status quo until further order and hence no informati to NSEL, as desired by them either directly or through us. Date of next hearing is not fixed. Whenever any new development takes place, we will inform you. case you require inputs in this regard, We shall endeavour to extend our full cooperation Thanks & Regards STATEMENT OF ACCOUNT STATE BANK OF HYDERABAD . SiON MUMBA SAYALAXM CO-OP HOUSING SocieTy, OPP. SION HOSPIT Branch code * 20313 Branch Phone: 24094077 1FSc:SBHYooz0315, Mrs. RITA ASHWIN VADODARIA MICR:400004004 101-102/A, DOSTI ESTATE, METAL Account No. : 62242391393 ROLLING COMPOUND, NEAR SION Product : CA-GEN-PUB-IND-NONRURAL-INR TELEPHONE EXCHANGE, SION MUMBAT Currency : INR 400022 Date : 19/03/2015, Time : 13:16:21, E-mail: Cleared Balance : 12,814.67¢r Uncleared Amount : 0.00 +MoD Bal: 12,814.67¢r 5 Limit : 0.00 Drawing Power: 0.00 Int. Rate : 19.00 % pa. Nominee Name: ASHWIN Statement From 01/04/2014 to 24/11/2014 Page No. Post Value cng.to. Debit Sst ~~ Ballance Date —Date [BROUGHT FORWARD 18693. 34cr 04/04/14 0404/14 DEP TER 579.76 19273. 10ce EFT. HDECO0049891404 RE FR 0999511288008 Neer HDFCODDaSBS1408 8/04/14 08/04/14 DEP TER eae) NEFT HDECOn049851408 ‘TRE FR 0099511280088 NEET HDFCO0049851408 12/04/14 12/04/14 CAS. PRES CHO 226702 1170.00 20571 SERVICE BR. MU Ar PAR CA CHO 12/04/14 12/0a/14 DEP TER 493.24 18808 NEFT HDFC000¢9891.404 ‘TRE ER 0099511260088 NEFr HDECOO0«9891404 2isoa/1d 21/04/24 CAS PRES CHO 226708 2360.00 Fort) 20571 SERVICE BR. MU AT PAR CA CHO EDs" INDUSINDBANK-C 2isoasia 21/04/14 DEP TER 580.25 yni2e.sece NEET HDECD0D49992404 ‘TRE FR 0099511280068, herr preo0049851404 25/04/14 23/04/14 DEP TER 1043.55 30172. 13¢e NEFT HDEcooD49#02404 TRE FR 0099511280088 EET HDFCOooASBS1404 40/04/14 30/04/14 CAS PRES CHO) 226108 2236.00 16936.13¢r 20571 SERVICE BR. Mu at PAR ca cig TDS. INDUSTNOBANK-c CAS PRES CHO 226706 956.00 assao..3cr At PAR cA CH Ws WT NL ~ CARRIED FORWARD : 16425.19¢e axe nice 30/04/14 30047 15,980.13¢r ‘Statement Summary Dr. Count 4 cr. Count 5 5,722.00 3,008.79 In Case Your Account Is Operated By A Leter Of AuthorityPower Of Atiomey Holder, Please Check The Transaction With Extra Care, ENT OF ACCOUNT STATE BANK OF HYDERABAD SION MUMBAI JAYALAXMI CO-OP HOUSING SOCIETY, OPP. SION HOSPIT Branch Code : 20313, Branch Phone : 24094077 IFSC:SBH¥0020313 STA ASHWIN VADODARIA ‘MICR:400004004 12h, DOSTI ESTATE, METAL ~ Account No. : 62242391393 4G COMPOUND, NEAR SION Product : CA-GEN-PUB-IND-NONRURAL-INR HONE EXCHANGE, SION MUMBAI Currency : INR 2 + 19/03/2015 Time : 13:16:21 E-mail: red Balance : 12,814.67Cr Uncleared Amount : 0.00 1D Bal: 12,814.67Cr ate 0.00 Drawing Power : 0.00 Rate: 19.00% pa Nominee Name: ASHWIN atement From 01/04/2014 to 24/11/2014 ost Value Details chq.No Debit, credit Balance ate Date. — [BROUGHT FORWARD : 15980.13¢r 3/95/14 05/05/14 CAS PRES CHO 226707 530.00 15450.13¢r 20571 SERVICE BR, MU AT PAR CA CHD CHE MAHANAGAR GAS 0/05/14 0/05/14 Dee TR nz. 19562.5acr NEET HOECOODS9#91 405, TRE FR 0089511268080 MEET ADECO0049891405, 15/05/14 15/05/18 CAS. PRES CHO 226708 1720.00, 13042. 5ace 20571 SERVICE BR. Mv Ar PAR CA CHO TOs. INDUSTRDBANK-C 21/05/14 21/95/24 DER TR 344.70 14167. 24er NEFY HDECOUOAgHS1405 ORE Fe 0099511268888 NEFT HDFCO0049891405 24/05/14 24/05/14 CAS eRES CHO 226709 2630.00 11497, 24ce, SERVICE BR. MD RT PAR CA CHO Ths INDUSENDBANK-C 28/05/14 28/05/14 DEP TFR 3328.62 14825.86ce NET HOFC000#9092405 a ‘TRE FR 0099511286988 NEFT HOFCOODA9892 405 29/05/34 29/05/14 cH DEE 501759 100000.00 114825.96ce 20571 SERVICE BR. Mu ~ Bor 0000000900000 09/06/14 09/06/14 CAS PRES CHO. 22610 4370.00 60458. 66cr 20571 SERVICE BR. MU AT PAR CA CHO usc 20/06/14 20/05/14 CAS PRES CHO zzeni 4760.00 55695.86cr 20571 SERVICE BR. Hu {AT PAR CA CHO IDs INDUSINDEANK=c 23/06/14 23/06/24 CAS PRES CHO zeen2 531.00 ‘CARRIED FORWARD + ‘Statement Summary Dr. Count 10 Cr, Count 9 70,323.00 1,06,794.52 In Case Your Accounts Operated By A Letter OF AuthortyPower Of Attomey Holder, Please Check The Transaction With Extra Care STATEMENT OF ACCOUNT Mrs. RITA ASHWIN VADODARIA 101-102/A, DOSTI ESTATE, METAL ROLLING COMPOUND, NEAR SION ‘TELEPHONE EXCHANGE, SION MUMBAL Prod STATE BANK OF HYDERABAD ‘SION MUMBAI JAYALAXMI CO-OP HOUSING SOCIETY, OPP. SION HOSPIT Branch Code : 20313 Branch Phone : 24094077 IFSC:S8HY0020313 MICR:400004004 Account No. : 62242391393 luct_ CA-GEN-PUB-IND-NONRURAL-INR Currency : INR 400022, Date : 19/03/2015 Time : 13:16:21, E-mail Cleared Balance : 12,814.67¢r Uncleared Amount : 0.00 +MOD Bal: 12,814.67¢r Limit : 0.00 Drawing Power : 0.00 Ant. Rate: 19.00 % p.a, Nominee Name: ASHWIN Statement From 01/04/2014 to 24/11/2014 Page No. : 3 Post Value Details cha.Ne credit Balance Date Date [BROUGHT FORWARD pera 20871 SERVICE BR. MU Bt PAR ca CHO pesosie 26/06/14 DEP TER 2074.23 56239.09ce NEF? HORC00D¢9891 406 ‘TRE FR 0099511208808 err WorCo0049891 406 02/07/14 07/07/14 CAS PRES CHO 226n3 1245.00 54994.09¢e 20571 SERVICE BR. MU AT PAR CA CHO 02/07/14 02/07/14 CAS PRES CHO 226n08 1228.00 53766.09cr 30871 SERVICE BR. MU AT PAR CA CHO Tbs" INDUSINDBANK-C 04/07/14 04/07/14 CAS CASH CHEQUE 226n6~ 2500.00 28766.09¢e AT PAR CA_CHQ Paid to SELE 10/07/14 10/07/14 CAS. PRES CHO 226ns 2660.00 26106.09¢r 20871 SERVICE BR. MU AT PAR CA. CHO Tbs. INDUSINDBANK-C 22/07/34 22/07/14 DBP TER o4a.2 27080.21¢8 Reet HDEC00049891 407 TRE PR 0099511288888 ner? apec00089851407 2e/07/14 28/07/14 CAS PRES CHO. 226017 5700.00 21350.21¢r 20871 SERVICE BR. MU At PAR CA. CHO Tbs INDUSINOBANK-C 02/08/14 02/08/14 CAS PRES CHO. 226n9 3227.00 20123.21¢ 20571 SERVICE BR. My At PAR CA. CHO 02/08/14 02/08/24 CAS. PRES CHO 2oene 1067.00 19056.23¢e 20571. SERVICE BR. My (CARRIED FORWARD 19,056.21¢r Statement Summary a ~ — 7 Dr. Count 17 cr. Count 11 1,08,450,00 108,812.87 In Case Your Account Is Operated By A Letter Of Authority/Power OF Attomey Holder, Please Check The Transaction With Exwa Cae, « STATEMENT OF ACCOUNT STATE BANK OF HYDERABAD SION MUMBAL JAYALAXMI CO-OP HOUSING - SOCIETY, OPP. SION HOSPIT Branch Code : 20313 Branch Phone : 24094077 IFSC:SBHY0020313 Mrs, RITA ASHWIN VADODARIA MICR:400004004 101-102/A, DOSTI ESTATE, METAL Account No. : 62242391393 ROLLING COMPOUND, NEAR SION Product : CA-GEN-PUB-IND-NONRURAL-INR. ‘TELEPHONE EXCHANGE, SION MUMBAT Currency + INR 400022, Date : 19/03/2015 Time : 13:16:21 _ E-mail: Cleared Balance: 12,814.67¢r Uncleared Amount : 0.00 +MoD Bal: 12,814.67¢r tumit: 0.00 Drawing Power 0.00 Int. Rate : 19.00% p.2. Nominee Name : ASHWIN Statement From 01/04/2014 to 24/11/2014 Page No.: 4 Post Value Details chq.No. Debit, credit Date Date BROUGHT FORWARD : roe [Ag _PAR CA. CHO TDS. INDUSINDBANK-C 1zjoa/i4 12/08/24 DEP 7PR mon 9826.92¢r NEFT HDFC00049891408 TRE FR 0099511280888 NET ADFC00049891.608 . 16/08/14 16/08/14 CAS. PRES CHO. 226120 2430.00 17396.9208 20571 SERVICE BR. MU AT PAR CA CHO ps INDUSINDBANK-C 2iyoe/i4 21/08/14 DEP TER 834.93 19231.85ce NEPr HDPen00s9891408 ‘TRE FR 0099531266888 NEEY HDRC00049891408 02/09/34 03/09/14 CRS PRES CHO 226723 1020.00 17211.88er 20571. SERVICE BR. MU AP PAR CA CHO 1S" INDUSINDBANK-C 93/09/14 03/99/14 CRS_PRES CHO 226721 1672.00 15540.85cr 20871 SERVICE BR. My AT PAR CA CHO Tbs" INDUSINDBANK-C 06/09/18 06/09/14 DEP TPR 3188.27 16729.02ce Neer tDFc00049891 409 RE PR 0099511280088 NEY HDECUOD49®91409, 16/09/24 16/09/14 CAS PRES CHO 226122 289.00 16440.02¢8 20571 SERVICE BR. MU BE PAR CA CHO 18/09/14 18/09/14 CAS PRES CHO 226728 3870.00 14570.02c8 20571 SERVICE BR. MU - AP PAR CA CHO TDs. INDUSINDBANK-C 22/os/ia 22/09/14 DER TER 1059.72 19629. 74ce NEET HDeco0D¢9891.409 CARRIED FORWARD 15,629.74ce ‘Statement Summary aes 7 7 oo Dr. Count 22 cr. Count 15 1,25, 730.00 112,666.40 In Case Your Account Is Opeated By A Leter Of Autboriy/Power OF Atlomey Holier, Please Cbeck The Transsction With Extra Cate STATEMENT OF ACCOUNT Mrs. RITA ASHWIN VADODARIA 101-102/A, DOSTI ESTATE, METAL ROLLING COMPOUND, NEAR SION TELEPHONE EXCHANGE, SION MUMBAI 400022 Date : 19/03/2015 ye 13:16:21 Cleared Balance : 12,814.67Cr +moDear - ——12,814.67Cr Limit : 0.00 Int. Rate: 19.00% pa Statement From 01/04/2014 to 24/11/2014 Post. Date [BROUGHT FORWARD : ‘TRE FR 0099511288088 NET HOFCO0049691.409, 13/11/24 13/11/24 CAS PRES CHO 20571 SERVICE BR. MU BT PAR CA CHO pS. TNOUSINDBANK-C DEP TER NePT HDFco0049691411 ORE FR 0099511260888 : NET HOPCO0049091411 CLosine BALANCE ‘Statement Summary ~ Dr. Count 23 cr. Count 16 226728 STATE BANK OF HYDERABAD. SION MUMBAI JAYALAXMI CO-OP HOUSING SOCIETY, OPP. SION HOSPIT Branch Code : 20313 Branch Phone : 24094077 IFSC:SBHY0020313, MICR:400004004 Account No. : 62242391393 Product : CA-GEN-PUB-INO-NONRURAL-INR Currency : INR E-mail : Uncteared Amount : 0.00 Drawing Power : 0.00 1,19,380.00 ASHWIN 15629. 74ce 3650.00 11979, 74ce 234,93 22014. 67ce 32, 814.67¢r 3,23,502.33 ln Case Your Aesount Is Operited By A Letter OF AuhottyPower OF Attorney Holder, Pease Check The Transaction With Extra Cae *** END OF STATEMENT *** wot Gai sem (PERMANENT ACCOUNT NUMBER, 8 ACAPV9517B RITA ASHWIN VADODARIA ‘ona 2 ATH Na - [ASHIWN VADODARIA 2a AR Omer ARNH 06-01-1956 Big sea Fetes (cat) ona yagz/ $0770 nes92sis vonava ww PeTLYWWTH NSOVYONYH KATHY Tiamaey VTE VMMEN TAs piv y ans dvs aie tisseezomMos + B>>d>>Er>Vz>>>>2>>EBZ90LZI9IOLOPSON TI? >>>>>>>>>>>> VW ANTMHS YOVLTY>>¥TAYdOGY 19062 rvewne | TMS @n unanyy _ 9561/10/90 4 Nvion. vewoaminnsy vate 4 vravaooya oLovgoer 5 MOTI T. DADLANI 2002, The Imperial Phones: 2353 3376 South Tower Tele-Fax No. 2351 6949 B. B. Nakashe Marg, Behind Mahindra Hights, email :Dadlani_m@yahoo.co.in Tardeo, Mumbai 400 034 Date : 24" April 2015, By Fax/E-mail/Courier/Reqd. A/D 347 Forward Markets Comhission, EVEREST, 3rd Flo, * 400, Marine Drive Mumbai- 400 002. 2. National Spot Exchange Limited FT Tower, 4th Floor, Suren Road, Chakala, Andheri (East), Mumbai - 400 093 Dear Sir/Madam, Sub: Various irregularities by Motilal Oswal Group in commodities market 1. | write to you as an aggrieved investor of the commodities market on National Spot Exchange Limited (‘NSEL’) 2. Sometime around 2010, |, alongwith my wife Mrs. Reshma Dadlani opened a trading account with M/s. Motilal Oswal Securities Limited (‘MOSL") for investments in securities/ shares. 3. In view of my past relationships with MOSL, on or about March - April 2013, one Mr. Santosh Kumar Mahapatra, claiming to be the Associate Vice President — Wealth Management of the Motilal Oswal Group and Mr. Dhiren Shah, claiming to be the Wealth Management Department of the Motilal Oswal Group (‘said Representatives’) approached me with a proposal to invest in the Spot Commodity Exchange being NSEL. These said Representatives explained to me that the transactions on the NSEL would be undertaken by one of the Group companies of the Motilal Oswal Group. It was explained that an account would be opened in my name, which would be jointly funded by another group company of the Motilal Oswal Group. o@ 2 It was represented to me that such an investment, which would be in the nature of joint venture, would yield a return of about 13% to 14% per annum. The said Representatives offered that Motilal Oswal Group would invest about three times the amount that would be invested by me. The said Representatives also represented to me that the profits in such investment would be shared in the same ratio as the investment. | informed the said Representatives that | do not understand commodities market and therefore, will not be able to trade on the NSEL. However, the said Representatives induced me to invest in commodities market and represented that | could start with a small investment while the Motilal Oswal Group would also invest about three times of my contribution to enable me earn decent returns from the commodities market. | was given to understand that such joint investment in commodities market was permissible. Relying on the representations made on Motilal Oswal's behalf, | agreed to jointly invest with Motilal Oswal in commodities on the NSEL through one of the group companies i.e. Motilal Oswal Commodities Broker Pvt. Ltd. (‘MOCBPL"). It was further represented that NSEL was a quasi-government exchange, which infact prompted me to invest in commodities through the said NSEL. It was assured to me that the total investment will be made in the NSEL through my trading account, which was linked with the NSEL and operated by the said MOCBPL. After a few days, | handed over a cheque of Rs.50,00,000/- (Rupees fifty lakhs only) dated 6” May, 2013 bearing No.632844 drawn on ICICI Bank Limited in the name of the said MOCBPL towards my contribution for the joint investment. It was agreed that Motilal Oswal would operate the NSEL trading account and take all decisions relating to investment and disinvestment. Thereafter, | was asked to sign a bunch of papers. When asked what the bunch of papers consist of, | was informed that they were usual documents for account opening and operations. | also pointed out that the pre-printed documents consisted of a number of blanks to which | was assured that the blanks would be filled by them and that | was only required to sign at the place instructed by them. Accordingly, ! signed those papers wherever instructed to do so. | was also made to sign a Power of Attorney, which | was again assured that the same would be notarized later by Motilal Oswal at their end. | was assured that the Power of Attorney was a formality to authorize Motilal Oswal to operate my bank account linked with the trading account for better and faster remittance. However, | was assured that Motilal Oswal will keep me informed with all transaction and will obtain my instructions before executing any trades on the NSEL. Infact, | was specifically requested to ignore the nomenclature of the forms signed by me stating that these were usual precedents used by Motilal Oswal for such joint transactions. Relying on the representations made by Motilal Oswal, | simply signed the _Papersfforms in good faith believing the same to be requisite forms to be Hee > chess" 3 submitted to the NSEL for undertaking commodity trading on the said exchange. Infact, such papers/forms were neither dated nor signed by MOCBPL and/or any other group company of Motilal Oswal group. y\M WA 9. Thereafter, | was neither contacted by MOCBPL nor any other group company of Motilal for procuring any instructions for executing the trades on the NSEL. After a few days | contacted the said representatives, who informed me that MOCBPL (without any specific instructions from me) undertook transactions on my behalf ‘on the NSEL and invested my contribution alongwith the contribution of Motilal Oswal in commodities and periodically credited amounts received from NSEL. | was assured that the Motilal Oswal will take all care and caution in making investment in the NSEL and | should not worry about my investment. Pertinently, Motilal Oswal took all decisions with regard to buying and selling of commodities , on the NSEL. As assured, | received few statements issued by MOCBPL either from the relationship manager or directly from MOCBPL. However, after such initial interaction, there was no further communication from Motilal Oswal regarding the joint investment. Infact, inspite of assurances, | received no return of my (joint) investment made through Motilal Oswal. 10. Thereafter, on or about 17” December, 2013, | was shocked to receive a letter from one of the group companies of Motilal Oswal Group alleging that | have taken a loan from Motilal Oswal and calling upon me to pay a sum of Rs.1,40,47,246.38 under a so-called Master Loan Agreement dated 2" March, 2013 allegedly executed at Delhi between me and Motilal Oswal Financial Services Limited ("MOFSL"). On 25" January, 2014, | aptly replied to the said letter denying availing of any loan as alleged by MOFSL. Thereafter, on 21" February, 2014, | received a letter from one Mr. Vivek Khemka, as an arbitrator of the arbitral proceedings initiated by MOFSL. 14.Upon Statement of Claim being filed by the said MOFSL, | learnt that the claim of Motilal Oswal pertains to Contract Note Nos. 0004195 and 0004196 purportedly for a sum of Rs. 1,82,82,531.49. These transactions have been entered into by MOCBPL and/or MOFSL without my knowledge/instructions. Upon reading various media reports and finding out details about what is known as the “NSEL Scam’, it now emerges that the two Contract Notes No. 0004195 and 0004196 are bogus and/or fabricated as alleged by MOCBPL themselves and complaints with the Economic Offense Wing (EOW) of the Mumbai Police also have been registered by Motilal Oswal and further criminal cases have also been filed against the defaulters under the provisions of Indian Penal Code. Therefore, despite the fact that the transactions represented by the two Contract Notes No. 0004195 and 0004196 have been entered into by Motilal Oswal on their own accord, without proper due diligence and/or out of negligence, Motilal Oswal is now seeking to recover the money jointly invested by them from me on one hand (on the pretext of an alleged loan) and also from NSEL on the other hand, by fing various complaintsitigatons. BW 4 “ 12.In light of the above, it is apparent that the Motilal Oswal Group has floated various companies like MOCBPL and MOFSL to collude and make a mockery of various rules and regulations governing commodities market only to suit their interests and make wrongful gains at the cost of gullible investors like me. | humbly request you to look into the above complaint on an urgent basis since Motilal Oswal’s mala fide intentions are causing undue hardships not only to senior citizens like me but also public at large. | therefore implore that necessary action is initiated against the Motilal Oswal Group/ its promoters and officers for cheating public in the name of joint investment in commodities market through the NSEL exchange. Yours truly, diani ee lof? hnips://mail gov inviwe_statie/lay Ww shell html lang=en&3.0.0.0.1_9 Subject Fwd: Geojit Comrade in NSEL matter , To. nutanraj.{me@nic.in, usha.suresh@nic in, 7 skmohanty91@nic.in, dir2,fme@nic.in, dir.enforcement.fme@nic. in, s.pungia@nic.in, _._ dhatmarajan.fme@nic.in, dirt mum,fme@nic.in Q— esti, Date: 04/02/15 04:10 PM D/ aw) From, Achal Agrawal “S Geojit_Ledger.nisx (12k8) - Forwarded message From: Achal Agrawal Date: Thu, Apr 2, 2015 at 2:33 PM Subject; Re: Geojit Comrade in NSEL matter To: Arvind Wadhankar Respected Sir, In reference to my email dated 19/3/2015 regarding complaint of M/s Geojit Comtrade Pvt Ltd & Geojit Credits Pvt Ltd for creating forged loan agreements & other documents in my name, | would further like to submit as below. Ihave come to know that M/s Geojit Comtrade Pvt Ltd (Broker) in collusion with Geojit Credits Pvt Ltd (NBFC) together fraudulently used my account (UCCA013) and PAN (ANLPA1229P) to invest their huge sums on NSEL. I have come to know that the above mentioned culprits have invested sums of more than 4 crores fraudulently using my Account and PAN: My total investment on NSEL is only Rs. 9750000/- and total outstanding (receivable) as on date is Rs, 9131338.74 (without interest). The amount received so far from NSEL through my broker Geojit Comtrade Pvt Ltd is only Rs. 618661.26 which has been received in My ICICI Bank Ltd A/c No: 004505500384 , Madhuban Branch, Udaipur as and when disbursed from NSEL Escrow account. Also you can observe that the amount received back are in accordance to my actual investment amount only. That the money which | invested on NSEL through my broker Geojit Comtrade Pvt Ltd was only through my above mentioned bank account and no other money from anywhere was invested by me on NSEL . 1am attaching herewith a ledger copy of Geojit Comtrade Pvt Ltd maintained by me. This ledger ‘contains all the actual bank transactions done by me on NSEL through Geojit Comtrade Pvt Ltd. Ihave not taken any loan from anywhere for investing on NSEL and neither have received any such amount in any of my bank accounts, never gave any interest, repayment of any such loan. Kindly investigate in this serious matter of forgery done by M/s Geojit Comtrade Pvt Ltd and M/s Geojit Credits Pvt Ltd together. 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J. Towers, Delal Street, Mumbai - 400 023. E-mail: mssspl@gmail.com OMMODITIES SERVICES PRIVATE LIMITED) With reference to our earlier letter dated 23.04.14, 27.05.14, 04.03.2015 in this regards, 1, Particulars Of the Investor / Client ‘Name of the Investor / Client : HRISAL INVESTMENT ADVISORS PVT LTD. Investor / Client Code (Give by Member): HN956 PAN* : AABCH3754N Telephone No. (Landline No.) : 022-2272 1542 Email Id : msssp!@ email. com 2. Particulars of the Member Name of the Member against whom the Complaints is made : SYSTEMATIX COMMODITIES SERVICES PRIVATE LIMITED Unique Member Code allotted by FMC : NSEL MEM NO: 13680 & SEBI REG NO MCX-CORP-1089 3. Complaint Type : Trade Related Dispute HRISAL INVESTMENT ADVISORS PVT. LTD. : CIN ; U65990MH1990PTC056179 1020, 10th Floor, P. J. Towers, Dalal Street, Mumbai - 400 023. E-mail: mssspl@gmail.com 4. Brief Details of the Complaints: ‘The above trade in another client code and the put those trade in our client code HN956 and not paying our due. Enclosed herewith NSEL confirmation dated 01.02.2014 that, the trades were not done in our client code. Original trade time was different and the trade was in other client code which was subsequently, Put in our client code. ‘Our dues are pending which the SYSTEMATIX COMMODITIES SERVICES PRIVATE LIMITED member has still not paid 8, Exchange(s) to which complaints pertains* : NSEL 6. Whether the Said Complaints was Lodged With the Exchange earlier: Yes 6 (@IEYES, a. Status of the Complaints lodged With Exchange: (Reference No. / Letter No, & Date) : REFER TO LETTER ENCLOSED DATED. 01.02.2014 b, Details of the response received from Exchange (Reference No / Letter No. & Date) REFER TO LETTER ENCLOSED DATED, 01.02.14 Please ask the above member to immediately release our payment for trades of other clients put on our account. | For Hrisal Investment Advisors Pvt. Ltd ‘Our email to NSEL dated 30.01.2014 RTGS Details for payment of Rs. 68,00,000/- lacs on 30.07.2013 to | SYSTEMATIX OMMODITIES SERVICES PRIVATE LIMITED | ENCL: NSEL Email Dated 01.02.2014 — 7 Wid zeerr amy open) ooze | 5 Gnouseranvoews | or] waerr| azz | rizioococozese wa peer aun open) os seee | a Uumorzranvorns | ot) acer! use | exzzooo0c0ze121 © 25 / ou | ow pew efuevoxs] aie | (B) ng owen dies} ho] spew | ape. on 22010 2900 won| aun suoaeiasqn Suymoyoy Yam aseqeiep sno UI 3six9 Aue sapes) Paypene aun ‘}eU papuadde pUE ETOT aqWa2IG HT PareP J9N1a] 1NOA 03 BUBEIN LI) ‘we en preoy9n apes. my erie yioe 08) Wee 3 cuoo yewEdssew Uupes pr ns semneneg sso Sotmsnne wa 9s 18 r10z ‘ez dy “POM 4927 UOREAYUAA apes) twos wew6Bydsssurvupe> prT mag Sonundes SSH oboe (a) seupuy “een 9 spuebeu ss) clr ose coone amonsereaoenson | ob} waeez} cin | eezcocospazeizi 95 9 poypou pu "W249 14IO UY BE ZS woviersevenson | 01] wesc} ear | izzoc0a0eezeize 64) cuae'sose ‘ein au, 29811 EuBO] oF Fa0e prem NaLamaIRQNBRSMNST amannation2rfio8 BUT UONEDUUON AMAT AION crane] @ ronemeins| 12 toodoeocetz | e10e 20 92 eu) tebe wmiass| to} | weeves | aie sa se0 | soe (OBSE1 ON dusiequieA) Pry ‘Ad SeoyVes senpouWod xeWaIshs YBNoWN (9G6NH '@PO 1U8IK9) peywin er sepa anul SUH 40) TASN Uo painoaxa siepso ‘ojou roequoD au} uJ pouoAUEW dutes own ein 3B Bpoo ano un auop aiem S2PEA molaq 8 Jo UOREDYLAN @peN} JO} BrY! 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PauoAUOW duIe}s BWR a4} J Bpo9 JNO UI UOP atom sapE.s enonY sese00 coowse| s |ranovsereanensow | 01 Jrassz| seecvi| cu Jaczooooqeoceics | ove sobe Zissooo |} —coevece | ccveoc } = | unoviereeccnsow | 0 | masse cl sor | secooooeereres | ioe ese cxesno| conve] covers] =| nonsense vwasrs | orerat| sue [sesomouonier [our ose sour OMEN 9 wn ste 200 00r equi “anu aueW 004 3001 p,€ 3821003 “ep jo wuawUjaAae “UoIssIWWOD SIBHEW PyENVOJ “uewureug @uL “0190. ra097) UO ADE aL A= srl -atassmomaneuant—wn97 pep arsnog Date 08/05/2015 To, Date:-Jul 30 2013 To Client Name:-HRISAL INVESTMENT ADVISORS PRIVATE LIMITED Client Code:-HN956 Dear Investor, ‘Sub: Confirmation of RTGS Received We have received a RTGS of Rs:- 6800000,00(Rupees Sixty Eight Lakhs Only) vide RefNo.- 0 on dated:- Jul 30 2013. ‘Systematix Commodities Services Pvt. Ltd. ‘This is System Generated email. If you find any discrepency, please contact to your respective branch/relationship manager. confidentiality & Disclaimer: This message contains confidential information and is intended only for the individual named. If you are not the named addressee you should not isseminate, distribute or copy this e-mail. Please notify the sender imnediately by e-mail if you have received this e-mail by mistake and delete this e-mail from your system. E-mails are not encrypted and cannot be guaranteed to be secured or error- free as information could be intercepted, corrupted, lost, destroyed arrive late or incomplete, or contain viruses. The sender, which includes Systematix Shares & Stocks (1) bed, and its group companies, will not be liable for any errors or omissions in the contents of this message which Arise as a result of e- mail transmission. If verification is required please request a hard-copy Version. This message is provided for informational purposes and should not be construed az a solicitation or Offer to buy or sell any securities or related financial instruments. This message (including any attachments) is intended only for the use of the individual or entity to which it is addressed and may contain information that is non-public, proprietary, privileged, confidential, and exempt fron disclosure under applicable law or may constitute as attorney work product. If you are not the intended recipient, you are hereby notified that any use, dissemination, distribution, or copying of this communication is strictly prohibited. If you have received this communication in error, notify us immediately by telephone and (i) destroy this message if a facsimile or (4) delete this message immediately if this is an electronic communication. Thank you. HRISAL INVESTMENT ADVISORS PVT. LTD. 1020, 10th Floor, P. J. Tower, Dalal Street, Mumbai - 400 023 To, Forward Markets Commission, Government of India, Fverest, tnd Floor, 100 Marine Drive, ‘Mumbai 400 002 Dear Sir/Madam, , Sub: Complaint against Member (S¥STEMATIX COMMODITIES SERVICES PRIVATE LIMITED) 1. Particulars ofthe Investor / Client [Name of the Investor / Client: HRISAL INVESTMENT ADVISORS PVTLTD. Investor / Client Code(Given by Member) : HN9S6 PAN® : AABCH3754N Telephone No. (Landline No} 022-22721542 rnail Id: ssspl@gmail com 2. Particulars of the Member Name of the Member against whom the complaint is made : SYSTEMATIX COMMODITIES SER VICES PRIVATE LIMITED ‘Unique Member Code alloted by FMC : NSEL MEM NO. 13680 & SEBI REG NO : MCX-TCM-CORP-1089 3. Complaint Type: Trade Related Dispute 4. Brief Details ofthe Complaint ‘The above member traded in another client code and then put those trade in our client code HN956 and is not paying, ‘our dues. Fnclosed herewith NSFL. confirmation dated 01.02 14 thatthe trades were not dane ia our client code, Original trade time was different and the trade was in other client code which was subsequently put in our client code 5. Exchange(s) o which complaint pertains* : NSEL 6. Whether the sald complaint was lodged with the Exchange earlier: Yes 6.@) Ives, a. Status of te complaint lodged ‘with Exchange (Reference No. Letter No. & Date) : REFER TO LETTER ENCLOSED DATED 01 02.14 b. Details of the response received fiom Exchange (Reference No / Letter No. & Date) REFER TO LETTER ENCLOSED DATED 01.02.14 For Hrisal Investment Advisors Pvt. Ltd HRISAL INVESTMENT ADVISORS PVT. LTD. 1020, 10th Floor, P. J. Tower, Dalal Street, Mumbai - 400 023. 5 2UN111990PTCO56179 E ‘mail : msssy ‘@amvil.com 27:08 2014, To, Forward Markets Commission, Government of India, Everest. 3" Floor, 200 Marine Drive, Mumbai ~ 400 002 Sub: Complaint against Member (SY STEMATIX COMMODITIES SERVICES PRIVATE LIMITED) Dear Sir/Madam, 1. Particulars of the Investor / Client Name af the Investor / Cent: HRISAL INVESTMENT ADVISORS PVT LTD. Tnvestor/ Client Code (Given by Meanber) : HNDS6 PAN*: AABCH3754N ‘Telephone No, [Landline No}: 022-22721542 Email 1é: mssspl@-gmail.com 2. Particulars of the Member Name of the Member against whom the complaint is made: SYSTEMATIX COMMODITIES SERVICES PRIVATE LIMITED Unique Member Code alloted by FMC: NSEL MEM NO: 13680 & SEBI REG NO: MCX-TCM-CORP-1089 —— : HRISAL INVESTMENT ADVISORS PVT. LTD. 1020, 10th Floor, P. J. Tower, Dalal Street, Mumbai - 400 023, CIN: UE59°OMI11990PTCOS6179 Eazail : meses 1o iail.com 3. Complaint Type: Trade Related Dispute 4. Brief Details of the Complaint ‘The above member traded in another client code and then put those trades in our client code HIN9S6 and is not paying our dues. Enclosed herewith NSEL confirmation dated 01.02.14 that the tades were not done in our client ‘ode. Original trade time was different and the trade was in other client code which was subsequently put in our client code, 5, Exchange(s) to which complaint pertains": NSEL. 6. Whether the said complaint was lodged the Exchange earlier: Yes 6. (@) YES, 1. Status of the complaint lodged. with Exchange: (Reference No. / Letter No, & Date), REFER TO LETTER ENCLOSED DATED 01.02.14 b, Details of the response received from Exchange: (Reference No, /Leter No. & Date) : REFER TOLETTER ENCLOSED DATED 01.02.14 For Hrisal Investment Advisors Pvt. Ltd. ENCL: NSEL LETTER DATED .1.02.14 & OUR LETTER 30.01.14 HRISAL INVESTMENT ADVISORS PVT. LTD. 1020, 10th Floor, P. J. Tower, Dalal Street, Mumbai - 400 023. CIN: Tesora tsngpTcgsg: 79 E 21: Soy WEIOSIL COLL 4® March, 2015 To, Forwards Markets Commission, Government Of India. Everest 3" Floor, 100 Marine Drive, ‘Mumbai — 400 002 Sub : Complaint against Member (SYSTEMATIX COMMODITIES SERVICES PRIVATE LIMITED) Dear Sir / Madam, With reference to our earlier letter dated 23.04. 14, 27.05.14 in this regards, 1. Particulars Of the Investor / Client Name of the Investor / Client : HRISAL INVESTMENT ADVISORS PVT LTD. Investor / Client Code (Give by Member): HN956, PAN* : AABCH3754N Telephone No, (Landline No): 022-2272 1542 2. Particulars of the Member ‘Name of the Member against whom the Complaints is made : SYSTEMATIX COMMODITIES SERVICES PRIVATE LIMITED Unique Member Code allotted by FMC : NSEL MEM NO: 13680 & SEBI REG NO MCX-CORP-1089 3. Complaint Type : Trade Related Dispute 4. Brief Details of the Complaints: ‘The above trade in another client code and the put those trade in our client code Hin956, and not paying our due. Enclosed herewith NSEL confirmation dated 01.02.2014 that HRISAL INVESTMENT ADVISORS PVT. LTD. 1020, 10th Floor, P. J. Tower, Dalal Street, Mumbai - 400 023, CIN ; Hes990MH fosePT cose 79 Eaail wis, We com ‘The above trade in another client code and the put those trade in our client code Hn956 and not paying our due, Enclosed herewith NSEL confirmation dated 01.02.2014 that the trades were not does in our client code. Original trade time was different and the trade was in other client code which was subsequently put in our client code. Exchange(s) to which complaints pertains* : NSEL, 6 Whether the Said Complaints was Lodged With the Exchange earlier: Yes 6 (@IFYES, 2. Status of the Complaints lodged With Exchange (Reference No, / Letter No. & Date) : REFER TO LATTER ENCLOSED DATED 01.02.2014 b, Details of the response received from Exchange: (Reference No / Letter No. & Date) : REFER TO LETTER ENCLOSED DATED 01.02.14 Wd 71:9 prozPoreT [_mezrereeanioul owe] 8 unonszrenvoens | or] vers] exze| riziononsozeizn ssa] siozu09e | na ecere-su ve) opeece] 8 tuncverencens | o| macro] cuz] exztooooesi2: osae] cir uoee { = = e = ny © } es wu] ov | peur: suman] oy] (nd ewevdios| 0} ope) ope avec] ewronmro] ta | ssuonensasqo Guymoyos yum aseqerep sno Ul IsiKe ave sapen paysene aun ‘Jeu Papuadde Ue CTO “HAqWADAG wht PAP 49179) 4noK 02 B2UB1044 UAIM Wal eS'e ve Plog ‘cz ay POM _euoo yewB@ydsssuruupe> pr Mid SONANDNS SSH "we ew /41S id 86:5 18 P1OE "1 924 ‘eS - pry He 82 95 SSW Hoss Wa w9 FL queyunosoy “108 PIT Vig SJOSMpY ]UEWUISEAL| [ESUH 40-4 nay sun, ‘no, SupueUL ‘ides ydwosd e 0} peNv9} BUD}00" pue snok ye sidieney esnoyose ny pevoquelu oto UoJssassod Pe LONEODITY esynINeIS peupene ow WM Buo}e SEN duDg PUR 2oUd AID ‘eULL PEA, "ON EPELL “ON JePAO BORE OM [yuen pue wyuoo eseeld ‘Osi¥ ‘201/925 Pun} NOK Jo} PaYDEHE SB}OU JENUOD SEC “jou yoesquoD olp u! peuoUU dUIEIS OWA stp ye BPO 4NO UL QuOP 219K sepen enogy sies000] oooorie | ovoe | s_| Lunor szteaocmsson wsesz | eves | 214 | azzooo00e0zeszh | ev0e cose “UMODETEBOENSON | 0} | dese | zie5ns | 904 | HZZOOOEOHOZEIS | e507 20 52 vesto0 | ozone | evans | a Cmonscrenvoens | 01 | wacesr| zecrat | s12z | rizionoocozenzs | f10e 4087 ‘oces000 | onoizre | 00'szhe Plocieorez 200 OoF feawnw ‘enug euuew 001 40014 »,€ 1881003 “eIpuj Jo awe? “uoissiWWog SJeHEWV PIENOJ “uewuleug euL “4 0199 sch Jaue7 uonvOUUaN 9DUsT =A DAA BUN ‘Complain for Investor Grievance Coll Date: 06/02/16 12:55 PM FORWARD MARKETS COMMISSION

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