Securities disputes before SEBI and other Authorities

Our Services in Securities Disputes

1. SEBI Complaints & Dispute Resolution

We provide comprehensive legal assistance to clients in matters before the Securities and Exchange Board of India (SEBI), offering end-to-end support for a wide range of disputes and regulatory issues. This includes addressing investor complaints and grievances, helping clients recover losses or resolve conflicts efficiently. We handle insider trading investigations, guiding clients through SEBI’s procedural requirements while protecting their legal and financial interests. Our team also manages cases of market manipulation or price rigging, providing strategic advice and representation to mitigate penalties and reputational risks. We ensure full compliance for clients facing non-compliance allegations with SEBI regulations, and represent them in hearings, appeals, and penalty proceedings, ensuring that all submissions, replies, and legal arguments are meticulously prepared to maximize the chance of a favorable outcome.

2. Stock Exchange Disputes

Our experienced legal team handles disputes arising in connection with recognized stock exchanges, including NSE, BSE, and other national or regional exchanges. We assist clients with brokerage disputes, trade execution issues, settlement conflicts, and delays, ensuring that their financial and commercial interests are fully protected. We also manage disagreements between listed companies and stock exchanges, including compliance disputes, delisting concerns, or reporting discrepancies. Additionally, our team ensures that clients are fully compliant with stock exchange rules and regulations, proactively advising on procedural obligations and preventing escalation of disputes that may affect market participation or reputational standing.

3. Investor & Shareholder Disputes

We offer dedicated support to investors and shareholders facing complex disputes with companies, promoters, or other market participants. This includes claims against companies or promoters for misrepresentation or fraudulent practices, assisting investors in recovering funds or asserting their legal rights. We manage recovery of investments, unpaid dividends, or entitlements, ensuring shareholders receive what they are legally entitled to. Our team also resolves disputes related to shareholder rights, entitlements, or voting powers, providing strategic legal guidance to protect governance and ownership interests. Furthermore, we address regulatory violations affecting investors, including breaches of SEBI rules, insider trading, and reporting failures, offering professional representation and negotiation to resolve matters efficiently.

4. Regulatory Compliance Advisory

Our advisory services focus on helping clients adhere to securities and financial regulations, minimizing the risk of disputes or penalties. We provide detailed guidance on SEBI regulations and circulars, helping businesses and investors stay compliant with the latest legal requirements. We also assist in meeting listing obligations and disclosure requirements (LODR), ensuring that listed companies maintain transparency and avoid regulatory scrutiny. Our experts advise on compliance with the Securities Contracts (Regulation) Act, 1956, as well as other relevant financial and securities laws. In addition, we provide preventive guidance to avoid disputes or penalties, conducting regular compliance audits, drafting internal policies, and providing strategic recommendations to mitigate legal risks before issues arise.

5. Appeals & Representation before Authorities

We represent clients in all appellate and quasi-judicial proceedings related to securities disputes, ensuring that their interests are fully protected at every stage. This includes appeals before the Securities Appellate Tribunal (SAT), as well as representation in SEBI committees or other quasi-judicial authorities for dispute resolution. Our team is responsible for drafting and filing appeals, replies, and legal submissions, ensuring that every procedural and legal requirement is met meticulously. We provide strategic representation designed to protect clients’ rights, mitigate penalties, and achieve favorable resolutions, combining in-depth knowledge of securities law with practical experience in handling complex regulatory disputes.