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How To Lodge Complaint against broker to SEBI

How to lodge complaint against fake tips

When one can file a Complaint?
If you have a problem with or have been mistreated by your stockbroker, investment adviser or brokerage firm

  • FRAUD. If you think that you’ve been cheated or otherwise taken advantage of by a financial professional, contact a regulatory organization or organizations immediately. Keep in mind that, in most cases, regulators will not be able to get your money back.
  • TRADING ERRORS AND OTHER PROBLEMS. Complain directly to the brokerage or investment advisory firm in writing and keep a copy for your own records. First communicate your concerns to your broker, then to the manager of your broker’s or advisor’s office. Keep a copy of the complaint in your records. Follow-up immediately if you do not receive a satisfactory response to your complaint. If you get no response to your letter or you feel like the firm is stalling you should complaint to the appropriate Exchange

Where one can file a complaint?
The NSE Investor Service Centre (NICE) allows an investor to register e-complaints against trading members and companies listed on the exchange. The complaints taken up by the Investor Services Cell of the exchange include those related to funds, securities and documents on transactions and complaints against listed companies regarding receipt of benefits, information and documents. The ones related to the investors’ transactions with the trading member that are not within the purview of the exchange cannot be presented through the facility.

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Click here for SEBI process.

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Complaints taken up at the Exchange
Investor Services Cell of the Exchange deals with the complaints of investors against the Trading Members of the Exchange or against the listed companies. Investors could lodge their complaints in the format prescribed by the Exchange along with the supporting documents either by registering their complaints in electronic mode through our website www.nseindia.com or may send in their complaints to the nearest investor service centre.

I.Complaints against Exchange Members:

  • Capital Markets/ Futures & Options Segment:

    • Non-Issuance of the Documents by the Trading Member
    • Non-receipt of funds / securities
    • Non-receipt of margin/security deposit given to the Trading Member (TM)
    • Non-Receipt of Corporate Benefit (dividend / interest / bonus etc.)
    • Auction value / close out value received or paid
    • Execution of Trades without Consent
    • Excess Brokerage charged by Trading Member / Sub-broker
    • Non-receipt of credit balance as per the statement of account
    • Non-Receipt of Funds / Securities kept as margin
    • Excess Brokerage Charged (other than on Option Premium)

II.Complaints against Listed Companies:

  • Public / Further offerings: Complaint regarding non-receipt of…
    • Allotment Advice, securities allotted, refund order
    • Interest on delay in Redemption / Refund Amount
    • Sale Proceeds of Fractional Entitlement
    • Composite Application Form (CAF) for Rights offer Rights for (CAF) Application
    • Securities purchased through a Rights Offer
    • Letter of offer for Buyback
  • Corporate Actions: Complaint regarding non-receipt of…
    Dividend
    • Interest on Debentures, Bonds or other Debt Instruments
    • Securities on account of a Bonus / De-merger / Merger / Stock Split
    • Redemption Amount
  • Transfer of Securities: Complaint regarding non-receipt of…
    Securities after Dematerialization
    • Securities after Transfer/Transmission
    • Duplicate Certificate relating to Securities
  • Miscellaneous:
    • Complaint regarding non-receipt of copy of the Annual Reports

Complaints not taken up at the Exchange
The Investor Services Cell of the Exchange would not be in a position to deal with certain types of complaints. Illustrative list of nature of complaints that would not be handled by Investor Services Cell are as under:

I.Complaints against Exchange Members:

  • Complaints in respect of transactions which are already subject matter of Arbitration proceedings
  • Complaint involving payment of funds and transfer of securities to entities other than Trading Member
  • Claims for mental agony/harassment and expenses incurred for pursuing the matter with the ISC
  • Claim for notional loss, opportunity loss for the disputed period or trade
  • Complaints pertaining to trades not executed on the Trading System of the Exchange
  • Claims of sub-broker/authorized persons for private commercial dealings with the trading member
  • Claims relating to transactions which are in the nature of loan or financing which are not within the framework defined by the Exchange
  • Claims which are relating to entities/activities which are not regulated by Exchange

II.Complaints against a Company:

  • Complaints pertaining to securities not listed on the Exchange
  • Complaints for refund of postal charges, telephone expenses and miscellaneous charges
  • Compensation for mental agony, harassment
  • Notional loss due to delay in receipt of shares sent for transfer or after IPO
  • Complaints which fall outside the purview of the listing agreement and not related to the Exchange
  • Pledge and assignment of shares
  • Inability of complainant to establish ownership of security.

Register a complaint

Source:NSE

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