9月16日，广发证券（01776）盘中下跌3.28%，报16.8港元，成交额6196.35万港元。
消息面上，近日广发证券收到深圳证监局、浙江证监局共计6张罚单，涉及深圳分公司、浙江分公司及杭州富春路营业部，违规事由涵盖向普通投资者推介超风险等级产品、变相诱导开户、合规人员考核缺乏独立性等七大类展业失范行为，多名相关负责人被追责。此外，高盛近日将广发证券A股评级下调至"中性"，目标价18.53元。同时公司披露H股可转债转换价由每股19.08港元下调至18.76港元，潜在转股股数增加约192万股。板块方面，投资银行业与经纪业整体走弱，中金公司跌2.12%、中国银河跌1.65%、中信证券跌1.38%。
（以上内容均基于市场公开消息，由程序或算法智能生成，仅作为股价异动提醒，不作为投资建议或交易依据。）
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