Report 1A: Complaints received from clients against Trading Members (TMs)# during 2016-17: Updated on 25/11/2016 (updated on each Friday or earlier working day, if Friday is holiday)

Notes:

Abbreviations used:W : Western RegionN : Northern RegionS : Southern RegionE : Eastern RegionA : AhmedabadK : KanpurH : HyderabadI : IndoreB : BangaloreJ : JaipurP : PuneP : PatnaL : LucknowV : Vadodara

Types of ComplaintsDescription

I

IaDelay in payment

Ib

Ic

Type of complaint *(Pl. see

column E of the Report)

Non-receipt /delay in payment :

Non-receipt of payment

Delay in refund of margin payment

Id

II

II aDelay in delivery

II b

II c

II d

III

III aContract notes

III b Bills

III c

Account statements

III dAgreement copies

IV

Non settlement of accounts

Non-receipt/delay in securities :

Non-receipt of delivery

Delay in refund of margin deposit

Non settlement of accounts

Non-receipt of documents:

Unauthorized trades/misappropriation :

IV a

IV b

VService related :

Va

Excess brokerage

Vb

Vc

Vd

Ve

V f

Other service defaults

VI

Unauthorized trades in client account

mis-appropriation of client's funds/securities

Non-execution of order

Wrong execution of order

Connectivity / system related problem

Non-receipt of corporate benefits

Closing out / squaring up:

VI a

VI b

VII

VIII Others

"--" in Column E below, "Type of Complaint" indicates that the complaint is non-actionable either because it is incomplete or otherwise outside the scope of the Stock Exchange.

Please refer the following Table while reading data under Column 'I', i.e."Status" in the Report below.

Status ** Type Description

I Non actionableI a Complaint incompleteI b Outside the scope of stock exchangeII

III Under Process

Closing off / squaring up position without consent

Dipsute in Auction value /close out value

Non implementation of arbitration award

Resolved (includes complaints solved, withdrawn and disposed off by IGRC as well as those closed by the Exchange.

IV

Details of complaint

S.No. Complaint Ref.no. Name of Client1 B/C /201604/1 4/1/2016 RAMESH M Ia2 I/C /201604/2 4/1/2016 K M Singhal Vf3 K/C /201604/3 3/29/2016 Sarva Daman Mishar IVa4 K/C /201604/4 3/29/2016 Narender Kumar Sharma Vf5 J/C /201604/5 4/1/2016 PREM KISHORE IVa6 W/C /201604/6 3/31/2016 Prasad Narshinha Karandikar IVa7 W/C /201604/7 4/4/2016 Raja Selvan Mani IIb8 K/C /201604/8 3/29/2016 Geeta Khattar Vf9 K/C /201604/9 4/4/2016 Mustak Ahmad Vb

10 B/C /201604/10 4/7/2016 Manjunath Matham Vf11 K/C /201604/11 4/6/2016 Anuradha Singh Va12 W/C /201604/12 4/7/2016 Ajinkya Jadhav -13 E/C /201604/13 4/11/2016 Md. Solam Ghoshi IVa14 W/C /201604/14 4/11/2016 Lalita Jairam More IVa15 - 4/13/2016 MANISH THAKAR Vf16 E/C /201604/16 4/18/2016 Satyajit IVb17 E/C /201604/17 4/18/2016 Sajan Agarwal Vf18 E/C /201604/18 4/18/2016 Swadhin Kumar Swain Va19 E/C /201604/19 4/20/2016 Ayush Choudhary Vf20 B/C /201604/20 4/20/2016 MANJUNATH A IVa21 P/C /201604/21 4/21/2016 Nita Pankaj Shah IVa22 N/C /201604/22 4/22/2016 SHILAJIT BISWAS IVb23 W/C /201604/23 4/22/2016 Neelam M Ganatra Vf24 W/C /201604/24 4/22/2016 KAMAL T SETHNA IVb25 W/C /201604/25 4/21/2016 Vipul Maganlal Bhatt Ia26 W/C /201604/26 4/21/2016 Devendra Kumar Meena IIIa27 W/C /201604/27 4/25/2016 Kishore M. Thakker IIIa28 K/C /201604/28 4/18/2016 Amarjit Singh IVb29 K/C /201604/29 4/18/2016 Abhinav Kapoor IVa30 - 4/25/2016 VIJAI BHANU SINGH VIIIb31 W/C /201604/31 4/26/2016 Dharmistaben Shah Vf

Advised by IGRC to refer to arbitration, if so desired

Date of Receipt

Type of Comp-laint *

32 - 4/26/2016 ATUL KUMAR PANDEY IVa33 J/C /201604/33 4/26/2016 MOHAN LAL TAPARIYA Ib34 J/C /201604/34 4/26/2016 SUSHIL TAPARIYA Ib35 - 4/26/2016 Priyank Drolia Vf36 E/C /201604/36 4/27/2016 Debasish Bhadra IVa37 E/C /201604/37 4/27/2016 Kaustav Chatterjee Vf38 K/C /201604/38 4/27/2016 Vandana Agarwal Ib39 W/C /201604/39 4/28/2016 Bharat Bhatt Va40 S/C /201604/40 4/28/2016 Sankar.K Vf41 P/C /201604/41 4/28/2016 Sudhir Gajanan Chaubal Vf42 P/C /201604/42 4/28/2016 Disha Nandu Oswal IVa43 P/C /201604/43 4/28/2016 Gunjan Gujar IVa44 K/C /201604/44 4/29/2016 Afsar Alam IVa45 E/C /201605/1 5/2/2016 Md. Salam Ghoshi IVa46 E/C /201605/2 5/2/2016 Nimai Dutta IVa47 E/C /201605/3 5/2/2016 Kavita Jigar Vasha Vf48 W/C /201605/4 4/28/2016 Piyush Mehta - Authorised Person Ib49 - 5/2/2016 NARESH AMBALAL MODI Vb50 S/C /201605/6 5/3/2016 Rangith Kumar.T IVa51 W/C /201605/7 5/2/2016 Siddhesh Deepak Hemmady -52 W/C /201605/8 5/2/2016 Deepak Hemmady -53 W/C /201605/9 5/2/2016 Mohanraj A. Kengar IVa54 E/C /201605/10 5/5/2016 Showmith Das VIa55 J/C /201605/11 5/5/2016 Naina Agarwal IVb56 P/C /201605/12 5/4/2016 Priya Krishna Pednekar IVa57 W/C /201605/13 5/5/2016 Sunil Dutt (Authorised Person) Ic58 W/C /201605/14 5/4/2016 Ramakant Vasudev Pai IVa59 W/C /201605/14 5/4/2016 Ramakant Vasudev Pai IVa60 W/C /201605/14 5/4/2016 Ramakant Vasudev Pai IVa61 W/C /201605/14 5/4/2016 Ramakant Vasudev Pai IVa62 W/C /201605/15 5/6/2016 Kalpana Nandukumar Mayekar IVa63 E/C /201605/16 5/9/2016 Nirmala Chhaperia IIIa64 N/C /201605/17 5/9/2016 Harish kumar Ib65 J/C /201605/18 5/9/2016 Rakesh Kumar Rawat IVa66 P/C /201605/19 5/9/2016 Jaiprakash Gyanchand Wadhwani IVa67 W/C /201605/20 5/10/2016 Parvez Imtiyaz Surve IVa68 - 5/10/2016 Anilkumar Vasantbhai Barot IVa69 S/C /201605/22 5/10/2016 Pandurangan.V IVa70 E/C /201605/23 5/12/2016 Bijan Kumar Chakraborty Ib71 K/C /201605/24 5/10/2016 Anu Arora IVb72 E/C /201605/25 5/13/2016 Priyadarshini Seal VIa73 W/C /201605/26 5/13/2016 Jitendra H Chagani IVb74 W/C /201605/27 5/11/2016 Biharilal Kandhari IVa75 B/C /201605/28 5/17/2016 BASAVARAJ. VEERAPPA. MUCHAKHANDI. IVa76 P/C /201605/29 5/18/2016 Uday Mhaskar Vf

77 W/C /201605/30 5/13/2016 Ketan Dhirajlal Sanghvi Ib78 W/C /201605/31 5/17/2016 Anupam Bafna Vb79 W/C /201605/32 5/17/2016 Praveen Kumar Agarwal IVa80 W/C /201605/33 5/17/2016 Sarla Jain IVb81 E/C /201605/34 5/19/2016 Gudla Satyanarayana Id82 W/C /201605/35 5/18/2016 Parsram Daulatram Dialani VIb83 P/C /201605/36 5/20/2016 Jayanthi Iyengar Vb84 J/C /201605/37 5/23/2016 Suman Garg VIb85 K/C /201605/38 5/18/2016 JML Goyal & Vena Goyal Vf86 W/C /201605/39 5/23/2016 Pravin Ghadigaonkar IVa87 W/C /201605/40 5/23/2016 P. G. Thakur IVa88 W/C /201605/41 5/23/2016 Bharti M. Shah IVa89 - 5/24/2016 S D PALEKAR IIb90 W/C /201605/43 5/26/2016 Bharat Gopalji Pandya IIIa91 W/C /201605/44 5/24/2016 Gopal Balar - Subbroker Ib92 W/C /201605/45 5/25/2016 Nandadulal Dulal Bhuiyan Ib93 B/C /201605/46 5/30/2016 Mahalingappa IVa94 N/C /201605/47 5/30/2016 Joginder Mohan Kumar IVa95 N/C /201605/48 5/31/2016 SURENDRA PRAKASH JAIN IVa96 E/C /201605/1001 5/24/2016 Atisnandan Bandopadhyay --97 H/C /201606/1 6/1/2016 Avataran Arzare IVa98 H/C /201606/2 6/1/2016 Bala Muralikrishna -99 J/C /201606/3 6/1/2016 NEETA SURANA IId

100 E/C /201606/4 5/27/2016 Debashis Guha Vf101 W/C /201606/5 5/30/2016 Dinesh B. Rambhia IVb102 K/C /201606/6 1/30/2016 Rishi Pal Sharma Ib103 W/C /201606/7 6/1/2016 Rekha Mohan Chandiramani IIa104 W/C /201606/8 6/1/2016 Mukesh Mohan Chandiramani IIa105 W/C /201606/9 6/1/2016 Mohan Ghanshamdas Chandiramani IIa106 P/C /201606/10 6/3/2016 Veena Soni IVb107 E/C /201606/11 6/5/2016 Dhananjay Kumar Sinha Vf108 E/C /201606/12 6/5/2016 T Rama Rao IVa109 W/C /201606/13 6/6/2016 Ami C Shah IVa110 W/C /201606/14 6/3/2016 Edwin Fernandes IVa111 W/C /201606/15 6/3/2016 Dinesh Rambhia - HUF IVa112 W/C /201606/16 6/3/2016 Bhawanji Rambhia IVb113 W/C /201606/17 6/3/2016 Bhawanji Rambhia - HUF IVb114 W/C /201606/18 6/3/2016 Ketan Rambhia IVa115 W/C /201606/19 6/7/2016 Mohan Lalji Daiya Vb116 W/C /201606/20 6/7/2016 Narendra K. Vora IVb117 W/C /201606/21 6/7/2016 Kishore Manilal Thakker Vf118 J/C /201606/22 6/8/2016 Sanjay Gupta -119 J/C /201606/23 6/10/2016 ARUN KUMAR BHADANIYAN Ib120 H/C /201606/24 6/13/2016 Om Narayan Jakhotia IVa121 E/C /201606/25 6/13/2016 Siba Prasad Mishra Va

122 E/C /201606/26 6/13/2016 Praveen Agarwal IVa123 E/C /201606/27 6/10/2016 Shilpa Prataprai Thacker VIb124 I/C /201606/28 6/15/2016 Atul Khare IVa125 I/C /201606/29 6/15/2016 Munni Singh Va126 K/C /201606/30 6/14/2016 Sanjay Kumar Jain IVa127 E/C /201606/31 6/21/2016 Sukumar Paul IVa128 E/C /201606/32 6/21/2016 Subhadeep Chakraborty IVa129 W/C /201606/33 6/17/2016 Shree Renuka Sugars Ltd. Ib130 H/C /201606/34 6/21/2016 Surapaneni Suresh Chowdary Vf131 N/C /201606/35 6/21/2016 GYAN PRAKASH SAXENA Va132 E/C /201606/36 6/22/2016 Rabindra Nath Chakraborty IVa133 B/C /201606/37 6/22/2016 ANUPAM UPADHYAY IVa134 I/C /201606/38 6/22/2016 D.P Agrawal Vd135 E/C /201606/39 6/22/2016 Swarup De Ib136 E/C /201606/40 6/22/2016 Baby De Ib137 E/C /201606/41 6/22/2016 Soumyendu Mukhopadhyay Va138 J/C /201606/42 6/22/2016 DEVENDRA GUPTA Vf139 W/C /201606/43 6/22/2016 Nehal M Jani Ia140 W/C /201606/44 6/22/2016 Dilshad Damanwala IIIa141 E/C /201606/45 6/22/2016 Nepal Saha IVa142 E/C /201606/46 6/22/2016 Bapi Saha IVa143 E/C /201606/47 6/22/2016 Durga Rani Saha IVa144 W/C /201606/48 6/23/2016 Harshit Patel Va145 K/C /201606/49 6/24/2016 Pankaj Burman Va146 W/C /201606/50 6/27/2016 Tushar S Agarwal Vb147 H/C /201606/51 6/28/2016 Niranjan Kumar IIb148 W/C /201606/52 6/22/2016 Nasreen Naushad Hussain IVa149 E/C /201606/53 6/28/2016 Dropadi Devi Ia150 E/C /201606/1001 6/7/2016 Indrajit Dhar --151 E/C /201606/1002 6/23/2016 Subham Malakar --152 K/C /201607/1 6/29/2016 Sanjay Kumar Jain Vf153 W/C /201607/2 6/28/2016 Dilip K. Thakkar IIIa154 E/C /201607/3 7/4/2016 Ramprasad Banka Id155 E/C /201607/4 7/4/2016 M K Biswas IVa156 W/C /201607/5 7/7/2016 Rishav Gupta IVa157 W/C /201607/6 7/7/2016 Saket Kumar - Sub broker Vb158 N/C /201607/7 7/7/2016 Krishan Mohan Agarwal Vf159 W/C /201607/8 7/4/2016 Vijay P. Katkoria IVa160 W/C /201607/9 7/7/2016 Jacob Chacko Ib161 W/C /201607/10 7/11/2016 Sylvia Ashit Macwan Vf162 K/C /201607/11 7/8/2016 Ramchandra Chaurasia IVa163 K/C /201607/12 7/8/2016 Om Prakash IVa164 K/C /201607/13 7/8/2016 Mudit Garg Ia165 W/C /201607/14 7/11/2016 Mohan G. Chandiramani IIIa166 W/C /201607/15 7/7/2016 Eknath Shivram Patil IVa

167 B/C /201607/16 7/11/2016 Rajan Vf168 - 7/12/2016 Rameshchandra Nanadlal Darji IVb169 S/C /201607/18 7/12/2016 Mohamed Meera Ziaudeen IVa170 I/C /201607/19 7/12/2016 Shubham Solanki IVb171 I/C /201607/20 7/12/2016 Rahul Chandrakar Vc172 I/C /201607/21 7/12/2016 Ankita Jain IVb173 I/C /201607/22 7/12/2016 Bina Khandelwal Va174 P/C /201607/23 7/13/2016 Shiv Kumar Shrivastava Vb175 W/C /201607/24 7/13/2016 Paresh Manubhai Modi Va176 N/C /201607/25 7/13/2016 Amit Suri IVb177 K/C /201607/26 7/12/2016 Prashant Kumar Sahu Va178 W/C /201607/27 7/13/2016 Anandakrishna Bhat IVb179 W/C /201607/28 7/13/2016 Komal V. Shah (Authorised Person) IIb180 E/C /201607/29 7/13/2016 Arunabha Biswas IVa181 E/C /201607/30 7/14/2016 Kajorilal Jajodia Va182 W/C /201607/31 7/15/2016 KHATRI DEVIDAS KHUBCHAND IIIc183 W/C /201607/32 7/14/2016 Naresh Kumar Agarwal Vc184 S/C /201607/33 7/15/2016 Surendra.P.V Vf185 H/C /201607/34 7/15/2016 Kishan Kumar Id186 I/C /201607/35 7/20/2016 Manish Chaturvedi IVa187 B/C /201607/36 7/21/2016 Vikram Vf188 W/C /201607/37 7/20/2016 Vinit Arvind Shah IVb189 K/C /201607/38 7/19/2016 Mili Kasera IVa190 W/C /201607/39 7/22/2016 NARESHKUMAR R SHAH Vf191 K/C /201607/40 7/19/2016 Rashmi Dhawan Vf192 P/C /201607/41 7/22/2016 Prashant Devidas Ingle IVa193 W/C /201607/42 7/25/2016 ASHOKKUMAR SARALAL PANCHANI IVa194 N/C /201607/43 7/26/2016 AMRIT LAL MITTAL IIa195 J/C /201607/44 7/26/2016 KHUSHIRAM Ve196 E/C /201607/45 7/25/2016 Chhaganlal Bothra IIIa197 W/C /201607/46 7/26/2016 Ajit Shinde Vf198 W/C /201607/47 7/26/2016 Manish Kumar Samdarshi Vf199 W/C /201607/48 7/26/2016 Rajeet Bholanath Shukla Vb200 W/C /201607/49 7/29/2016 Mrudula V Salot IVa201 W/C /201608/1 8/1/2016 Bhavesh Yogendra Chhapiya IVb202 B/C /201608/2 8/1/2016 PALIMAR CHANDRASHEKAR SHENOY Vf203 W/C /201608/3 7/29/2016 Shyam Prakash Vc204 P/C /201608/4 8/2/2016 Vikas Gulabrao Divekar IVa205 I/C /201608/5 8/3/2016 Jackey Udhani VIa206 I/C /201608/6 8/3/2016 Jitendra Gupta IVb207 P/C /201608/7 8/3/2016 Harshad G Shah IIIa208 P/C /201608/8 8/3/2016 Suresh Gangadhar Sonawane IIIa209 W/C /201608/9 8/2/2016 Waman Pomaji Rathod IVa210 W/C /201608/10 8/4/2016 Ajay Singh Vf211 E/C /201608/11 8/1/2016 Pradip Kumar Ghosh IVb

212 E/C /201608/12 8/4/2016 Ratna Sen Vf213 - 8/5/2016 ISHANK GUPTA IIa214 E/C /201608/14 8/8/2016 Soumya Chowdhury IVa215 E/C /201608/15 8/5/2016 Ajit Kumar Nandi Vf216 J/C /201608/16 8/9/2016 BAJRANG LAL AGARWAL IVb217 P/C /201608/17 8/10/2016 Pankaj Suresh Sahu Vd218 K/C /201608/18 8/8/2016 Maya Chaurasiya Vf219 W/C /201608/19 8/8/2016 Rajan Satija Vb220 W/C /201608/20 8/8/2016 Retesh Chandak HUF IVb221 E/C /201608/21 8/11/2016 Rupankar Dey Vf222 K/C /201608/22 8/12/2016 Gaurav Srivastava Id223 W/C /201608/23 8/12/2016 Mahalinga Subba Devadiga IVa224 S/C /201608/24 8/16/2016 Visweswaran Srikanth IVa225 K/C /201608/25 8/12/2016 Rambabu Gupta IIc226 E/C /201608/26 8/16/2016 Ramakrushna Rout Vf227 S/C /201608/27 8/17/2016 Ashok Galada. J Va228 P/C /201608/28 8/22/2016 Pranay Nahar Vc229 K/C /201608/29 8/19/2016 Veena Taneja Ib230 K/C /201608/30 8/19/2016 Praveen Varshney Vf231 W/C /201608/31 8/22/2016 Abhishek Sahu Vf232 W/C /201608/32 8/18/2016 Kishore M. Thakker_2 IVa233 W/C /201608/33 8/22/2016 Anilkumar Tarachand Jain IVa234 W/C /201608/34 8/22/2016 Sanjay Rajole IVb235 B/C /201608/35 8/23/2016 K.S.KESHAVAMURTHY IVa236 - 8/23/2016 Nitish Kumar Vf237 E/C /201608/37 8/24/2016 Mohit Chakraborty IVa238 W/C /201608/38 8/25/2016 Rajiv B. Vithlani Ib239 E/C /201608/39 8/25/2016 Mudit Choraria Vf240 B/C /201608/40 8/29/2016 G Chakravarti Va241 W/C /201608/41 8/31/2016 JENISHBHAI MAHENDRABHAI PATEL Vf242 E/C /201608/42 8/31/2016 Rupankar Dey Vf243 S/C /201609/1 9/1/2016 Divakaran.M IVa244 B/C /201609/2 9/1/2016 REKHA JAIN IVa245 W/C /201609/3 8/30/2016 Sheetal Dinesh Mutha Vf246 J/C /201609/4 9/1/2016 Hanif Chhipa Vb247 - 9/2/2016 Sudhir Kumar IVb248 - 9/2/2016 Mukesh Kumar Va249 P/C /201609/7 9/6/2016 Manicka Radhakrishnan Om Prakash IVa250 P/C /201609/8 9/6/2016 Aashish Kailas Lagad IVa251 J/C /201609/9 9/6/2016 GIRDHARI LAL PATODIA IVb252 W/C /201609/10 9/6/2016 Ankit Ketan Shah Ib253 W/C /201609/11 9/6/2016 Sangita Ketan Shah Ib254 N/C /201609/12 9/7/2016 RATAN KUMAR SINHA Vc255 W/C /201609/13 9/8/2016 JAYESH RMANLAL MOR -256 S/C /201609/14 9/8/2016 Balakrishnan.S VIIIb

257 E/C /201609/15 9/7/2016 Narayan Chandra Roy IVb258 K/C /201609/16 9/8/2016 Daya Kishan IVa259 K/C /201609/17 9/8/2016 Priybrat Kumar Pandey Ib260 K/C /201609/18 9/8/2016 Sachin Bhardwaj IVa261 E/C /201609/19 9/6/2016 Tripti Bhowmik IVa262 K/C /201609/20 9/8/2016 Mohd Kalim Uddin Vf263 E/C /201609/21 9/8/2016 Sangita Jajoo IVa264 W/C /201609/22 9/8/2016 Nirupama K. Mallya Ib265 W/C /201609/23 9/8/2016 Mrinal K. Mallya Ib266 N/C /201609/24 9/9/2016 Madhu Bajpai IVb267 J/C /201609/25 9/12/2016 UMA VERMA IVa268 W/C /201609/26 9/14/2016 Sankar Kr. Saha Vf269 P/C /201609/27 9/14/2016 Dhiresh Desale Va270 - 9/14/2016 GARIYAN MADHAV PRASAD CHOUDHARY IVb271 - 9/14/2016 G S GUPTA Va272 W/C /201609/30 9/15/2016 Sanjay Dhawan - Franchisee Ve273 E/C /201609/31 9/7/2016 Munmun Saha IVb274 I/C /201609/32 9/15/2016 Praveen Kumar Jaiswal IVa275 W/C /201609/33 9/12/2016 Venkatgeshwar Rao Nelluri IVb276 W/C /201609/34 9/12/2016 Bharathi Venkatgeshwar Rao IVb277 W/C /201609/35 9/14/2016 Suhas Dinkar Deshmukh Vd278 W/C /201609/36 9/14/2016 Ankit Kumar Agarwal Vd279 - 9/16/2016 Pradeep Kumar Agnihotri IIb280 W/C /201609/38 9/19/2016 TEJASH VITHALANI Vb281 E/C /201609/39 9/16/2016 Dayanand Barik IVa282 K/C /201609/40 9/8/2016 Lohia Corp Limited Vf283 K/C /201609/41 9/19/2016 Manish Kansal IVa284 K/C /201609/42 9/19/2016 Shyam Behari Tiwari Va285 S/C /201609/43 9/19/2016 Manu.P.C Vf286 B/C /201609/44 9/26/2016 Anudeep Rastogi Vb287 K/C /201609/45 9/26/2016 Asha Verma Vf288 K/C /201609/46 9/26/2016 Vijay Kumar Singh Vf289 W/C /201609/47 9/26/2016 Balkrishna Tambe Vf290 P/C /201609/48 9/27/2016 Anant Parasnis Vf291 J/C /201609/49 9/27/2016 AMIT DAGA Vf292 W/C /201609/50 9/26/2016 Abhijit Chatterjee - AP Ib293 W/C /201609/51 9/28/2016 Mohsin Hassan IVa294 - 9/29/2016 AVINASH ACHARYA Vb295 - 9/29/2016 AVINASH ACHARYA Vb296 W/C /201609/54 9/30/2016 Pratik Joshi Vb297 K/C /201609/55 9/27/2016 Biswanath Mondal IIIc298 K/C /201609/56 9/27/2016 Gopa Mandal IIIc299 N/C /201610/1 10/3/2016 ROOP CHAND MALHOTRA IVa300 B/C /201610/2 10/4/2016 KRISHNAMOHAN IVa301 B/C /201610/3 10/4/2016 H Ramanand Shenoy IVa

302 N/C /201610/4 10/4/2016 Pushpa Bansal VIa303 E/C /201610/5 9/29/2016 Manish Bhogilal Mehta IVa304 W/C /201610/6 10/5/2016 C. R. Radha Vf305 E/C /201610/7 10/6/2016 Rajeev Kumar Sharma IVa306 K/C /201610/8 10/6/2016 Mahendra Kumar Mishra Va307 E/C /201610/9 10/7/2016 Asim Kumar Sengupta IVa308 H/C /201610/10 10/7/2016 Kaja Venkateswarlu Vb309 W/C /201610/11 10/6/2016 Parth Kirti Shah Vf310 E/C /201610/12 10/13/2016 Manika Chanda IVa311 W/C /201610/13 10/10/2016 Parul Kalpesh Modi Vf312 W/C /201610/14 10/17/2016 BITTU BAJARANGLAL AGARWAL Vf313 W/C /201610/15 10/17/2016 Kashyap J Master IVa314 W/C /201610/16 10/17/2016 RAJULBEN ATULKUMAR SHAH IIb315 E/C /201610/17 10/17/2016 Biswanath Biswas IVa316 W/C /201610/18 10/13/2016 JaidevW. Vachhani Vf317 J/C /201610/19 10/17/2016 Shakti Singh Shekhawat Vf318 W/C /201610/20 10/18/2016 Anandhan Ranganathan VIa319 H/C /201610/21 10/18/2016 Sangisetti Siva Kanth IVa320 H/C /201610/22 10/19/2016 Mohd Arifulla Siddiqui IVb321 W/C /201610/23 10/19/2016 Afnal K. Patel Vf322 W/C /201610/24 10/17/2016 Ujjwal Kotdiya Vb323 W/C /201610/25 10/24/2016 Savita Trinath Padhi Vf324 P/C /201610/26 10/24/2016 Raunak Bagdi Vb325 S/C /201610/27 10/24/2016 Ramadevi.K IVa326 J/C /201610/28 10/24/2016 GOPAL SINGH IVb327 J/C /201610/29 10/24/2016 VINOD GOYAL Ib328 J/C /201610/30 10/24/2016 GULAB SINGH KOTHARI HUF Vf329 W/C /201610/31 10/25/2016 Ashok Sakariya IVa330 J/C /201610/32 10/24/2016 SANDEEP KUMAR Vb331 J/C /201610/33 10/24/2016 ABBAS ALI IIIc332 P/C /201610/34 10/24/2016 Phoolchand Chaurasia IVb333 B/C /201610/35 10/25/2016 Pemmaiah M K IVb334 K/C /201610/36 10/21/2016 Anand Prakash Gupta IVa335 E/C /201610/37 10/26/2016 NST Housing Developement IVa336 W/C /201610/38 10/26/2016 BHAVIN BHARATKUMAR DAVE IVb337 I/C /201610/39 10/26/2016 Sanjay Jain HUF Ia338 E/C /201610/40 10/26/2016 Dilip Kumar Ghosh IVa339 E/C /201610/41 10/27/2016 Amit Kumar Roy IVa340 P/C /201610/42 10/28/2016 Nikhil Anilkumar Khariya Vc341 W/C /201610/43 10/28/2016 Vinod Dalvi -342 W/C /201610/44 10/28/2016 Amit Pathak Vf343 S/C /201611/1 11/1/2016 Ajeethdoss.S IIa344 W/C /201611/2 11/2/2016 Samprada Rajan Vilekar IVa345 P/C /201611/3 11/2/2016 Nabha Narendra Talewar IVa346 W/C /201611/4 10/28/2016 Shweta Ravindra Sawant IVa

347 W/C /201611/5 10/28/2016 Uma Vilekar IVb348 W/C /201611/6 10/28/2016 Ganesh Daji Bhuite IVb349 W/C /201611/7 10/28/2016 Nitin Daji Bhuite IVb350 W/C /201611/8 10/28/2016 Daji S. Bhuite IVb351 W/C /201611/9 10/28/2016 Nila Namdev Bhuite IVb352 W/C /201611/10 10/28/2016 Nayan Bane IVb353 W/C /201611/11 10/28/2016 Rajan Vilekar IVb354 W/C /201611/12 10/28/2016 Nishant Bane IVb355 W/C /201611/13 11/2/2016 Nina Bane IVb356 W/C /201611/14 10/28/2016 Sharvari Gholap IVb357 W/C /201611/15 10/28/2016 Manoj Gholap IVb358 W/C /201611/16 10/28/2016 Ravindra S. Sawant IVb359 W/C /201611/17 10/28/2016 Ashwini Rahul Patil IVb360 W/C /201611/18 10/28/2016 Sneha Ravindra Sawant IVb361 W/C /201611/19 10/28/2016 Jasraj Raju Behwal IVb362 W/C /201611/20 10/28/2016 Manisha B. Masurkar IVb363 S/C /201611/21 11/3/2016 Sailaja Balasubramaniyan Vf364 W/C /201611/22 10/28/2016 Bharati Masurkar IVb365 W/C /201611/23 10/28/2016 Suresh Madhav Bhor IVb366 W/C /201611/24 10/28/2016 Sangeeta Gokhale IVb367 W/C /201611/25 10/28/2016 Sharmila Suresh Bhor IVb368 W/C /201611/26 10/28/2016 Durvesh Gokhale IVb369 W/C /201611/27 10/28/2016 Mangal Daji Bhuite IVb370 W/C /201611/28 10/28/2016 Sandeep Shivram Bhuvad IVb371 W/C /201611/29 10/28/2016 Sandip B. Masurkar IVb372 W/C /201611/30 10/28/2016 Ashok B. Salvi IVb373 W/C /201611/31 10/28/2016 Anagha Anant Dixit IVb374 E/C /201611/32 11/3/2016 Ritu Rungta IVb375 W/C /201611/33 10/28/2016 Aniruddha Anant Dixit IVb376 W/C /201611/34 10/28/2016 Avinash Atmaram Salvi IVb377 W/C /201611/35 10/28/2016 Nitin Ovalekar IVb378 W/C /201611/36 11/1/2016 Sunitta Kamat Vf379 E/C /201611/37 11/1/2016 Mamata Pattanayak IVa380 W/C /201611/38 11/2/2016 Navneet N. Rana IVb381 E/C /201611/39 10/28/2016 Niru Prova Bora Vf382 W/C /201611/40 11/2/2016 Geeta N. Rana IVb383 W/C /201611/41 11/2/2016 Harshul Shah IIIa384 W/C /201611/42 11/2/2016 Dhananjay Joshi Va385 W/C /201611/43 11/2/2016 A. K. Mukherjee IVa386 E/C /201611/44 11/2/2016 Krishna Ganguly IVa387 E/C /201611/45 11/2/2016 Tapan Kumar Ganguly IVa388 K/C /201611/46 11/4/2016 Abhishek Mishra IVa389 K/C /201611/47 11/2/2016 Beena Vf390 E/C /201611/48 11/4/2016 Binod Bihari Das IVa391 E/C /201611/49 11/7/2016 Sarbani Roy IVa

392 E/C /201611/50 11/4/2016 Prashanta Biswas IIIc393 E/C /201611/51 11/4/2016 Prashanta Biswas IIIc394 W/C /201611/52 11/7/2016 Pooja Yadav - Sub broker Vf395 W/C /201611/53 11/7/2016 Kishore Manilal Thakker IVa396 B/C /201611/54 11/8/2016 DEEPCHAND BAFNA IVa397 N/C /201611/55 11/9/2016 Kishan Dass Dhiman IVa398 E/C /201611/56 11/10/2016 Anoop Nopany VIa399 J/C /201611/57 11/15/2016 DINESH KUMAR GUPTA HUF -400 S/C /201611/58 11/15/2016 Hafeez M.A Vf401 E/C /201611/59 11/15/2016 Birendra Gupta IIb402 J/C /201611/60 11/17/2016 KSHITIZ GUPTA Vd403 W/C /201611/61 11/17/2016 Milan J. Sanghvi IVa404 E/C /201611/62 11/18/2016 Bina Shah IVb405 E/C /201611/63 11/18/2016 Narendra Kumar Shah IVb406 W/C /201611/64 11/21/2016 DHARMESH S SANGHVI IVa407 E/C /201611/65 11/21/2016 Ajaya Kumar Mishra IVa408 N/C /201611/66 11/21/2016 Nitin Abrol Id409 W/C /201611/67 11/21/2016 PRAVINA C WAGHELA Vb410 E/C /201611/68 11/21/2016 Anirvan Mukherjee IVb411 W/C /201611/69 11/17/2016 Hetal Doshi Vf412 E/C /201611/70 11/22/2016 Promatha Nath Daspurkayastha IVb413 P/C /201611/71 11/22/2016 Munnalal Sabu Ib414 S/C /201611/72 11/23/2016 Bijendra Kumar Rana IVb415 P/C /201611/73 11/23/2016 Umesh Naval VIa416 K/C /201611/74 11/23/2016 Harsimran Kaur IVa417 W/C /201611/75 11/24/2016 ASHISH MULCHAND GOHIL Vf418 W/C /201611/76 11/24/2016 Laxmichand Gutka Vc419 - 11/24/2016 YASMIN AHMED MOOLLA Vb420 E/C /201611/78 11/24/2016 Janmejay Mandal Vf

# including against its sub-brokers , authorized persons , employees , etc. ## Status date is the date of resolution / disposal advice reference to arbitration / finding it non-actionable . If Under process , it is the date of updation of this sheet .

Report 1A: Complaints received from clients against Trading Members (TMs)# during 2016-17: Updated on 25/11/2016 (updated on each Friday or

"--" in Column E below, "Type of Complaint" indicates that the complaint is non-actionable either because it is incomplete or otherwise

Please refer the following Table while reading data under Column 'I', i.e."Status" in the Report below.

Details of Trading Member (TM) Status of Complaint

Name of TM # Status**SHRIRAM INSIGHT SHARE BROKERS LTD. Cash Not applicable IISAMCO SECURITIES LTD. Cash Not applicable IIMASTER CAPITAL SERVICES LTD. Cash Not applicable IVARCADIA SHARE & STOCK BROKERS PVT.LTD. Cash Not applicable IIINTEGRATED MASTER SECURITIES PVT.LTD. Cash Not applicable IILKP SECURITIES LTD. Cash Not applicable IINIRMAL BANG SECURITIES PVT. LTD. Cash Not applicable IISHCIL SERVICES LTD. Cash Not applicable IIKOTAK SECURITIES LTD. Cash Not applicable IINJ INDIA INVEST PVT.LTD. Cash Not applicable IIANAND R.LADSARIYA SHARES & STOCK BROKERS PVT.LTD. Cash Not applicable IILKP SECURITIES LTD. Cash Not applicable IIBMA WEALTH CREATORS LTD. Cash Not applicable IIINVENTURE GROWTH & SECURITIES LTD. Cash Not applicable IIINDIA INFOLINE LTD. Cash Not applicable IIRELIGARE SECURITIES LTD. Cash Not applicable IIICICI SECURITIES LTD. Cash Not applicable IIADITYA BIRLA MONEY LTD. Cash Not applicable IISHILPA STOCK BROKER PVT.LTD. Cash Not applicable IIANAND RATHI SHARE & STOCK BROKERS LTD. Cash Not applicable IINETWORTH STOCK BROKING LTD. Cash Not applicable IIMOTILAL OSWAL SECURITIES LTD. Cash Not applicable IISHCIL SERVICES LTD. Cash Not applicable IIASE CAPITAL MARKETS LTD. Cash Not applicable IINIRMAL BANG SECURITIES PVT. LTD. Cash Not applicable IIHDFC SECURITIES LTD. Cash Not applicable IITRADEBULLS SECURITIES PVT.LTD. Cash Not applicable IIKOTAK SECURITIES LTD. Cash Not applicable IIBMA WEALTH CREATORS LTD. Cash Not applicable IISMC GLOBAL SECURITIES LTD. Cash Not applicable IIINDIA INFOLINE LTD. Cash Not applicable II

Market Segment

If defaulter, Date of its declaration

RELIGARE SECURITIES LTD. Cash Not applicable IIRELIGARE SECURITIES LTD. Cash Not applicable IIRELIGARE SECURITIES LTD. Cash Not applicable IIADROIT FINANCIAL SERVICES PVT.LTD. Cash Not applicable IINIRMAL BANG SECURITIES PVT. LTD. Cash Not applicable IVANAND RATHI SHARE & STOCK BROKERS LTD. Cash Not applicable IIINDIA INFOLINE LTD. Cash Not applicable IIRELIGARE SECURITIES LTD. Cash Not applicable IIHDFC SECURITIES LTD. Cash Not applicable IISHAREKHAN LTD. Cash Not applicable IIRTG SHARE BROKING LTD. Cash Not applicable IIC.D.EQUISEARCH PVT.LTD. Cash Not applicable IISBICAP SECURITIES LTD. Cash Not applicable IIBMA WEALTH CREATORS LTD. Cash Not applicable IINIRMAL BANG SECURITIES PVT. LTD. Cash Not applicable IIASHIKA STOCK BROKING LTD. Cash Not applicable IIC.D.EQUISEARCH PVT.LTD. Cash Not applicable IIPRABHUDAS LILLADHER PVT.LTD. Cash Not applicable IIGEOJIT BNP PARIBAS FINANCIAL SERVICES LTD. Cash Not applicable IILKP SECURITIES LTD. Cash Not applicable IILKP SECURITIES LTD. Cash Not applicable IIFAIRWEALTH SECURITIES LTD. Cash Not applicable IVZERODHA Cash Not applicable IIEDELWEISS BROKING LTD. Cash Not applicable IILKP SECURITIES LTD. Cash Not applicable IVLKP SECURITIES LTD. Cash Not applicable IIANGEL BROKING PVT. LTD. Cash Not applicable IVANGEL BROKING PVT. LTD. Cash Not applicable IVANGEL BROKING PVT. LTD. Cash Not applicable IVANGEL BROKING PVT. LTD. Cash Not applicable IVKARVY STOCK BROKING LTD. Cash Not applicable IISHCIL SERVICES LTD. Cash Not applicable IIALANKIT ASSIGNMENTS LTD. Cash Not applicable IISSJ FINANCE & SECURITIES PVT.LTD. Cash Not applicable IIVENTURA SECURITIES LTD. Cash Not applicable IISHAREKHAN LTD. Cash Not applicable IVJHAVERI SECURITIES LTD. Cash Not applicable IISWASTIKA INVESTMART LTD. Cash Not applicable IVBMA WEALTH CREATORS LTD. Cash Not applicable IVISE SECURITIES & SERVICES LTD. Cash Not applicable IINIRMAL BANG SECURITIES PVT. LTD. Cash Not applicable IVANGEL BROKING PVT. LTD. Cash Not applicable IIANGEL BROKING PVT. LTD. Cash Not applicable IIKARVY STOCK BROKING LTD. Cash Not applicable IIEDELWEISS BROKING LTD. Cash Not applicable II

ARCADIA SHARE & STOCK BROKERS PVT.LTD. Cash Not applicable IIKOTAK SECURITIES LTD. Cash Not applicable IIEMKAY GLOBAL FINANCIAL SERVICES LTD. Cash Not applicable IINNM SECURITIES PVT.LTD. Cash Not applicable IIVENTURA SECURITIES LTD. Cash Not applicable IIKARVY STOCK BROKING LTD. Cash Not applicable IIHDFC SECURITIES LTD. Cash Not applicable IIINDIANIVESH SECURITIES LTD. Cash Not applicable IIKARVY STOCK BROKING LTD. Cash Not applicable IIMONEYPLEX SECURITIES PVT. LTD. Cash Not applicable IINIRMAL BANG SECURITIES PVT. LTD. Cash Not applicable IVINANI SECURITIES LTD. Cash Not applicable IVTRADEBULLS SECURITIES PVT.LTD. Cash Not applicable IISW CAPITAL PVT. LTD. Cash Not applicable IIEDELWEISS BROKING LTD. Cash Not applicable IITRADEBULLS SECURITIES PVT.LTD. Cash Not applicable IIKARVY STOCK BROKING LTD. Cash Not applicable IINIRMAL BANG SECURITIES PVT. LTD. Cash Not applicable IIKAYNET CAPITAL LTD. Cash Not applicable IINIRMAL BANG SECURITIES PVT. LTD. Cash Not applicable IbHDFC SECURITIES LTD. Cash Not applicable IIVENTURA SECURITIES LTD. Cash Not applicable IIMOTILAL OSWAL SECURITIES LTD. Cash Not applicable IIRELIANCE SECURITIES LTD. Cash Not applicable IIINVENTURE GROWTH & SECURITIES LTD. Cash Not applicable IIHEM SECURITIES LTD. Cash Not applicable IINIRMAL BANG SECURITIES PVT. LTD. Cash Not applicable IINIRMAL BANG SECURITIES PVT. LTD. Cash Not applicable IINIRMAL BANG SECURITIES PVT. LTD. Cash Not applicable IIRELIGARE SECURITIES LTD. Cash Not applicable IIMOTILAL OSWAL SECURITIES LTD. Cash Not applicable IIBMA WEALTH CREATORS LTD. Cash Not applicable IVVERACITY FINANCIAL SERVICES PVT. LTD. Cash Not applicable IILKP SECURITIES LTD. Cash Not applicable IIINVENTURE GROWTH & SECURITIES LTD. Cash Not applicable IIINVENTURE GROWTH & SECURITIES LTD. Cash Not applicable IIINVENTURE GROWTH & SECURITIES LTD. Cash Not applicable IIINVENTURE GROWTH & SECURITIES LTD. Cash Not applicable IINIRMAL BANG SECURITIES PVT. LTD. Cash Not applicable IIEMKAY GLOBAL FINANCIAL SERVICES LTD. Cash Not applicable IISBICAP SECURITIES LTD. Cash Not applicable IIVENTURA SECURITIES LTD. Cash Not applicable IISHCIL SERVICES LTD. Cash Not applicable IIKOTAK SECURITIES LTD. Cash Not applicable IIKARVY STOCK BROKING LTD. Cash Not applicable II

NIRMAL BANG SECURITIES PVT. LTD. Cash Not applicable IVGUINESS SECURITIES LTD. Cash Not applicable IIVENTURA SECURITIES LTD. Cash Not applicable IVVENTURA SECURITIES LTD. Cash Not applicable IIKALPATARU MULTIPLIER LTD. Cash Not applicable IIHDFC SECURITIES LTD. Cash Not applicable IINIRMAL BANG SECURITIES PVT. LTD. Cash Not applicable IVKARVY STOCK BROKING LTD. Cash Not applicable IIANGEL BROKING PVT. LTD. Cash Not applicable IIMOTILAL OSWAL SECURITIES LTD. Cash Not applicable IIINDIA INFOLINE LTD. Cash Not applicable IISMC GLOBAL SECURITIES LTD. Cash Not applicable IIANGEL BROKING PVT. LTD. Cash Not applicable IIBMA WEALTH CREATORS LTD. Cash Not applicable IIBMA WEALTH CREATORS LTD. Cash Not applicable IIVENTURA SECURITIES LTD. Cash Not applicable IIEDELWEISS BROKING LTD. Cash Not applicable IIMANGAL KESHAV SECURITIES LTD. Cash Not applicable IIVIDHI SECURITIES BROKING PVT.LTD. Cash Not applicable IIANGEL BROKING PVT. LTD. Cash Not applicable IIANGEL BROKING PVT. LTD. Cash Not applicable IIANGEL BROKING PVT. LTD. Cash Not applicable IISBICAP SECURITIES LTD. Cash Not applicable IISHCIL SERVICES LTD. Cash Not applicable IIANGEL BROKING PVT. LTD. Cash Not applicable IIWAY2WEALTH BROKERS PVT.LTD. Cash Not applicable IIB.M.GANDHI SECURITIES PVT.LTD. Cash Not applicable IVINDIA INFOLINE LTD. Cash Not applicable IIRELIGARE SECURITIES LTD. Cash Not applicable IbANGEL BROKING PVT. LTD. Cash Not applicable IbKALPATARU MULTIPLIER LTD. Cash Not applicable IVBONANZA PORTFOLIO LTD. Cash Not applicable IIAMRAPALI AADYA TRADING & INVESTMENTS PVT. LTD. Cash Not applicable IINIRMAL BANG SECURITIES PVT. LTD. Cash Not applicable IITRADEBULLS SECURITIES PVT.LTD. Cash Not applicable IIBMA WEALTH CREATORS LTD. Cash Not applicable IILKP SECURITIES LTD. Cash Not applicable IISSJ FINANCE & SECURITIES PVT.LTD. Cash Not applicable IISHCIL SERVICES LTD. Cash Not applicable IIANGEL BROKING PVT. LTD. Cash Not applicable IISWASTIKA INVESTMART LTD. Cash Not applicable IIF6 FINSERVE PVT. LTD. Cash Not applicable IIEDELWEISS BROKING LTD. Cash Not applicable IIZERODHA Cash Not applicable IIMASTER CAPITAL SERVICES LTD. Cash Not applicable II

INDIABULLS VENTURES LIMITED Cash Not applicable IIBMA WEALTH CREATORS LTD. Cash Not applicable IIRELIANCE SECURITIES LTD. Cash Not applicable IIVENTURA SECURITIES LTD. Cash Not applicable IIKALPATARU MULTIPLIER LTD. Cash Not applicable IIRELIANCE SECURITIES LTD. Cash Not applicable IIINDIA INFOLINE LTD. Cash Not applicable IIANGEL BROKING PVT. LTD. Cash Not applicable IILKP SECURITIES LTD. Cash Not applicable IIADITYA BIRLA MONEY LTD. Cash Not applicable IIINDIA INFOLINE LTD. Cash Not applicable IIKOTAK SECURITIES LTD. Cash Not applicable IIBRICS SECURITIES LTD. Cash Not applicable IIADITYA BIRLA MONEY LTD. Cash Not applicable IISSJ FINANCE & SECURITIES PVT.LTD. Cash Not applicable IIMOTILAL OSWAL SECURITIES LTD. Cash Not applicable IIANGEL BROKING PVT. LTD. Cash Not applicable IISHCIL SERVICES LTD. Cash Not applicable IIHSE SECURITIES LTD. Cash Not applicable IISWASTIKA INVESTMART LTD. Cash Not applicable IIHDFC SECURITIES LTD. Cash Not applicable IIINVENTURE GROWTH & SECURITIES LTD. Cash Not applicable IIKARVY STOCK BROKING LTD. Cash Not applicable IVKARVY STOCK BROKING LTD. Cash Not applicable IISHAREKHAN LTD. Cash Not applicable IISHAREKHAN LTD. Cash Not applicable IIINDIA INFOLINE LTD. Cash Not applicable IISHRI PARASRAM HOLDINGS PVT.LTD. Cash Not applicable IIANGEL BROKING PVT. LTD. Cash Not applicable IIBONANZA PORTFOLIO LTD. Cash Not applicable IISBICAP SECURITIES LTD. Cash Not applicable IIMOTILAL OSWAL SECURITIES LTD. Cash Not applicable IINIRMAL BANG SECURITIES PVT. LTD. Cash Not applicable IIANGEL BROKING PVT. LTD. Cash Not applicable IIARCADIA SHARE & STOCK BROKERS PVT.LTD. Cash Not applicable IIALANKIT ASSIGNMENTS LTD. Cash Not applicable IIRELIANCE SECURITIES LTD. Cash Not applicable IIINDIA INFOLINE LTD. Cash Not applicable IIANGEL BROKING PVT. LTD. Cash Not applicable IIHEM SECURITIES LTD. Cash Not applicable IIINDIA INFOLINE LTD. Cash Not applicable IIINDIA INFOLINE LTD. Cash Not applicable IIBANSAL FINSTOCK PVT.LTD. Cash Not applicable IISSJ FINANCE & SECURITIES PVT.LTD. Cash Not applicable IIBMA WEALTH CREATORS LTD. Cash Not applicable II

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# including against its sub-brokers , authorized persons , employees , etc. ## Status date is the date of resolution / disposal advice reference to arbitration / finding it non-actionable . If Under process , it is the date of updation of this sheet .

Status of Complaint

Status Date ##4/11/2016 - - - -4/7/2016 - - - -5/4/2016 - - - -5/4/2016 - - - -

4/12/2016 997/2016 6/17/2016 Arif Mohd Ma 7/21/20164/21/2016 - - - -6/28/2016 - - - -5/13/2016 - - - -5/13/2016 - - - -5/30/2016 - - - -4/12/2016 - - - -5/19/2016 - - - -4/12/2016 - - - -4/27/2016 - - - -4/22/2016 - - - -4/25/2016 - - - -4/26/2016 - - - -5/10/2016 - - - -4/21/2016 - - - -6/8/2016 - - - -5/6/2016 - - - -5/3/2016 - - - -5/3/2016 - - - -6/1/2016 - - - -5/3/2016 - - - -5/3/2016 - - - -5/5/2016 - - - -

5/19/2016 - - - -6/9/2016 - - - -5/4/2016 - - - -5/3/2016 - - - -

Arbitration Ref.no.

Date of Filing Arbitration

Name of Arbitrator (s)

Date of Arbitration Award

4/28/2016 - - - -5/2/2016 - - - -5/2/2016 - - - -

6/27/2016 - - - -7/15/2016 - - - -5/4/2016 - - - -5/9/2016 - - - -

5/27/2016 - - - -5/27/2016 - - - -5/5/2016 - - - -

6/30/2016 - - - -5/6/2016 - - - -

5/30/2016 - - - -5/4/2016 - - - -5/4/2016 - - - -

5/31/2016 - - - -5/13/2016 - - - -6/27/2016 - - - -6/28/2016 1003/2016 7/4/2016 A. Butchaiaha 9/8/20166/28/2016 - - - -6/28/2016 - - - -5/31/2016 1005/2016 6/14/2016 Uttam Gramo -5/11/2016 - - - -5/13/2016 - - - -7/4/2016 - - - -

5/13/2016 - - - -7/5/2016 1021/2016 8/11/2016 Anil Shah -7/5/2016 1017/2016 8/1/2016 Rahul Singhvi 10/4/20167/5/2016 1021/2016 8/11/2016 Naresh Shah -7/5/2016 1021/2016 8/11/2016 Dilip Virani -

6/22/2016 - - - -5/11/2016 - - - -5/30/2016 - - - -5/11/2016 - - - -5/11/2016 - - - -5/31/2016 1016/2016 6/10/2016 Anil Shah 10/17/20167/14/2016 - - - -6/21/2016 - - - -5/31/2016 - - - -6/9/2016 - - - -

5/31/2016 - - - -5/20/2016 - - - -7/7/2016 - - - -6/8/2016 - - - -6/2/2016 - - - -

6/7/2016 - - - -5/25/2016 - - - -6/22/2016 - - - -6/3/2016 - - - -

6/23/2016 - - - -5/27/2016 - - - -6/15/2016 - - - -6/3/2016 - - - -

6/16/2016 - - - -6/3/2016 - - - -

7/14/2016 - - - -7/14/2016 - - - -5/25/2016 - - - -6/6/2016 - - - -6/8/2016 - - - -6/6/2016 - - - -6/3/2016 - - - -

6/27/2016 - - - -6/6/2016 - - - -

5/24/2016 - - - -6/6/2016 - - - -6/3/2016 - - - -6/3/2016 - - - -6/6/2016 - - - -

6/29/2016 - - - -7/21/2016 - - - -6/30/2016 - - - -6/10/2016 - - - -6/30/2016 - - - -7/25/2016 - - - -6/9/2016 - - - -

6/23/2016 - - - -6/22/2016 - - - -6/8/2016 - - - -

7/28/2016 - - - -7/28/2016 - - - -7/28/2016 - - - -7/28/2016 - - - -6/16/2016 - - - -7/14/2016 - - - -6/16/2016 - - - -6/14/2016 - - - -7/25/2016 - - - -7/1/2016 - - - -

6/20/2016 - - - -

6/23/2016 - - - -7/15/2016 - - - -7/15/2016 - - - -7/19/2016 - - - -7/25/2016 - - - -7/7/2016 - - - -

7/19/2016 - - - -7/21/2016 - - - -7/25/2016 - - - -7/1/2016 - - - -

6/27/2016 - - - -6/27/2016 - - - -7/19/2016 - - - -6/23/2016 - - - -6/23/2016 - - - -6/28/2016 - - - -7/7/2016 - - - -

7/26/2016 - - - -6/27/2016 - - - -6/27/2016 - - - -6/27/2016 - - - -6/27/2016 - - - -6/29/2016 - - - -7/29/2016 - - - -7/4/2016 - - - -

7/15/2016 - - - -9/22/2016 - - - -7/7/2016 - - - -6/7/2016 - - - -

6/23/2016 - - - -7/29/2016 - - - -7/15/2016 - - - -7/13/2016 - - - -7/5/2016 - - - -

8/23/2016 - - - -7/20/2016 - - - -7/15/2016 - - - -7/15/2016 - - - -7/22/2016 - - - -8/11/2016 - - - -8/4/2016 - - - -

8/26/2016 - - - -8/11/2016 - - - -7/13/2016 - - - -7/29/2016 - - - -

8/31/2016 - - - -10/26/2016 - - - -7/18/2016 - - - -8/9/2016 - - - -

7/15/2016 - - - -8/1/2016 - - - -

7/15/2016 - - - -7/20/2016 - - - -7/20/2016 - - - -7/27/2016 - - - -8/26/2016 - - - -8/31/2016 - - - -7/20/2016 - - - -8/10/2016 - - - -7/18/2016 - - - -8/1/2016 - - - -

7/27/2016 - - - -8/4/2016 - - - -9/7/2016 - - - -

7/25/2016 - - - -9/1/2016 - - - -

8/31/2016 - - - -9/16/2016 - - - -7/26/2016 - - - -8/2/2016 - - - -8/1/2016 - - - -

7/28/2016 - - - -8/1/2016 - - - -8/2/2016 - - - -8/1/2016 - - - -

7/29/2016 - - - -8/5/2016 - - - -8/5/2016 - - - -8/4/2016 - - - -8/2/2016 - - - -8/9/2016 - - - -8/5/2016 - - - -

8/11/2016 - - - -8/8/2016 - - - -9/7/2016 - - - -

8/30/2016 - - - -8/30/2016 - - - -8/31/2016 - - - -8/8/2016 - - - -

8/10/2016 - - - -

8/10/2016 - - - -8/18/2016 - - - -8/16/2016 - - - -8/12/2016 - - - -8/19/2016 - - - -8/12/2016 - - - -10/3/2016 - - - -9/9/2016 - - - -

8/16/2016 - - - -9/9/2016 - - - -

8/16/2016 - - - -9/22/2016 - - - -8/23/2016 - - - -10/3/2016 - - - -8/22/2016 - - - -8/26/2016 - - - -8/25/2016 - - - -8/29/2016 - - - -9/16/2016 - - - -8/31/2016 - - - -9/30/2016 - - - -8/31/2016 - - - -

10/18/2016 - - - -9/16/2016 - - - -9/30/2016 - - - -9/9/2016 - - - -

9/27/2016 - - - -9/27/2016 - - - -9/1/2016 - - - -9/8/2016 - - - -9/9/2016 - - - -

11/25/2016 - - - -9/7/2016 - - - -

9/16/2016 - - - -9/12/2016 - - - -9/30/2016 - - - -9/30/2016 - - - -

11/25/2016 - - - -9/20/2016 - - - -9/27/2016 - - - -

11/10/2016 - - - -11/10/2016 - - - -9/30/2016 - - - -9/15/2016 - - - -9/15/2016 - - - -

9/12/2016 - - - -10/3/2016 - - - -

10/13/2016 - - - -11/17/2016 - - - -9/15/2016 - - - -10/3/2016 - - - -9/15/2016 - - - -9/27/2016 - - - -9/27/2016 - - - -9/30/2016 - - - -9/27/2016 - - - -9/14/2016 - - - -10/7/2016 - - - -

10/17/2016 - - - -10/5/2016 - - - -9/30/2016 - - - -

10/13/2016 - - - -10/17/2016 - - - -11/11/2016 - - - -11/11/2016 - - - -11/25/2016 - - - -11/25/2016 - - - -9/22/2016 - - - -9/28/2016 - - - -9/22/2016 - - - -9/26/2016 - - - -9/30/2016 - - - -

11/17/2016 - - - -10/19/2016 - - - -10/26/2016 - - - -9/30/2016 - - - -9/30/2016 - - - -

10/13/2016 - - - -10/7/2016 - - - -9/29/2016 - - - -

10/13/2016 - - - -10/6/2016 - - - -

10/27/2016 - - - -11/2/2016 - - - -10/7/2016 - - - -10/5/2016 - - - -10/5/2016 - - - -

10/25/2016 - - - -11/25/2016 - - - -10/14/2016 - - - -

11/9/2016 - - - -11/16/2016 - - - -10/21/2016 - - - -10/26/2016 - - - -11/1/2016 - - - -11/4/2016 - - - -

11/10/2016 - - - -10/19/2016 - - - -10/19/2016 - - - -10/19/2016 - - - -10/19/2016 - - - -10/19/2016 - - - -11/25/2016 - - - -10/19/2016 - - - -10/24/2016 - - - -11/1/2016 - - - -

11/25/2016 - - - -11/23/2016 - - - -11/25/2016 - - - -10/21/2016 - - - -11/4/2016 - - - -11/4/2016 - - - -11/1/2016 - - - -

11/25/2016 - - - -10/27/2016 - - - -11/21/2016 - - - -11/1/2016 - - - -

11/21/2016 - - - -11/1/2016 - - - -11/1/2016 - - - -

11/22/2016 - - - -11/8/2016 - - - -11/1/2016 - - - -

11/16/2016 - - - -11/16/2016 - - - -11/25/2016 - - - -10/28/2016 - - - -11/8/2016 - - - -

11/25/2016 - - - -11/7/2016 - - - -

11/24/2016 - - - -11/7/2016 - - - -

11/22/2016 - - - -11/25/2016 - - - -11/22/2016 - - - -

11/22/2016 - - - -11/22/2016 - - - -11/22/2016 - - - -11/22/2016 - - - -11/22/2016 - - - -11/22/2016 - - - -11/22/2016 - - - -11/22/2016 - - - -11/22/2016 - - - -11/22/2016 - - - -11/22/2016 - - - -11/23/2016 - - - -11/23/2016 - - - -11/23/2016 - - - -11/23/2016 - - - -11/23/2016 - - - -11/25/2016 - - - -11/23/2016 - - - -11/23/2016 - - - -11/23/2016 - - - -11/23/2016 - - - -11/23/2016 - - - -11/23/2016 - - - -11/23/2016 - - - -11/23/2016 - - - -11/23/2016 - - - -11/23/2016 - - - -11/25/2016 - - - -11/23/2016 - - - -11/23/2016 - - - -11/23/2016 - - - -11/11/2016 - - - -11/4/2016 - - - -

11/25/2016 - - - -11/17/2016 - - - -11/25/2016 - - - -11/9/2016 - - - -

11/21/2016 - - - -11/21/2016 - - - -11/25/2016 - - - -11/25/2016 - - - -11/10/2016 - - - -11/25/2016 - - - -11/8/2016 - - - -11/8/2016 - - - -

11/25/2016 - - - -11/10/2016 - - - -11/11/2016 - - - -11/21/2016 - - - -11/8/2016 - - - -

11/15/2016 - - - -11/25/2016 - - - -11/24/2016 - - - -11/17/2016 - - - -11/25/2016 - - - -11/24/2016 - - - -11/25/2016 - - - -11/25/2016 - - - -11/25/2016 - - - -11/25/2016 - - - -11/23/2016 - - - -11/25/2016 - - - -11/24/2016 - - - -11/25/2016 - - - -11/24/2016 - - - -11/25/2016 - - - -11/25/2016 - - - -11/25/2016 - - - -11/25/2016 - - - -11/25/2016 - - - -11/25/2016 - - - -11/25/2016 - - - -11/25/2016 - - - -11/25/2016 - - - -

# including against its sub-brokers , authorized persons , employees , etc. ## Status date is the date of resolution / disposal advice reference to arbitration / finding it non-actionable . If Under process , it is the date of updation of this sheet .