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Recovering Lost Brokerage – A Success Story

Meet Hitesh Kakkad, a financial advisor who encountered lost brokerage due to an unknown reason. This resulted in uncredited commissions and financial discrepancies.

Using Investwell's Lost Brokerage feature, he successfully identified the cause and recovered his lost earnings.

The Challenges

Unexpected Brokerage Losses

Sudden decrease in expected commission payouts without clear explanation.

Uncredited Commissions

Financial struggle due to missing earnings from completed transactions.

Root Cause Identification Issues

Difficulty pinpointing the exact reasons for lost brokerage.

Inaccurate Record Keeping

Impacted business operations due to inconsistent financial tracking.

$ $ $ $ $

The Solution

Root Cause Identification

Investwell's tool identified the EUIN (Employee Unique Identification Number) mismatch as the primary issue causing brokerage loss.

Detailed Reports

Generated comprehensive documentation for claim submission, providing evidence of missed commissions.

Successful Recovery

Helped Hitesh recover ₹5 lakh in lost brokerage that would have otherwise remained unclaimed.

Lost Brokerage Resolution Process

Data Analysis Scan transactions Detect Issues EUIN mismatch found Generate Report Documentation created Submit Claims File for recovery Recovery Complete ₹5 lakh recovered

Most Used Features & Compliance

Key Features

Lost Brokerage Calculation

Identifies missing commissions through sophisticated data analysis.

Scenario-Based Analysis

Evaluates different brokerage loss cases with tailored solutions.

Detailed Reports

Generates accurate data for claim processing with comprehensive documentation.

Compliance & Exclusions

Ensures correct application of rules before investigation to maintain regulatory standards.

Transactions That May Result In Lost Brokerage

EUIN is invalid or missing

KYC is incomplete or expired

Missing nominee details in folio

Errors from RTA / AMC

Transactions Excluded From Recovery

Segregated schemes transactions

Change of broker without proper transfer procedures

Any other cases where brokerage is not applicable

"After exclusions, only valid transactions are investigated for brokerage recovery."

The Results

Success in Numbers That Inspire the Future

Recovery Impact

0 ₹1L ₹3L ₹5L ₹7L Before ₹1L After ₹5L Projected ₹7L

₹5 Lakh Recovered

Complete recovery of lost commissions that would have otherwise remained unclaimed.

Enhanced Compliance

Improved monitoring systems to ensure proper documentation and regulatory adherence.

Preventive Measures

Implementation of proactive strategies to avoid future brokerage losses.

Improved Trust

Enhanced financial stability and client confidence in the advisory services.

"Investwell's Lost Brokerage feature has been a game-changer for my business. The ability to track and recover lost commissions has significantly improved my financial outlook."

- Hitesh Kakkad, Financial Advisor