A total of more than 200 million stocks and selling stocks did not make money!Former employees of Guodu Securities illegal stock trading tickets

  • 内容
  • 评论
  • 相关


Another example of the loss of stocks in securities practitioners.

A few days ago,moment information the Beijing Securities Regulatory Bureau issued an administrative penalty decision stating that in accordance with the relevant provisions of the "Securities Law of the People's Republic of China" (hereinafter referred to as the "Securities Law"), Zhao Zhijun Securities employees were investigated and tried in violation of laws.And inform the parties the facts, reasons, basis, and the rights that the parties enjoyed according to law to the parties in accordance with the law.This case has now been investigated and ended.

"It was found that from November 2015 to May 2023, Zhao Zhijun worked at the banking department, quality control department, investment bank management and quality control department of SME Investment of Guomu Securities Co., Ltd.Further pointed out that "During the securities industry, Zhao Zhijun used Yang Mouqin's securities accounts opened by Oriental Wealth Securities and Guangfa Securities for stock trading. The cumulative turnover of the stock and selling stocks was 213 million yuan, and the actual loss was 715,100 yuan."

As of press time, the reporter's basic information public information public information on the China Securities Industry Association (hereinafter referred to as the "China Securities Association) was unable to find the relevant information of Guodu Securities Zhao Zhijun.

According to the Beijing Securities Regulatory Bureau, the above facts have evidence such as the securities account information, bank account information, situation description, inquiry transcript, and the calculation data of the exchange.Zhao Zhijun used the "Yang Mouqin" securities account to buy and sell stocks, violating the provisions of Article 40, paragraph 1) of the Securities Law, and constituted illegal acts described in Article 187 of the Securities Law.

"Zhao Zhijun can take the initiative to cooperate with the investigation. According to the facts, nature, plot and social harm of the parties, according to the relevant provisions of the Securities Law, Zhao Zhijun was decided to impose a fine of 100,000 yuan." The Beijing Securities Regulatory Bureau stated.

It is worth noting that as practitioners in the securities industry, although it is closer to the stock market, stock speculation is not stable and not compensated.Surging news reporters combed showing that in the past two years, securities practitioners' stock loss losses are no case, and there are many "professional counterparts" such as investment managers.

For example, in June 2023, an administrative penalty decision issued by the Anhui Securities Regulatory Bureau showed that Yang Aimin, born in September 1968, was controlled and used during the time of the Hua'an Securities from June 2, 2000 to November 19, 2021, and used it.Anyone's securities account is engaged in stock transactions, with a cumulative transaction amount of 908 million yuan.However, after deducting relevant taxes and fees, Yang Aimin's illegal stock transactions did not achieve profitability, but instead lost money.

On January 9, 2023, the Beijing Securities Regulatory Bureau issued an administrative penalty letter that Tian Mouqiao, who has worked in three securities companies, including China Merchants Securities, Huafu Securities, and Guogai Securities, as a securities practitioner in the past 14 years.During the industry, the total transaction value was 724 million yuan through borrowing the securities account of others.

However, Tianmouqiao's illegal trading stocks did not achieve profit, but lost 1.8274 million yuan (excluding the transaction and income amount during the industry).At the same time, Tian Mouqiao was fined 250,000 yuan by the Beijing Securities Regulatory Bureau.

On December 7, 2022, the Guangdong Securities Regulatory Bureau issued two administrative penalties decisions. CITIC Construction Investment Securities Liu Mouzhi and China Merchants Securities Feng Mouwei were fined for the supervision of the stock market.Among them, Liu Mouzhi's illegal trading stocks did not achieve profitability.

From August 2013 to August 2022, Liu Mouzhi held positions such as brokerage, investment consulting and marketing in CITIC Jianyuan Qingyuan Fresh Avenue business department.From July 2017 to December 2020, Liu Mouzhi raised funds and controlled it, and used the "Chen Mouxia" securities account to buy and sell stocks and convertible bonds in violation of regulations. The total transaction amount was 461,800 yuan, and the loss was RMB 2.21 million.From February 2019 to April 2022, Liu Mouzhi raised its main funds and controlled it, and used the "Feng Moumei" securities account. The total transaction amount was 5.9489 million yuan, and the loss was 33,800 yuan.

On December 6, 2022, the Shenzhen Securities Regulatory Bureau issued an administrative penalty decision. Guoxin Securities King Cidi was fined 50,000 yuan for illegal trading stocks.Coincidentally, Wang Kodi's illegal trading stocks did not achieve profitability.

Specifically, from June 2019 to February 2022, Wang Kydi worked in Guoxin Securities Shenzhen High -tech South Nine -way Securities Sales Department and resigned as a senior financial adviser.During his tenure, Wang Kodi controlled the use of "Liu Mouxia" securities account, "Yin Moumeng" Guoxin Securities account, "Yin Moumeng" Oriental Wealth Securities account trading stock.The total transaction amount of the above securities account group totaled 24.8745 million yuan, with a loss of 220,400 yuan.

版权声明:如非注明,此文章为本站原创文章,转载请注明: 转载自Hot news website

本文链接地址: http://www.fernandocorbo.com/post/20240213/9a991369.html