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Investor Complaint Letter to SEBI against Company (Format)

An investor should lodge a complaint against the company, where he has made an investment, in case any default made by the company, which is a violation of law and which may result in a loss to the company or the investor.
complaint letter to sebi against company

SEBI has an online platform i.e. SCORES for helping the investors to lodge their complaints online with SEBI against listed companies and registered intermediaries. It is a much better option than a physical written complaint. Visit SCORES website to know more.


Here is a template of a complaint letter that can be lodged with SEBI against a company.

SAMPLE

Date: ..............

From
Name of the Investor: ......................
Address: ............................................
City: .................. Pin Code: ..............
Telephone No.: ..............., ................
Email Id: ...........................................

To
Securities and Exchange Board of India (SEBI)
(Mention the concerned regional office name and address)
Tel. No.: ..................

Subj.: Complaint against the company
Name of the Company: .......................

Dear Sir/ Madam,

I am hereby lodging a complaint against the company i.e. ......................... Limited having CIN: ............................. for the following reason(s).

Nature of Complaint (choose from below and describe your complaint in detail)

Non-receipt of money: Interest on debt securities / Redemption of debt securities / Fractional entitlement Refund in Public / Rights issue.

Non receipt  of corporate benefits / entitlements: Dividend / Bonus / Rights form / Buyback letter of offer / Delisting letter of offer / Annual Report.

Non-receipt of Equity shares (Demat & Physical): In Public / Rights issue (including allotment letter) / Remat / Transfer / Transmission / Conversion / endorsement / consolidation / splitting / duplicate certificate.

Non-receipt of interest for delay in: Refunds / Dividend / Interest on debt security / Redemption of debt security / Securities.

Non-receipt of Debt Securities (Demat & Physical): In Public / Rights issue (including allotment letter) / Remat / Transfer / Transmission / Conversion / endorsement / consolidation / splitting / duplicate certificate.

Others: (including non adherence to corporate governance norms).

Particulars of Complaint

In case of Transfer / Others:
Folio No.: ..............
Certificate No.: ...............
Distinctive Nos.: .............
DRN No.: ..................
No. of Shares: .............


In case of IPO / New Issue:
Application No.: ..............
Client ID: .................
DP ID: ...........
No. of Shares: .............

I am enclosing herewith the following documents in support of my aforementioned complaint:
1. .......................
2. .......................

Therefore, I request you to kindly take necessary action against the company to redress my grievance. I shall be grateful for your kind intervention in this matter at the earliest.

Thanking you
Yours faithfully,

  (signature)
(Name of the Investor)

Encl.: As above

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