Controversies
Controversies tied to this brand in public sources. A listing is not a finding of fault.
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2026
Penalty of 441,000 yuan for customer due diligence and suspicious transaction reporting violations
In April 2026, the Anhui Branch of the People's Bank of China found Huaan Securities in violation of two items—customer due diligence and suspicious transaction reporting—and issued a warning along with a fine of 441,000 yuan.
2024
Received regulatory warning for recommending ST Zuojiang without fully disclosing delisting risk
In February 2024, Huaan Securities received a written warning from the Shenzhen Stock Exchange because its research report on ST Zuojiang lacked sufficient basis, drew imprudent conclusions, and failed to adequately disclose risks. The Anhui Securities Regulatory Bureau subsequently also pointed out compliance issues in the research report and other businesses. Consolidated with the follow-up on the same research report issue.
2023
Former employee Yang Aimin traded stocks illegally for 21 years, fined 250,000 yuan
In 2023, the Anhui Securities Regulatory Bureau found that Yang Aimin, a former employee of Huaan Securities, had illegally traded stocks for 21 years during his employment, with transactions exceeding 900 million yuan, and fined him 250,000 yuan. This entry concerns a penalty imposed on an individual practitioner.
2021
Ordered by Anhui Securities Regulatory Bureau to rectify three violations in asset management accounts
In November 2021, the Anhui Securities Regulatory Bureau found three violations in businesses related to Huaan Securities' asset management accounts, ordered the company to rectify and strengthen management, and took regulatory talk measures against the responsible personnel.