年内多位券商高管炒股被罚 罚没1.35亿！前券商副总裁接超级罚单

Group 1 - The Jiangsu Securities Regulatory Bureau recently imposed a total fine of 135 million yuan on Chen, a former vice president of a securities company, for illegal activities including insider trading and securities violations [1] - Chen's illegal activities involved using undisclosed information to conduct securities trading from March 1, 2020, to March 12, 2023, resulting in a profit of 18.75 million yuan from trading 585 stocks with a total investment of 859 million yuan [1] - Additionally, from September 15, 2011, to March 12, 2023, Chen controlled 16 securities accounts, trading a total of 334 million shares with a transaction amount of 4.544 billion yuan, yielding a profit of 26.4 million yuan [1] Group 2 - The issue of misconduct among industry professionals remains a key focus for regulatory authorities, with recent years seeing a crackdown on violations such as insider trading and "rat trading" [2] - There have been multiple cases this year involving securities executives penalized for illegal trading activities, including a case where a securities investment department manager was fined 4.7 million yuan for using undisclosed information to conduct transactions totaling 900 million yuan [3] - Other notable cases include penalties against executives from Huatai Securities and CITIC Securities for similar violations involving undisclosed information and "rat trading" behaviors [4]