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三大业务法律纠纷高发 券商面临上亿涉诉支出

2017-09-11 08:57:40   中国经济网

部分券商在上半年行业整体经营承压的情况下,又摊上了巨额的诉讼费用。

《国际金融报》记者梳理多家券商半年报发现,近年来,券商诉讼案件多集中在股票质押回购、两融纠纷以及投行保荐失职被罚等方面。

股权质押业务麻烦不断

牛市当中如火如荼的股票质押式回购业务,在市场下跌过程中风险加大。由于存在客户无法履行合同约定而带来的损失,证券公司面临较大的信用风险。

通过梳理券商中报,《国际金融报》记者发现,东吴证券、西南证券、东海证券、申万宏源证券四家券商仍在进行股票质押回购交易纠纷的后续处理中。

东吴证券已在苏州中院向张跃飞就股票质押式回购业务违约提起诉讼,诉讼涉及金额5000万元及相应利息、罚息、费用等。该案尚未开庭审理。

资料显示,张跃飞为飞耀控股集团有限公司董事长,曾为积成电子第一大股东,共持有积成电子1950万股,占总股本的5.15%;后因涉嫌非法吸收公众存款罪,被东阳市人民检察院批准逮捕。

据悉,张跃飞所持积成电子股份市值约为3.159亿元,所持股份已被多个法院司法轮候冻结。

同样,东海证券在2013年为练卫飞提供股票质押回购交易业务,初始交易金额为人民币2亿元,以练卫飞持有的2500万股零七股份作为质押,到期未能赎回。

2017年6月7日,常州市中级人民法院根据东海证券的申请,裁定“拍卖练卫飞持有的3750万股零七股份”(因分红配股原因,质押的2500万股零七股份现为3750万股)。8月25日,常州市中级人民法院在淘宝网发布拍卖公告。

西南证券则在申请执行蔡开坚股票质押式回购交易纠纷案,以实现蔡开坚质押给其的3700万股中捷股份的优先受偿权。

此前,西南证券已经申请执行铜陵市三佳电子(集团)有限责任公司、上海中发电气(集团)股份有限公司、陈邓华股票质押式回购交易纠纷案。双方已达成还款和解协议。

此外,申万宏源因股票质押回购之融资方王涛违约,于2017年7月5日接到委托人指令,提起三项诉讼并申请财产保全。

此前有统计,自2016年以来,A股合计发生1.4万多笔大股东质押融资,1700多家上市公司牵涉其中。据民生证券策略估算,截至2017年5月23日,跌破股票质押警戒线的市值规模接近3000亿,跌破警戒线的个股平均跌幅达5%。

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