Hualin securities staff pit miserable old students, stock buyers lost 15 million-ratatouille

Hualin securities employees pit miserable old classmates Valet stocks kuidiao 15 million source: Beijing financial channel Author: Beijing time financial reporter Qi Wenjian Ceng Fubin of Ministry of Public Security 1 years and dozens of securities fund insurance executives recently, the reporter received a report from the Beijing times, Ms. Zhang Cai first broke the news. Broke the news, Hualin securities Dongguan Hongfu Road business department responsible for Mr Ho without customer permission, permission to raise the bid securities account trading commissions, the Commission received more than 1 million 233 thousand and 500 yuan; on behalf of Mr. Cai and agreed to buy and sell stocks, revenue sharing, high-frequency trading securities, Mr. Cai during the loss of the securities account fee of 15 million yuan. Mr. Cai and Ms. Zhang are husband and wife, and Ms. Zhang and Mr. He are old classmates. Because of the interests of the old friendship between the small boat said turn over. According to the Beijing Times reporter, previously, bid for arbitration requirements Hualin securities compensation than promised part of the Commission, but rejected, is now preparing for the rights through legal channels. Beijing time reporter called Mr. ho want to understand the situation, the other said not to accept the interview. Hualin securities general manager of the Beijing Times reporter Yi Min said that he did not know about this matter, is not in charge of their own range, and suggested that the Beijing time the reporter contacted the corporate legal department. Beijing time to call Hualin securities switchboard many times, all failed to contact the legal department of the company. Old classmates introduced account repeatedly raising the rate of commission according to Beijing time reporter obtained material, September 3, 2014, customers Ms. Zhang in the old classmate Mr. ho introduced to Dongguan, Hualin securities Tong Fu Street business department to open capital account newly opened securities account, signed a proxy agreement, verbal agreement commission rate of 2/10000. In January 14, 2015, Mr. Cai Hualin securities to customers with a new business department to open capital account open a securities account, signed a proxy agreement, verbal agreement commission rate of 2/10000. The source said, in view of the trust, Mr. Cai and Ms. Zhang in the transaction process did not verify the Commission fee. Until the end of November 2015, found that two people account when initial commission rate is set to five and four million, and appears several times during the high commission phenomenon, and two per capita in the two people from the business department after the account has not been, have not signed the relevant commission amendment form. In this regard, the December 2, 2015 WeChat chat records show that Mr. ho explained to Ms. Zhang is also 2/10000 points: before eight, I just said bulk orders, when collecting fees on a little expensive. About 1.97. I didn’t think he cared more about it, but I was careless." The Commission "adjustment document" conflicts with the fact from the beginning, Mr. He has no commitment in accordance with a verbal agreement or transaction commission rate for WeChat set Mr. Cai and Ms. Zhang securities account. Ms Zhang, Mr. Cai initial Commission Securities Account rate was 0.04%, 0.05%, more than 12000 oral commitment and 2/10000 point eight of WeChat’s commitment to chat. It is understood that the securities and exchange commission rate hike provide relevant documents in bid request Mr. Ho, Ho pictures provide first of Mr Cai "Commission set application form" at the beginning of December 2015, according to the commission rate from 3 per thousand to 0.8 per thousand]

华林证券员工坑惨老同学 代客炒股亏掉1500万 文章来源:北京时间财经频道 作者:北京时间财经记者 齐文健 曾福斌公安部1年来查处数十名证券基金保险高管近日,北京时间记者收到一份来自蔡先生、张女士的爆料。爆料称,华林证券东莞鸿福路营业部负责人何先生未经客户允许,擅自提高爆料人证券帐户交易佣金,多收其交易佣金达123.35万元;代蔡先生买卖股票,并约定收益分成,高频交易证券,期间蔡先生证券账户亏损本金达1500万元。蔡先生和张女士是夫妻关系,张女士和何先生是老同学。因为利益、老同学间友谊的小船说翻就翻了。据北京时间记者了解,此前,爆料人申请仲裁要求华林证券赔偿超过承诺部分佣金,但遭到拒绝,现正准备通过法律途径维权。北京时间记者致电何先生欲了解有关情况时,对方表示不接受采访。华林证券总经理时旻轶则对北京时间记者表示,对于此事自己并不清楚,不属于自己分管范围,并建议北京时间记者联系公司法务部门。北京时间多次致电华林证券总机,均未能联系上公司法务部门。老同学介绍开户屡次提高佣金率据北京时间记者获得的材料,2014年9月3日,客户张女士在老同学何先生的介绍下,到华林证券东莞同福街营业部开立资金账户,新开立证券账户,签订了代理委托协议,口头约定佣金率万分之二。2015年1月14日,客户蔡先生到华林证券同一营业部开立资金账户,新开立证券账户,签订了代理委托协议,口头约定佣金率万分之二。爆料人称,鉴于信任,蔡先生和张女士在交易过程未核查过佣金费用。直到2015年11月底,发现两人开户时的初次佣金率分别被设为万五和万四,并且期间出现多次调高佣金的现象,而两人均不知情,两人自开户后未去过营业部,也未签署过相关佣金修改表格。对此,2015年12月2日的微信聊天记录显示,何先生对张女士的解释是:“之前也是万分之二点八,只是我说批量下单,收费的时候就贵一点。万七左右。我没想到他比较在意这个事情,是我疏忽了。”佣金“调整凭证”与事实矛盾从刚开始,何先生就没有按照口头约定或微信承诺要求为蔡先生和张女士证券账户设定交易佣金率。将张女士、蔡先生证券账户初始佣金率分别设定为0.04%,0.05%,高于万二的口头承诺和万分之二点八的微信聊天承诺。据了解,在爆料人要求何先生提供上调证券交易佣金率相关凭证后,何先生于2015年12月初拍照提供第1张蔡先生的《佣金设置申请表》,显示佣金率从3‰调整为0.8‰,原因为“交易频繁”,照片只有半页,未包含佣金申请日期信息。此外,爆料人称,2016年3月10日,客户张女士本人临柜要求提供佣金设置申请表,对方拒不提供。在证监局投诉电话帮助下,对方提供了张女士的《佣金设置申请表》复印件,显示佣金率经过人为涂改为0.4‰,表格未包含日期信息。2016年3月11日,经蔡先生本人临柜申请查看《佣金设置申请表》,华林证券东莞营业部出具的复印件显示佣金率从3‰调整为0.8‰,原因为“佣金高”,其中“0.8‰”字样有明显改动痕迹,蔡先生的签字与前一张一模一样。可疑的是,将佣金率从“3‰调整为0.8‰”是明显的大幅下调交易佣金?这跟张女士、蔡先生实际的证券交易佣金设定及变动情况相悖。对这些佣金率“调整凭证”,爆料人认为,签字有裁剪复印伪造的嫌疑,调整佣金率没有征得客户的同意,不承认佣金单的有效性。“多收”佣金123万代客炒股亏1500万据爆料人提供的材料,开户以来至2015年11月30日,华林证券累计收取蔡先生佣金为153.10万元,收取张女士佣金为42.52万元,两者合计195.62万元。其中,万五(开始设定佣金率)以上收取蔡先生证券交易佣金56.36万元,万四(开始设定佣金率)以上收取张女士证券交易佣金17.09万元,合计73.46万元;万二点八(微信承诺佣金率)以上分别收取蔡先生、张女士证券交易佣金98.93万元、24.42万元,合计123.35万元;万二(口头承诺佣金率)以上分别收取蔡先生、张女士证券交易佣金114.41万元、29.30万元,合计143.71万元。实际上,据北京时间记者了解,何先生除了“擅自”提升前述爆料人证券交易佣金,还存在有偿代客炒股行为。据北京时间记者了解,蔡先生与何先生私下约定代客炒股分成时,蔡先生在华林证券的证券账户资金为2800万元左右,其中1500万元委托给对何先生代理,另外1300万元打算自己撤回。根据约定内容,代客炒股资金(1500万元)如果赚了,赚取部分一倍(1500万元)以内给何先生提成6%,一倍至两倍部分给何先生提成10%,两倍至三倍部分提成20%,三倍至四倍部分提成30%,四倍以上部分对半分。因为股市行情不好,蔡先生被套,也没来得及撤出另外1300万元,而是继续用于补仓。半年多时间,当蔡先生开始投诉时,其证券账户只剩下1300万左右资金了,总共亏损了约1500万元。蔡先生称,在后期,他的账户每个交易日成交额都在一千多万元,全仓进出,做T+0。仲裁无果准备起诉基于前述材料,爆料人曾向有关部门提出仲裁,要求华林证券赔偿两人多收取的交易佣金万2.8以上部分合计123.35万元及相应的同期贷款利息2.98万元。并请求对华林证券违反证券法、合同法的行为进行处罚。不过,在华林证券不配合,何先生本身不出面的情况下,仲裁无果。从爆料人向证监会及华林证券客户服务中心投诉到现在,这起纠纷已经过去七八个月时间了,但是依然没有实质进展。当事人何先生拒绝采访,华林证券总经理时旻轶表示,自己并不清楚此事,不属于自己分管范围。华林证券前述东莞营业部则表示,他们是直接面对客户的问题解答,其它问题不解答。目前看来,爆料人只能通过法律途径维权了。而据北京时间记者了解,爆料人正在准备通过法律途径起诉。对于这起纠纷,上海新望闻达律师事务所高级合伙人宋一欣表示,只要有可信证据,华林证券确实没有按照约定的来,超过约定部分申请赔偿是没有问题的。但对于代客炒股,宋一欣表示,赚取部分不同意分成没有问题,但如果是亏损就要看对方是否是恶意行为,这个需要好好研究。在今年7月份的一次发布会上,证监会就公布了一起证券从业人员代客炒股的行政处罚。中信建投证券望京营业部员工因违规代客炒股受到行政处罚。被北京证监局没收违法所得5698.18元,并处10万元罚款。宋一欣对此表示,证券公司及其从业人员,私下接受客户委托买卖证券,经常伴有行贿受贿、内幕交易等违法犯罪行为,弊端很多,危害很大。股市早报,投资前瞻,涨停预测,牛股捕捉,尽在微信号【凤凰证券】或者【ifengstock】盘后剖析A股走势,指点明日走势,请关注微信号【复盘大师】或【fupan588】相关的主题文章: