{"id":"court_ctb_2032_45","court":"CTB","case_no":"22-50073","doc_number":2032,"sub_number":45,"doc_type":"EXHIBIT","filed_date":"2023-07-25","title":"Exhibit 45 | 10 |","summary_zh":null,"summary_en":null,"body_en":"# **Exhibit 45**\n\n| 10 |\n|----|\n\n| ORIGl1                            | AL                                                                                                     |                                                                            |               |                         |\n|-----------------------------------|--------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------|---------------|-------------------------|\n| Approved:                         | Juliana Murray I Micah Fergenson<br>-:rink.el /<br>Assistant United States Attorneys                   |                                                                            |               |                         |\n| Before:                           | THE HONORABLE GABRIEL W. GORENSTEIN<br>United States Magistrate Judge<br>Southern District of New York |                                                                            |               | 23 MAG2007              |\n|                                   | ---------------------------------                                                                      | X                                                                          |               |                         |\n|                                   | UNITED STATES OF AMERICA                                                                               |                                                                            | Violations of | SEALED COMPLAINT        |\n|                                   | - V. -                                                                                                 | 18 U.S.C. §§ 371<br>, 1343, 1957 and 2;<br>15 U.S.C. §§ 78j(b) & 78ff; and |               |                         |\n| Y ANPING WANG,<br>a/k/a \"Yvette,\" |                                                                                                        |                                                                            |               | 17 C.F .R. § 240.1 0b-5 |\n|                                   | Defendant.                                                                                             |                                                                            | NEW YORK      | COUNTY OF OFFENSE:      |\n|                                   | ---------------------------------                                                                      | X                                                                          |               |                         |\n\nSOUTHERN DISTRICT OF NEW YORK, ss. :\n\nSpecial Agent Nicholas DiMarino, being duly sworn, deposes and says that he is a Special Agent with the Federal Bureau of Investigation (\"FBI\"), and charges as follows:\n\n### **COUNT ONE (Conspiracy to Commit Wire Fraud and Securities Fraud)**\n\n1. From at least in or about 2018 up to and including at least in or about March 2023, in the Southern District of New York and elsewhere, Y ANPING WANG, a/k/a \"Yvette,\" the defendant, and others known and unknown, willfully and knowingly combined, conspired, confederated, and agreed together and with each other to commit offenses against the United States, to wit, (1) wire fraud , in violation of Title 18, United States Code, Section 1343; and (2) securities fraud , in violation of Title 15, United States Code, Sections 78j(b) & 78ff, and Title 17, Code of Federal Regulations, Section 240.1 0b-5.\n\n2. It was a part and an object of the conspiracy that Y ANPING WANG, a/k/a \"Yvette,\" the defendant, and others known and unknown, knowingly having devised and intending to devise a scheme and artifice to defraud, and for obtaining money and property by means of false and fraudulent pretenses, representations, and promises, would and did transmit and cause to be transmitted by means of wire, radio, and television communication in interstate and foreign commerce, writings, signs, signals, pictures, and sounds for the purpose of executing such scheme and artifice, in violation of Title 18, United States Code, Section 1343, to wit, WANG conspired with others to obtain victims' money through the use of materially false information and misrepresentations transmitted over interstate wires, in connection with the unregistered offering of common stock of GTV Media Group, Inc. (\"GTV\") via a private placement (the \"GTV Private Placement).\n\n3. It was further a part and an object of the conspiracy that YANPING WANG, a/k/a \"Yvette,\" the defendant, and others known and unknown, willfully and knowingly, directly and indirectly, by use of a means and instrumentality of interstate commerce and of the mails, and of a facility of a national securities exchange, used and employed, in connection with the purchase and sale of a security registered on a national securities exchange and any security not so registered, a manipulative and deceptive device and contrivance, in violation of Title 17, Code of Federal Regulations, Section 240.!0b-5, by (a) employing a device, scheme and artifice to defraud; (b) making an untrue statement of material fact and omitting to state a material fact necessary in order to make the statement made, in light of the circumstances under which it was made, not misleading; and ( c) engaging in an act, practice and course of business which operated and would operate as a fraud and deceit upon a person, to wit, WANG conspired with others to fraudulentl y induce investors to participate in the GTV Private Placement by providing materially false and misleading information and representations in connection with purported shares of GTV's common stock.\n\n4. In furtherance of the conspiracy and to effect its illegal objects, Y ANPING WANG, a/k/a \"Yvette,\" the defendant, and others known and unknown, committed the following overt act, among others, in the Southern District of New York and elsewhere:\n\na. On or about June 5, 2020, WANG, while located in the Southern District of New York, authorized a wire transfer of \\$100 million of fraud proceeds to a particular hedge fund.\n\n(Title 18, United States Code, Section 371.)\n\n# **COUNT TWO (Wire Fraud)**\n\n5. From at least in or about April 2020 up to and including at least in or about March 2021, in the Southern District of New York and elsewhere, YANPING WANG, a/k/a \"Yvette,\" the defendant, knowingly having devised and intending to devise a scheme and artifice to defraud, and for obtaining money and property by means of false and fraudulent pretenses, representations, and promises, transmitted and caused to be transmitted by means of wire, radio, and television communication in interstate and foreign commerce, writings, signs, signals, pictures, and sounds, for the purpose of executing such scheme and artifice, to wit, WANG conducted the GTV Private Placement to sell GTV stock and fraudulently obtain money from victims through false statements and misrepresentations, which scheme was furthered through electronic communications and monetary transfers to and from the Southern District of New York and elsewhere.\n\n(Title 18, United States Code, Sections 1343 and 2.)\n\n## **COUNT THREE (Securities Fraud)**\n\n6. From at least in or about April 2020 up to and including at least in or about March 2021, in the Southern District of New York, and elsewhere, Y ANPING WANG, a/k/a \"Yvette,\" the defendant, willfully and knowingly, directly and indirectly, by use of a means and instrumentality of interstate commerce and of the mails, and of a facility of a national securities exchange, used and employed, in connection with the purchase and sale of a security registered on a national securities exchange and any security not so registered, a manipulative and deceptive device and contrivance, in violation of Title 17, Code of Federal Regulations, Section 240.1 0b-5, by (a) employing a device, scheme and artifice to defraud; (b) making an untrue statement of material fact and omitting to state a material fact necessary in order to make the statement made, in light of the circumstances under which it was made, not misleading; and (c) engaging in an act, practice and course of business which operated and would operate as a fraud and deceit upon a person, to wit, WANG conducted the GTV Private Placement to sell GTV stock and fraudulently obtain money from victims through false statements and misrepresentations, which scheme was furthered through electronic communications and monetary transfers to and from the Southern District of New York and elsewhere.\n\n(Title 15, United States Code, Sections 78j(b) & 78ff; Title 17, Code of Federal Regulations, Section 240.1 0b-5; and Title 18, United States Code, Section 2.)\n\n### **COUNT FOUR (Unlawful Monetary Transaction)**\n\n7. On or about June 5, 2020, Y ANPING WANG, a/k/a \"Yvette,\" the defendant, in the Southern District of New York and elsewhere, within the United States, knowingly engaged and attempted to engage in a monetary transaction, as defined in Title 18, United States Code, Section 1957(f)(l ), in criminally derived property of a value greater than \\$10,000 that was derived from specified unlawful activity, to wit, WANG, while located in the Southern District of New York, authorized a wire transfer of \\$100 million of fraud proceeds to a particular hedge fund.\n\n(Title 18, United States Code, Sections 1957 and 2.)\n\nThe bases for my knowledge and for the foregoing charges are, in part, as follows:\n\n8. I am a Special Agent with the FBI and I have been personally involved in the investigation of this matter. This affidavit is based upon my personal participation in the investigation of this matter, and my conversations with law enforcement officers, law enforcement employees, and witnesses, as well as a review of documents. Because this affidavit is being submitted for the limited purpose of establishing probable cause, it does not include all the facts that I have learned during the course of my investigation. Where the actions, statements, and conversations of others are reported herein, they are reported in substance and in part, except where otherwise indicated.\n\n## Overview\n\n9. Based on my involvement in this investigation, my review of documents, conversations with witnesses, and other law enforcement officers, I have learned the following, in substance and in part:\n\na. Between in or about April 2020 and in or about June 2020, Y ANPING WANG, a/k/a \"Yvette,\" the defendant, and others known and unknown, fraudulently obtained approximately \\$452 million in victim funds through an illegal private stock offering related to GTV. WANG was an Executive Director of GTV and was one of the key individuals responsible for transferring the money raised from the GTV Private Placement. Rather than investing the funds raised through the GTV Private Placement as the defendant, and others, had promised to victim-investors, WANG, and others known and unknown, misappropriated approximately \\$100,000,000 into a high-risk hedge fund for the ultimate benefit of a close family relative of one of WANG's co-conspirators. WANG well knew that funds from the GTV Private Placement could not be used to invest in a high-risk hedge fund. Indeed, when WANG sought to open a bank account comprised of funds raised from the GTV Private Placement, WANG stated to a bank, in part, that such \"funds of GTV Media Group [ ] are strickly [sic] for operational purposes and acquisitions.\"\n\n## The GTV Private Placement\n\n10. Based on my review of documents, videos, conversations with witnesses, and other law enforcement officers, I have learned the following, in substance and in part:\n\na. On or about April 21, 2020, a co-conspirator not named herein (\"CC-1 \") <sup>1</sup> posted, and caused to be posted, a video on social media (the \"Video\") announcing the unregistered offering of GTV common stock via a private placement (the \"GTV Private Placement\"). CC-1 has a substantial online following, and the Video was viewed by thousands of individuals.\n\nb. Based on my review of the Video, I have learned that, in the Video, CC-1 described, in substance and in part, the investment terms for the GTV Private Placement and directed people to contact CC-1, via a mobile messaging application, with any questions about the GTV Private Placement. The Video and GTV Private Placement materials-including the written \"Confidential Information Memorandum\" (the \"PPM\"), Subscription Agreement, and Investment Procedure Guidelines-were transmitted to thousands of potential investors, including those in the Southern District of New York, via mobile messaging applications, social media, and text messages.\n\nc. Based on my review of the PPM, I have learned that the PPM promoted GTV as the \"first ever platform which will combine the power of citizen journalism and social news with state-of-the-art technology, big data, artificial intelligence, block-chain technology and\n\n<sup>1</sup>CC- I has been charged in eleven counts in an Indictment filed in this District with conspiring to commit wire fraud, securities fraud, bank fraud, and money laundering; and committing wire fraud, bank fraud and money laundering in connection with, among other conduct, the GTV Private Placement discussed herein.\n\nreal-time interactive communication.\" The PPM also contained the following representations, in substance and in part, among others:\n\n1. The GTV Private Placement was for investors who were \" interested in evaluating an opportunity to invest capital into GTV\";\n\nii. GTV planned to use the proceeds raised from the GTV Private Placement \"to expand and strengthen the business;\" and\n\n111. The PPM included a chart itemizing the \"contemplated use of proceeds\" raised from the GTV Private Placement:\n\n| Acquisition of companies to strengthen and grow<br>GTV | Approximate 70% |\n|--------------------------------------------------------|-----------------|\n| Upgrade of GTV technology and security                 | Approximate 10% |\n| Marketing                                              | Approximate 8%  |\n| Working capital                                        | Approximate 7%  |\n| Other                                                  | Approximate 5%  |\n| Total                                                  | 100%            |\n\nd. The PPM identified three \"Executive Directors\" of GTV. The first Executive Director identified was \"Yvette Y. Wang\"- *i.e.,* Y ANPING WANG, a/k/a \"Yvette,\" the defendant. The PPM described WANG as \"experienced in management, financial investment and merger and acquisition\" and \"instrumental in building Saraca's media business.\" 2 Elsewhere in the PPM, WANG was described as \"key personnel\" for GTV. The PPM further stated, in part, that GTV's \"success depends in part upon the continued services of [its] key executive officers, including Yvette Wang\" and two other particular individuals, including another coconspirator not named herein (\"CC-2\").\n\ne. Based on conversations with witnesses who previously worked for CC-1 , I have learned, in substance and in part, that WANG has had a close personal relationship with CC-1. In particular, WANG has worked for CC-1 and CC-1 's family for several years, since at least in or about 2018. Indeed, based on documents I have reviewed, I have learned that WANG is the President, Treasurer, and Secretary of an entity that manages CC-1 's purportedly vast personal wealth.\n\n<sup>2 &</sup>quot;Saraca\" refers to \"Saraca Media Group,\" which is identified in the PPM as GTV's parent company.\n\n## WANG Received and Transferred Fraud Proceeds\n\n11. Based on my review of videos and documents, including bank records and subpoena returns, my conversations with witnesses and other law enforcement officers, opensource research on the Internet, and my participation in this investigation, I have learned the following, in substance and in part:\n\na. On or about July 24, 2018, Y ANPING WANG, a/k/a \"Yvette,\" the defendant, opened a particular bank account in the name of Saraca (\"Account-5601 \"). Account opening documents for Account-5601 , which I have reviewed, identify WANG as \"Acting Secretary\" for Saraca. On or about May 21 , 2020, WANG signed an additional business signature card for Account-5601 , in which WANG identified herself as \"President\" of Saraca. As of at least that date, Account-5601 was held in the name of \"Saraca Media Group OBA Himalaya Dollar.\" There are no other authorized signatories on Account-5601 .\n\nb. On or about July 24, 2018, WANG opened another particular bank account in the name of \"Saraca Media Group Inc.\" (\"Account-2038\"). Account opening documents for Account-203 8 identity WANG as \"Acting Secretary\" for Saraca. On or about May 21 , 2020, WANG signed an additional business signature card for Account-2038 and identified herself as \"President.\" As of at least that date, Account-2038 was held in the name of \"Saraca Media Group OBA Himalaya Dollar.\" On or about June 3, 2020, WANG signed an additional business signature card for Account-2038 and, again, identified herself as \"President\" of Saraca. There are no other authorized signatories on Account-2038. 3\n\nc. Both Account-5601 and Account-2038 are held by a particular bank, which is headquartered int Manhattan (\"Bank-I \").\n\nd. Between on or about April 20, 2020, and on or about June 2, 2020, approximately \\$452 million worth ofGTV common stock was purportedly sold to more than 5,500 investors located in the United States, including in the Southern District of New York, and abroad. Investors participated in the GTV Private Placement based, in part, on the belief that their money would be invested into GTV to develop and grow that business, as the PPM promised.\n\ne. In or about April 2020, Account-5601 received approximately 291 deposits and transfers totaling approximately \\$32,543,000. Most of these deposits and transfers were investments made by individuals seeking to participate in the GTV Private Placement. The transfers appear to be from individuals located throughout the world, and many deposits and transfers bear reference or memo information referring to the GTV Private Placement. For example, memo lines state, among other things, in substance and in part: \"Gtv Investment,\" \"Stock Subscription,\" \"Investment,\" \"G- Tv Common Stock Subscription,\" \"InvestmeNt [sic],\" \"Investment To G- Tv [sic],\" and \"Gtv Stockpurchase.\" On or about April 30, 2020, the balance of Account-5601 was approximately \\$32,474,000.\n\nf. In or about May 2020, Account-5601 received approximately 2,450 deposits and transfers totaling approximately \\$291 ,899,000. Most of these deposits and transfers\n\n<sup>3</sup> Based on bank records, CC-2 appears to have an online banking account with access to Account-5601 and Account-2038.\n\nwere investments made by individuals seeking to participate in the GTV Private Placement. Like the prior month's deposits and transfers, the transfers in or about May 2020 appear to be from individuals located throughout the world, and many bear reference or memo information referring to the GTV Private Placement. For example, memo lines state, among other things, in substance and in part: \"Capital Injection Infusion,\" \"To Inv es Stment [sic],\" \"Private Placement Investment,\" \"Gtv Media Investment,\" \"Gtv Inv,\" and \"Additional Stock Purchase.\" On or about May 29, 2020, the balance of Account-560 I was approximately \\$313,213 ,000.\n\n# The Misappropriation\n\n12. Based on my review of documents, conversations with witnesses, and other law enforcement officers, I have learned the following, in substance and in part:\n\na. On or about June 3, 2020, Y ANPING WANG, a/k/a \"Yvette,\" the defendant, signed a \"Subscription Agreement\" in her capacity as \"President\" of Saraca. Pursuant to the Subscription Agreement, Saraca agreed to invest \\$ I 00,000,000 into a high-risk hedge fund (\"Fund-I\"). In the Subscription Agreement, WANG identified Account-5601 as the bank account from which Saraca's capital contribution would be wired. WANG further identified herself as the only \"Authorized Signatory\" of Account-5601. In or about the morning of June 3, 2020, an employee of the Fund-I investment manager confirmed receipt of the signed subscription documents.\n\nb. Also, on or about June 3, 2020, \\$100,000,000 was transferred from Account-5601 to Account-2038 . Prior to the transfer, the balance of Account-2038 was \\$0. Based on bank records, this \\$ I 00,000,000 transfer was conducted on line by the user \"yvettewang2018,\" which is WANG's Bank-I online banking user ID. While authorizing that transfer, WANG was logged into WANG's Bank-I online account from an IP address that geolocates to Manhattan.\n\nc. On or about June 5, 2020, WANG authorized a \\$100,000,000 wire transfer from Account-20384 to a bank account associated with Fund-1. This \\$100,000,000 transfer to a Fund-I bank account consisted of proceeds from investors in the GTV Private Placement. As described above, the PPM did not contemplate using investor funds to invest into a high-risk hedge fund. The PPM also did not contemplate using investor funds for the benefit of companies other than GTY, including Saraca, whose ultimate beneficial owner is a close relative of CC-1.\n\n# WANG Transfers Additional Fraud Proceeds to Other Bank Accounts\n\n13. Based on my review of documents and videos, my conversations with witnesses and other law enforcement officers, and my participation in this investigation, I have learned the following, in substance and in part:\n\na. On or about May 20, 2020, Y ANPING WANG, a/k/a \"Yvette,\" the defendant, and CC-2 opened an account in the name of GTV (\"Account-6691 \"). Account-6691 was opened at a particular FDIC-insured bank (\"Bank-2\"). WANG and CC-2 were the only\n\n<sup>4</sup> Although the Subscription Agreement identified Account-5601 as the source of the capital contribution, the transfer originated from Account-2038.\n\nauthorized signatories for Account-6691. In account opening documents, WANG was identified as \"Director\" of GTV. The account opening documents further stated that the intended balance of Account-6691 would be between \\$25,000 to \\$50,000.\n\nb. On or about June 3, 2020, Account-5601 transferred \\$200,000,000 to Account-6691. The reference line for this transfer read, in part, \"Gtv Private Placement.\" Just prior to this transfer Account-6691 's balance was \\$0.\n\nc. On or about June 9, 2020, Account-2038 transferred \\$38,000,000 to Account-6691. That \\$38,000,000 was made up of investor funds from the GTV Private Placement first sent to Account-5601 and another particular Bank-I account, which were then transferred, from on or about June 3, 2020 through on or about June 9, 2020, to Account-2038. Thus, as of on or about June 10, 2020, the full \\$237,999,970 5 in Account-6691 was compromised of proceeds from the GTV Private Placement.\n\nd. On or about June 9, 2020, approximately \\$30,906 was wired from Account-5601 to a bank account in the name of \"Yanping Wang.\" The reference line for this wire transfer stated, in part, \"Director Fee.\"\n\ne. Starting in or about June 2020, domestic banks that held accounts used to process the funds raised through the GTV Private Placement began to freeze and close GTVassociated bank accounts (including bank accounts held in the name of Saraca) because, among other reasons, the accounts had received dozens of large incoming wire transfers, some of which referenced the unregistered GTV Private Placement. Banks closings were also due to concerns about money movements to and from QTY-associated and Saraca-associated accounts, which raised questions about the propriety of the incoming transfers.\n\nf. On or about July 10, 2020, Bank-2 closed Account-6691 and provided the account holders, including WANG, one check in the amount of \\$137,999,970 (\"Check-I\") and a second check in the amount of \\$100,000,000 (\"Check-2\").\n\ng. In or about July 2020, WANG and others known and unknown attempted to open a bank account in the name of GTV at a particular bank (\"Bank-3\"). In connection with that attempt, on or about July 20, 2020, WANG signed an \"Enhanced Diligence Request\" which contained information about the purpose for which the Bank-3 account would be used. WANG signed the \"Enhanced Diligence Request\" in her capacity as \"Director\" of GTV.\n\nh. In the \"Enhanced Diligence Request,\" WANG stated, in substance and in part, that the initial deposit into the account would \"be approximately \\$138 million that was raised from private placement in the form of a cashiers check.\" According to WANG, \"Saraca Media Group was the recipient of [GTV] Private Placement funds on behalf of GTV (guided by [law firm] in [Bank-I). Saraca Media Group transferred the funds to GTV ([Bank-2)).\" WANG further stated, in substance and in part, that \"[t]he funds in the account are funds of GTV Media Group and are strickly [sic] for operational purposes and acquisitions.\" Accordingly, WANG well knew that the funds raised from the GTV Private Placement could not be invested in a high-risk hedge fund held for the benefit of CC- I's close relative.\n\n<sup>5</sup> Bank-3 debited \\$30 from Account-6691 for the two incoming wire transfers.\n\nWHEREFORE, I respectfully request that a warrant be issued for the arrest of Y ANPING WANG, a/k/a \"Yvette,\" the defendant, and that she be arrested, and imprisoned or bailed, as the case may be.\n\n/s/ **Nicholas DiMarino (sworn telephonically)**\n\nNicholas DiMarino Special Agent Federal Bureau of Investigation\n\nSworn to me through the transmission of this Complaint by reliable electronic\n\n..\n\nmeans (telephone), this~ day of March, 2023. *:fP wJ{WJ~.-*\n\nTHEORABLE GABRIEL W. GORENSTEIN United States Magistrate Judge Southern District of New York","body_zh":"证物 45\n原件\n\n批准人：Juliana Murray / Micah Fergenson\n联邦助理检察官\n审理法官：GABRIEL W. GORENSTEIN 阁下\nUnited States Magistrate Judge（美国治安法官）\nSouthern District of New York（纽约南区）　23 MAG2007\n---------------------------------　X\n美利坚合众国　涉嫌违反　SEALED COMPLAINT（密封刑事诉状）\n- 诉 -　18 U.S.C. §§ 371\n, 1343, 1957 及 2；\n15 U.S.C. §§ 78j(b) 与 78ff；以及\nYANPING WANG（王雁平），\n又名 \"Yvette,\"　17 C.F.R. § 240.10b-5\n被告。　NEW YORK（纽约）　犯罪行为发生地：\n---------------------------------　X\n\n纽约南区，宣誓证明：\n\nSpecial Agent（特别专员）Nicholas DiMarino 经依法宣誓，作证并陈述其系 Federal Bureau of Investigation（联邦调查局，简称「FBI」）的特别专员，并指控如下：\n第一项罪名（共谋电汇欺诈与证券欺诈）\n\n1. 至少自 2018 年前后起至 2023 年 3 月前后（含上述时间），在纽约南区及其他地方，被告 YANPING WANG（王雁平，又名「Yvette」）与已知及未知的其他人，蓄意且知情地联合、共谋、同谋并相互达成协议，针对合众国实施犯罪，即：(1) 电汇欺诈，违反《美国法典》第 18 编第 1343 条（Title 18, United States Code, Section 1343）；以及 (2) 证券欺诈，违反《美国法典》第 15 编第 78j(b) 与 78ff 条（Title 15, United States Code, Sections 78j(b) & 78ff）及《联邦法规汇编》第 17 编第 240.10b-5 条（Title 17, Code of Federal Regulations, Section 240.10b-5）。\n\n2. 该共谋的一部分及其目的在于，被告王雁平（又名「Yvette」）与已知及未知的其他人，在知情设计且意图设计欺诈计划与手段，并通过虚假和欺诈性的托辞、陈述与承诺获取金钱和财产的情况下，为了执行该计划与手段，将且确实通过州际和对外贸易中的电报、无线电和电视通信，传输并导致传输书面文字、符号、信号、图像和声音，违反《美国法典》第 18 编第 1343 条；即王雁平与他人共谋，在通过私募（即「GTV 私募」）进行 GTV Media Group, Inc.（GTV 传媒集团股份有限公司，简称「GTV」）普通股的未注册发行过程中，利用通过跨州电汇传输的重大虚假信息和失实陈述获取受害者的资金。\n\n3. 该共谋的进一步部分及其目的在于，被告王雁平（又名「Yvette」）与已知及未知的其他人，蓄意且知情地，直接及间接地，利用州际贸易和邮政工具及手段，以及全国性证券交易所的设施，在买卖于全国性证券交易所注册的证券以及任何未如此注册的证券时，使用和雇用了操纵性和欺骗性手段及装置，违反《联邦法规汇编》第 17 编第 240.10b-5 条，具体通过：(a) 采用欺诈手段、计划和诡计；(b) 对重大事实作出不真实的陈述，或遗漏陈述根据陈述当时的情况所必需的重大事实以使该陈述不致产生误导；以及 (c) 从事对任何人构成或将构成欺诈和欺骗的行为、做法及业务流程；即王雁平与他人共谋，通过就所谓的 GTV 普通股股份提供重大虚假和误导性信息及陈述，欺诈性地诱导投资者参与 GTV 私募。\n\n4. 为推进该共谋并实现其非法目的，被告王雁平（又名「Yvette」）与已知及未知的其他人，在纽约南区及其他地方实施了包括但不限于以下的公开行为：\n\na. 2020 年 6 月 5 日前后，王雁平在位于纽约南区期间，授权将 \\$100 million（1亿美元）的欺诈所得电汇转移至某特定对冲基金。\n\n（《美国法典》第 18 编第 371 条。）\n第二项罪名（电汇欺诈）\n\n5. 至少自 2020 年 4 月前后起至 2021 年 3 月前后（含上述时间），在纽约南区及其他地方，被告王雁平（又名「Yvette」）在知情设计且意图设计欺诈计划与手段，并通过虚假和欺诈性的托辞、陈述与承诺获取金钱和财产的情况下，为了执行该计划与手段，通过州际和对外贸易中的电报、无线电和电视通信，传输并导致传输了书面文字、符号、信号、图像和声音；即王雁平开展 GTV 私募以出售 GTV 股票，并通过虚假陈述和失实陈述欺诈性地从受害者处获取金钱，该计划通过往返于纽约南区及其他地方的电子通信和资金转移得以推进。\n\n（《美国法典》第 18 编第 1343 及 2 条。）\n第三项罪名（证券欺诈）\n\n6. 至少自 2020 年 4 月前后起至 2021 年 3 月前后（含上述时间），在纽约南区及其他地方，被告王雁平（又名「Yvette」）蓄意且知情地，直接及间接地，利用州际贸易和邮政工具及手段，以及全国性证券交易所的设施，在买卖于全国性证券交易所注册的证券以及任何未如此注册的证券时，使用和雇用了操纵性和欺骗性手段及装置，违反《联邦法规汇编》第 17 编第 240.10b-5 条，具体通过：(a) 采用欺诈手段、计划和诡计；(b) 对重大事实作出不真实的陈述，或遗漏陈述根据陈述当时的情况所必需的重大事实以使该陈述不致产生误导；以及 (c) 从事对任何人构成或将构成欺诈和欺骗的行为、做法及业务流程；即王雁平开展 GTV 私募以出售 GTV 股票，并通过虚假陈述和失实陈述欺诈性地从受害者处获取金钱，该计划通过往返于纽约南区及其他地方的电子通信和资金转移得以推进。\n\n（《美国法典》第 15 编第 78j(b) 与 78ff 条；《联邦法规汇编》第 17 编第 240.10b-5 条；以及《美国法典》第 18 编第 2 条。）\n第四项罪名（非法资金交易）\n\n7. 2020 年 6 月 5 日前后，被告王雁平（又名「Yvette」）在纽约南区及其他地方、在美国境内，知情参与并企图参与如《美国法典》第 18 编第 1957(f)(1) 条所定义的资金交易，所涉为源自特定非法活动且价值大于 \\$10,000 的源于犯罪的财产；即王雁平在位于纽约南区期间，授权将 \\$100 million（1亿美元）的欺诈所得电汇转移至某特定对冲基金。\n\n（《美国法典》第 18 编第 1957 及 2 条。）\n\n本人知悉的事实依据及上述指控的事实依据，部分如下：\n\n8. 本人系 FBI 的特别专员，本人曾亲自参与对本案的调查。本宣誓书基于本人亲自参与本案的调查，以及本人与执法官员、执法雇员和证人的谈话，以及对文件的审查。由于提交本宣誓书的有限目的是确立合理根据（probable cause），因此其并未包含本人在调查过程中所了解到的全部事实。除另有说明外，凡在此提及的他人的行为、陈述和谈话，均属实质内容且仅为部分陈述。\n概述\n\n9. 基于本人对本调查的参与、对文件的审查、与证人以及其他执法官员的谈话，本人获悉了以下实质内容（部分）：\n\na. 在 2020 年 4 月前后至 2020 年 6 月前后期间，被告王雁平（又名「Yvette」）与已知及未知的其他人，通过与 GTV 相关的非法非公开股票发行，欺诈性地获得了约 \\$452 million 的受害者资金。王雁平当时是 GTV 的执行董事（Executive Director），也是负责转移从 GTV 私募中筹集到的资金的关键责任人之一。被告及其他人向受害者投资者承诺将投资通过 GTV 私募筹集的资金，但王雁平与已知及未知的其他人并未如此操作，而是将约 \\$100,000,000 挪用至某高风险对冲基金中，最终使王雁平的一名共谋者的近亲家属受益。王雁平深知 GTV 私募的资金不能用于投资高风险对冲基金。事实上，当王雁平试图开设一个由 GTV 私募筹集资金组成的银行账户时，王雁平向一家银行陈述称（部分内容）该等「GTV Media Group 的资金仅用于运营目的和收购」。\nGTV 私募\n\n10. 基于本人对文件、视频的审查、与证人以及其他执法官员的谈话，本人获悉了以下实质内容（部分）：\n\na. 2020 年 4 月 21 日前后，一名未在此列名的共谋者（「CC-1」）1 在社交媒体上发布并促使发布了一段视频（即「该视频」），宣布通过私募（即「GTV 私募」）进行 GTV 普通股的未注册发行。CC-1 在网络上拥有庞大的关注者群体，该视频被成千上万的人观看。\n\nb. 基于本人对该视频的审查，本人获知，CC-1 在该视频中（实质上及部分地）描述了 GTV 私募的投资条款，并指示人们如有关于 GTV 私募的任何问题，可通过移动即时通讯应用程序联系 CC-1。该视频及 GTV 私募材料——包括书面的《机密信息备忘录》（Confidential Information Memorandum，简称「PPM」）、认购协议（Subscription Agreement）和投资程序指引（Investment Procedure Guidelines）——通过移动即时通讯应用程序、社交媒体和短信传输给了包括纽约南区在内的成千上万的潜在投资者。\n\nc. 基于本人对 PPM 的审查，本人获知 PPM 将 GTV 宣传为「首个将公民新闻和社交新闻的力量与尖端技术、大数据、人工智能、区块链技术和\n\n1 CC-1 已在该地区法院提起的一项起诉书中被控十一项罪名，罪由包括共谋实施电汇欺诈、证券欺诈、银行欺诈和洗钱；以及就包括在此讨论的 GTV 私募在内的行为实施电汇欺诈、银行欺诈和洗钱。\n\n实时互动通信相结合的平台」。PPM 还包含以下实质陈述（部分内容），其中包括：\n\ni. GTV 私募面向「有兴趣评估向 GTV 投资资本的机会」的投资者；\n\nii. GTV 计划将从 GTV 私募中筹得的资金用于「扩展和壮大业务」；以及\n\niii. PPM 包含一份图表，逐项列明了从 GTV 私募中筹集的资金的「预期资金用途」：\n\n收购公司以加强和发展 GTV　约 70%\n\n升级 GTV 技术和安全性　约 10%\n市场营销　约 8%\n营运资金　约 7%\n其他　约 5%\n总计　100%\n\nd. 私募备忘录（PPM）指明了 GTV 的三名“执行董事”（Executive Directors）。确定的第一位执行董事是“Yvette Y. Wang”——即被告 YANPING WANG（王雁平，又名“Yvette”）。PPM 将王描述为“在管理、金融投资和并购方面具有丰富经验”，并且“在建立 Saraca 的媒体业务中发挥了关键作用”。2 在 PPM 的其他地方，王被描述为 GTV 的“核心人员”。PPM 进一步在部分内容中实质陈述称，GTV 的“成功部分取决于[其]包括 Yvette Wang 在内的核心高管人员的持续服务”，以及另外两名特定个人，其中包括本文未具名的另一名同谋（“CC-2”）。\n\ne. 根据与此前曾为 CC-1 工作的证人的谈话，我实质且部分了解到，王与 CC-1 保持着密切的私人关系。具体而言，王为 CC-1 及其家人工作了数年，至少始于 2018 年左右。事实上，根据我审查过的文件，我获悉王是负责管理 CC-1 据称庞大的个人财富的一家实体的总裁、财务主管（Treasurer）和秘书（Secretary）。\n\n2 “Saraca”指“Saraca Media Group（萨拉卡媒体集团）”，其在 PPM 中被指认为 GTV 的母公司。\n王接收并转移诈骗收益\n\n11. 基于我对视频和文件（包括银行记录和传票回执）的审查、我与证人及其他执法人员的谈话、互联网开源调查以及我参与本案调查的情况，我实质且部分获悉如下内容：\n\na. 2018 年 7 月 24 日左右，被告 YANPING WANG（王雁平，又名“Yvette”）以 Saraca 的名义开设了一个特定银行账户（“Account-5601”）。经我审查的 Account-5601 开户文件将王指认为 Saraca 的“代理秘书”（Acting Secretary）。2020 年 5 月 21 日左右，王签署了 Account-5601 的一份额外商业印鉴卡，其中王自称为 Saraca 的“总裁”（President）。至少截至该日期，Account-5601 是以“Saraca Media Group DBA Himalaya Dollar”的名义持有。Account-5601 上没有其他获授权签署人。\n\nb. 2018 年 7 月 24 日左右，王以“Saraca Media Group Inc.”的名义开设了另一个特定银行账户（“Account-2038”）。Account-2038 的开户文件将王指认为 Saraca 的“代理秘书”。2020 年 5 月 21 日左右，王签署了 Account-2038 的一份额外商业印鉴卡，并自称为“总裁”。至少截至该日期，Account-2038 是以“Saraca Media Group DBA Himalaya Dollar”的名义持有。2020 年 6 月 3 日左右，王签署了 Account-2038 的又一份商业印鉴卡，并再次自称为 Saraca 的“总裁”。Account-2038 上没有其他获授权签署人。3\n\nc. Account-5601 和 Account-2038 均由一家总部位于曼哈顿的特定银行（“Bank-1”）持有。\n\nd. 在 2020 年 4 月 20 日左右至 2020 年 6 月 2 日左右期间，价值约 4.52 亿美元的 GTV 普通股据称被出售给位于美国（包括 Southern District of New York（纽约南区））和海外的 5,500 多名投资者。投资者参与 GTV 私募（GTV Private Placement）的部分原因是基于其相信自己的资金将按照 PPM 的承诺投资于 GTV，以发展和壮大该项业务。\n\ne. 2020 年 4 月左右，Account-5601 收到了约 291 笔存款和转账，总计约 32,543,000 美元。这些存款和转账中的大部分是由寻求参与 GTV 私募的个人进行的投资。这些转账似乎来自世界各地的个人，并且许多存款和转账都带有提及 GTV 私募的附言或备忘录信息。例如，备忘录行实质且部分写有：“Gtv Investment（Gtv 投资）”、“Stock Subscription（股票认购）”、“Investment（投资）”、“G- Tv Common Stock Subscription（G-Tv 普通股认购）”、“InvestmeNt [原文如此]（投资）”、“Investment To G- Tv [原文如此]（对 G-Tv 投资）”以及“Gtv Stockpurchase（Gtv 股票购买）”等。2020 年 4 月 30 日左右，Account-5601 的余额约为 32,474,000 美元。\n\nf. 2020 年 5 月左右，Account-5601 收到了约 2,450 笔存款和转账，总计约 291,899,000 美元。这些存款和转账中的大部分\n\n3 根据银行记录，CC-2 似乎拥有一个可访问 Account-5601 和 Account-2038 的网上银行账户。\n\n是由寻求参与 GTV 私募的个人进行的投资。与上个月的存款和转账一样，2020 年 5 月左右的转账似乎来自世界各地的个人，并且许多转账都带有提及 GTV 私募的附言或备忘录信息。例如，备忘录行实质且部分写有：“Capital Injection Infusion（注资入股）”、“To Inv es Stment [原文如此]（至投资）”、“Private Placement Investment（私募投资）”、“Gtv Media Investment（Gtv 媒体投资）”、“Gtv Inv（Gtv 投资）”以及“Additional Stock Purchase（追加认购股票）”等。2020 年 5 月 29 日左右，Account-5601 的余额约为 313,213,000 美元。\n侵占资金\n\n12. 基于我对文件的审查以及与证人和其它执法人员的谈话，我实质且部分获悉如下内容：\n\na. 2020 年 6 月 3 日左右，被告 YANPING WANG（王雁平，又名“Yvette”）以 Saraca“总裁”的身份签署了一份“认购协议”（Subscription Agreement）。根据该认购协议，Saraca 同意向一家高风险对冲基金（“Fund-1”）投资 100,000,000 美元。在认购协议中，王将 Account-5601 指定为 Saraca 电汇出资款的银行账户。王进一步将自己指定为 Account-5601 的唯一“获授权签署人”（Authorized Signatory）。在 2020 年 6 月 3 日上午左右，Fund-1 投资管理人的一名雇员确认收到了已签署的认购文件。\n\nb. 同样在 2020 年 6 月 3 日左右，100,000,000 美元从 Account-5601 转入 Account-2038。在转账之前，Account-2038 的余额为 0 美元。根据银行记录，这笔 100,000,000 美元的转账是由用户“yvettewang2018”在线操作的，该用户名是王在 Bank-1 的网上银行用户 ID。在授权该笔转账时，王登录其 Bank-1 网上账户所使用的 IP 地址经地理定位位于曼哈顿。\n\nc. 2020 年 6 月 5 日左右，王授权从 Account-2038 4 向与 Fund-1 关联的银行账户电汇转账 100,000,000 美元。这笔转入 Fund-1 银行账户的 100,000,000 美元款项由 GTV 私募投资者的资金组成。如前所述，PPM 并没有预见将投资者资金用于投资高风险对冲基金。PPM 也没有预见将投资者资金用于使 GTV 以外的公司（包括其实际受益人是 CC-1 近亲的 Saraca）获利。\n王将额外诈骗收益转移至其他银行账户\n\n13. 基于我对文件和视频的审查、我与证人及其他执法人员的谈话以及我参与本案调查的情况，我实质且部分获悉如下内容：\n\na. 2020 年 5 月 20 日左右，被告 YANPING WANG（王雁平，又名“Yvette”）与 CC-2 以 GTV 的名义开设了一个账户（“Account-6691”）。Account-6691 是在一家享有联邦存款保险公司（FDIC）承保的特定银行（“Bank-2”）开设的。王和 CC-2 是\n\n4 虽然认购协议将 Account-5601 指定为出资来源，但该转账实际发自 Account-2038。\n\nAccount-6691 仅有的获授权签署人。在开户文件中，王被指认为 GTV 的“董事”（Director）。开户文件进一步指出，Account-6691 的预期余额将在 25,000 美元至 50,000 美元之间。\n\nb. 2020 年 6 月 3 日左右，Account-5601 向 Account-6691 转账 200,000,000 美元。该笔转账的附言行部分写有“Gtv Private Placement（Gtv 私募）”。就在这笔转账发生之前，Account-6691 的余额为 0 美元。\n\nc. 2020 年 6 月 9 日左右，Account-2038 向 Account-6691 转账 38,000,000 美元。这 38,000,000 美元由最初汇入 Account-5601 和另一个特定 Bank-1 账户的 GTV 私募投资者资金组成，随后在 2020 年 6 月 3 日左右至 2020 年 6 月 9 日左右期间被转入 Account-2038。因此，截至 2020 年 6 月 10 日左右，Account-6691 中的全部 237,999,970 美元 5 均由 GTV 私募的收益构成。\n\nd. 2020 年 6 月 9 日左右，约 30,906 美元从 Account-5601 电汇至一个户名为“Yanping Wang”的银行账户。该笔电汇转账的附言行部分写有“Director Fee（董事费）”。\n\ne. 从 2020 年 6 月左右开始，持有用于处理通过 GTV 私募募集资金的账户的国内银行开始冻结并关闭与 GTV 关联的银行账户（包括以 Saraca 名义持有的银行账户），原因包括这些账户收到了数十笔大额入账电汇，其中一些提及未经注册的 GTV 私募。银行销户也是由于对进出与 GTV 关联和与 Saraca 关联的账户的资金流动存有疑虑，这引发了对入账转账正当性的质疑。\n\nf. 2020 年 7 月 10 日左右，Bank-2 关闭了 Account-6691，并向包括王在内的账户持有人提供了一张金额为 137,999,970 美元的支票（“Check-1”）和第二张金额为 100,000,000 美元的支票（“Check-2”）。\n\ng. 2020 年 7 月左右，王及其他已知和未知的人员试图在一家特定银行（“Bank-3”）以 GTV 的名义开设银行账户。针对该尝试，2020 年 7 月 20 日左右，王签署了一份“强化尽职调查申请表”（Enhanced Diligence Request），其中载有关于开设 Bank-3 账户用途的信息。王以 GTV“董事”的身份签署了该“强化尽职调查申请表”。\n\nh. 在“强化尽职调查申请表”中，王实质且部分陈述称，存入该账户的初始款项将“约为以本票形式呈现的通过私募筹集的 1.38 亿美元”。据王称，“Saraca Media Group 作为收款方代表 GTV 接收了[GTV]私募资金（在 Bank-1 由[律师事务所]指导）。Saraca Media Group 将资金转移给了 GTV（[Bank-2]）”。王进一步实质且部分陈述称，“账户中的资金是 GTV Media Group 的资金，且严格[原文如此]用于运营目的和收购”。因此，王清楚地知道从 GTV 私募中筹集的资金不能用于投资为 CC-1 近亲利益而持有的高风险对冲基金。\n\n5 Bank-3 就这两笔入账电汇从 Account-6691 中扣除了 30 美元。\n\n为此，我谨请求对被告 YANPING WANG（王雁平，又名“Yvette”）签发逮捕令，并视情况将其逮捕并予以监禁或准予保释。\n\n/签名/ Nicholas DiMarino（电话宣誓）\n\nNicholas DiMarino\n联邦调查局（Federal Bureau of Investigation）特别探员\n\n于 2023 年 3 月 [此处空白] 日，通过可靠的电子方式（电话）向我传输本刑事诉状并向我宣誓。\n\nGABRIEL W. GORENSTEIN 法官阁下\nUnited States Magistrate Judge（美国联邦治安法官）\nSouthern District of New York（纽约南区）","key_entities":["GTV","Saraca","CIPA","Je","Yanping Wang","Himalaya","Fergenson","Murray"],"ecf_references":[{"doc_number":1,"court":"CTB"}],"word_count":3734,"status":"published","published_at":"2023-07-25 00:00:00","created_at":"2023-07-25","updated_at":"2026-08-23 13:54:42"}