Report 1C: Report of Redressal of Complaints lodged by clients against Trading Membe

Total number of active clients for all 4288171

the stock brokers of the exchange
Percentage of total number of 0.11
complaints received as against total
number of active clients for all the
stock brokers of the exchange
Percentage of total number of 100
complaints redressed as against total
number of complaints received
(Overall market redressal rate)

NO. OF
DEFAULTER UCC OF ACTIVE COMPLAINTS
SN NAME OF THE TM
(YES/NO) CLIENTS RECEIVED
AGAINST TM*

1 INDIA INFOLINE LTD. No 235241 341

2 ANGEL BROKING PRIVATE LIMITED No 140174 337
3 UNICON SECURITIES PVT. LTD. Yes (Expelled) 10068 315
4 KOTAK SECURITIES LTD. No 223280 188
5 BMA WEALTH CREATORS LIMITED No 35240 180
6 RELIGARE SECURITIES LTD. No 116104 168
7 ICICI SECURITIES LIMITED No 500733 148
8 SHAREKHAN LTD. No 274777 142
9 NIRMAL BANG SECURITIES PVT. LTD. No 49797 138

10 MOTILAL OSWAL SECURITIES LTD. No 123022 120

11 SMC GLOBAL SECURITIES LTD. No 55627 116
12 KARVY STOCK BROKING LTD. No 126308 114
13 ROYAL INTERNATIONAL SHARES No 602 100
PRIVATE LIMITED
14 SBICAP SECURITIES LIMITED No 68328 92
15 INDIABULLS VENTURES LTD. No 46314 85
16 EDELWEISS BROKING LIMITED No 23601 85
17 C.D. EQUISEARCH PVT. LTD No 12655 85
18 RELIANCE SECURITIES LIMITED No 92907 81
19 BONANZA PORTFOLIO LTD. No 30449 76
20 ANAND RATHI SHARE AND STOCK No 49860 74
BROKERS LIMITED
21 HDFC SECURITIES LTD. No 278706 73
22 ADITYA BIRLA MONEY LIMITED No 41531 72
23 CLICK2TRADE CAPITAL LIMITED Yes (Expelled) 200 51
24 GLOBE CAPITAL MARKET LIMITED No 16860 48
25 GEOJIT BNP PARIBAS FINANCIAL No 148176 42
SERVICES LIMITED

# A80000Confidential
26 EDELWEISS FINANCIAL ADVISORS No 36734 40
LIMITED
27 FAIRWEALTH SECURITIES LIMITED No 10100 39
28 VENTURA SECURITIES LTD. No 39904 38
29 STANDARD CHARTERED SECURITIES No 11732 38
(INDIA) LIMITED
30 TRUSTLINE SECURITIES LIMITED No 14847 36
31 SHRIRAM INSIGHT SHARE BROKERS No 34506 34
LIMITED
32 DESTIMONEY SECURITIES PRIVATE No 7601 33
LIMITED
33 LKP SECURITIES LTD. No 13855 32
34 BELAIR CORPORATION PRIVATE No 147 31
LIMITED
35 AMRAPALI AADYA TRADING & No 3497 28
INVESTMENT PRIVATE LIMITED
36 INDITRADE CAPITAL LIMITED No 0 27
37 KEYNOTE CAPITALS LTD. No 1715 26
38 INTEGRATED ENTERPRISES (INDIA) No 28807 24
LIMITED
39 KASSA FINVEST PRIVATE LIMITED Yes (Expelled) 1388 23
40 MASTER CAPITAL SERVICES LIMITED No 28596 22

41 HSBC INVESTDIRECT SECURITIES No 11082 22

(INDIA) LIMITED
42 PUG SECURITIES PRIVATE LIMITED No 226 20
43 OMJI CAPITAL No 132 19
44 KAYNET FINANCE LIMITED No 2511 19
45 NETWORTH STOCK BROKING LTD. No 11631 18
46 IDBI CAPITAL MARKET SERVICES No 20610 17
LTD.
47 AXIS SECURITIES LIMITED No 77333 16
48 ABHIPRA CAPITAL LTD. No 3557 16
49 ARCADIA SHARE & STOCK BROKERS No 12475 16
PRIVATE LIMITED
50 ASHLAR SECURITIES PRIVATE No 1979 15
LIMITED
51 NAVIA MARKETS LTD. No 3706 14
52 IFCI FINANCIAL SERVICES LIMITED No 5995 14
53 SHRI PARASRAM HOLDINGS PVT. No 18162 14
LTD.
54 EMKAY GLOBAL FINANCIAL No 13615 13
SERVICES LIMITED
55 SUSHIL FINANCIAL SERVICES No 14797 13
PRIVATE LIMITED
56 SS CORPORATE SECURITIES LIMITED No 4631 13

57 R K GLOBAL SHARES & SECURITIES No 10164 13

LIMITED
58 LABDHI STOCK & DERIVATIVES No 0 13
SERVICES PVT. LTD.
59 SWASTIKA INVESTMART LIMITED No 8862 12

# A80000Confidential
60 ASIT C MEHTA INVESTMENT No 20953 12
INTERRMEDIATES LTD.
61 BEST BULL STOCK TRADING No 1003 12
62 GUINESS SECURITIES LIMITED No 10351 12
63 WAY2WEALTH BROKERS PRIVATE No 17266 11
LIMITED
64 JUST TRADE SECURITIES LIMITED No 4048 11
65 ZUARI INVESTMENTS LTD. No 2953 11
66 SKP SECURITIES LTD. No 3793 10
67 ACUMEN CAPITAL MARKET (INDIA) No 4593 10
LTD
68 PRABHUDAS LILLADHER PVT. LTD. No 9745 10
69 INDIANIVESH SECURITIES PVT. LTD. No 5152 9

70 BLUE CHIP CORPORATION PRIVATE No 73 9

LIMITED
71 SHILPA STOCK BROKER PRIVATE No 3097 9
LIMITED
72 STOCK HOLDING CORPORATION OF No 0 9
INDIA LTD
73 EDELWEISS SECURITIES LIMITED No 1385 8
74 KANTILAL CHHAGANLAL SECURITIES No 2880 8
PRIVATE LIMITED
75 BERKELEY SECURITIES LIMITED No 1219 8
76 TATA SECURITIES LIMITED No 5378 8
77 FUTURE CAPITAL SECURITIES No 2768 8
LIMITED
78 ZERODHA No 17523 8
79 BGSE FINANCIALS LIMITED No 12788 7
80 BP EQUITIES PRIVATE LIMITED No 3594 7
81 ALKA SECURITIES LTD No 0 7
82 ARIHANT CAPITAL MARKETS LIMITED No 14684 7

83 THIRANI SECURITIES PVT LTD No 332 7

84 ISE SECURITIES & SERVICES LIMITED No 14091 6

85 SSJ FINANCE & SECURITIES PVT. No 7603 6

LTD.
86 ALMONDZ GLOBAL SECURITIES LTD. No 2138 6

87 CONSORTIUM SECURITIES PRIVATE No 6036 6

LTD.
88 INDIAN FINANCE GUARANTY LTD. No 252 6
89 BANSAL FINSTOCK PRIVATE LIMITED No 2486 6

90 TRANSPARENT SHARES AND No 216 6

SECURITIES PRIVATE LIMITED
91 MONARCH PROJECT & FINMARKETS No 13134 6
LIMITED
92 AXIS CAPITAL LIMITED No 26516 6
93 BEZEL STOCK BROKERS PRIVATE No 1252 6
LIMITED

# A80000Confidential
94 RAGHUNANDAN CAPITAL PRIVATE No 1223 6
LIMITED
95 SKI CAPITAL SERVICES LTD. No 1326 6
96 MANGAL KESHAV SECURITIES LTD. No 6893 5
97 ASHIKA STOCK BROKING LTD. No 12306 5
98 ITI FINANCIAL SERVICES LTD. No 3594 5
99 RR EQUITY BROKERS PVT. LTD. No 2335 5
100 ELITE WEALTH ADVISORS LIMITED No 5308 5
101 VERTEX SECURITIES LTD. No 2924 5
102 MANSUKH SECURITIES & FINANCE No 8191 5
LIMITED
103 ATS SHARE BROKERS PRIVATE No 3569 5
LIMITED
104 MAX PLANWEALTH SECURITIES No 982 5
LIMITED
105 MUTHOOT SECURITIES LTD. No 5780 5
106 TRADEBULLS SECURITIES (P) LTD. No 7418 5
107 INDUS PORTFOLIO (P) LTD No 3533 5
108 PATERSON SECURITIES PRIVATE No 1571 4
LIMITED
109 INVENTURE GROWTH & SECURITIES No 2362 4
LIMITED
110 HEM FINLEASE PVT. LTD. No 3883 4
111 PHILLIPCAPITAL (INDIA) PVT. LTD No 7978 4
112 SPA SECURITIES LIMITED No 1606 4
113 DSE FINANCIAL SERVICES LTD. No 691 4
114 MICROSEC CAPITAL LIMITED No 7708 4
115 JAINAM SHARE CONSULTANTS No 7195 4
PRIVATE LIMITED
116 SPAN CAPLEASE PVT. LTD. No 39 4
117 AJMERA ASSOCIATES LTD. No 398 4
118 ALANKIT ASSIGNMENTS LTD. No 18303 4
119 GOLDSTREET SECURITIES LIMITED No 56 4

120 VOGUE COMMERCIAL COMPANY No 3825 4

LIMITED
121 INDIRA SECURITIES PRIVATE LIMITED No 3543 4

122 INTIME EQUITIES LIMITED No 6171 4

123 MAGNUM EQUITY SERVICES LTD. No 151 4
124 VNS FINANCE & CAPITAL SERVICES No 4223 4
LTD.
125 JM FINANCIAL SERVICES LIMITED No 24751 4
126 GREENBUCKS SECURITIES PRIVATE No 1041 4
LIMITED
127 ACHIIEVERS EQUITIES LIMITED No 1005 4
128 CANARA BANK SECURITIES LIMITED No 5404 4

129 SACHDEVA STOCKS PRIVATE No 819 4

LIMITED
130 SAI SOFT SECURITIES LIMITED No 2 4
131 SHAH INVESTOR'S HOME LIMITED No 15561 4

# A80000Confidential
132 EUREKA STOCK & SHARE BROKING No 16797 4
SERVICES LIMITED
133 FORT SHARE BROKING PRIVATE No 1061 3
LIMITED
134 ADROIT FINANCIAL SERVICES No 6540 3
PRIVATE LIMITED
135 DBFS SECURITIES LIMITED No 8854 3
136 ICICI WEB TRADE LTD No 0 3
137 PEERLESS SECURITIES LIMITED No 3423 3
138 HSE SECURITIES LTD. No 2462 3
139 COMPETENT FINMAN PVT. LTD. No 2459 3
140 FORTUNE WEALTH MANAGEMENT No 1772 3
COMPANY INDIA (P) LTD.
141 FAIR INTERMEDIATE INVESTMENTS No 2831 3
PVT. LTD.
142 SYSTEMATIX SHARES & STOCKS No 4218 3
(INDIA) LTD.
143 VASANTI SHARE BROKERS LIMITED No 247 3
144 NG RATHI INVESTRADES PRIVATED No 1785 3
LIMITED
145 ENRICH FIN & SECURITIES LTD. No 98 3
146 UNITED SHARE BROKERS LTD No 475 3
147 K K SECURITIES LTD. No 2051 3
148 KUMAR SHARE BROKERS LTD. No 417 3
149 MODEX INTERNATIONAL SECURITIES No 2104 3
LTD.
150 PACE STOCK BROKING SERVICES No 5499 3
PRIVATE LIMITED
151 SPFL SECURITIES LIMITED No 5318 3
152 STEEL CITY SECURITIES LTD. No 14513 3
153 B N RATHI SECURITIES LIMITED No 3638 3
154 BEARBULL SECURITIES PVT. LTD. No 0 3
155 KISAN RATILAL CHOKSEY SHARES No 6262 3
AND SECURITIES PRIVATE LIMTIED
156 MAGNUM EQUITY BROKING LIMITED No 2917 3

157 INDIA ADVANTAGE SECURITIES No 2823 3

PRIVATE LIMITED
158 DANI SHARES & STOCKS PRIVATE No 2291 3
LIMITED
159 UAE EXCHANGE & FINANCE LTD. No 1315 3
160 VCK SHARE & STOCK BROKING No 3686 3
SERVICES LTD.
161 BRICS SECURITIES LTD. No 1573 3
162 FRR SHARES AND SECURITIES No 2193 3
LIMITED
163 WELLINDIA SECURITIES LIMITED No 910 3
164 RIKHAV SECURITIES LIMITED No 2392 3
165 ARTHA BROKING SERVICES LIMITED No 0 3

166 SHRIAM FINANCIAL PRIVATE LIMITED No 316 3

# A80000Confidential
167 RELIGARE CAPITAL MARKETS No 119 3
LIMITED
168 RTG SHARE BROKING LIMITED No 969 3
169 I VENTURES CAPITAL PRIVATE No 395 3
LIMITED
170 NJ INDIA INVEST PRIVATE LIMITED No 517 3
171 DYNAMIC EQUITIES PRIVATE LIMITED No 4290 3

172 CHOLAMANDALAM SECURITIES No 3693 3

LIMITED
173 RKG SHARE BROKERS PVT. LTD. No 59 2
174 COIMBATORE CAPITAL LIMITED No 6976 2
175 V CARE FINANCIAL CONSULTANTS No 0 2
176 MARWADI SHARES AND FINANCE No 22385 2
LIMITED
177 STEWART & MACKERTICH WEALTH No 1537 2
MANAGEMENT LTD.
178 CANON CAPITAL AND FINANCE No 616 2
LIMITED
179 OMKAM CAPITAL MARKETS PRIVATE No 231 2
LIMITED
180 LSE SECURITIES LIMITED No 6321 2
181 MANUBHAI MANGALDAS SECURITIES No 2245 2
PVT. LTD.
182 HDFC BANK LTD. No 0 2
183 IL&FS SECURITIES SERVICES No 0 2
LIMITED
184 EDELWEISS CAPITAL LTD. No 0 2
185 ICICI BANK LTD. No 10 2
186 CITIGROUP GLOBAL MARKETS INDIA No 3315 2
PVT. LTD.
187 ANUGRAH STOCK & BROKING PVT. No 3019 2
LTD.
188 ASTHA CREDIT & SECURITIES (P) LTD No 1611 2

189 AMBIT SECURITIES BROKING PVT. No 683 2

LTD.
190 R.K. STOCKHOLDING (P) LTD. No 1050 2
191 S.P.JAIN SECURITIES PRIVATE No 58 2
LIMITED
192 UNITY FINCAP PVT. LTD. No 74 2
193 PCS SECURITIES LTD. No 8649 2
194 CENTRUM BROKING LIMITED No 773 2
195 DALMIA SECURITIES PVT. LTD. No 905 2
196 SW CAPITAL PRIVATE LIMITED No 2408 2
197 SHREEPATI HOLDINGS & FINANCE No 894 2
PRIVATE LIMITED
198 NINE STAR BROKING PRIVATE No 2022 2
LIMITED
199 AMBALAL SHARES & STOCKS No 2597 2
PRIVATE LIMITED
200 BURGEON SECURITIES No 11 2

# A80000Confidential
201 ALICE BLUE SECURITIES No 2065 2
202 FORTUNE CAPITAL SERVICES No 961 2
PRIVATE LIMITED
203 MONEYPLEX SECURITIES PRIVATE No 366 2
LIMITED
204 ICICI SECURITIES PRIMARY No 1 2
DEALERSHIP LIMITED
205 LAKSHMISHREE INVESTMENT & No 3206 2
SECURITIES PVT. LTD.
206 B.M.GANDHI SHAREBROKING No 36 2
PRIVATE LTD
207 NIRMAN SHARE BROKERS PRIVATE No 528 2
LIMITED
208 HEDGE EQUITIES LIMITED No 9043 2
209 VIKSON SECURITIES PRIVATE No 2869 2
LIMITED
210 CHUKNOO SECURITIES LIMITED No 604 2
211 FULLERTON SECURITIES & WEALTH No 814 2
ADVISORS LIMITED
212 PSB SECURITIES LIMITED No 1331 2
213 MADRAS STOCK EXCHANGE LIMITED No 2028 2

214 J M GLOBAL EQUITIES PRIVATE No 18 2

LIMITED
215 VISHWAS FINCAP SERVICES PRIVATE No 362 2
LIMITED
216 MAXGROWTH CAPITAL PRIVATE No 715 2
LIMITED
217 JHAVERI SECURITIES LIMITED No 14678 2
218 EAST INDIA SECURITIES LTD. No 1478 2
219 SHREE BAHUBALI INTERNATIONAL No 7854 2
LTD.
220 NAVJEEVAN EQUITY BROKING No 273 2
PRIVATE LIMITED
221 CHOICE EQUITY BROKING PRIVATE No 633 1
LIMITED
222 RKSV SECURITIES INDIA PRIVATE No 4631 1
LIMITED
223 SRM SECURITIES PRIVATE LIMITED No 124 1
224 SKUNG TRADELINK LIMITED No 265 1
225 SUMPOORNA PORTFOLIO LIMITED No 813 1
226 OBEROI'S PORTFOLIO PRIVATE No 152 1
LIMITED
227 NOSTRO FINANCIAL SERVICES No 123 1
PRIVATE LIMITED
228 KALYNDA FINANCIAL ADVISORY No 100 1
PRIVATE LIMITED
229 TRADEJINI FINANCIAL SERVICES PVT No 1003 1
LTD
230 CELEBRUS CAPITAL LIMITED No 1569 1
231 PROCON CAPITAL No 0 1
232 D R SHARE & STOCK BROKERS PVT. No 276 1
LTD.

# A80000Confidential
233 TRADEWELL SECURITIES LTD. No 1153 1
234 FOCUS SHARES & SECURITIES No 104 1
PRIVATE LIMITED
235 HPMG SHARES & SECURITIES No 631 1
PRIVATE LIMITED
236 TRADEHIFI STOCK BROKING PRIVATE No 12 1
LIMITED
237 SHCIL SERVICES LIMITED No 3917 1
238 FLOURISH FINCAP PVT LTD No 229 1
239 ANGEL SECURITIES LTD No 28 1
240 VIJETA BROKING INDIA PRIVATE No 423 1
LIMITED
241 CAPITAL MARKET SERVICES No 292 1
242 RBG FINANCIAL SERVICES PRIVATE No 546 1
LIMITED
243 INDIAN BANK No 1 1
244 B D SHAH SECURITIES LIMITED No 145 1
245 GRESHMA SHARES & STOCKS No 1770 1
LIMITED
246 PRUDENT BROKING SERVICES No 3737 1
PRIVATE LIMITED
247 PRAVIN RATILAL SHARE AND STOCK No 6322 1
BROKERS LTD
248 ACTION FINANCIAL SERVICES (INDIA) No 499 1
LIMITED
249 COMPOSITE INVESTMENTS PRIVATE No 970 1
LIMITED
250 ANKIT SECURITIES & FINANCE No 1356 1
COMPANY PRIVATE LIMITED
251 FINANCE MONITOR INDIA PRIVATE No 351 1
LIMITED
252 JOINDRE CAPITAL SERVICES LTD No 3425 1
253 JK SECURITIES PVT. LTD. No 4134 1
254 BALJIT SECURITIES PVT. LTD. No 1503 1
255 FAST CAPITAL MARKETS LTD. No 1129 1
256 KORP SECURITIES LTD No 14 1
257 ORTEM SECURITIES LIMITED No 1522 1
258 RADAR SECURITIES LTD. No 234 1
259 SRM CAPITAL MARKET PVT.LTD. No 0 1
260 VALFIN FINANCIAL SERVICES (P) LTD No 0 1

261 VARDHAMAN CAPITAL PVT. LTD No 763 1

262 DJS STOCK AND SHARES LTD. No 35 1
263 ARTISTIC FINANCE PRIVATE LIMITED No 477 1

264 CFS FINANCIAL SERVICES PVT. LTD No 603 1

265 FIN BRAINS SECURITIES (INDIA) LTD. Yes (Expelled) 17 1

266 GOGIA CAPITAL SERVICES LIMITED No 1801 1

267 INTEGRATED MASTER SECURITIES No 2188 1
PVT. LTD.

# A80000Confidential
268 ISF SECURITIES LTD. No 692 1
269 JYOTI PORTFOLIO LIMITED No 2730 1
270 MLB CAPITAL PRIVATE LIMITED No 1266 1
271 PROGRESSIVE SHARE BROKERS No 3215 1
PRIVATE LIMITED
272 ROHINI CAPITAL SERVICES LTD. No 17 1
273 S G STOCK SERVICES LTD. No 124 1
274 TIME CAPITAL LTD. No 242 1
275 TRANSWORLD SECURITIES LTD. No 889 1
276 VICTORY FINANCIAL SERVICES LTD. No 114 1

277 GAYATRI CAPITAL LTD. No 0 1

278 ZEN SECURITIES LTD. No 14077 1
279 AFN LANGRANA SHARE & STOCK No 100 1
BROKERS P. LTD
280 AXIS CAPITAL MARKET (INDIA) No 0 1
LIMITED
281 BANHEM SECURITIES PVT LTD No 8 1
282 CIL SECURITIES LTD. No 1573 1
283 DB (INTERNATIONAL) STOCK No 2018 1
BROKERS LTD.
284 ESCORTS SECURITIES LTD. No 1296 1
285 FIRST GLOBAL STOCKBROKING No 459 1
PVT.LTD.
286 INVESTWELL No 96 1
287 MAHESH INVESTMENTS No 0 1
288 MONEYCARE SECURITIES & No 1441 1
FINANCIAL SERVICES LTD.
289 ANUSH SHARES & SECURITIES No 1350 1
PVT.LTD.
290 MUKESH BROKERAGE & FINANCIAL No 158 1
(INDIA) LTD.
291 INDIA CAPITAL MARKETS PRIVATE No 258 1
LIMITED
292 SATCO CAPITAL MARKETS LIMITED No 1572 1
293 SODHANI SECURITIES LTD. No 121 1
294 VAR SHARES AND STOCKS PRIVATE No 0 1
LIMITED
295 AJCON GLOBAL SERVICES LIMITED No 830 1
296 INFINITY.COM FINANCIAL SECURITIES No 124 1
LIMITED
297 INDBANK MERCHANT BANKING No 5157 1
SERVICES LTD.
298 JM FINANCIAL SECURITIES PVT.LTD. No 0 1

299 KOLAR SECURITIES SERVICES LTD No 0 1

300 MAXIMUS SECURITIES LIMITED No 414 1
301 SUNIDHI SECURITIES & FINANCE No 4724 1
LIMITED
302 ACME SECURITIES PVT LTD No 0 1
303 INVESTMENTOR SECURITIES LTD. No 3901 1
304 CANNY SECURITIES PVT. LTD. No 0 1

# A80000Confidential
305 INDOVISION SECURITIES LIMITED No 1672 1
306 C D INTEGRATED SERVICES LTD. No 1965 1
307 PSE SECURITIES LTD. No 1866 1
308 LATIN MANHARLAL SECURITIES PVT. No 5307 1
LTD.
309 KRIPA SECURITIES PRIVATE LIMITED No 1271 1

310 GEPL CAPITAL PRIVATE LIMITED No 4883 1

311 ABN AMRO BANK N.V. No 0 1
312 KHAMBATTA SECURITIES LTD. No 376 1
313 SHARE INDIA SECURITIES LIMITED No 1003 1
314 NORTHEAST BROKING SERVICES No 1951 1
LTD.
315 SKSE SECURITIES LTD. No 759 1
316 RRB MASTER SECURITIES DELHI LTD. No 160 1

317 L.D.K. SHARES & SECURITIES No 440 1

PRIVATE LIMITED
318 STANDARD CHARTERED BANK No 1 1
319 ASE CAPITAL MARKETS LTD. No 4410 1
320 A C CHOKSI SHARE BROKERS PVT. No 909 1
LTD.
321 VSE STOCK SERVICES LIMITED No 436 1
322 KOTAK MAHINDRA BANK LTD. No 1 1
323 EASTERN FINANCIERS LTD No 2420 1
324 KARUNA FINANCIAL SERVICES PVT. No 1224 1
LTD
325 WELLWORTH SHARE & STOCK No 1781 1
BROKING LIMITED
326 KHAJANCHI & GANDHI STOCK No 1313 1
BROKING PRIVATE LIMITED
327 INDIA SECURITIES BROKING PRIVATE No 40 1
LIMITED
328 MARFATIA STOCK BROKING PRIVATE No 2800 1
LIMITED
329 JHP SECURITIES PRIVATE LIMITED No 573 1
330 MERITS CAPITAL MARKET SERVICES No 1198 1
PVT. LTD.
331 FINQUEST SECURITIES PVT. LTD. No 454 1
332 SSKI STOCK BROKING PVT LTD No 0 1
333 PUNJAB NATIONAL BANK No 1 1
334 J L SHAH SECURITIES PRIVATE No 71 1
LIMITED
335 RAGA SHARES TRADING PVT. LTD. No 234 1
336 AXIS SHARES & SECURITIES PRIVATE No 0 1
LIMITED
337 SMART EQUITY BROKERS PRIVATE No 456 1
LIMITED
338 REFLECTION INVESTMENTS No 160 1
339 S G SECURITIES No 615 1
340 MORGAN STANLEY INDIA COMPANY No 261 1
PRIVATE LIMITED

# A80000Confidential
341 SOUTH ASIAN STOCKS LTD. No 1933 1
342 CORE FISCAL SERVICES PVT. LTD. No 0 1
343 SOUTH GUJARAT SHARES & No 1192 1
SHAREBROKERS LTD
344 FINCAP PORTFOLIO LIMITED No 110 1
Total 3942561 4829

# A80000Confidential
odged by clients against Trading Members (TMs) during 2013-14: Last Updated on 31-Dec-2022
OF THE COMPLAINTS RECEIVED DURING 2013-2014
NO. OF COMPLAINTS

PERCENTAGE PERCENTAGE
OF NUMBER OF OF NUMBER OF
RESOLVED PENDING FOR COMPLAINTS COMPLAINTS
ADVISED /
THROUGH NON REDRESSAL RECEIVED AS RESOLVED AS
OPTED FOR
EXCHANGE/ ACTIONABLE** WITH AGAINST AGAINST
ARBITRATION
IGRC EXCHANGE NUMBER OF NUMBER OF
ACTIVE COMPLAINTS
CLIENTS RECEIVED

317 0 24 0 0.14 100

303 0 34 0 0.24 100
219 76 20 0 3.12 100
180 0 8 0 0.08 100
165 0 15 0 0.51 100
153 0 15 0 0.14 100
142 0 6 0 0.02 100
135 0 7 0 0.05 100
119 0 19 0 0.27 100

111 0 9 0 0.09 100

100 0 16 0 0.2 100
104 0 10 0 0.09 100
100 0 0 0 16.61 100

90 0 2 0 0.13 100
79 0 6 0 0.18 100
77 0 8 0 0.36 100
79 0 6 0 0.67 100
72 0 9 0 0.08 100
68 0 8 0 0.24 100
69 0 5 0 0.14 100

70 0 3 0 0.02 100
65 0 7 0 0.17 100
36 1 14 0 25.5 100
38 0 10 0 0.28 100
39 0 3 0 0.02 100

# A80000Confidential
37 0 3 0 0.1 100

28 0 11 0 0.38 100
37 0 1 0 0.09 100
32 0 6 0 0.32 100

30 0 6 0 0.24 100
32 0 2 0 0.09 100

28 0 5 0 0.43 100

29 0 3 0 0.23 100
30 0 1 0 21.08 100

22 0 6 0 0.8 100

27 0 0 0 - 100
19 0 7 0 1.51 100
23 0 1 0 0.08 100

21 0 2 0 1.65 100
20 0 2 0 0.07 100

22 0 0 0 0.19 100

20 0 0 0 8.84 100
7 0 12 0 14.39 100
15 0 4 0 0.75 100
17 0 1 0 0.15 100
16 0 1 0 0.08 100

15 0 1 0 0.02 100
14 0 2 0 0.44 100
15 0 1 0 0.12 100

12 0 3 0 0.75 100

7 0 7 0 0.37 100
13 0 1 0 0.23 100
12 0 2 0 0.07 100

12 0 1 0 0.09 100

13 0 0 0 0.08 100

13 0 0 0 0.28 100

12 0 1 0 0.12 100

7 0 6 0 - 100

9 0 3 0 0.13 100

# A80000Confidential
12 0 0 0 0.05 100

9 0 3 0 1.19 100
12 0 0 0 0.11 100
10 0 1 0 0.06 100

10 0 1 0 0.27 100
8 0 3 0 0.37 100
10 0 0 0 0.26 100
10 0 0 0 0.21 100

8 0 2 0 0.1 100
9 0 0 0 0.17 100

9 0 0 0 12.32 100

8 0 1 0 0.29 100

9 0 0 0 - 100

6 0 2 0 0.57 100
8 0 0 0 0.27 100

7 0 1 0 0.65 100
7 0 1 0 0.14 100
7 0 1 0 0.28 100

8 0 0 0 0.04 100
7 0 0 0 0.05 100
7 0 0 0 0.19 100
6 0 1 0 - 100
7 0 0 0 0.04 100

7 0 0 0 2.1 100
6 0 0 0 0.04 100

4 0 2 0 0.07 100

6 0 0 0 0.28 100

6 0 0 0 0.09 100

5 0 1 0 2.38 100
5 0 1 0 0.24 100

6 0 0 0 2.77 100

6 0 0 0 0.04 100

6 0 0 0 0.02 100
6 0 0 0 0.47 100

# A80000Confidential
6 0 0 0 0.49 100

5 0 1 0 0.45 100
5 0 0 0 0.07 100
4 0 1 0 0.04 100
4 0 1 0 0.13 100
5 0 0 0 0.21 100
4 0 1 0 0.09 100
3 0 2 0 0.17 100
5 0 0 0 0.06 100

3 0 2 0 0.14 100

4 0 1 0 0.5 100

3 0 2 0 0.08 100
4 0 1 0 0.06 100
5 0 0 0 0.14 100
4 0 0 0 0.25 100

4 0 0 0 0.16 100

4 0 0 0 0.1 100
4 0 0 0 0.05 100
2 0 2 0 0.24 100
4 0 0 0 0.57 100
4 0 0 0 0.05 100
4 0 0 0 0.05 100

4 0 0 0 10.25 100
4 0 0 0 1 100
4 0 0 0 0.02 100
4 0 0 0 7.14 100

4 0 0 0 0.1 100

4 0 0 0 0.11 100

4 0 0 0 0.06 100
4 0 0 0 2.64 100
3 0 1 0 0.09 100

4 0 0 0 0.01 100
4 0 0 0 0.38 100

4 0 0 0 0.39 100
4 0 0 0 0.07 100

3 0 1 0 0.48 100

4 0 0 0 200 100
4 0 0 0 0.02 100

# A80000Confidential
4 0 0 0 0.02 100

3 0 0 0 0.28 100

3 0 0 0 0.04 100

3 0 0 0 0.03 100
3 0 0 0 - 100
2 0 1 0 0.08 100
3 0 0 0 0.12 100
3 0 0 0 0.12 100
3 0 0 0 0.16 100

2 0 1 0 0.1 100

3 0 0 0 0.07 100

3 0 0 0 1.21 100
3 0 0 0 0.16 100

3 0 0 0 3.06 100
3 0 0 0 0.63 100
3 0 0 0 0.14 100
2 0 1 0 0.71 100
3 0 0 0 0.14 100

2 0 1 0 0.05 100

3 0 0 0 0.05 100
3 0 0 0 0.02 100
3 0 0 0 0.08 100
3 0 0 0 - 100
3 0 0 0 0.04 100

3 0 0 0 0.1 100

3 0 0 0 0.1 100

2 0 1 0 0.13 100

3 0 0 0 0.22 100
3 0 0 0 0.08 100

3 0 0 0 0.19 100
3 0 0 0 0.13 100

3 0 0 0 0.32 100
3 0 0 0 0.12 100
3 0 0 0 - 100

0 0 3 0 0.94 100

# A80000Confidential
3 0 0 0 2.52 100

3 0 0 0 0.3 100
3 0 0 0 0.75 100

3 0 0 0 0.58 100
3 0 0 0 0.06 100

3 0 0 0 0.08 100

2 0 0 0 3.38 100
2 0 0 0 0.02 100
2 0 0 0 - 100
2 0 0 0 0 100

2 0 0 0 0.13 100

2 0 0 0 0.32 100

2 0 0 0 0.86 100

2 0 0 0 0.03 100
2 0 0 0 0.08 100

2 0 0 0 - 100
2 0 0 0 - 100

2 0 0 0 - 100
2 0 0 0 20 100
0 0 2 0 0.06 100

2 0 0 0 0.06 100

1 0 1 0 0.12 100

2 0 0 0 0.29 100

2 0 0 0 0.19 100
2 0 0 0 3.44 100

2 0 0 0 2.7 100
2 0 0 0 0.02 100
2 0 0 0 0.25 100
2 0 0 0 0.22 100
2 0 0 0 0.08 100
2 0 0 0 0.22 100

2 0 0 0 0.09 100

2 0 0 0 0.07 100

0 0 2 0 18.18 100

# A80000Confidential
2 0 0 0 0.09 100
2 0 0 0 0.2 100

2 0 0 0 0.54 100

2 0 0 0 200 100

2 0 0 0 0.06 100

2 0 0 0 5.55 100

2 0 0 0 0.37 100

2 0 0 0 0.02 100
1 0 1 0 0.06 100

2 0 0 0 0.33 100
2 0 0 0 0.24 100

2 0 0 0 0.15 100
2 0 0 0 0.09 100

2 0 0 0 11.11 100

2 0 0 0 0.55 100

2 0 0 0 0.27 100

2 0 0 0 0.01 100
2 0 0 0 0.13 100
2 0 0 0 0.02 100

2 0 0 0 0.73 100

1 0 0 0 0.15 100

1 0 0 0 0.02 100

1 0 0 0 0.8 100
1 0 0 0 0.37 100
0 0 1 0 0.12 100
1 0 0 0 0.65 100

1 0 0 0 0.81 100

1 0 0 0 1 100

1 0 0 0 0.09 100

1 0 0 0 0.06 100
1 0 0 0 - 100
1 0 0 0 0.36 100

# A80000Confidential
1 0 0 0 0.08 100
1 0 0 0 0.96 100

1 0 0 0 0.15 100

1 0 0 0 8.33 100

1 0 0 0 0.02 100
1 0 0 0 0.43 100
1 0 0 0 3.57 100
1 0 0 0 0.23 100

1 0 0 0 0.34 100
1 0 0 0 0.18 100

1 0 0 0 100 100
1 0 0 0 0.68 100
1 0 0 0 0.05 100

1 0 0 0 0.02 100

1 0 0 0 0.01 100

1 0 0 0 0.2 100

1 0 0 0 0.1 100

1 0 0 0 0.07 100

1 0 0 0 0.28 100

1 0 0 0 0.02 100
1 0 0 0 0.02 100
1 0 0 0 0.06 100
1 0 0 0 0.08 100
1 0 0 0 7.14 100
1 0 0 0 0.06 100
1 0 0 0 0.42 100
1 0 0 0 - 100
1 0 0 0 - 100

1 0 0 0 0.13 100
1 0 0 0 2.85 100
1 0 0 0 0.2 100

1 0 0 0 0.16 100

1 0 0 0 5.88 100

1 0 0 0 0.05 100
1 0 0 0 0.04 100

# A80000Confidential
0 0 1 0 0.14 100
1 0 0 0 0.03 100
1 0 0 0 0.07 100
1 0 0 0 0.03 100

1 0 0 0 5.88 100
0 0 1 0 0.8 100
1 0 0 0 0.41 100
1 0 0 0 0.11 100
1 0 0 0 0.87 100

1 0 0 0 - 100
1 0 0 0 0 100
1 0 0 0 1 100

1 0 0 0 - 100

1 0 0 0 12.5 100
1 0 0 0 0.06 100
1 0 0 0 0.04 100

1 0 0 0 0.07 100
1 0 0 0 0.21 100

1 0 0 0 1.04 100
1 0 0 0 - 100
1 0 0 0 0.06 100

1 0 0 0 0.07 100

1 0 0 0 0.63 100

1 0 0 0 0.38 100

1 0 0 0 0.06 100
1 0 0 0 0.82 100
1 0 0 0 - 100

1 0 0 0 0.12 100
1 0 0 0 0.8 100

1 0 0 0 0.01 100

1 0 0 0 - 100

1 0 0 0 - 100
1 0 0 0 0.24 100
1 0 0 0 0.02 100

1 0 0 0 - 100
1 0 0 0 0.02 100
1 0 0 0 - 100

# A80000Confidential
1 0 0 0 0.05 100
1 0 0 0 0.05 100
1 0 0 0 0.05 100
1 0 0 0 0.01 100

1 0 0 0 0.07 100

1 0 0 0 0.02 100
1 0 0 0 - 100
1 0 0 0 0.26 100
0 0 1 0 0.09 100
1 0 0 0 0.05 100

1 0 0 0 0.13 100
1 0 0 0 0.62 100

1 0 0 0 0.22 100

1 0 0 0 100 100
1 0 0 0 0.02 100
1 0 0 0 0.11 100

0 0 1 0 0.22 100
1 0 0 0 100 100
1 0 0 0 0.04 100
1 0 0 0 0.08 100

1 0 0 0 0.05 100

1 0 0 0 0.07 100

1 0 0 0 2.5 100

1 0 0 0 0.03 100

1 0 0 0 0.17 100
1 0 0 0 0.08 100

1 0 0 0 0.22 100
1 0 0 0 - 100
1 0 0 0 100 100
1 0 0 0 1.4 100

1 0 0 0 0.42 100
1 0 0 0 - 100

1 0 0 0 0.21 100

1 0 0 0 0.62 100
1 0 0 0 0.16 100
1 0 0 0 0.38 100

# A80000Confidential
 1 0 0 0 0.05 100
1 0 0 0 - 100
1 0 0 0 0.08 100

1 0 0 0 0.9 100
4330 77 422 0 - 34400

# A80000Confidential
 DECIDED
PENDING
BY
NO. OF DECIDED FOR
ARBITRA
ARBITRATION BY THE REDRESS
TORS IN
FILED BY ARBITRA AL WITH
FAVOUR
CLIENTS TORS ARBITRA
OF
TORS
CLIENTS

35 35 13 0
52 52 21 0
8 8 4 0
10 10 3 0
30 30 19 0
27 27 7 0
15 15 6 0
15 15 4 0
28 28 15 0

13 13 6 0
14 14 4 0
15 15 6 0
4 4 3 0

3 3 0 0
17 17 2 0
11 11 4 0
4 4 1 0
7 7 0 0
17 17 7 0
9 9 8 0

4 4 0 0
14 14 6 0
11 11 11 0
11 11 3 0
1 1 0 0

# A80000Confidential
3 3 2 0

8 8 2 0
1 1 0 0
8 8 3 0

8 8 3 0
1 1 1 0

7 7 5 0

7 7 3 0
4 4 4 0

3 3 2 0

19 19 15 0
15 15 8 0
1 1 0 0

2 2 2 0
4 4 2 0

1 1 0 0

- - - -
22 22 22 0
2 2 0 0
4 4 4 0
3 3 2 0

0 0 0 0
2 2 2 0
0 0 0 0

3 3 1 0

0 0 0 0
11 11 3 0
1 1 1 0

1 1 0 0

- - - -

- - - -

0 0 0 0

3 3 2 0

4 4 3 0

# A80000Confidential
 - - - -

0 0 0 0
5 5 0 0
3 3 1 0

3 3 0 0
1 1 0 0
0 0 0 0
0 0 0 0

3 3 1 0
0 0 0 0

0 0 0 0

3 3 2 0

- - - -

1 1 0 0
0 0 0 0

3 3 1 0
1 1 0 0
4 4 2 0

0 0 0 0
- - - -
0 0 0 0
11 11 11 0
1 1 1 0

2 2 0 0
1 1 0 0

2 2 0 0

- - - -

0 0 0 0

0 0 0 0
2 2 2 0

- - - -

- - - -

- - - -
- - - -

# A80000Confidential
2 2 0 0

- - - -
1 1 1 0
- - - -
1 1 1 0
0 0 0 0
- - - -
1 1 1 0
0 0 0 0

1 1 1 0

2 2 0 0

1 1 1 0
0 0 0 0
- - - -
- - - -

- - - -

- - - -
0 0 0 0
2 2 0 0
- - - -
0 0 0 0
0 0 0 0

- - - -
1 1 0 0
0 0 0 0
0 0 0 0

- - - -

0 0 0 0

1 1 0 0
- - - -
- - - -

1 1 0 0
2 2 1 0

0 0 0 0
0 0 0 0

0 0 0 0

2 2 2 0
0 0 0 0

# A80000Confidential
- - - -

2 2 1 0

0 0 0 0

0 0 0 0
- - - -
- - - -
- - - -
- - - -
- - - -

0 0 0 0

- - - -

0 0 0 0
- - - -

0 0 0 0
- - - -
- - - -
1 1 1 0
1 1 0 0

5 5 3 0

- - - -
- - - -
- - - -
- - - -
1 1 1 0

- - - -

0 0 0 0

- - - -

- - - -
0 0 0 0

- - - -
- - - -

0 0 0 0
- - - -
- - - -

- - - -

# A80000Confidential
- - - -

1 1 1 0
- - - -

- - - -
- - - -

2 2 2 0

- - - -
- - - -
- - - -
0 0 0 0

- - - -

- - - -

- - - -

- - - -
- - - -

- - - -
- - - -

- - - -
- - - -
2 2 0 0

0 0 0 0

0 0 0 0

3 3 0 0

1 1 0 0
- - - -

0 0 0 0
0 0 0 0
2 2 0 0
- - - -
1 1 1 0
- - - -

- - - -

- - - -

7 7 7 0

# A80000Confidential
0 0 0 0
- - - -

- - - -

- - - -

1 1 0 0

- - - -

0 0 0 0

0 0 0 0
- - - -

- - - -
- - - -

- - - -
- - - -

- - - -

2 2 0 0

1 1 0 0

1 1 1 0
- - - -
0 0 0 0

2 2 0 0

- - - -

- - - -

- - - -
- - - -
1 1 1 0
0 0 0 0

- - - -

- - - -

- - - -

- - - -
- - - -
1 1 1 0

# A80000Confidential
- - - -
0 0 0 0

- - - -

- - - -

- - - -
- - - -
- - - -
- - - -

- - - -
- - - -

- - - -
- - - -
- - - -

0 0 0 0

- - - -

- - - -

- - - -

- - - -

- - - -

- - - -
- - - -
- - - -
- - - -
- - - -
- - - -
- - - -
- - - -
- - - -

- - - -
- - - -
- - - -

- - - -

0 0 0 0

- - - -
- - - -

# A80000Confidential
1 1 1 0
- - - -
- - - -
2 2 0 0

0 0 0 0
- - - -
- - - -
- - - -
- - - -

- - - -
- - - -
- - - -

- - - -

- - - -
- - - -
- - - -

- - - -
0 0 0 0

- - - -
- - - -
- - - -

- - - -

- - - -

- - - -

- - - -
1 1 0 0
- - - -

- - - -
- - - -

- - - -

- - - -

- - - -
- - - -
- - - -

- - - -
- - - -
- - - -

# A80000Confidential
- - - -
- - - -
- - - -
- - - -

0 0 0 0

- - - -
- - - -
- - - -
0 0 0 0
- - - -

- - - -
- - - -

- - - -

- - - -
- - - -
- - - -

- - - -
- - - -
- - - -
0 0 0 0

- - - -

- - - -

- - - -

- - - -

- - - -
- - - -

- - - -
- - - -
- - - -
- - - -

0 0 0 0
- - - -

- - - -

- - - -
- - - -
- - - -

# A80000Confidential
 - - - -
- - - -
- - - -

- - - -
629 629 295 0

# A80000Confidential