Northeast Securities(SZ:000686) Xin Lang Cai Jing·2025-09-19 04:42Regulatory Actions - Hunan Securities Regulatory Bureau disclosed three regulatory penalties on September 17 [1] - Huabao Securities' Changsha Chazi Road branch received a warning letter for non-compliant account solicitation and refusal to cooperate with inspections, with the responsible person Chen Yeli being held accountable [1] - Former investment advisor of Northeast Securities Hunan branch, Deng Zhimei, also received a warning letter for her actions during her tenure [1] Investment Activities - Deng Zhimei invested in two external companies while serving as an investment advisor at Northeast Securities Hunan branch [1] - She introduced personal investors to conduct off-market individual stock options business through these companies to generate profits [1]