{"id":"court_ctb_2083_0","court":"CTB","case_no":"22-50073","doc_number":2083,"sub_number":0,"doc_type":"UNKNOWN","filed_date":"2023-08-14","title":"| UNITED STATES BANKRUPTCY COURT<br>DISTRICT OF CONNECTICUT<br>BRIDGEPORT DIVISION |                                   |","summary_zh":null,"summary_en":null,"body_en":"| UNITED STATES BANKRUPTCY COURT<br>DISTRICT OF CONNECTICUT<br>BRIDGEPORT DIVISION |                                   |  |\n|----------------------------------------------------------------------------------|-----------------------------------|--|\n| --------------------------------------------------------                         | x<br>:                            |  |\n| In re:                                                                           | :<br>Chapter 11                   |  |\n| HO WAN KWOK, et al.,<br>1                                                        | :<br>:<br>Case No. 22-50073 (JAM) |  |\n| Debtor.                                                                          | :<br>:<br>(Jointly Administered)  |  |\n| -------------------------------------------------------                          | x<br>:                            |  |\n| LUC A. DESPINS, Chapter 11 Trustee,                                              | :<br>Adv. Proceeding No. 23-05017 |  |\n| Plaintiff,                                                                       | :<br>:                            |  |\n| v.                                                                               | :<br>:                            |  |\n|                                                                                  | :                                 |  |\n| TAURUS FUND LLC,                                                                 | :                                 |  |\n| SCOTT BARNETT, as trustee of TAURUS                                              | :                                 |  |\n| FUND LLC, and                                                                    | :                                 |  |\n| TAURUS MANAGEMENT LLC, as trustee                                                | :                                 |  |\n| of TAURUS FUND LLC,                                                              | :                                 |  |\n|                                                                                  | :                                 |  |\n| Defendants.                                                                      | :                                 |  |\n| -------------------------------------------------------                          | x                                 |  |\n\n# **MOTION OF CHAPTER 11 TRUSTEE, PURSUANT TO BANKRUPTCY RULE 9019, FOR APPROVAL OF SETTLEMENT WITH UNITED STATES OF AMERICA**\n\nLuc A. Despins, in his capacity as the chapter 11 trustee (the \"Trustee\") appointed in the chapter 11 case (the \"Chapter 11 Case\") of Ho Wan Kwok (the \"Debtor\" or \"Kwok\"), plaintiff in the above-captioned adversary proceeding (the \"Adversary Proceeding\"), hereby submits this\n\n<sup>1</sup> The Debtors in these chapter 11 cases are Ho Wan Kwok (also known as Guo Wengui, Miles Guo, and Miles Kwok, as well as numerous other aliases) (last four digits of tax identification number: 9595), Genever Holdings LLC (last four digits of tax identification number: 8202), and Genever Holdings Corporation. The mailing address for the Trustee and the Genever Debtor is Paul Hastings LLP, 200 Park Avenue, New York, NY 10166 c/o Luc A. Despins, as Trustee for the Estate of Ho Wan Kwok (solely for purposes of notices and communications).\n\nmotion (the \"Motion\"),2 pursuant to Rule 9019(a) of the Federal Rules of Bankruptcy Procedure (the \"Bankruptcy Rules\") and Rule 9019-1(a) of the Local Rules of Bankruptcy Procedure for the United States Bankruptcy Court District of Connecticut (the \"Local Rules\"), for entry of an order, substantially in the form attached hereto as **Exhibit A** (the \"Proposed Order\") approving the *Stipulation Between Chapter 11 Trustee and United States of America* (the \"Settlement Agreement\"), attached as **Exhibit 1** to the Proposed Order, reached between (a) the Trustee and (b) the United States of America (the \"Government\" and, together with the Trustee, the \"Parties\"3 ), represented by the United States Attorney's Office for the Southern District of New York (\"USAO-SDNY\"). In support of this Motion, the Trustee respectfully represent as follows:\n\n#### **PRELIMINARY STATEMENT**\n\n1. The Parties have reached an agreement to resolve certain potentially complex issues raised both in this Adversary Proceeding and in the Government's ongoing criminal case against the Debtor currently being heard before the United States District Court for the Southern District of New York [Case No. 23 Cr. 118 (AT)] (the \"Criminal Case\"), with respect to the Debtor's Mahwah Mansion.\n\n2. The Mahwah Mansion has become a target for both the Trustee in the Chapter 11 Case (and related Adversary Proceeding) and the Government in the Criminal Case because, while the Trustee seeks a ruling that the Mahwah Mansion is property of the Debtor's estate so that it can be sold and its proceeds distributed to the Debtor's creditors, the Government alleges\n\n<sup>2</sup> Capitalized terms used but not defined herein shall have the meanings set forth in the Complaint of Chapter 11 Trustee for Estate of Ho Wan Kwok Seeking, Pursuant to Bankruptcy Code Sections 541, 542, and 544, (I) Declaratory Judgment that Debtor Is Equitable Owner of Mahwah Mansion and that such Property Is Property of Estate and (II) Related Relief [Adv. Proc. Docket No. 1] (the \"Complaint\"). 3\n\nReferences herein to the \"Parties\" and the \"Trustee,\" include the respective attorneys, advisors, and/or professionals of the Parties, as applicable.\n\nthat the Mahwah Mansion is subject to forfeiture because it was purchased with the proceeds of the Debtor's alleged criminal schemes, and that its value should be distributed to the victims of such crimes as restitution.\n\n3. Of course, given the nature of the Debtor's activities, there is likely significant overlap between creditors who have filed proofs of claims (to the extent they have allowed claims) against the chapter 11 estate for whom the Trustee acts as fiduciary and the victims for whom the Government seeks to provide restitution.\n\n4. Complicating matters even further are the different tools that the Trustee and the Government have in their respective toolkits. The Trustee is already empowered to collect estate assets such as the Mahwah Mansion and to liquidate them for the benefit of the estate, after which the value of such assets can be distributed to holders of allowed claims pursuant to a chapter 11 plan. In furtherance thereof, the Trustee sought, and the Court granted, the setting of a bar date for creditors to file claims. Indeed, more than 1200 creditors have filed claims, many of which raise of the same or similar facts as the basis of their claims as were alleged in the Indictment. The Government, on the other hand, must obtain a conviction in the Criminal Case before it can obtain a forfeiture order that would allow it to distribute proceeds from the sale of the Mahwah Mansion to victims as part of a remission/restitution process outside the Chapter 11 Case.\n\n5. The interaction between bankruptcy law and criminal law in a case like this can, therefore, be a source of disputes between a trustee and the Government. Indeed, this is not the first time that these types of issues have arisen in cases where individual debtors have been prosecuted for fraud or other crimes and, on past occasions, these issues have resulted in some cases in extensive and expensive litigation between bankruptcy trustees and the Government,\n\nsomething that the Trustee obviously hopes to avoid here. *See United States v. Rothstein (In re Rothstein, Rosenfeldt, Adler, P.A.)*, 717 F.3d 1205, 1206 (11th Cir. 2013) (involving protracted dispute between chapter 11 trustee and Government regarding whether funds in certain bank accounts were proceeds of criminal conduct subject to forfeiture).\n\n6. Despite these complexities and potential sources of controversy, the Trustee and the Government are aligned both on the need to obtain control of and liquidate the Debtor's assets as quickly and efficiently as possible and the distribution of such assets to the Debtor's \"victims.\"<sup>4</sup> With that in mind, the Trustee and the Government negotiated the Settlement Agreement, which effectuates a preliminary resolution to the issues surrounding the Mahwah Mansion. Critically, the Settlement Agreement5 will ensure that any proceeds from an eventual sale of the Mahwah Mansion by the Trustee (if the Trustee prevails in the Adversary Proceeding) are used first to pay the estate's expenses (including reasonable legal fees related to the Adversary Proceeding) in connection with taking control of and selling the Mahwah Mansion, so that the estate will not be out of pocket even if future discussions between the Trustee and the Government regarding the distribution of sale proceeds of the Mahwah Mansion do not lead to a favorable settlement from the point of view of the estate. The Trustee and the Government also agreed in the Settlement Agreement that \\$1 million of the proceeds of the Mahwah Mansion (over and above actual expenses, including attorney's fees) will be distributed to creditors of the chapter 11 estate with allowed claims who are also victims of the Debtor in the Criminal Case. In other words, the Mahwah Mansion will (if the Trustee prevails in the Adversary Proceeding)\n\n<sup>4</sup> The issue of exactly what types of creditors that are holders of allowed claims are \"victims\" or not \"victims\" of the Debtor in the Criminal Case can be highly subjective, and the Trustee is hopeful that it is one of the topics that he will be able to resolve in future discussions with the Government. 5\n\nTo the extent of any inconsistencies between the description of the Settlement Agreement in this Motion and the terms and conditions of the Settlement Agreement, the terms of the Settlement Agreement shall control.\n\nnot only fund the Adversary Proceeding but will be the source of tangible cash distributions to creditors. The Settlement Agreement provides this guaranteed benefit to the chapter 11 estate while resolving any potential disputes between the Trustee and the Government in this Adversary Proceeding and providing that the parties will discuss distribution issues in any potential restitution/remission process at a later date, in the event the Government secures a final conviction in the Criminal Case and a forfeiture order with respect to the Mahwah Mansion.\n\n#### **JURISDICTION AND VENUE**\n\n7. This Court has jurisdiction to consider the Motion pursuant to 28 U.S.C. §§ 157 and 1334 and the *Standing Order of Reference* from the United States District Court for the District of Connecticut. This is a core proceeding within the meaning of 28 U.S.C. § 157(b).\n\n8. Venue in this District is proper pursuant to 28 U.S.C. §§ 1408 and 1409.\n\n9. The bases for the relief requested herein are Bankruptcy Rule 9019(a) and Local Rule 9019-1(a).\n\n#### **BACKGROUND**\n\n10. On or about March 29, 2023, pursuant to a Superseding Indictment (the \"Indictment\"),6 the Government charged the Debtor, together with other defendants, with conspiracy to commit wire fraud, securities fraud, bank fraud, and money laundering (Count One); wire fraud (Counts Two, Four, Six, and Eight); securities fraud (Counts Three, Five, and Seven); money laundering (Counts Nine and Ten); and unlawful monetary transactions (Count Eleven).\n\n<sup>6</sup> A copy of the Indictment is attached hereto as **Exhibit B**. A previous version of the Indictment was made public on March 15, 2023 (the \"Initial Indictment\"). The Indictment is largely similar to the Initial Indictment except that it adds charges against the Debtor's co-defendant, Yanping Wang, a/k/a \"Yvette,\" that were not included in the Initial Indictment, which focused on charges against the Debtor and Kin Ming Je, a/k/a \"William Je.\"\n\n11. The Indictment included forfeiture allegations with respect to, among other things, the Mahwah Mansion.\n\n12. On or about June 28, 2023, the Trustee advised the Government that he had concluded, after extensive analysis, that, among other things, the Mahwah Mansion is equitably owned by the Debtor and, therefore, is property of the Debtor's chapter 11 estate. The Trustee also advised the Government of his intention to seek interim injunctive relief with respect to the Mahwah Mansion and to sell the Mahwah Mansion in the event this Court issues a ruling declaring the Mahwah Mansion to be property of the estate. The Trustee and the Government engaged in extensive good-faith discussions regarding issues related to the Mahwah Mansion and the Adversary Proceeding. As a result of these discussions, the Parties were able to successfully negotiate the Settlement Agreement. The Parties executed the Settlement Agreement on July 13, 2023.7\n\n13. On July 11, 2023, the Trustee commenced the Adversary Proceeding, in which the Trustee seeks orders:\n\n- declaring that: (a) the Debtor is the equitable owner of the Mahwah Mansion, and (b) that the Mahwah Mansion is property of the Debtor's chapter 11 estate to be administered by the Trustee; and (2) ordering Taurus Fund (and/or Scott Barnett and Taurus Management, as trustees of Taurus Fund) to turn over the Mahwah Mansion or its value and the fixtures and personal property in the Mahwah Mansion to the Trustee;\n- declaring that: (a) at all times the Debtor is the equitable owner of Taurus Fund; (b) any and all assets held by Taurus Fund at any time prior to the Debtor's petition date of February 15, 2022 constituted property of the Debtor; and (c) any and all assets held by Taurus Fund at any time from the date of the Debtor's February 15, 2022 chapter 11 petition to the present constituted and constitute, as applicable, property of the Debtor's chapter 11 estate; and (2) ordering the\n\n<sup>7</sup> The descriptions in this Motion of the events leading to the execution of the Settlement Agreement or factors considered in the context of such settlement are solely those of the Trustee and do not purport to represent the Government's views.\n\nturnover of Taurus Fund and any and all of Taurus Fund's assets to the Trustee; and\n\n declaring that: (a) at all times Taurus Fund was an alter ego of the Debtor; (b) any and all assets held by Taurus Fund at any time prior to the Debtor's petition date of February 15, 2022 constituted property of the Debtor; and (c) any and all assets held by Taurus Fund at any time from the date of the Debtor's February 15, 2022 chapter 11 petition to the present constituted and constitute, as applicable, property of the Debtor's chapter 11 estate; and (2) ordering the turnover of any and all of Taurus Fund's assets to the Trustee.\n\n# **SETTLEMENT**\n\n14. The Parties have engaged in extensive good faith discussions with respect to the\n\nMahwah Mansion. As a result of these discussions, the Parties reached the Settlement\n\nAgreement in order to resolve complex issues related to the Mahwah Mansion. The key\n\nprovisions of the Settlement Agreement are as follows:\n\n- a. **Government Will Not Oppose Trustee in Adversary Proceeding:** Under the Settlement Agreement, the Government has agreed not to oppose any of the Trustee's claims or requests for relief in the Adversary Proceeding, or any effort by the Trustee to obtain control of and/or sell the Mahwah Mansion. *See*  Settlement Agreement ¶ 1.\n- b. **Use of Mahwah Mansion Proceeds to Pay Estate Expenses:** Under the Settlement Agreement, the costs of taking control of and selling the Mahwah Mansion, including Paul Hastings' legal fees, as well as \\$1 million to be used for the payment of holders of allowed claims in the Chapter 11 Case that are victims of the Debtor, will be paid first from the proceeds of the sale of Mahwah Mansion. The Settlement Agreement thus guarantees that the Adversary Proceeding will benefit the estate, even if none of the net proceeds from the sale of the Mahwah Mansion end up being distributed to holders of allowed claims in the Chapter 11 Case as part of the Government's contemplated restitution and remission process, essentially guaranteeing that some portion of the value of the Mahwah Mansion will go to estate creditors, and eliminating the possibility that the estate could pay the cost of obtaining control of and selling the Mahwah Mansion but see all the value thereof made part of the Criminal Case and its forfeiture process. *See* Settlement Agreement ¶ 3.\n- c. **Escrow of Net Proceeds of Sale of Mahwah Mansion:** Under the Settlement Agreement, only the net proceeds of the sale of the Mahwah Mansion (after payment of the estate's expenses, described in paragraph 3 of the Settlement Agreement, and \\$1 million to be used for the payment of holders of allowed\n\nclaims in the Chapter 11 Case) will be held in escrow pending the resolution of the Criminal Case and its forfeiture process. *See* Settlement Agreement ¶ 2.8\n\n- d. **Post-Forfeiture Negotiations Regarding Distribution of Net Proceeds:** The Settlement Agreement provides for future discussions between the Trustee and the Government regarding the distribution of net proceeds from the sale of the Mahwah Mansion if an order of forfeiture is entered in the Criminal Case, allowing the Parties to address those issues and any potential disputes about those issues later, consistent with the goal of the Parties to not have these issues become a source of contention in connection with this Adversary Proceeding. The Trustee's intention to seek to handle distributions to victims is based on precedent from past cases where bankruptcy trustees negotiated agreements with the Government to exercise such a role.9 *See* Settlement Agreement ¶ 4.\n- e. **Reservation of Rights**: Consistent with the goal of the Parties to address other distribution issues later, in the event of a final conviction and forfeiture order, the Parties have reserved their rights with respect to issues related to the distribution of the net proceeds from the disposition of the Mahwah Mansion, in the event the Trustee's discussions with the Government do not lead to a settlement. *See*  Settlement Agreement ¶ 5.\n\n# **RELIEF REQUESTED**\n\n15. By this Motion, the Plaintiffs seek entry of an order pursuant to Bankruptcy Rule\n\n9019(a) approving the Settlement Agreement in its entirety and authorizing the Parties to enter\n\ninto and implement the Settlement Agreement in accordance with the terms thereof.\n\n# **BASIS FOR THE RELIEF REQUESTED**\n\n# **I. Standard for Approving the Settlement Agreement**\n\n16. To approve a compromise and settlement under Bankruptcy Rule 9019, a\n\nbankruptcy court should find that the compromise and settlement is fair and equitable,\n\nreasonable, and in the best interests of the debtor's estate. *See, e.g.*, *Air Line Pilots Ass'n, Int'l v.*\n\n 8 The escrow requirement will no longer apply, in the event of a final acquittal of the Debtor or his co-defendants, in which case the Government would be unable to initiate a restitution/remission process for crime victims; and the remaining proceeds funds would then be available for distribution by the Trustee in connection with the Chapter 11 Case. 9\n\n*See e.g. Order Authorizing James Berman, Trustee, to Serve as Temporary Receiver for the United States of America*, *In re Goldberg*, Case No. 09-23370 (ASD) (Bankr. D. Conn. 2011), [Docket No. 424].\n\n*Am. Nat'l Bank & Tr. Co. of Chi. (In re Ionosphere Clubs, Inc.),* 156 B.R. 414, 426 (S.D.N.Y. 1993.), *aff'd*, 17 F.3d 600 (2d Cir. 1994) (citations omitted); *In re Enron Corp.,* No. 02 Civ. 8489(AKH), 2003 WL 230838, at \\*2 (S.D.N.Y. Jan. 31, 2003). The decision to approve a particular settlement lies within the sound discretion of the bankruptcy court. *See Nellis v. Shugrue*, 165 B.R. 115, 122-23 (S.D.N.Y. 1994).\n\n17. Importantly, the \"settlement need not be the best that the debtor could have obtained.\" *In re Adelphia Commc'ns Corp.*, 327 B.R. 143, 159 (Bankr. S.D.N.Y. 2005) (citing *In re Penn Cent. Transp. Co.*, 596 F.2d 1102, 1114 (3d Cir. 1979)). Instead, the court needs only \"canvass the issues and see whether the settlement falls below the lowest point in the range of reasonableness.\" *Id.* (citing *In re W.T. Grant Co.*, 699 F.2d 599, 608 (2d Cir. 1983)).In deciding whether a particular settlement falls within the \"range of reasonableness,\" courts consider the following factors:\n\n> (1) the balance between the litigation's possibility of success and the settlement's future benefits; (2) the likelihood of complex and protracted litigation, \"with its attendant expense, inconvenience, and delay\" . . . ; (3) the \"paramount interests of the creditors,\" including each affected class's relative benefits \"and the degree to which creditors either do not object to or affirmatively support the proposed settlement\"; (4) whether other parties in interest support the settlement; (5) the \"competency and experience of counsel\" supporting, and \"[t]he experience and knowledge of the bankruptcy court judge\" reviewing, the settlement; (6) \"the nature and breadth of releases to be obtained by officers and directors\"; and (7) \"the extent to which the settlement is the product of arm's length bargaining.\"\n\n*Motorola, Inc. v. Official Comm. of Unsecured Creditors* (*In re Iridium Operating LLC*), 478\n\nF.3d 452, 462 (2d Cir. 2007) (citation omitted) (\"*Iridium*\").\n\n#### **II. Settlement Agreement Should Be Approved**\n\n18. The Settlement Agreement is an excellent outcome for the chapter 11 estate and, by extension, the creditors of the Debtor's estate, and it is a fair and reasonable compromise under the circumstances and in light of the applicable *Iridium* factors.\n\n19. The benefits to the estate from the Settlement Agreement are significant. Critically, the Settlement Agreement will ensure that any proceeds from an eventual sale of the Mahwah Mansion by the Trustee (if the Trustee prevails in the Adversary Proceeding) are used first to pay the estate's expenses (including legal fees related to the Adversary Proceeding) in connection with taking control of and selling the Mahwah Mansion, so that the estate will not be out of pocket even if future discussions between the Trustee and the Government regarding the distribution of sale proceeds of the Mahwah Mansion do not lead to a favorable settlement from the point of view of the estate. The Trustee and the Government also agreed in the Settlement Agreement that \\$1 million of the proceeds of the Mahwah Mansion (over and above actual expenses, including attorney's fees) will be distributed to creditors of the chapter 11 estate with allowed claims who are also victims of the Debtor. In other words, the Mahwah Mansion will (if the Trustee prevails in the Adversary Proceeding) not only fund the Adversary Proceeding but will be the source of tangible cash distributions to creditors.\n\n20. In addition, the Settlement Agreement, among other things, ensures that the Adversary Proceeding will not be delayed by any disputes between the Trustee and the Government, pushing back any thorny issues regarding how funds are distributed in a restitution/remission process to the future, to be discussed by the Parties in the event of a final conviction and order of forfeiture (as is appropriate given that trial in the Criminal Case is\n\npresently scheduled to begin on April 8, 2024, at it is therefore unknown at this time whether the Debtor or his co-defendants will be convicted).\n\n21. The Settlement Agreement easily meets all the relevant *Iridium* factors, providing significant immediate and future benefits to the estate and its creditors, in particular, by ensuring that the estate will benefit from any sale by the Trustee of the Mahwah Mansion and eliminating the possibility of any disputes between the Parties in the context of the Adversary Proceeding. The Settlement Agreement was reached between the Trustee and the Government, with each side assisted by experienced counsel and negotiating at arms' length.\n\n22. Put simply, the Settlement Agreement is a positive development for the chapter 11 estate, and the Trustee believes the Settlement Agreement satisfies Bankruptcy Rule 9019 and should be approved.\n\n### **NOTICE**\n\n23. Notice of this Motion will be given to (i) the United States Trustee; (ii) the Debtor; (iii) the official committee of unsecured creditors; (iv) the Defendants; (v) by electronic filing utilizing the Court's electronic filing (\"CM/ECF\") system, to all appearing parties who utilize the CM/ECF system; and (vi) any party who requested notice in these chapter 11 cases, but is unable to accept electronic filing as indicated on the Notice of Electronic Filing. The Trustee submits that, under the circumstances, no other or further notice is required.\n\n#### **NO PREVIOUS REQUEST**\n\n24. No previous request for the relief sought herein has been made by the Trustee to this or any other court.\n\n[*Remainder of page intentionally left blank*.]\n\nWHEREFORE, for the foregoing reasons, the Trustee respectfully requests entry of the\n\nProposed Order granting the relief requested in the Motion and such other relief as is just and\n\nproper.\n\nDated: August 14, 2023 LUC A. DESPINS, New Haven, Connecticut CHAPTER 11 TRUSTEE\n\nBy: */s/ Douglass Barron*\n\nAvram E. Luft (admitted *pro hac vice*) Douglass Barron (admitted *pro hac vice*) PAUL HASTINGS LLP 200 Park Avenue New York, New York 10166 (212) 318-6079 aviluft@paulhastings.com douglassbarron@paulhastings.com\n\n*and*\n\nNicholas A. Bassett (admitted *pro hac vice*) PAUL HASTINGS LLP 2050 M Street NW Washington, D.C., 20036 (202) 551-1902 nicholasbassett@paulhastings.com\n\n *and*\n\nPatrick R. Linsey (ct29437) NEUBERT, PEPE & MONTEITH, P.C. 195 Church Street, 13th Floor New Haven, Connecticut 06510 (203) 781-2847 plinsey@npmlaw.com\n\n*Counsel for the Chapter 11 Trustee*\n\nCase 22-50073 Doc 2083 Filed 08/14/23 Entered 08/14/23 09:54:05 Page 13 of 65\n\n# **EXHIBIT A**\n\n**Proposed Order**\n\n| UNITED STATES BANKRUPTCY COURT<br>DISTRICT OF CONNECTICUT<br>BRIDGEPORT DIVISION<br>--------------------------------------------------------<br>x |        |                              |\n|---------------------------------------------------------------------------------------------------------------------------------------------------|--------|------------------------------|\n|                                                                                                                                                   | :      |                              |\n| In re:                                                                                                                                            | :      | Chapter 11                   |\n| HO WAN KWOK, et al.,<br>1                                                                                                                         | :<br>: | Case No. 22-50073 (JAM)      |\n| Debtor.                                                                                                                                           | :<br>: | (Jointly Administered)       |\n| -------------------------------------------------------                                                                                           | x<br>: |                              |\n| LUC A. DESPINS, Chapter 11 Trustee,                                                                                                               | :      | Adv. Proceeding No. 23-05017 |\n| Plaintiff,                                                                                                                                        | :<br>: |                              |\n|                                                                                                                                                   | :      |                              |\n| v.                                                                                                                                                | :      |                              |\n| TAURUS FUND LLC,                                                                                                                                  | :<br>: |                              |\n| SCOTT BARNETT, as trustee of TAURUS                                                                                                               | :      |                              |\n| FUND LLC, and                                                                                                                                     | :      |                              |\n| TAURUS MANAGEMENT LLC, as trustee                                                                                                                 | :      |                              |\n| of TAURUS FUND LLC,                                                                                                                               | :      |                              |\n|                                                                                                                                                   | :      |                              |\n| Defendants.                                                                                                                                       | :      |                              |\n| -------------------------------------------------------                                                                                           | x      |                              |\n\n# **[PROPOSED] ORDER APPROVING, PURSUANT TO BANKRUPTCY RULE 9019, MOTION OF CHAPTER 11 TRUSTEE REGARDING SETTLEMENT WITH UNITED STATES OF AMERICA**\n\nUpon the Motion,2 of Luc A. Despins, in his capacity as the Chapter 11 Trustee (the\n\n\"Trustee\") appointed in the above-captioned chapter 11 case (the \"Chapter 11 Case\") of Ho Wan\n\nKwok (the \"Debtor\"), for entry of an order, approving a settlement agreement between the\n\n<sup>1</sup> The Debtors in these chapter 11 cases are Ho Wan Kwok (also known as Guo Wengui, Miles Guo, and Miles Kwok, as well as numerous other aliases) (last four digits of tax identification number: 9595), Genever Holdings LLC (last four digits of tax identification number: 8202), and Genever Holdings Corporation. The mailing address for the Trustee and the Genever Debtor is Paul Hastings LLP, 200 Park Avenue, New York, NY 10166 c/o Luc A. Despins, as Trustee for the Estate of Ho Wan Kwok (solely for purposes of notices and communications).\n\n<sup>2</sup> Capitalized terms used but not defined in this Order have the meanings set forth in the Motion.\n\nTrustee and the Government, as more fully described in the Motion; and the Court having jurisdiction to consider the Motion and the relief requested therein in accordance with 28 U.S.C. §§ 157 and 1334; and this matter is a core proceeding within the meaning of 28 U.S.C. § 157(b)(2); and due and sufficient notice having been given under the particular circumstances and it appears that no other or further notice need be provided; and the relief requested being a reasonable exercise of the Trustee's business judgment consistent with his duties and in the best interests of the Debtor's estate and creditors; and after due deliberation and sufficient cause appearing therefor, it is **ORDERED THAT**:\n\n1. The Motion is GRANTED.\n\n2. All objections to the Motion, if any, that have not been withdrawn, waived or settled, and all reservations of rights included therein, are overruled.\n\n3. The settlement agreement, attached as **Exhibit 1** hereto (the \"Settlement Agreement\"), is approved pursuant to Bankruptcy Rule 9019.\n\n4. The Trustee is authorized, pursuant to Bankruptcy Rule 9019, to execute, deliver, implement, and fully perform any and all obligations, instruments, documents and papers and to take any and all actions reasonably necessary or appropriate to consummate the settlement reflected in the Settlement Agreement and to perform any and all obligations contemplated therein immediately upon entry of this Order.\n\n5. This Order shall be effective and enforceable immediately upon entry pursuant to Bankruptcy Rule 6004(h), and the Trustee shall have unfettered use of the Settlement Payment when received.\n\n6. This Court shall retain jurisdiction to hear and determine all matters arising from or related to this Order and to the Settlement Agreement.\n\n# **EXHIBIT 1**\n\n**Settlement Agreement**\n\n| UNITED STATES DISTRICT COURT<br>SOUTHERN DISTRICT OF NEW YORK                                                                                |                                                                                                          |\n|----------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------|\n| -----------------<br>--------<br>-<br>-<br>UNITED STATES OF AMERICA,                                                                         | ----<br>--<br>-<br>X                                                                                     |\n| -v.-<br>HO WAN KWOK,<br>a/k/a \"Miles Guo,\"<br>a/k/a \"Miles Kwok,\"<br>a/k/a \"Guo Wengui,\"<br>a/k/a \"Brother Seven,\"<br>a/k/a \"The Principal,\" | Sl 23 Cr. 118 (AT)                                                                                       |\n| Defendant.                                                                                                                                   |                                                                                                          |\n| ---------<br>-----<br>------<br>---<br>-<br>-<br>-<br>-<br>------------------------------------------------------x                           | ----<br>--<br>-<br>X<br>UNITED STATES BANKRUPTCY COURT<br>DISTRICT OF CONNECTICUT<br>BRIDGEPORT DIVISION |\n| In re:                                                                                                                                       | Chapter 11                                                                                               |\n| HO WAN KWOK, et al., 1                                                                                                                       | Case No. 22-50073 (JAM)                                                                                  |\n| Debtors.                                                                                                                                     | (Jointly Administered)                                                                                   |\n\n**------------------------------------------------------x**\n\n<sup>1</sup> The Debtors in the chapter 11 cases are Ho Wan Kwok (also known as Guo Wengui, Miles Guo, and Miles Kwok, as well as numerous other aliases) (last four digits of tax identification number: 9595), Genever Holdings LLC (last four digits of tax identification number: 8202) and Genever Holdings Corporation. The mailing address for the Trustee, Genever Holdings LLC, and the Genever Holdings Corporation is Paul Hastings LLP, 200 Park Avenue, New York, NY 10166 c/o Luc A. Despins, as Trustee for the Estate of Ho Wan Kwok (solely for purposes of notices and communications).\n\n## **STIPULATION BETWEEN CHAPTER 11 TRUSTEE AND UNITED STATES OF AMERICA**\n\nWHEREAS, on or about March 29, 2023, Ho Wan Kwok, a debtor in the abovecaptioned chapter 11 cases (the \"Defendant\"), was charged, together with other defendants, by the United States of America (the \"Government\"), represented by the United States Attorney's Office for the Southern District of New York (\"USAO-SDNY\"), before the United States District Court for the Southern District of New York (the \"District Court\"), in eleven counts of a twelve-count Superseding Indictment, S 1 23 Cr. 118 (AT) (the \"Indictment\"), with conspiracy to commit wire fraud, securities fraud, bank fraud and money laundering, in violation of Title 18, United States Code, Section 3 71 (Count One); wire fraud, in violation of Title 18, United States Code, Section 1343 (Counts Two, Four, Six, and Eight); securities fraud, in violation of Title 15, United States Code, Sections 78j(b) & 78ff; Title 17, Code of Federal Regulations, Section 240.1 0b-5 (Counts Three, Five, and Seven); money laundering, in violation of Title 18, United States Code, Section 1956(a)(2) (Counts Nine and Ten); and unlawful monetary transactions, in violation of Title 18, United States Code, Section 1957 (Count Eleven);\n\nWHEREAS, the Indictment included a forfeiture allegation as to Counts One through Eight of the Indictment, seeking forfeiture to the United States, pursuant to Title 18, United States Code, Section 981(a)(l)(C) and Title 28, United States Code, Section 2461(c), of any and all property, real and personal, that constitutes or is derived from proceeds traceable to the commission of the offenses charged in Counts One through Eight of the Indictment, including but not limited to, the following property:\n\n> All that lot or parcel of land, together with its buildings, appurtenances, improvements, fixtures, attachments, and\n\neasements, located at 675 Ramapo Valley Road, Mahwah, New Jersey 07430, Parcel No. 3300021-03-00001-02 and described as Lot Number: 1.02 Block: 21.03 District: 33 City, Municipality, Township: MAHWAH TWP\n\n(the \"Subject Property\");\n\nWHEREAS, on or about February 15, 2022, the Defendant filed for Chapter 11 bankruptcy, *In Re Ho Wan Kwok and Genever Holdings LLC,* 22-50073 (JAM) (Bankr. Conn.) (the \"Bankruptcy Case\") in the United States Bankruptcy Court for the District of Connecticut (the \"Bankruptcy Court\");\n\nWHEREAS, on or about June 15, 2022, the Bankruptcy Court directed the appointment of a Chapter 11 bankruptcy trustee and thereafter Luc A. Despins, Esq. was appointed as the trustee for the Bankruptcy Case (the \"Trustee\");\n\nWHEREAS, on or about June 28, 2023, the Trustee advised the Government that he had concluded, after extensive analysis, that, among other things, the Subject Property is equitably owned by the Defendant and, therefore, is property of the Defendant's chapter 11 estate;\n\nWHEREAS, the Trustee is prepared to commence an adversary proceeding before the Bankruptcy Court, *Despins v. Taurus Fund* (the \"Adversary Proceeding\"), seeking, among other things:\n\n> (1) an order from the Bankruptcy Court (a) declaring that the Defendant is the equitable owner of the Subject Property and that the Subject Property is property of the Defendant's chapter 11 estate to be administered by the Trustee and (b) ordering the turnover of the Subject Property to the Trustee;\n\n> (2) an order from the Bankruptcy Court (a) declaring that (i) at all times the Defendant was the equitable owner of the entity that holds title to the Subject Property, Taurus Fund LLC (\"Taurus Fund\"); (ii) any and all assets held by Taurus Fund, including the Subject\n\nProperty, are property of the Defendant's chapter 11 estate; and (b) ordering the turnover of Taurus Fund and any and all of Taurus Fund's assets, including the Subject Property, to the Trustee;\n\n(3) an order from the Bankruptcy Court (a) declaring that (i) at all times Taurus Fund was an alter ego of the Defendant; (ii) any and all assets held by Taurus Fund, including the Subject Property, constitute property of the Defendant's chapter 11 estate; and (b) ordering the turnover of any and all of Taurus Fund's assets to the Trustee;\n\nWHEREAS, upon entry of any of the orders listed in subparagraphs (1)-(3) above\n\nby the Bankruptcy Court, the Subject Property would be deemed to be an asset held directly or indirectly by the Defendant's chapter 11 estate;\n\nWHEREAS, the Trustee will also seek, in the context of the Adversary Proceeding,\n\ninterim relief from the Bankruptcy Court to obtain control over the Subject Property (the \"Interim\n\nRelief') pending a definitive ruling by the Bankruptcy Court with respect to the claims asserted\n\nby the Trustee in the Adversary Proceeding;\n\nWHEREAS, the Trustee intends, in the event the Bankruptcy Court issues a ruling\n\npursuant to which the Subject Property is deemed to be an asset held directly or indirectly by the Defendant's chapter 11 estate, to sell the Subject Prope1iy; and\n\nWHEREAS, the Government has agreed not to oppose the relief to be sought by the Trustee in the Adversary Proceeding, or any effort by the Trustee to obtain control of and/or sell the Subject Property;\n\nNOW THEREFORE, IT IS HEREBY STIPULATED AND AGREED by and between United States of America, by its attorney Damian Williams, United States Attorney,\n\nJuliana Murray, Micah Fergenson, and Ryan Finkel, of counsel, and the Trustee and his counsel, Paul Hastings LLP, that:\n\n1. The Government shall not oppose any of the Trustee's claims or requests for relief in the Adversary Proceeding, or any effort by the Trustee to obtain control of and/or sell the Subject Property;\n\n2. In the event the Subject Property is sold pursuant to an order entered in the Bankruptcy Case, the Trustee agrees that the net proceeds from the sale of the Subject Property shall be held in escrow pending the resolution of this criminal matter and will serve as a substitute *res* for the Subject Property (the \"Substitute *Res\")* in the above-captioned criminal case, with all claims and defenses of the Government applicable to the Subject Property, including any other action that may be brought by the Government for forfeiture of the Subject Property, to apply instead to, and be payable only from, the Substitute *Res.* Further, any claims or interests attached to or secured by the Subject Property shall be transferred to the Substitute *Res* and be satisfied, if at all, only from the Substitute *Res.* In the event that the Defendant is acquitted pursuant to a final order, or the entry of a forfeiture order is denied pursuant to a final order, the escrow requirement contained in this paragraph shall become automatically null and void.\n\n3. The net proceeds from the sale of the Subject Property will include all moneys realized from the sale of the Subject Property, except for the following which will be deducted from the sale proceeds: any costs of seizure, maintenance, marketing and sale of the Subject Property, including legal fees of Paul Hastings incurred in the Adversary Proceeding or as a consequence of the Adversary Proceeding, and expenses to ensure safekeeping and custody of the Subject Property (including security service at or around the premises), storage, or sale of the\n\nSubject Property, all as allowed by the Bankruptcy Court; any outstanding mortgages; real estate commissions and/or fees; any other real estate, property, transfer, association or other tax, which is due and owing at the time of the sale; insurance costs; escrow fees; title fees and county transfer fees; as well as a deemed expense of \\$1,000,000, which shall be used to satisfy claims of holders of allowed claims in the Bankruptcy Case that are victims of the Debtor.\n\n4. In the event of the entry of an order of forfeiture in this criminal matter that includes the Subject Property, the Trustee and the Government shall negotiate in good faith with respect to the distribution of the net proceeds from the sale of the Subject Property to victims of the conduct charged in the Indictment (who may be holders of allowed claims in the Bankruptcy Case) and to holders of allowed claims in the Bankruptcy Case. At present, the USAO-SDNY anticipates requesting from the Department of Justice's Money Laundering and Asset Recovery Section that any assets forfeited in this criminal matter be distributed to victims of the conduct charged in the Indictment through the remission/restoration process. The Trustee intends to seek the Government's consent, as part of any such remission/restoration process, to handle the distribution of net proceeds from the Subject Property to victims (who may be holders of allowed claims in the Bankruptcy Case) and holders of allowed claims in the Bankruptcy Case, as determined and allowed by the Bankruptcy Court, and the Government has explained that it is not in a position, at this time, to consent to such proposal, absent the obtaining of certain regulatory approvals which may not be obtained at this time.\n\n5. In the event the Government and the Trustee do not reach an agreement with respect to the distribution of the net proceeds from the sale of the Subject Property, all rights of the Government and the Trustee are reserved.\n\n6. In furtherance of a sale of the Subject Property, the Government agrees to execute promptly any documents which may be required to convey clear title to the Subject Property and complete the sale of the Subject Property.\n\n7. Each party to this Stipulation shall bear its own costs and attorney's fees.\n\n8. This Stipulation may be executed in counterparts, each of which shall be deemed an original, and all of which, when taken together, shall be deemed the complete Stipulation. PDF copies shall be treated as originals.\n\n*[Remainder of page intentionally left blank.]*\n\nDated: New York, New York July 13, 2023\n\nSTIPULATED TO:\n\nDAMIAN WILLIAMS United States Attorney Southern District of New York United States of America\n\nBy: ~-~~ / LIANA MURRAY <sup>o</sup> MICAH FERGENSON RYAN FINKEL Assistant United States Attorneys One Saint Andrews Plaza New York, New York 10007 (212) 637-2314/2190/6612\n\nCHAPTER *9* BANKRUPTCY TRUSTEE\n\nBy *fo,---t* **~M---7**\n\nLUC A. DESP!N,ESQ. Trustee\n\nBy:\n\nS E. BA:RRON , ESQ. TINGS LLP Attorney for the Trustee\n\n7/13/2023\n\nDate\n\nDate ,\n\nDate I 1\n\n# **EXHIBIT B**\n\n**Superseding Indictment**\n\n# UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK\n\n#### UNITED STATES OF AMERICA\n\nV.\n\nHO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\"\n\nKINMINGJE, a/k/a \"William Je,\" and\n\nYANPING WANG, a/k/a \"Yvette,\"\n\nDefendants.\n\n# **ORIGINAL** <sup>1</sup>\n\n## **INDICTMENT**\n\nSl 23 Cr. 118 (AT)\n\n# **COUNT ONE (Conspiracy to Commit Wire Fraud, Securities Fraud, Bank Fraud, and Money Laundering)**\n\nThe Grand Jury charges:\n\n#### **Overview**\n\n1. From at least in or about 2018 through at least in or about March 2023, HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" KIN MING JE, a/k/a \"William Je,\" and Y ANPING WANG, a/k/a \"Yvette,\" the defendants, and others known and unknown, conspired to defraud thousands of victims of more than approximately \\$1 billion, including victims located in the Southern District of New York. KWOK, JE, WANG, and their co-conspirators operated through a series of complex fraudulent and fictitious businesses and investment opportunities that connected dozens of interrelated entities, which allowed the defendants and their co-conspirators to solicit, launder, and misappropriate victim funds.\n\n2. HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" KIN MING JE, a/k/a \"William Je,\" and YANPING WANG, a/k/a \"Yvette,\" the defendants, and their co-conspirators, took advantage of KWOK's prolific online presence and hundreds of thousands of online followers to solicit investments in various entities and programs by promising outsized financial returns and other benefits. The entities and programs used in the scheme included those known as GTV, GICLUBS, GIMUSIC, GIFashion, and the Himalaya Exchange, among others. In truth and in fact, and as KWOK, JE, and WANG well knew, the entities were instrumentalities that KWOK, JE, and WANG created and used to perpetrate their fraud and exploit KWOK's followers. The scheme allowed KWOK, JE, and WANG to enrich themselves, their family members, and their co-conspirators, and to fund KWOK's extravagant lifestyle.\n\n3. As part of the scheme, HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" KIN MING JE, a/k/a \"William Je,\" and YANPING WANG, a/k/a \"Yvette,\" the defendants, and their co-conspirators, laundered hundreds of millions of dollars of fraud proceeds. To conceal the illegal source of the funds, KWOK, JE, and WANG transferred, and directed the transfer of, money into and through more than approximately 500 accounts held in the names of at least 80 different entities or individuals. Hundreds of millions of dollars of the fraudulent scheme's proceeds were transferred, either directly or indirectly, to bank accounts in the United States, Bahamas, and United Arab Emirates (\"UAE\"), among other places, and held in the name of companies owned or otherwise controlled by JE.\n\n'v\n\n4. HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" and KIN MING JE, a/k/a \"William Je,\" the defendants, used more than approximately \\$300 million of the fraudulent scheme's proceeds for their and their families' benefit. For example, KWOK used fraudulently-obtained victim money to purchase, fund, or finance a \\$26.5 million purchase of an approximately 50,000-square-foot mansion in New Jersey for KWOK and his family; luxury vehicles, including an approximately \\$3.5 million Ferrari for one ofKWOK's close family members (\"Relative-I\"); an approximately \\$37 million luxury yacht that was used by KWOK and his family and purchased in the name of one ofKWOK's close family members (\"Relative-2\"); a piano valued at approximately \\$140,000; an approximately \\$36,000 mattress; and a \\$100 million investment in a high-risk hedge fund for the ultimate benefit of Relative-I, among other things. For his part, among other things, JE transferred at least \\$10 million of the fraud proceeds into his and his spouse's personal bank accounts.\n\n5. HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" KIN MING JE, a/k/a \"William Je,\" and Y ANPING WANG, a/k/a \"Yvette,\" the defendants, and their co-conspirators, operated the scheme for years, and continued to do so at least through at least March 2023. They did so, among other things, by continually adapting the scheme's means and methods to evade the enforcement of investorprotection, anti-money laundering, and bankruptcy laws in the United States, and by retaliating against individual victims who complained or demanded the return of invested funds.\n\n#### **Relevant Persons and Entities**\n\n6. At all relevant times, HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" the defendant, was the leader of, and directed, the scheme.\n\na. KWOK is an exiled Chinese businessman who fled to the United States in or about 2015 and purchased a penthouse apartment at a New York City hotel for approximately \\$67.5 million. Starting at least in or about 2017, KWOK, who then purported to be a billionaire, garnered a substantial online following. KWOK granted numerous media interviews and posted on social media, claiming to advance a movement against the Chinese Communist Party.\n\nb. In or about 2018, KWOK founded two purported nonprofit organizations, namely, the Rule of Law Foundation and the Rule of Law Society. The Rule of Law Society's website lists KWOK as its \"founder, a promot[e]r, and a spokesperson.\" Both organizations feature photographs of KWOK on their websites. KWOK used the nonprofit organizations to amass followers who were aligned with his purported campaign against the Chinese Communist Party and who were also inclined to believe KWOK's statements regarding investment and moneymaking opportunities. In truth and in fact, and as KWOK well knew, he and others provided false and materially misleading information to promote these \"opportunities\" and to defraud KWOK's followers and other victims.\n\n7. At all relevant times, KIN MING JE, a/k/a \"William Je,\" the defendant, was a dual citizen of Hong Kong and the United Kingdom who principally resided in the United Kingdom, while traveling to the United States and elsewhere. JE owned and operated numerous companies and investment vehicles central to the scheme and served as its financial architect and key money launderer.\n\n8. At all relevant times, Y ANPING WANG, a/k/a \"Yvette,\" the defendant, was a citizen of China who principally resided in New York, New York and has had a close relationship with HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" the defendant. In particular, WANG has worked for KWOK and KWOK's family for several years, since at least in or about 2018, and has operated as a \"chief of staff' for KWOK. In that capacity, WANG has held titles in a variety of entities that were instrumentalities of the fraud described herein. For example, WANG has served as the President, Treasurer, and Secretary of entities that purportedly managed KWOK's money.\n\n9. At certain times relevant to this Indictment, Saraca Media Group, Inc. (\"Saraca\") was a corporation based in New York, New York. Relative-I was its ultimate beneficial owner.\n\n10. At certain times relevant to this Indictment, GTV Media Group, Inc. (\"GTV\") was a purported news-focused social media platform based in New York, New York. GTV was functionally owned and controlled by HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" the defendant, although KWOK held no formal position or title at GTV. KIN MING JE, a/k/a \"William Je,\" the defendant, likewise held no formal position or title at GTV, but in fact exercised control over its finances. Saraca was the parent company of GTV. YANPING WANG, a/k/a \"Yvette,\" the defendant, was an \"Executive Director\" of GTV.\n\n11. At certain times relevant to this Indictment, G Club Operations, LLC (\"GICLUBS\") \\_was a purported membership organization based in Puerto Rico and in New York, New York. GICLUBS was functionally owned and controlled by HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" the defendant, although KWOK held no formal position or title at GICLUBS. KIN MING JE, a/k/a \"William Je,\"\n\nthe defendant, likewise held no formal position or title at GICLUBS, but in fact exercised control over its finances. .\n\n12. At certain times relevant to this Indictment, the \"Himalaya Exchange\" was a purported cryptocurrency \"ecosystem\" that KIN MING JE, a/k/a \"William Je,\" the defendant, founded and operated through various entities he owned, which were based abroad. Entities functionally owned and controlled by HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" the defendant, such as GICLUBS and GIFashion, had purported business relationships with the Himalaya Exchange. KWOK promoted the Himalaya Exchange and claimed to be the designer of its purported cryptocurrency, although KWOK held no formal position or title at the Himalaya Exchange.\n\n#### **The Fraud**\n\n## *The GTV Private Placement*\n\n13. Between in or about April 2020 and in or about June 2020, HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" KIN MING JE, a/k/a \"William Je,\" and Y ANPING WANG, a/k/a \"Yvette,\" the defendants, and others known and unknown, fraudulently obtained more than \\$400 million in victim funds through an illegal private stock offering related to GTV (the \"GTV Private Placement\").\n\na. On or about April 21, 2020, KWOK posted, and caused to be posted, a video on social media announcing the unregistered offering of GTV common stock via a private placement. In that video, KWOK described, in substance and in part, the investment terms for the GTV Private Placement, and directed people to contact him, via a mobile messaging application, with any questions about the GTV Private Placement. The video and GTV Private Placement\n\nmaterials-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\nb. 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 real-time interactive communication.\"\n\nc. According to the PPM' s metadata, JE was the \"author\" of the PPM. The PPM disclosed the terms of the GTV Private Placement and identified KWOK as GTV's \"Sponsor and Adviser.\" According to the PPM, among other GTV materials, neither KWOK nor JE held any formal management position with GTV. Y ANPING WANG, a/k/a \"Yvette,\" the defendant, was identified in the PPM as an \"Executive Director\" of GTV.\n\nd. 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 |                 |\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\ne. 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\nf. The vast majority of the proceeds derived from investors in the GTV Private Placement were not used to develop and grow the GTV business, but instead were deposited directly into bank accounts held in the name of Saraca, GTV's parent company, which is beneficially owned by Relative-I.\n\ng. The GTV Private Placement was not made pursuant to a registration statement filed with the U.S. Securities and Exchange Commission (\"SEC\"). Rather, the offering was purportedly made pursuant to SEC regulations that permit the sale of unregistered securities subject to limitations on the type of investors to whom the securities are offered and the manner in which their investments may be solicited. To evade these limitations, however, KWOK, and others under his control, used at least one intermediary entity to purchase GTV stock on behalf of pools of investors who did not qualify to participate in the GTV Private Placement.\n\nh. In or about early June 2020, and only days after the GTV Private Placement closed, HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" KIN MING JE, a/k/a \"William Je,\" and YANPING WANG, a/k/a \"Yvette,\" the defendants, and their co-conspirators, misappropriated approximately \\$100 million raised from investors in the GTV Private Placement and directed that those funds be placed with a high-risk hedge fund (\"Fund-I \") for the benefit of Saraca and its ultimate beneficial owner, Relative-I. This transaction was contrary to the PPM's representations to prospective GTV investors about how investments in GTV would be used. Indeed, the \\$100 million investment into Fund-I was not made for the benefit of GTV, but rather for the benefit of Saraca. The victims who supplied the \\$100 million invested into Fund-I did not own any shares of Saraca. Ultimately, the investment into Fund-I lost approximately \\$30 million in value.\n\ni. After directing \\$100 million of GTV victim funds into Fund-I, HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" the defendant, continued to promote GTV using false and misleading representations.\n\n#### *The Farm Loan Program*\n\n14. Beginning in or about June 2020-the same month that HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" and KIN MING JE, a/k/a \"William Je,\" the defendants, and their co-conspirators misappropriated money from the GTV Private Placement for the benefit of Saraca and Relative-I-KWOK, JE, and their co-conspirators fraudulently obtained more than approximately\n\n\\$150 million in victim funds through the \"Himalaya Farm Alliance.\" The Himalaya Farm Alliance, which KWOK organized and promoted, was a collective of informal groups ( each known as a \"Farm\") located in various cities around the world. KWOK, JE, and others working on their behalf and at their direction, obtained these funds by making further misrepresentations to the investors in the GTV Private Placement and fraudulently soliciting further investments, this time in the form of \"loans\" to a Farm, and promising that such loans would be convertible into GTV common stock at a conversion rate of one share per dollar loaned (the \"Farm Loan Program\").\n\na. 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 because, among other reasons, the accounts had received dozens of large incoming wire transfers, some of which referenced an unregistered stock offering.\n\nb. These bank account closures frustrated the ability of KWOK, JE, and their co-conspirators to collect proceeds from victims seeking to invest in GTV.\n\nc. On or about July 22, 2020, in a video distributed via social media, KWOK promoted the Farm Loan Program. According to KWOK and those working on his behalf, individuals seeking to invest (or reinvest) in GTV could participate in the Farm Loan Program.\n\nd. After launching the Farm Loan Program, KWOK continued to promote GTV and to falsely represent the value of GTV. For example, on or about August 2, 2020, in a video distributed via social media, KWOK falsely stated, in substance and part, \"How much is GTV? .. . a market value of2 billion US dollars.\"<sup>1</sup>In truth and in fact, and as KWOK well knew, GTV's market value was far less because, among other things, GTV was a new business that generated no revenue.\n\n<sup>1</sup>All statements attributed herein to KWOK have been translated from Mandarin to English, unless otherwise noted.\n\ne. Thousands of victims \"loaned\" money to the Farms by sending money to bank accounts controlled by the Farms (and not GTV). According to the \"Loan Agreements,\" which the Farms frequently did not countersign, these funds were to be used for a Farm's \"general working capital purposes.\"\n\nf. KWOK and JE misappropriated funds that were raised through the Farm Loan Program. For example:\n\ni. Approximately \\$20 million was transferred to Relative-I, approximately \\$950,000 of which was used to pay for flight crew services on a private jet;\n\nii. Approximately \\$5 million was transferred to an entity owned by KWOK's spouse;\n\niii. Approximately \\$2.3 million was used to cover maintenance expenses associated with an approximately 145-foot luxury yacht worth approximately \\$37 million, nominally owned by Relative-2 and used by KWOK; and\n\niv. Approximately \\$10 million was transferred to personal bank accounts in the name of JE and/or JE's spouse.\n\n#### GICLUBS\n\n15. While making misrepresentations regarding the Farm Loan Program, HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" and KIN MING JE, a/k/a \"William Je,\" the defendants, and others known and unknown, fraudulently induced KWOK's followers to transfer additional funds to a purported online membership club called GICLUBS. From at least in or about October 2020 through at least in or about March 2023, KWOK, JE, and others known and unknown, fraudulently obtained more than approximately \\$250 million in victim funds through GICLUBS.\n\na. Starting at least on or about June 20, 2020, in a video distributed via social media, KWOK promoted and encouraged individuals to purchase what KWOK referred to as a \"G Club . . . membership card.\"\n\nb. Formally launched in or about October 2020, GICLUBS claimed, on its website, to be \"an exclusive, high-end membership program offering a full spectrum of services\" and \"a gateway to carefully curated world-class products, services and experiences.\"\n\nc. To join GICLUBS, a member was required to make a one-time payment to purchase a \"membership,\" in addition to an annual membership fee. The cost of the membership varied based on the membership tier selected by the prospective member: Tier 5 Membership cost \\$50,000; Tier 4 Membership cost \\$40,000; Tier 3 Membership cost \\$30,000; Tier 2 Membership cost \\$20,000; and Tier 1 Membership cost \\$10,000.\n\nd. On or about July 5, 2021 , in a video distributed via social media, KWOK stated, in substance and in part, that there were \"25,000 [GICLUBS] member[s] ... \\$100 million dollars, the cash [in] the bank account. Then we have the 111 million ... [who] want to join.\" By contrast, GICLUBS internal documents reflected approximately 5,900 active members as of in or about August 2021.\n\ne. In truth and in fact, and as KWOK and JE well knew, GICLUBS provided nothing close to \"a full spectrum of services\" and \"experiences\" to its members. Despite collecting hundreds of millions of dollars in purported membership fees, GICLUBS maintained a relatively small number of employees and provided its members few to no discemable membership benefits. Indeed, GICLUBS did not even make good on prizes it offered members for participating in\n\ncontests. On or about February 14, 2021, GICLUBS held a webcast and sweepstakes during which members were promised luxury prizes. On at least one occasion, instead of providing a BMW to a member who purportedly won a sweepstakes, GI CLUBS claimed to the member that the member had requested that the value of the BMW be applied toward an upgrade from a Tier 1 GICLUBS Membership to a Tier 4 GICLUBS Membership and partially credited toward annual membership fees for the next three years. As of on or about March 8, 2021-months after GICLUBS launched and began to collect \"membership\" fees-GICLUBS did not have a business plan or a board of directors.\n\nf. **KWOK** and JE also used GICLUBS as a mechanism to continue fraudulent private placement offerings. KWOK, and others known and unknown, told KWOK's online followers that their purchase of GICLUBS memberships would entitle them to stock in KWOKaffiliated entities, such as GTV and GIFashion.\n\ni. In a conversation regarding GICLUBS membership funds on or about May 4, 2021 , JE stated, in substance and in part, that \"first of all, [prospective members] are buying the GICLUBS membership, but they are expecting they would probably receive some shares, you know, on, on, on the future GTV, I think this is their expectation.\"\n\nii. On or about July 30, 2021, KWOK stated in a video distributed via social media, in substance and in part, \"Some of the comrades in arms asked, ' [ w ]ill I still get a free stock offer when I buy a GICLUBS membership?' 100%. Because I said that I have to promise that anyone who buys G-Club membership before September 17 must be allotted shares, which is exactly the same. Because we said that anyone can choose whether to use your money to buy G-Club before September 17, G-Club and the stock shares. You'll get both.\"\n\ng. KWOK, JE, and others known and unknown, asked investors to purchase multiple memberships in GICLUBS, enabling KWOK and JE to increase the amount of money solicited. In this regard, the GICLUBS website stated, in substance and in part, that members with multiple memberships would \"receive additional benefits\" when, in truth and in fact, and as KWOK and JE well knew, multiple memberships did not provide members with additional benefits.\n\n16. All told, investors purchased hundreds of millions of dollars' worth of GI CLUBS memberships. However, most of this money did not fund the business of GICLUBS. Rather, HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" and KIN MING JE, a/k/a \"William Je,\" the defendants, and others known and unknown, misappropriated a substantial portion of the funds victims had paid GICLUBS for \"memberships,\" using, among other things, a complex web of entities and bank accounts to do so. For example:\n\na. GICLUBS funds, which had been funneled through bank accounts in other entities' names, were used to pay personal expenses for KWOK and his family, including luxury purchases of an approximately \\$2.6 million yacht and luxury automobiles that together cost more than \\$5 million.\n\nb. In or about November 2021 , JE directed approximately \\$26.5 million of GICLUBS funds, which ·had been funneled through bank accounts in other entities' names, toward the purchase of KWOK's 50,000 square foot New Jersey mansion.\n\nc. JE directed the transfer of an additional \\$13 million of GICLUBS membership payments to an escrow account. The funds were subsequently used to pay for extravagant renovations to KWOK's New Jersey mansion, including to a wing for Relative-I and\n\nto a wing for Relative-2, and to purchase various furniture and decorative items including, among other items, Chinese and Persian rugs worth approximately \\$978,000, a \\$62,000 television, and a \\$53,000 fireplace log cradle holder.\n\nd. On or about August 5, 2021 , JE directed the transfer of approximately \\$1 .1 million consisting of GICLUBS membership payments into a bank account that JE controlled.\n\ne. GICLUBS used membership fees to purchase luxury automobiles, including a custom-built Bugatti sports car for approximately \\$4.4 million. While the car's signed purchase agreement listed GICLUBS as the customer, the initial specifications documentation for the custom-built car named Relative-I as the customer. Relative-I had no official position with GICLUBS.\n\n#### *The Himalaya Exchange*\n\n17. From at least in or about April 2021 through at least in or about March 2023, HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" and KIN MING JE, a/k/a \"William Je,\" the defendants, and others known and unknown, fraudulently obtained more than approximately \\$262 million in victim funds through the Himalaya Exchange, a purported cryptocurrency \"ecosystem\" accessible on the internet. The Himalaya Exchange included a purported stablecoin called the Himalaya Dollar (\"HDO\" or \"H Dollar\") and a trading coin called Himalaya Coin (\"HCN\" or \"H Coin\"). The Himalaya Exchange claimed that the \"stablecoin\" was a digital asset with a fixed l-to-\\$1 value backed by reserves, and that the \"trading coin\" was a cryptocurrency with valuation based on supply and demand. JE was the founder and Chairman of the Himalaya Exchange.\n\n18. In videos distributed via social media, HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" the defendant,\n\ntrumpeted the prospects and valuation of the Himalaya Exchange and both HCN and HDO, which he publicly described as cryptocurrencies. For example, in a video posted on the Internet on or about October 20, 2021 , KWOK falsely stated the following, among other things, and in substance and in part:\n\na. \"I am talking about your H Coins, 'Brother Seven' *[i.e.,* KWOK] designed it .... [I]t has the attribute of currency, why? It has 20% gold. Awesome[.] [I]t was born as currency on the first day, so it has value and it is linked to gold ... clear gold directly. No matter how much it raises, 20% will turn into gold.\"\n\nb. \"If the H Coin is worthless, [the issuer of H coin] can sell all 20% of the gold, exchange it to you, and become your money. Or take all the value of 20% gold and ask everyone to unify it and make it yours.\"\n\nc. \"If anyone loses money, I can say that I will compensate 100%. I give you 100%. Whoever loses money, I will bear it.\"\n\nd. \"I can sell the H Coin in the market in one minute and get it back to my H Dollar, and back to your fiat money unit. ... [A]nd you can buy anything immediately.\"\n\n19. The initial coin offering ofHCN and HDO occurred on or about November 1, 2021. HCN began trading at 10 cents and, within approximately two weeks, the Himalaya Exchange website claimed that each HCN purportedly was worth approximately 27 HDO *(i.e.,* \\$27), which represented a 26,900% increase in value. That is, approximately two weeks after the initial coin offering, the Himalaya Exchange website indicated that HCN purportedly had an approximately \\$27 billion valuation.\n\n20. At the time of the Himalaya Exchange launch, HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" the\n\ndefendant, marketed HCN to his online followers and others. For example, on or about November 1, 2021-the day of the initial coin offering-KWOK released an official music video for an original song called \"HCoin To the Moon\" via social media. The phrase \"to the moon\" is popularly associated with cryptocurrencies and implies a sharp increase in value. The music video depicted KWOK in various luxurious locations and depicted imagery of gold and wealth.\n\n21. At times, including following the Himalaya Exchange launch, KIN MING JE, a/k/a \"William Je,\" the defendant, misleadingly marketed the Himalaya Exchange. For example, in or about June 2022, JE attempted to create the impression that a €3,561,127 purchase of a Ferrari (the \"Ferrari\") from a particular auction house was completed with HDO. JE stated, in substance and in part, that he was \"extremely pleased that [a] buyer decided to purchase [a] world-class car using HDO.\" Contrary to JE' s claim, the Ferrari was not purchased using HDO. In truth and in fact, and as JE well knew, a Himalaya Exchange employee sent the auction house an international bank wire to cover the cost of the Ferrari, while also processing a corresponding \"transaction\" on the Himalaya Exchange to create the false appearance that the purchase had taken place using HDO. JE's statement was also misleading in that, among other things, the unidentified \"buyer\" of the Ferrari was, in fact, Relative-I.\n\n22. Contrary to representations of HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" and KIN MING JE, a/k/a \"William Je,\" the defendants, and others known and unknown, HCN and HDO could not be traded anywhere other than (purportedly) on the Himalaya Exchange. Moreover, unlike cryptocurrencies, HCN could not be traded for, or converted into, other currencies. HCN purportedly could be traded for only HDO ( and only on the Himalaya Exchange), and HDO purportedly only could be converted to or from fiat currency ( and only on the Himalaya Exchange).\n\na. Indeed, the HDO and HCN Whitepapers, available on the Himalaya Exchange website, provided in fine print that, contrary to KWOK's representations, HCN and HDO were not cryptocurrencies. Rather, according to the HCN Whitepaper, the \"operation of the Himalaya Exchange and associated applications and infrastructure will be facilitated through the use of 'Credits.\"' Those credits (i) could \"only be used on the Himalaya Exchange or within the Himalaya Ecosystem,\" and (ii) did \"not carry any right to require their exchange for fiat currency or crypto-assets.\" Moreover, while Himalaya Exchange members could request to exchange their \"HDO\" credits for an equivalent payment in U.S. dollars, the HDO Whitepaper stated that the Himalaya Exchange had the \"discretion\" to deny any such request.\n\n23. In or about April 2022, HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" and KIN MING JE, a/k/a \"William Je,\" the defendants, arranged for the transfer of approximately \\$37 million in Himalaya Exchange funds from a Himalaya Exchange bank account to a particular escrow account. The \\$3 7 million was structured as a purported \"loan\" to cover the cost of a luxury yacht that KWOK had previously purchased and used, which yacht was then-owned by an entity held in the name of Relative-2.\n\n# *Government Seizure of Fraud Proceeds*\n\n24. On or about September 20, 2022 and September 21, 2022, U.S. authorities served judicially-authorized seizure warrants on several domestic banks, and subsequently seized approximately \\$335 million of proceeds from bank accounts held in the names of Himalaya Exchange entities and other entities associated with HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" and KIN MING JE, a/k/a \"William Je,\" the defendants. Following the September 2022 judicially authorized\n\nseizures, JE attempted to transfer approximately \\$46 million from domestic bank accounts associated with the Himalaya Exchange, which had not yet been seized by the United States, to a bank account in the UAE that JE controlled.\n\na. Within approximately two days of the first judicially authorized seizures of Himalaya Exchange-related funds, on or about September 22, 2022, JE contacted the management of a domestic bank that held Himalaya Exchange bank accounts. JE sought to implement a wire transfer, which he and a Himalaya Exchange executive claimed to the domestic bank was needed to effectuate a \"redemption\" from HDO to U.S. dollars for an unnamed \"VIP\" *(i.e.,* very important client of the Himalaya Exchange).\n\nb. In subsequent communications with the domestic bank, JE revealed that the VIP was, in fact, JE himself. JE provided the domestic bank with documents reflecting two purported HCN sales by JE on or about September 22, 2022-totaling 46 million HDO, which JE was attempting to \"convert\" into \\$46 million. JE twice emphasized to the domestic bank's management, in substance and in part, that the \\$46 million transfer needed to happen \"today or it is meaningless.\"\n\n25. On or about October 16, 2022, pursuant to a judicially authorized warrant, U.S. authorities seized an additional approximately \\$274 million of proceeds from several Himalaya Exchange and GICLUBS accounts at the domestic bank from which JE requested the \\$46 million transfer.\n\na. As a result of the judicially-authorized seizures, U.S. authorities seized more than approximately \\$634 million of fraud proceeds, including approximately \\$278 million from bank accounts held in the names of the Himalaya Exchange entities, including accounts that purported to hold its HDO cash reserves.\n\nb. Following the seizures, the Himalaya Exchange website continued to represent that HDO was backed by a \"Reserve consisting of USD and cash-equivalent assets\" when, in truth and in fact, it was not.\n\nc. Despite the seizure of the Himalaya Exchange' s cash reserves, the purported price ofHCN had not suddenly and sharply declined through the date ofthis Indictment.\n\n#### **STATUTORY ALLEGATIONS**\n\n26. 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, HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" KIN MING JE, a/k/a \"William Je,\" and Y ANPING WANG, a/k/a \"Yvette,\" the defendants, 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; (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; (3) bank fraud, in violation of Title 18, United States Code, Section 1344; (4) international promotional money laundering, in violation of Title 18, United States Code, Section 1956(a)(2)(A); and (5) international concealment money laundering, in violation of Title 18, United States Code Section 1956(a)(2)(B)(i).\n\n27. It was a part and an object of the conspiracy that HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" KIN MING JE, a/k/a \"William Je,\" and Y ANPING WANG, a/k/a \"Yvette,\" the defendants, 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\n\npretenses, 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, KWOK, JE, and WANG agreed to obtain victims' money by causing materially false information and misrepresentations to be transmitted over interstate wires, in connection with the GTV Private Placement, the Farm Loan Program, GICLUBS, and the Himalaya Exchange.\n\n28. It was further a part and an object of the conspiracy that HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" KIN MING JE, a/k/a \"William Je,\" and YANPING WANG, a/k/a \"Yvette,\" the defendants, 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.l0b-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, KWOK, JE, and WANG agreed to fraudulently induce investors to participate in the GTV Private Placement, the Farm Loan Program, and GICLUBS by providing materially false and misleading information and representations in connection with purported shares of GTV common stock and purported companies affiliated with GTV.\n\n2 9. It was further a part and an object of the conspiracy that HO WAN KWOK, a/k/ a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" KIN MING JE, a/k/a \"William Je,\" and YANPING WANG, a/k/a \"Yvette,\" the defendants, and others known and unknown, knowingly would and did execute and attempt to execute a scheme and artifice to defraud a financial institution, as defined in Title 18, United States Code, Section 20, and to obtain moneys, funds, credits, assets, securities, and other property owned by, and under the custody and control of, such a financial institution, by means of false and fraudulent pretenses, representations, and promises, in violation of Title 18, United States Code, Section 1344, to wit, KWOK, JE,,and WANG agreed to participate in a scheme to mislead U.S. financial institutions through false and fraudulent pretenses, representations, and documents, in connection with the GTV Private Placement, the Farm Loan Program, GICLUBS, and the Himalaya Exchange, in order to obtain money of, or under the custody and control of, at least one financial institution.\n\n30. It was further a part and an object of the conspiracy that HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" KIN MING JE, a/k/a \"William Je,\" and Y ANPING WANG, a/k/a \"Yvette,\" the defendants, and others known and unknown, would and did transport, transmit, and transfer, and attempt to transport, transmit, and transfer, a monetary instrument and funds from a place in the United States to and through a place outside the United States, and to a place in the United States from and through a place outside the United States, with the intent to promote the carrying on specified unlawful activity, to wit, the offenses alleged in Counts Two through Eight of this Indictment in violation of Title 18, United States Code, Section l 956(a)(2)(A)(i).\n\n31. It was further a part and an object of the conspiracy that HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" KIN MING JE, a/k/a \"William Je,\" and Y ANPING WANG, a/k/a \"Yvette,\" the defendants, and others known and unknown, would and did transport, transmit, and transfer, and attempted to transport, transmit, and transfer, a monetary instrument and funds from a place in the United States to and through a place outside the United States, and to a place in the United States from and through a place outside the United States, knowing that the monetary instrument and funds involved in the transportation, transmission, and transfer represent the proceeds of some form of unlawful activity, and knowing that such transportation, transmission, and transfer is designed in whole and in part to conceal and disguise the nature, location, source, ownership, and control of the proceeds of specified unlawful activity, to wit, the offenses alleged in Counts Two through Eight of this Indictment, in violation of Title 18, United States Code, Section 1956(a)(2)(B)(i).\n\n#### Overt Acts\n\n32. In furtherance of the conspiracy and to effect its illegal objects, HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" KIN MING JE, a/k/a \"William Je,\" and Y ANPING WANG, a/k/a \"Yvette,\" the defendants, and others known and unknown, committed the following overt acts, among others, in the Southern District of New York and elsewhere:\n\na. On or about April 21 , 2020, KWOK posted, and caused to be posted, a video on social media announcing the unregistered offering of GTV stock via the GTV Private Placement.\n\nb. On or about June 5, 2020, WANG, while located in the Southern District of New York, authorized a wire transfer of \\$100 million from Saraca to Fund-1.\n\nc. On or about July 22, 2020, in a video distributed via social media, KWOK promoted the Farm Loan Program.\n\nd. On or about August 2, 2020, in a video distributed via social media, KWOK stated, in substance and part, \"How much is GTV? ... a market value of 2 billion US dollars.\"\n\ne. On or about May 28, 2021 , JE transferred approximately \\$13 million from a bank account in the UAE that JE controlled to a bank account held by an entity (owned by Relative-2) at a particular bank in New York, New York.\n\nf. On or about July 30, 2021 , in a video distributed via social media, **KWOK**  stated, in substance and in part, \"Some of the comrades in arms asked, ' [ w ]ill I still get a free stock offer when I buy a G-Clubs membership?' 100%. Because I said that I have to promise that [to] anyone who buys G-Clubs membership before September 17 [they] must be allotted shares, which is exactly the same. Because we said that anyone can choose whether to use your money to buy G-Clubs before September 17, G-Clubs and the stock shares. You'll get both.\"\n\ng. On or about August 5, 2021 , JE directed the transfer of approximately \\$1.1 million consisting of funds victims had sent to GICLUBS in exchange for \"memberships\" to a bank account that JE controlled.\n\nh. On or about October 20, 2021 , in a video distributed via social media, KWOK stated, in substance and in part, that KWOK \"designed\" HCN, that \"[n]o matter how much it raises, 20% will tum into gold,\" and that \"[i]f anyone loses money\" on HCN, \"I can say that I will compensate 100%.\"\n\n1. On or about September 22, 2022, JE texted a U.S. bank's management, in substance and in part, that a \\$46 million transfer to a JE-controlled bank account in the UAE needed to happen \"today or it is meaningless.\"\n\n(Title 18, United States Code, Section 371.)\n\n# **COUNT TWO (Wire Fraud - GTV Private Placement)**\n\nThe Grand Jury further charges:\n\n33 . The allegations contained in paragraphs 1 through 25 of this Indictment are repeated and realleged as if fully set forth herein.\n\n34. 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, HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" KIN MING JE, a/k/a \"William Je,\" and Y ANPING WANG, a/k/a \"Yvette,\" the defendants, 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, KWOK, JE, and 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 - GTV Private Placement)**\n\nThe Grand Jury further charges:\n\n35. The allegations contained in paragraphs 1 through 25 of this Indictment are repeated and realleged as if fully set forth herein.\n\n36. From at least in or about April 2020 up to and including at least in or about March 2021 , in the Southern District ofNew York, and elsewhere, HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" KIN MING JE, a/k/a \"William Je,\" and Y ANPING WANG, a/k/a \"Yvette,\" the defendants, 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.lOb-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, KWOK, JE, and WANG conducted the GTV Private Placement to sell GTV stock and 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 (Wire Fraud - Farm Loan Program)**\n\nThe Grand Jury further charges:\n\n3 7. The allegations contained in paragraphs 1 through 25 of this Indictment are repeated and realleged as if fully set forth herein.\n\n38. From at least in or about June 2020 up to and including at least in or about March 2023, in the Southern District of New York and elsewhere, HOW AN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" and KIN MING JE, a/k/a \"William Je,\" the defendants, 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, KWOK and JE conducted the Farm Loan Program to 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 FIVE (Securities Fraud-Farm Loan Program)**\n\nThe Grand Jury further charges:\n\n39. The allegations contained in paragraphs 1 through 25 of this Indictment are repeated and realleged as if fully set forth herein.\n\n40. From at least in or about June 2020 up to and including at least in or about March 2023, in the Southern District of New York, and elsewhere, HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" and KIN MING JE, a/k/a \"William Je,\" the defendants, 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. lOb-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, KWOK and JE conducted the Farm Loan Program to obtain money from victims through false statements and misrepresentations, including regarding, among other things, the value of GTV, 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 SIX (Wire Fraud - GICLUBS)**\n\nThe Grand Jury further charges:\n\n41. The allegations contained in paragraphs 1 through 25 of this Indictment are repeated and realleged as if fully set forth herein.\n\n42. From at least in or about June 2020 up to and including at least in or about March 2023, in the Southern District of New York and elsewhere, HOW AN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" and KIN MING JE, a/k/a \"William Je,\" the defendants, 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, KWOK and JE promoted and marketed GICLUBS to 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 SEVEN (Securities Fraud-GICLUBS)**\n\nThe Grand Jury further charges:\n\n43. The allegations contained in paragraphs 1 through 25 of this Indictment are repeated and realleged as if fully set forth herein.\n\n44. From at least in or about June 2020 up to and including at least in or about March 2021 , in the Southern District of New York, and elsewhere, HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" and KIN MING JE, a/k/a \"William Je,\" the defendants, 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.l0b-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, KWOK and JE promoted and marketed G\\CLUBS to obtain money from victims through false statements and misrepresentations, including regarding, among other things, the value of GTV, 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 EIGHT (Wire Fraud-The Himalaya Exchange)**\n\nThe Grand Jury further charges:\n\n45. The allegations contained in paragraphs 1 through 25 of this Indictment are repeated and realleged as if fully set forth herein.\n\n46. From at least in or about April 2021 up to and including at least in or about March 2023, in the Southern District of New York and elsewhere, HOW AN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" and KIN MING JE, a/k/a \"William Je,\" the defendants, 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, **KWOK** and JE operated the Himalaya Exchange to 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 NINE (International Promotional Money Laundering)**\n\nThe Grand Jury further charges:\n\n4 7. The allegations contained in paragraphs 1 through 25 of this Indictment are repeated and realleged as if fully set forth herein.\n\n48. 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, HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" and KIN MING JE, a/k/a \"William Je,\" the defendants, did transport, transmit, and transfer, and attempt to transport, transmit, and transfer, a monetary instrument and funds from a place in the United States to and through a place outside the United States, and to a place in the United States from and through a place outside the United States, with the intent to promote the carrying on specified unlawful activity, to wit, **KWOK** and JE directed and made international transfers of funds into, out of, and through the United States, with the intent to promote the fraud offenses in Counts Two through Eight of the Indictment.\n\n(Title 18, United States Code, Sections 1956(a)(2)(A) and 2.)\n\n# **COUNT TEN (International Concealment Money Laundering)**\n\nThe Grand Jury further charges:\n\n49. The allegations contained in paragraphs 1 through 25 of this Indictment are repeated and realleged as if fully set forth herein.\n\n50. 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, HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" and KIN MING JE, a/k/a \"William Je,\" the defendants, did transport, transmit, and transfer, and attempt to transport, transmit, and transfer, a monetary instrument and funds from a place in the United States to and through a place outside the United States, and to a place in the United States from and through a place outside the United States, knowing that the monetary instrument and funds involved in the transportation, transmission, and transfer represented the proceeds of some form of unlawful activity, and knowing that such transportation, transmission, and transfer was designed in whole and in part to conceal and disguise the nature, location, source, ownership, and control of the proceeds of specified unlawful activity, namely, the fraud offenses alleged in Counts Two through Eight of this Indictment, to wit, KWOK and JE conducted international financial transactions into, and out of, and through the United States involving fraud proceeds, including, among other transactions, transactions involving bank accounts held in the names of entities nominally owned by other individuals and by entities not overtly associated with the defendants, in order to conceal the ownership, control, and/or receipt of the proceeds of the fraud and the illegal nature and source of such proceeds.\n\n(Title 18, United States Code, Sections 1956(a)(2)(B)(i) and 2.)\n\n# **COUNT ELEVEN (Unlawful Monetary Transactions)**\n\nThe Grand Jury further charges:\n\n\\\n\n51. The allegations contained in paragraphs 1 through 25 of this Indictment are repeated and realleged as if fully set forth herein.\n\n52. On or about June 5, 2020, in the Southern District of New York and elsewhere, HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" KIN MING JE, a/k/a \"William Je,\" and Y ANPING WANG, a/k/a \"Yvette,\" the defendants, within the United States, knowingly engaged and attempted to engage in a monetary transaction, as defined in Title 18, United States Code, Section 1957(£)(1), in criminally derived property of a value greater than \\$10,000 that was derived from specified unlawful activity, to wit, KWOK, JE, and WANG made, and directed others to make, a wire transfer of approximately \\$100 million derived from the offenses charged in Counts Two and Three to Fund-1.\n\n(Title 18, United States Code, Sections 1957 and 2.)\n\n## **COUNT TWELVE (Obstruction of Justice)**\n\nThe Grand Jury further charges:\n\n53. The allegations contained in paragraphs 1 through 25 of this Indictment are repeated and realleged as if fully set forth herein.\n\n54. From at least on or about September 20, 2022 through the date of the filing of this Indictment, in the Southern District of New York and elsewhere, KIN MING JE, a/k/a \"William Je,\" the defendant, corruptly obstructed, influenced, and impeded an official proceeding and attempted so to do, to wit, JE attempted to transfer money to the UAE, beyond the jurisdiction of\n\nthe United States, to impede and interfere with a federal grand jury investigation in the Southern District of New York of the offenses alleged in Counts One through Eleven of this Indictment, and proceedings before the United States District Court for the Southern District of New York concerning the seizure and forfeiture of criminally derived proceeds.\n\n(Title 18, United States Code, Sections 1512(c)(2) and 2.)\n\n#### **FORFEITURE ALLEGATIONS**\n\n55. As a result of committing the offenses alleged in Counts One through Eight of this Indictment, HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" KIN MING JE, a/k/a \"William Je,\" and Y ANPING WANG, a/k/a \"Yvette,\" the defendants, shall forfeit to the United States, pursuant to Title 18, United States Code, Section 981(a)(l)(C) and Title 28 United States Code, Section 2461(c), any and all property, real and personal, that constitutes or is derived from proceeds traceable to the commission of said offenses, including but not limited to a sum of money in United States currency representing the amount of proceeds traceable to the commission of said offenses and, and the following specific property:\n\na. \\$64,826.87 in United States currency formerly on deposit in Account Number 5090037713 at Silvergate Bank held in the name of \"Hamilton Opportunity Fund SPC,\" seized by the Government on or about September 18, 2022;\n\nb. \\$75,000,000.00 in United States currency formerly on deposit in Account Number 5090037705 at Silvergate Bank held in the name of \"Hamilton Opportunity Fund SPC,\" seized by the Government on or about September 18, 2022;\n\nl\n\nc. \\$467,343.00 in United States currency formerly on deposit in Account Number 5090037754 at Silvergate Bank held in the name of \"Hamilton Opportunity Fund SPC,\" seized by the Government on or about September 18, 2022;\n\nd. \\$89,992,861.75 in United States currency formerly on deposit in Account Number 5090042770 at Silvergate Bank held in the name of \"Hamilton Opportunity Fund SPC,\" seized by the Government on or about September 18, 2022;\n\ne. \\$1 ,683,077.40 in United States currency formerly on deposit in Account Number 5090042762 at Silvergate Bank held in the name of \"Hamilton Opportunity Fund SPC,\" seized by the Government on or about September 18, 2022;\n\nf. \\$85,899,889.20 in United States currency formerly on deposit in Account Number 5090042853 at Silvergate Bank held in the name of \"Hamilton Opportunity Funds SPC,\" seized by the Government on or about September 18, 2022;\n\ng. \\$48,230,709.62 in United States currency formerly on deposit in Account Number 5090030288 at Silvergate Bank held in the name of \"Hamilton Investment Management\" Ltd., seized by the Government on or about September 18, 2022;\n\nh. \\$1 ,800,000.00 in United States currency formerly on deposit in Account Number 5090037739 at Silvergate Bank held in the name of \"Hamilton Opportunity Fund SPC,\" seized by the Government on or about September 18, 2022;\n\ni. \\$85,899,889.20 in United States currency formerly on deposit in Account Number 5090042853 at Silvergate Bank held in the name of \"Hamilton Opportunity Funds SPC,\" seized by the Government on or about September 18, 2022;\n\nj. \\$4,643,744.70 in United States currency formerly on deposit in Account Number 7801000590 at FV Bank held in the name of \"Himalaya International Reserves, Ltd.,\" seized by the Government on or about September 20, 2022;\n\nk. \\$14,599,257.25 in United States currency formerly on deposit in Account Number 7801000254 at FV Bank held in the name of \"Himalaya International Clearing, Ltd.,\" seized by the Government on or about September 20, 2022;\n\n1. \\$11,538,579.87 in United States currency formerly on deposit in Account Number MBI10103-0000 at Mercantile Bank International held in the name of \"G Club International Ltd.,\" seized by the Government on or about October 16, 2022;\n\nm. \\$10,008,284.04 in United States currency formerly on deposit in Account Number MBil 0133-0000 at Mercantile Bank International held in the name of \"Himalaya International Clearing Ltd.,\" seized by the Government between on or about October 16, 2022 and on or about March 10, 2023;\n\nn. \\$3,090,856.54 in United States currency formerly on deposit in Account Number MBI10137-0000 at Mercantile Bank International held in the name of \"Hamilton Capital Holding Ltd.,\" seized by the Government between on or about October 16, 2022 and on or about March 10, 2023;\n\no. \\$272,350,313.76 in United States currency formerly on deposit in Account Number MBI10138-0000 at Mercantile Bank International held in the name of \"Himalaya International Reserves Ltd.,\" seized by the Government between on or about October 16, 2022 and on or about March 10, 2023 ;\n\np. \\$310,594.31 in United States currency formerly on deposit in Account Number MBI10139-0000 at Mercantile Bank International held in the name of \"Himalaya\n\nInternational Financial Group Ltd.,\" seized by the Government between on or about October 16, 2022 and on or about March 10, 2023;\n\nq. \\$1 ,187,278.87 in United States currency formerly on deposit in Account Number MBI10171-0000 at Mercantile Bank International held in the name of \"Hamilton Investment Management Ltd.,\" seized by the Government between on or about October 16, 2022 and on or about March 10, 2023 ;\n\nr. \\$43,782.71 in United States currency formerly on deposit in Account Number MBI10172-0000 at Mercantile Bank International held in the name of \"G Fashion International Limited,\" seized by the Government on or about October 16, 2022;\n\ns. \\$161 ,809.47 in United States currency formerly on deposit in Account Number MBI10183-0000 at Mercantile Bank International held in the name of \"Himalaya Currency Clearing Pty Ltd.,\" seized by the Government on or about October 16, 2022;\n\nt. \\$2,745,377.75 in United States currency formerly on deposit in Account Number 9878904409 at Manufacturers & Traders Trust Co. held in the name of \"GETTR USA, Inc.,\" seized by the Government on or about September 18, 2022;\n\nu. \\$9,899,659.19 in United States currency formerly on deposit in Account Number 157525208185 at US Bank held in the name of \"G Fashion,\" seized by the Government on or about September 18, 2022;\n\nv. All that lot or parcel of land, together with its buildings, appurtenances, improvements, fixtures, attachments, and easements, located at 675 Ramapo Valley Road, Mahwah, New Jersey 07430, Parcel No. 3300021-03-00001-02 and described as Lot Number: 1.02 Block: 21.03 District: 33 City, Municipality, Township: MAHWAH TWP\n\nw. A Bugatti Chiron Super Sport, bearing Vehicle Identification Number VF9SW3V3XNM795047;\n\nx. A Lamborghini Aventador SVJ Roads, bearing Vehicle Identification Number ZHWUN6ZD2MLA10393;\n\ny. A Rolls Royce Phantom EWB, bearing Vehicle Identification Number SCA TT8C08MU206445;\n\nz. A 46m 2014 Feadship superyacht \"Lady May\" (ex Como), bearing IMO Number 112359, MMSI Number 319059500, and Callsign ZGDQ9;\n\naa. A Bosendorfer 185VC Porsche #49539 piano with custom bench, purchased for approximately \\$140,938.69;\n\nbb. A Railis Design Iceland Contemporary Poseidon Bed with Nightstands, Ebony Veneer, Brass, Velvet, purchased for approximately \\$31,413.71;\n\ncc. A Hastens 2000T md mattress, purchased for approximately \\$36,590.00;\n\ndd. A Hastens 2000T sf mattress, purchased for approximately \\$36,210.00;\n\nee. A Wembe watch storage box, purchased for approximately \\$59,392.91;\n\nff. A Samsung Q900 Series QN98Q900RBF 98\" QLED Smart TV - 8K, purchased for approximately \\$62,787.54;\n\ngg. A Louis XV Style French Ormolu-Mounted Mahogany Commode by Joseph Emmanuel Zweiner;\n\nhh. A \"K'ang Hsi\" extension table in etched and patinated pewter and bronze with hand-painted enamel colors by Philip & Kelvin La Verne, purchased for approximately \\$180,000.00; and\n\nii. A \"Punto '83\" table in stainless steel with mesh tabletop with adjustable height and adjustable petals by Gabriella Crespi, Italy 1982, purchased for approximately \\$180,000.00.\n\n(a) through (ii), collectively, the \"Specific Property.\"\n\n56. As a result of committing the money laundering offenses alleged in Counts One, Nine, Ten and Eleven of this Indictment, HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" KIN MING JE, a/k/a \"William Je,\" and Y ANPING WANG, a/k/a \"Yvette,\" the defendants, shall forfeit to the United States, pursuant to Title 18, United States Code, Section 982(a)(l), any and all property, real and personal, involved in said offense, or any property traceable to such property, including but not limited to a sum of money in United States currency representing the amount of property involved in said offense and the Specific Property.\n\n## **Substitute Assets Provision**\n\n57. If any of the above-described forfeitable property, as a result of any act or omission of the defendants:\n\n- a. cannot be located upon the exercise of due diligence;\n- b. has been transferred or sold to, or deposited with, a third person;\n- c. has been placed beyond the jurisdiction of the Court;\n- d. has been substantially diminished in value; or\n\ne. has been commingled with other property which cannot be subdivided without difficulty;\n\nit is the intent of the United States, pursuant to Title 21 , United States Code, Section 853(p) and Title 28, United States Code, Section 2461 ( c ), to seek forfeiture of any other property of the defendants up to the value of the above forfeitable property.\n\n> (Title 18, United States Code, Sections 981 and 982; Title 21 , United States Code, Section 853; and Title 28, United States Code, Section 2461.)\n\n\\\n\n- J:k--;\\_~\n\nDAMIAN WILLIAMS United States Attorney\n\ns\\,)''f eQ. ¼~ )~(,... ~' **L\\..** 1 ..)\\_ND\"! CT°M <c:.N1 *!50*","body_zh":"美国破产法院\n康涅狄格地区\n布里奇波特分院\n\n--------------------------------------------------------　x\n\n关于：　：\n第11章\nHO WAN KWOK（郭文贵）等，\n1　：\n：\n案号 22-50073 (JAM)\n债务人。　：\n：\n（合并管理）\n-------------------------------------------------------　x\n\nLUC A. DESPINS（卢克·A·德斯平斯），第11章受托人，　：\n对抗程序案号 23-05017\n原告，　：\n\n诉　：\n\nTAURUS FUND LLC（Taurus Fund LLC），　：\nSCOTT BARNETT（斯科特·巴内特），作为 TAURUS　：\nFUND LLC 的受托人，以及　：\nTAURUS MANAGEMENT LLC（Taurus Management LLC），作为　：\nTAURUS FUND LLC 的受托人，　：\n\n被告。　：\n-------------------------------------------------------　x\n第11章受托人根据《破产程序规则》第9019条请求批准与美利坚合众国达成和解的动议\n\nLuc A. Despins（卢克·A·德斯平斯）以其作为在 Ho Wan Kwok（郭文贵）（“债务人”或“Kwok”）第11章案件（“第11章案件”）中获任命的第11章受托人（“受托人”）的身份，并作为上述标题所列对抗程序（“对抗程序”）中的原告，现提交本\n\n1 本第11章案件中的债务人为 Ho Wan Kwok（郭文贵）（亦称 Guo Wengui、Miles Guo 和 Miles Kwok，以及众多其他别名）（税务识别号码末四位：9595）、Genever Holdings LLC（Genever Holdings LLC）（税务识别号码末四位：8202）以及 Genever Holdings Corporation（Genever Holdings Corporation）。受托人及 Genever 债务人的邮寄地址为：Paul Hastings LLP, 200 Park Avenue, New York, NY 10166，收件人：Luc A. Despins，作为 Ho Wan Kwok 遗产的受托人（仅为通知和通信之目的）。\n\n动议（“本动议”），2 根据《联邦破产程序规则》（“破产规则”）第9019(a)条及《康涅狄格地区美国破产法院破产程序地方法规》（“地方法规”）第9019-1(a)条，请求作出一项实质上采用随附附件A所示形式的命令（“拟议命令”），批准作为拟议命令附件1所附的《第11章受托人与美利坚合众国之间的约定》（“和解协议”）。该和解协议由下列各方达成：(a) 受托人；及 (b) 美利坚合众国（“政府”，并与受托人合称“双方”3），后者由 United States Attorney's Office for the Southern District of New York（纽约南区联邦检察官办公室）（“USAO-SDNY”）代理。为支持本动议，受托人谨陈述如下：\n\n初步陈述\n\n1. 双方已达成协议，以解决本对抗程序以及政府目前正在 United States District Court for the Southern District of New York（纽约南区美国联邦地区法院）审理的、针对债务人的持续进行中的刑事案件 [Case No. 23 Cr. 118 (AT)]（“刑事案件”）中，就债务人的 Mahwah Mansion（马瓦庄园）所引发的某些可能复杂的问题。\n\n2. Mahwah Mansion 已成为第11章案件（及相关对抗程序）中受托人和刑事案件中政府的共同目标，因为受托人寻求裁定 Mahwah Mansion 属于债务人遗产财产，从而可将其出售并将所得款项分配给债务人的债权人；而政府则主张\n\n2 本文所使用但未定义的首字母大写术语，应具有《Ho Wan Kwok 遗产第11章受托人根据《破产法典》第541、542和544条请求：(I) 宣告判决债务人为 Mahwah Mansion 的衡平所有人且该财产属于遗产财产；以及 (II) 相关救济的起诉状》[Adv. Proc. Docket No. 1]（“起诉状”）中规定的含义。3\n\n本文中对“双方”和“受托人”的提及，视情况包括双方各自的律师、顾问和/或专业人士。\n\nMahwah Mansion 应予没收，因为其系以债务人被指控犯罪计划的收益购得，其价值应作为赔偿分配给该等犯罪的受害人。\n\n3. 当然，鉴于债务人活动的性质，已对第11章遗产提交债权证明的债权人（在其债权获准的范围内）与政府寻求向其提供赔偿的受害人之间，很可能存在重大重叠；受托人作为前者的受托人行使职能。\n\n4. 使事项更为复杂的是，受托人和政府各自可用的工具不同。受托人已获授权收集诸如 Mahwah Mansion 之类的遗产资产，并为遗产利益将其变现，此后可根据第11章计划将该等资产的价值分配给获准债权的持有人。为此，受托人申请并获法院准许确定债权人申报债权的截止日期。事实上，已有超过1200名债权人申报债权，其中许多债权所依据的事实与起诉书中指称的事实相同或相似。另一方面，政府必须先在刑事案件中获得有罪判决，方可取得没收命令，使其能够在第11章案件之外作为宽免/赔偿程序的一部分，将出售 Mahwah Mansion 的所得款项分配给受害人。\n\n5. 因此，在此类案件中，破产法与刑法之间的相互作用可能成为受托人与政府之间争议的根源。事实上，这并非该等问题首次出现在个人债务人因欺诈或其他犯罪被起诉的案件中；以往，该等问题曾在某些案件中导致破产受托人与政府之间进行广泛且昂贵的诉讼，\n\n而这显然是受托人希望在本案中避免的情形。参见 United States v. Rothstein (In re Rothstein, Rosenfeldt, Adler, P.A.), 717 F.3d 1205, 1206 (11th Cir. 2013)（涉及第11章受托人与政府之间就某些银行账户中的资金是否为应予没收的犯罪行为收益所进行的旷日持久争议）。\n\n6. 尽管存在这些复杂性和潜在争议来源，受托人与政府均认同有必要尽快且高效地取得并变现债务人资产，并将该等资产分配给债务人的“受害人”。4 有鉴于此，受托人与政府协商达成和解协议，对围绕 Mahwah Mansion 的问题作出初步解决。关键在于，和解协议5 将确保，受托人最终出售 Mahwah Mansion 所取得的任何收益（如受托人在对抗程序中胜诉），将首先用于支付遗产因取得控制及出售 Mahwah Mansion 所发生的费用（包括与对抗程序有关的合理律师费），从而即使受托人与政府日后就 Mahwah Mansion 销售收益分配所进行的讨论未能从遗产角度达成有利和解，遗产亦不会承担自付损失。受托人与政府还在和解协议中约定，Mahwah Mansion 收益中的 $1 million（超出实际费用，包括律师费的部分）将分配给在刑事案件中亦为债务人受害人的、持有获准债权的第11章遗产债权人。换言之，Mahwah Mansion 将（如受托人在对抗程序中胜诉）\n\n4 究竟哪些持有获准债权的债权人在刑事案件中属于或不属于债务人的“受害人”，可能具有高度主观性；受托人希望这是其将能够在日后与政府讨论中解决的议题之一。5\n\n如本动议对和解协议的说明与和解协议的条款和条件之间存在任何不一致，应以和解协议的条款为准。\n\n不仅为对抗程序提供资金，而且将成为向债权人作出实际现金分配的来源。和解协议在解决本对抗程序中受托人与政府之间任何潜在争议的同时，向第11章遗产提供该项保证利益，并规定，如政府在刑事案件中取得最终有罪判决及有关 Mahwah Mansion 的没收命令，双方将在日后讨论任何潜在赔偿/宽免程序中的分配问题。\n\n管辖权与审判地\n\n7. 本法院根据 28 U.S.C. §§ 157 and 1334 以及 United States District Court for the District of Connecticut（康涅狄格地区美国联邦地区法院）的管辖权移送常设命令，对审理本动议具有管辖权。根据 28 U.S.C. § 157(b)，本案属于核心程序。\n\n8. 根据 28 U.S.C. §§ 1408 and 1409，本地区为适格审判地。\n\n9. 本文所请求救济的依据为《破产规则》第9019(a)条及地方法规第9019-1(a)条。\n\n背景\n\n10. 2023年3月29日前后，政府依据一份替代起诉书（“起诉书”），6 指控债务人与其他被告共同实施电信欺诈、证券欺诈、银行欺诈及洗钱的共谋（罪名项一）；电信欺诈（罪名项二、四、六和八）；证券欺诈（罪名项三、五和七）；洗钱（罪名项九和十）；以及非法货币交易（罪名项十一）。\n\n6 起诉书副本作为附件B随附于本动议。起诉书的先前版本于2023年3月15日公开（“初始起诉书”）。起诉书与初始起诉书大致相似，但增加了针对债务人共同被告 Yanping Wang（王艳萍），又名“Yvette”的指控；初始起诉书侧重于针对债务人及 Kin Ming Je（谢建明），又名“William Je”的指控，未包含该等指控。\n\n11. 起诉书包括关于 Mahwah Mansion 等财产的没收指控。\n\n12. 2023年6月28日前后，受托人告知政府，其经广泛分析后得出结论，除其他事项外，Mahwah Mansion 由债务人享有衡平所有权，因而属于债务人的第11章遗产财产。受托人还告知政府，其拟就 Mahwah Mansion 寻求临时禁令救济，并在本法院作出裁定宣告 Mahwah Mansion 属于遗产财产的情况下出售 Mahwah Mansion。受托人与政府就与 Mahwah Mansion 和对抗程序有关的问题进行了广泛的善意讨论。作为该等讨论的结果，双方得以成功协商达成和解协议。双方于2023年7月13日签署和解协议。7\n\n13. 2023年7月11日，受托人启动对抗程序，受托人在该程序中请求作出下列命令：\n\n• 宣告：(a) 债务人为 Mahwah Mansion 的衡平所有人；及 (b) Mahwah Mansion 属于由受托人管理的债务人第11章遗产财产；以及 (2) 命令 Taurus Fund（和/或作为 Taurus Fund 受托人的 Scott Barnett 和 Taurus Management）向受托人交付 Mahwah Mansion 或其价值，以及 Mahwah Mansion 内的固定装置和动产；\n\n• 宣告：(a) 债务人在任何时候均为 Taurus Fund 的衡平所有人；(b) Taurus Fund 在债务人2022年2月15日申请日之前任何时候持有的任何及全部资产均构成债务人的财产；以及 (c) Taurus Fund 自债务人于2022年2月15日提出第11章申请之日起至今任何时候持有的任何及全部资产，视情况而定，过去及现在均构成债务人的第11章遗产财产；以及 (2) 命令该\n\n7. 本动议中对促成《和解协议》签署的事件或在该和解背景下所考虑因素的描述，仅代表受托人的意见，并不旨在反映政府的观点。\n\n将Taurus Fund（金牛基金）及其任何和所有资产移交给受托人；以及\n\n声明：(a) Taurus Fund在任何时候均为债务人的另一个自我；(b) Taurus Fund在债务人于February 15, 2022提出申请之日前任何时候持有的任何和所有资产，均构成债务人的财产；以及(c) Taurus Fund自债务人于February 15, 2022提出第11章申请之日起至今任何时候持有的任何和所有资产，视具体情况均曾构成并且构成债务人第11章财产；以及(2) 命令将Taurus Fund的任何和所有资产移交给受托人。\n\n和解\n\n14. 各方就Mahwah Mansion（马瓦大宅）进行了广泛的善意讨论。鉴于这些讨论，各方达成《和解协议》，以解决与马瓦大宅相关的复杂问题。《和解协议》的主要条款如下：\n\na. 政府不会在对抗程序中反对受托人：根据《和解协议》，政府同意不反对受托人在对抗程序中提出的任何主张或救济请求，亦不反对受托人为取得马瓦大宅控制权及/或出售马瓦大宅所作的任何努力。见《和解协议》第1段。\n\nb. 使用马瓦大宅出售所得支付财产费用：根据《和解协议》，取得马瓦大宅控制权及出售马瓦大宅的费用，包括Paul Hastings LLP（保罗·黑斯廷斯律师事务所）的律师费，以及用于向第11章案件中获准债权持有人支付的$1 million（该等持有人系债务人的受害人），将首先从出售马瓦大宅的所得款项中支付。因此，《和解协议》保证对抗程序将使该财产受益，即使出售马瓦大宅的净所得最终均未作为政府拟议赔偿及返还程序的一部分分配给第11章案件中获准债权的持有人亦然；其实质上保证马瓦大宅价值的某一部分将归于财产债权人，并消除了该财产可能支付取得马瓦大宅控制权及出售马瓦大宅的费用，却看到其全部价值被纳入刑事案件及其没收程序的可能性。见《和解协议》第3段。\n\nc. 马瓦大宅出售净所得的托管：根据《和解协议》，仅马瓦大宅出售的净所得（在支付《和解协议》第3段所述的财产费用及用于向第11章案件中获准债权持有人支付的$1 million之后）将被托管，直至刑事案件及其没收程序得到解决。见《和解协议》第2段。8\n\nd. 没收后关于净所得分配的协商：《和解协议》规定，如刑事案件中作出没收命令，受托人与政府将就马瓦大宅出售净所得的分配进行未来讨论，使各方能够日后处理该等问题及有关该等问题的任何潜在争议，这符合各方不希望该等问题成为与本对抗程序相关争议来源的目标。受托人拟寻求处理向受害人分配事宜的意图，是基于以往案件中的先例，在该等案件中，破产受托人与政府协商达成协议以履行此类职责。9 见《和解协议》第4段。\n\ne. 权利保留：为符合各方日后处理其他分配问题的目标，如作出最终定罪及没收命令，若受托人与政府的讨论未能达成和解，各方均保留其就与马瓦大宅处置净所得分配相关问题所享有的权利。见《和解协议》第5段。\n\n请求的救济\n\n15. 原告通过本动议请求法院根据《破产程序规则》第9019(a)条作出命令，整体批准《和解协议》，并授权各方依照其条款订立和实施《和解协议》。\n\n请求救济的依据\n\nI. 批准《和解协议》的标准\n\n16. 为根据《破产程序规则》第9019条批准一项妥协及和解，破产法院应认定该妥协及和解公平且衡平、合理，并符合债务人财产的最佳利益。参见，例如，Air Line Pilots Ass'n, Int'l v. Am. Nat'l Bank & Tr. Co. of Chi. (In re Ionosphere Clubs, Inc.), 156 B.R. 414, 426 (S.D.N.Y. 1993.), aff'd, 17 F.3d 600 (2d Cir. 1994)（引文略）；In re Enron Corp., No. 02 Civ. 8489(AKH), 2003 WL 230838, at *2 (S.D.N.Y. Jan. 31, 2003)。批准某一特定和解的决定属于破产法院的合理酌处权范围。参见Nellis v. Shugrue, 165 B.R. 115, 122-23 (S.D.N.Y. 1994)。\n\n17. 重要的是，“和解不必是债务人本可获得的最佳和解。”In re Adelphia Commc'ns Corp., 327 B.R. 143, 159 (Bankr. S.D.N.Y. 2005)（援引In re Penn Cent. Transp. Co., 596 F.2d 1102, 1114 (3d Cir. 1979)）。相反，法院仅须“概览争点，并审查和解是否低于合理性范围的最低点。”同上（援引In re W.T. Grant Co., 699 F.2d 599, 608 (2d Cir. 1983)）。在判断某一特定和解是否属于“合理性范围”时，法院考虑下列因素：\n\n(1) 诉讼成功可能性与和解未来利益之间的平衡；(2) 复杂且旷日持久的诉讼的可能性，“及其伴随的费用、不便和延误”……；(3)“债权人的首要利益”，包括每一受影响类别的相对利益，“以及债权人不反对或积极支持拟议和解的程度”；(4) 其他利益相关方是否支持该和解；(5) 支持该和解的律师的“能力和经验”，以及审查该和解的“破产法院法官的经验和知识”；(6)“高级职员和董事将获得的豁免的性质和范围”；以及(7)“该和解在多大程度上是公平协商的产物”。\n\nMotorola, Inc. v. Official Comm. of Unsecured Creditors (In re Iridium Operating LLC), 478 F.3d 452, 462 (2d Cir. 2007)（引文略）（“Iridium”）。\n\nII. 应批准《和解协议》\n\n18. 《和解协议》对第11章财产而言，并进而对债务人财产的债权人而言，是一项极佳结果；在本案情形下并根据适用的Iridium因素，其构成公平合理的妥协。\n\n19. 《和解协议》为该财产带来的利益重大。至关重要的是，《和解协议》将确保受托人最终出售马瓦大宅的任何所得款项（如受托人在对抗程序中胜诉）首先用于支付该财产因取得马瓦大宅控制权及出售马瓦大宅所产生的费用（包括与对抗程序有关的律师费），从而即使受托人与政府日后就马瓦大宅出售所得分配进行的讨论未能从该财产的角度达成有利和解，该财产也不会自行承担费用。受托人与政府还在《和解协议》中同意，马瓦大宅所得款项中的$1 million（超出包括律师费在内的实际费用部分）将分配给拥有获准债权且亦为债务人受害人的第11章财产债权人。换言之，马瓦大宅（如受托人在对抗程序中胜诉）不仅将为对抗程序提供资金，还将成为向债权人实际现金分配的来源。\n\n20. 此外，《和解协议》尤其确保对抗程序不会因受托人与政府之间的任何争议而延误，将有关如何在赔偿/返还程序中分配资金的棘手问题留待未来处理，并由各方在作出最终定罪及没收命令时进行讨论（鉴于刑事案件目前定于April 8, 2024开始审判，且目前尚不知债务人或其共同被告是否将被定罪，此种安排是适当的）。\n\n21. 《和解协议》完全符合所有相关的Iridium因素，为该财产及其债权人提供重大即时及未来利益，尤其是确保该财产将从受托人出售马瓦大宅中受益，并消除各方在对抗程序背景下发生任何争议的可能性。《和解协议》由受托人与政府达成，双方均由经验丰富的律师协助，并进行公平协商。\n\n22. 简言之，《和解协议》对第11章财产而言是一项积极进展，受托人认为《和解协议》符合《破产程序规则》第9019条，应予批准。\n\n通知\n\n23. 本动议的通知将送达：(i) 美国受托人；(ii) 债务人；(iii) 无担保债权人正式委员会；(iv) 被告；(v) 通过使用法院电子提交文件（“CM/ECF”）系统进行电子提交，送达所有使用CM/ECF系统的出庭当事人；以及(vi) 任何在这些第11章案件中请求通知、但如《电子提交通知》所示无法接受电子提交的当事人。受托人主张，在此情形下，无需作出其他或进一步通知。\n\n此前未提出请求\n\n24. 受托人此前未向本院或任何其他法院提出过本文件所请求救济的任何请求。\n\n[本页其余部分有意留白。]\n\n因此，基于上述理由，受托人谨请求法院作出拟议命令，准予本动议所请求的救济，以及其他公正且适当的救济。\n\n日期：August 14, 2023　LUC A. DESPINS（卢克·A·德斯潘斯）\nNew Haven, Connecticut　第11章受托人\n\n签字：/s/ Douglass Barron\n\nAvram E. Luft（阿夫拉姆·E·卢夫特）（获准pro hac vice出庭）\nDouglass Barron（道格拉斯·巴伦）（获准pro hac vice出庭）\nPAUL HASTINGS LLP（保罗·黑斯廷斯律师事务所）\n200 Park Avenue\nNew York, New York 10166\n(212) 318-6079\naviluft@paulhastings.com\ndouglassbarron@paulhastings.com\n\n以及\n\nNicholas A. Bassett（尼古拉斯·A·巴塞特）（获准pro hac vice出庭）\nPAUL HASTINGS LLP\n2050 M Street NW\nWashington, D.C., 20036\n(202) 551-1902\nnicholasbassett@paulhastings.com\n\n以及\n\nPatrick R. Linsey（帕特里克·R·林赛）（ct29437）\nNEUBERT, PEPE & MONTEITH, P.C.（纽伯特、佩佩及蒙蒂斯律师事务所）\n195 Church Street, 13th Floor\nNew Haven, Connecticut 06510\n(203) 781-2847\nplinsey@npmlaw.com\n\n第11章受托人的律师\n\nCase 22-50073 Doc 2083 Filed 08/14/23 Entered 08/14/23 09:54:05 Page 13 of 65\n\n附件A\n\n拟议命令\n\n美国破产法院（UNITED STATES BANKRUPTCY COURT）\n康涅狄格州地区（DISTRICT OF CONNECTICUT）\n布里奇波特分院（BRIDGEPORT DIVISION）\n\nx\n\n关于：　：　第11章\nHO WAN KWOK（郭文贵）等，\n1　：\n：　案件编号：22-50073 (JAM)\n债务人。　：\n：　（联合管理）\n-------------------------------------------------------　x\n\nLUC A. DESPINS（吕克·A·德斯平），第11章受托人，　：　对抗程序编号：23-05017\n原告，　：\n\n诉　：\nTAURUS FUND LLC（Taurus Fund有限责任公司），　：\n\nSCOTT BARNETT（斯科特·巴尼特），作为TAURUS　：\nFUND LLC的受托人，以及　：\nTAURUS MANAGEMENT LLC（Taurus Management有限责任公司），作为　：\nTAURUS FUND LLC的受托人，　：\n\n被告。　：\n-------------------------------------------------------　x\n［拟议］根据《破产程序规则》第9019条批准第11章受托人关于与美利坚合众国和解之动议的命令\n\n鉴于，在上述标题所列Ho Wan Kwok（以下简称“债务人”）的第11章案件（以下简称“第11章案件”）中获任命的第11章受托人Luc A. Despins（以下简称“受托人”）以其受托人身份提出动议，2请求作出命令，批准受托人与政府之间的和解协议，具体如该动议所进一步说明；且本院根据28 U.S.C. §§ 157 and 1334对审理该动议及其中请求的救济具有管辖权；且本事项属于28 U.S.C. § 157(b)(2)所指的核心程序；且鉴于在具体情况下已给予适当且充分的通知，并且看来无需提供其他或进一步通知；且所请求的救济是受托人依其职责并为债务人财产和债权人的最佳利益而合理行使其商业判断；且经适当审议并有充分理由，据此命令如下：\n\n1. 准许该动议。\n\n2. 对该动议提出的所有异议，如有，凡未被撤回、放弃或和解者，以及其中载明的所有权利保留，均予驳回。\n\n3. 根据《破产程序规则》第9019条，批准作为本命令附件1附上的和解协议（以下简称“和解协议”）。\n\n4. 根据《破产程序规则》第9019条，授权受托人在本命令作出后立即签署、交付、实施并完全履行任何及所有义务、文书、文件和材料，并采取为完成和解协议所反映的和解及履行其中预期的任何及所有义务而合理必要或适当的任何及所有行动。\n\n5. 根据《破产程序规则》第6004(h)条，本命令自作出之时起立即生效并可执行，且受托人在收到和解付款后可不受限制地使用该款项。\n\n6. 本院保留管辖权，以审理和裁决因本命令及和解协议产生或与之有关的所有事项。\n\n附件1\n\n和解协议\n\n美国联邦地区法院（UNITED STATES DISTRICT COURT）\n纽约南区（SOUTHERN DISTRICT OF NEW YORK）\n\n美利坚合众国（UNITED STATES OF AMERICA），　----\n--\n-\nX\n诉\nHO WAN KWOK（郭文贵），\n又名“Miles Guo（郭文贵）”，\n又名“Miles Kwok（郭文贵）”，\n又名“Guo Wengui（郭文贵）”，\n又名“Brother Seven（七哥）”，\n又名“The Principal（主公）”，　S1 23 Cr. 118 (AT)\n被告。\n\n------------------------------------------------------x　----\n--\n-\nX\n美国破产法院（UNITED STATES BANKRUPTCY COURT）\n康涅狄格州地区（DISTRICT OF CONNECTICUT）\n布里奇波特分院（BRIDGEPORT DIVISION）\n关于：　第11章\nHO WAN KWOK（郭文贵）等，1　案件编号：22-50073 (JAM)\n债务人。　（联合管理）\n\n1 本第11章案件中的债务人为Ho Wan Kwok（亦称Guo Wengui、Miles Guo和Miles Kwok，以及众多其他别名）（税务识别号码后四位：9595）、Genever Holdings LLC（Genever Holdings有限责任公司）（税务识别号码后四位：8202）及Genever Holdings Corporation（Genever Holdings股份有限公司）。受托人、Genever Holdings LLC及Genever Holdings Corporation的邮寄地址为：Paul Hastings LLP（保罗·黑斯廷斯律师事务所），200 Park Avenue, New York, NY 10166，转交Luc A. Despins，作为Ho Wan Kwok财产的受托人（仅为通知和通信之目的）。\n\n第11章受托人与美利坚合众国之间的协议\n\n鉴于，约于2023年3月29日，上述标题所列第11章案件中的债务人Ho Wan Kwok（以下简称“被告”）与其他被告一同，在纽约南区联邦检察官办公室（United States Attorney's Office for the Southern District of New York，以下简称“USAO-SDNY”）代表的美利坚合众国（以下简称“政府”）于美国纽约南区联邦地区法院（以下简称“地区法院”）提起的十二项罪名项经替代起诉书S1 23 Cr. 118 (AT)（以下简称“起诉书”）中，被指控十一项罪名项：共谋实施电信欺诈、证券欺诈、银行欺诈及洗钱，违反Title 18, United States Code, Section 371 (Count One)；电信欺诈，违反Title 18, United States Code, Section 1343 (Counts Two, Four, Six, and Eight)；证券欺诈，违反Title 15, United States Code, Sections 78j(b) & 78ff; Title 17, Code of Federal Regulations, Section 240.10b-5 (Counts Three, Five, and Seven)；洗钱，违反Title 18, United States Code, Section 1956(a)(2) (Counts Nine and Ten)；以及非法货币交易，违反Title 18, United States Code, Section 1957 (Count Eleven)；\n\n鉴于，起诉书就起诉书第一项至第八项罪名项载有没收主张，请求根据Title 18, United States Code, Section 981(a)(1)(C)及Title 28, United States Code, Section 2461(c)，将构成或源自可追溯至实施起诉书第一项至第八项罪名项所指控犯罪所得收益的任何及所有不动产和动产没收给美利坚合众国，包括但不限于下列财产：\n\n> 位于675 Ramapo Valley Road, Mahwah, New Jersey 07430，地块编号3300021-03-00001-02，并描述为地块号：1.02；街区：21.03；地区：33；城市、市政辖区、乡镇：MAHWAH TWP的全部土地或地块，连同其建筑物、附属物、改良物、固定装置、附着物及地役权\n\n（以下简称“标的财产”）；\n\n鉴于，约于2022年2月15日，被告在美国康涅狄格州地区破产法院（以下简称“破产法院”）申请第11章破产，案名为In Re Ho Wan Kwok and Genever Holdings LLC, 22-50073 (JAM) (Bankr. Conn.)（以下简称“破产案件”）；\n\n鉴于，约于2022年6月15日，破产法院指示任命一名第11章破产受托人，随后Luc A. Despins, Esq.被任命为破产案件的受托人（以下简称“受托人”）；\n\n鉴于，约于2023年6月28日，受托人告知政府，其经广泛分析后得出结论，其中包括，标的财产由被告享有衡平所有权，因而属于被告第11章财产；\n\n鉴于，受托人准备在破产法院提起对抗程序Despins v. Taurus Fund（以下简称“对抗程序”），请求包括以下救济：\n\n> （1）破产法院作出命令，（a）宣告被告为标的财产的衡平所有人，且标的财产属于应由受托人管理的被告第11章财产；及（b）命令将标的财产交付给受托人；\n\n> （2）破产法院作出命令，（a）宣告（i）被告在任何时候均为持有标的财产所有权的实体Taurus Fund LLC（以下简称“Taurus Fund”）的衡平所有人；（ii）Taurus Fund持有的任何及所有资产，包括标的财产，均属于被告第11章财产；及（b）命令将Taurus Fund及Taurus Fund的任何及所有资产，包括标的财产，交付给受托人；\n\n（3）破产法院作出命令，（a）宣告（i）Taurus Fund在任何时候均为被告的另一个自我；（ii）Taurus Fund持有的任何及所有资产，包括标的财产，构成被告第11章财产；及（b）命令将Taurus Fund的任何及所有资产交付给受托人；\n\n鉴于，如破产法院作出上述第（1）至（3）项所列任何命令，标的财产将被视为由被告第11章财产直接或间接持有的资产；\n\n鉴于，受托人还将在对抗程序中向破产法院请求临时救济（以下简称“临时救济”），以在破产法院就受托人在对抗程序中主张的请求作出最终裁定之前取得对标的财产的控制；\n\n鉴于，如破产法院作出裁定，依该裁定标的财产被视为由被告第11章财产直接或间接持有的资产，受托人拟出售标的财产；及\n\n鉴于，政府已同意不反对受托人在对抗程序中将请求的救济，亦不反对受托人为取得标的财产控制权及／或出售标的财产所作的任何努力；\n\n因此，美利坚合众国，由其律师Damian Williams（达米安·威廉斯）、美国联邦检察官Juliana Murray（朱莉安娜·默里）、Micah Fergenson（迈卡·弗格森）及Ryan Finkel（瑞安·芬克尔）担任律师，以及受托人和其律师Paul Hastings LLP，特此约定并同意如下：\n\n1. 政府不反对受托人在对抗程序中的任何主张或救济请求，亦不反对受托人为取得标的财产控制权及／或出售标的财产所作的任何努力；\n\n2. 如标的财产依据破产案件中作出的命令出售，受托人同意，出售标的财产的净收益应予以托管，直至本刑事事项得到解决，并将在上述标题所列刑事案件中作为标的财产的替代标的物（以下简称“替代标的物”）；政府适用于标的财产的所有主张和抗辩，包括政府可能提起的任何其他没收标的财产的诉讼，均应改为适用于替代标的物，并且仅可从替代标的物中获得支付。此外，附着于标的财产或由标的财产担保的任何主张或权益，均应转移至替代标的物，并且如获清偿，仅可从替代标的物中获得清偿。如被告根据终局命令被宣告无罪，或根据终局命令拒绝作出没收命令，本款所载托管要求将自动失效。\n\n3. 出售标的财产的净收益将包括出售标的财产所实现的所有款项，但下列款项将从销售收益中扣除：扣押、维护、营销及出售标的财产的任何费用，包括Paul Hastings在对抗程序中发生的或因对抗程序而发生的律师费，以及确保标的财产安全保管和监管的费用（包括在该处所内或周围的安保服务）、储存或出售该\n\n标的财产，均以破产法院所准许者为限；任何尚未清偿的抵押贷款；房地产佣金和/或费用；在出售时应付且未付的任何其他房地产税、财产税、转让税、协会税或其他税费；保险费用；托管费用；产权费用和县转让费用；以及视为费用的 $1,000,000，该款项应用于清偿破产案件中债务人受害人所持经核准债权的请求。\n\n4. 如在本刑事案件中作出包括标的财产的没收命令，受托人与政府应就将出售标的财产所得净收益分配给起诉书所指控行为的受害人（其可能为破产案件中经核准债权的持有人）以及破产案件中经核准债权的持有人一事进行善意协商。目前，USAO-SDNY 预计将请求司法部洗钱与资产追回处，通过宽免/恢复程序，将本刑事案件中被没收的任何资产分配给起诉书所指控行为的受害人。受托人拟在任何该等宽免/恢复程序中寻求政府同意，由其向经破产法院裁定并核准的受害人（其可能为破产案件中经核准债权的持有人）及破产案件中经核准债权的持有人分配标的财产的净收益；政府已说明，其目前无法同意该项提议，除非取得某些目前可能无法取得的监管批准。\n\n5. 如政府与受托人未能就出售标的财产所得净收益的分配达成协议，政府和受托人的一切权利均予保留。\n\n6. 为促成标的财产的出售，政府同意迅速签署为转让标的财产的无瑕疵产权及完成标的财产出售可能需要的任何文件。\n\n7. 本协议的各方应各自承担其费用及律师费。\n\n8. 本协议可签署副本，每一副本均应视为正本，所有副本合并应视为完整的协议。PDF 副本应视为正本。\n\n［本页其余部分特意留白。］\n\n日期：New York, New York，July 13, 2023\n\n同意如下：\n\nDAMIAN WILLIAMS（达米安·威廉斯）\nUnited States Attorney\nSouthern District of New York（纽约南区）\nUnited States of America（美利坚合众国）\n\n签署人：LIANA MURRAY（莉亚娜·默里）\nMICAH FERGENSON（迈卡·弗格森）\nRYAN FINKEL（瑞安·芬克尔）\nAssistant United States Attorneys\nOne Saint Andrews Plaza\nNew York, New York 10007\n(212) 637-2314/2190/6612\n\nCHAPTER *9* BANKRUPTCY TRUSTEE\n\n签署人：\n\nLUC A. DESPINS, ESQ.（吕克·A·德斯平，律师）\nTrustee\n\n签署人：\n\nS. E. BARRON, ESQ.（S. E. 巴伦，律师）\nPAUL HASTINGS LLP\nAttorney for the Trustee\n\n7/13/2023\n\n日期\n\n日期\n\n日期\n附件 B\n\n替代起诉书\nUNITED STATES DISTRICT COURT（美国联邦地区法院）\nSOUTHERN DISTRICT OF NEW YORK（纽约南区）\nUNITED STATES OF AMERICA（美利坚合众国）\n\n诉\n\nHO WAN KWOK（郭文贵），又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，\n\nKIN MING JE（介明杰），又名“William Je”，以及\n\nYANPING WANG（王雁平），又名“Yvette”，\n\n被告。\nORIGINAL 1\n起诉书\n\nSl 23 Cr. 118 (AT)\n第一项罪名（共谋实施电信欺诈、证券欺诈、银行欺诈及洗钱）\n\n大陪审团指控：\n概述\n\n1. 自至少约 2018 年起至至少约 March 2023，HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，KIN MING JE，又名“William Je”，以及 YANPING WANG，又名“Yvette”，即各被告，以及其他已知和未知人员，共谋诈骗数千名受害人，涉案金额超过约 $1 billion，其中包括位于纽约南区的受害人。KWOK、JE、WANG 及其共谋者通过一系列复杂的欺诈性和虚构性企业及投资机会开展活动，该等活动关联数十个相互关联的实体，使被告及其共谋者得以招揽、洗白并侵占受害人资金。\n\n2. HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，KIN MING JE，又名“William Je”，以及 YANPING WANG，又名“Yvette”，即各被告及其共谋者，利用 KWOK 广泛的网络影响力及数十万名网络追随者，以承诺异常高额的财务回报及其他利益的方式，招揽对各类实体和项目的投资。该计划中使用的实体和项目包括名为 GTV、GICLUBS、GIMUSIC、GIFashion 及 Himalaya Exchange 的实体和项目等。事实上，且如 KWOK、JE 和 WANG 明知，该等实体是 KWOK、JE 和 WANG 为实施其欺诈并利用 KWOK 的追随者而创设和使用的工具。该计划使 KWOK、JE 和 WANG 得以使其本人、家庭成员及共谋者获益，并资助 KWOK 奢靡的生活方式。\n\n3. 作为该计划的一部分，HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，KIN MING JE，又名“William Je”，以及 YANPING WANG，又名“Yvette”，即各被告及其共谋者，洗白了数亿美元的欺诈所得。为掩饰资金的非法来源，KWOK、JE 和 WANG 将资金转入并通过至少 80 个不同实体或个人名下的超过约 500 个账户进行转移，并指示他人进行该等转移。该欺诈计划所得的数亿美元，直接或间接被转入美国、Bahamas（巴哈马）和 United Arab Emirates（“UAE”）（阿拉伯联合酋长国）等地的银行账户，并以 JE 所拥有或以其他方式控制的公司名义持有。\n\n4. HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，以及 KIN MING JE，又名“William Je”，即各被告，为其本人及其家庭的利益使用了该欺诈计划所得的超过约 $300 million。例如，KWOK 使用通过欺诈取得的受害人资金，为 KWOK 及其家人购买、出资或融资购买 New Jersey（新泽西州）一座约 50,000 平方英尺、价值 $26.5 million 的豪宅；购买豪华车辆，包括为 KWOK 的一名近亲属（“Relative-I”）购买一辆价值约 $3.5 million 的 Ferrari；购买一艘价值约 $37 million 的豪华游艇，该游艇由 KWOK 及其家人使用，并以 KWOK 的一名近亲属（“Relative-2”）的名义购买；购买一架价值约 $140,000 的钢琴；购买一张约 $36,000 的床垫；以及为 Relative-I 的最终利益向一只高风险对冲基金投资 $100 million，等等。JE 则将至少 $10 million 的欺诈所得转入其本人及其配偶的个人银行账户等。\n\n5. HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，KIN MING JE，又名“William Je”，以及 YANPING WANG，又名“Yvette”，即各被告及其共谋者，多年来一直实施该计划，并至少持续至至少 March 2023。他们通过持续调整该计划的手段和方法，以规避美国投资者保护、反洗钱及破产法律的执行，并对投诉或要求返还投资资金的个别受害人进行报复等方式实施该计划。\n相关人员和实体\n\n6. 在所有相关时期内，HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，即被告，是该计划的领导者并指挥该计划。\n\na. KWOK 是一名流亡的中国商人，其于约 2015 年逃往美国，并以约 $67.5 million 购买了 New York City（纽约市）一家酒店的顶层公寓。至少自约 2017 年起，当时自称为亿万富翁的 KWOK 获得了大量网络追随者。KWOK 接受了多次媒体采访，并在社交媒体上发帖，声称推动一场反对 Chinese Communist Party（中国共产党的）运动。\n\nb. 约于 2018 年，KWOK 创办了两个自称为非营利组织的机构，即 Rule of Law Foundation 和 Rule of Law Society。Rule of Law Society 的网站将 KWOK 列为其“创办人、推广人和发言人”。两个组织的网站均刊登了 KWOK 的照片。KWOK 利用该等非营利组织聚集了与其声称反对中国共产党的活动立场一致的追随者，而这些追随者也倾向于相信 KWOK 关于投资及赚钱机会的陈述。事实上，且如 KWOK 明知，他及其他人为推广这些“机会”并诈骗 KWOK 的追随者和其他受害人，提供了虚假且具有重大误导性的信息。\n\n7. 在所有相关时期内，KIN MING JE，又名“William Je”，即被告，是一名拥有 Hong Kong（香港）及 United Kingdom（英国）双重国籍的人士，主要居住在英国，同时前往美国及其他地方。JE 拥有并经营多家对该计划至关重要的公司和投资工具，并担任该计划的财务架构师及主要洗钱者。\n\n8. 在所有相关时期内，YANPING WANG，又名“Yvette”，即被告，是一名主要居住于 New York, New York 的中国公民，并与 HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，即被告，关系密切。具体而言，至少自约 2018 年起，WANG 已为 KWOK 及 KWOK 的家人工作数年，并担任 KWOK 的“chief of staff”。以该身份，WANG 在作为本起诉书所述欺诈工具的多类实体中担任职务。例如，WANG 曾担任据称管理 KWOK 资金的实体的总裁、财务主管及秘书。\n\n9. 在与本起诉书相关的某些时期，Saraca Media Group, Inc.（“Saraca”）是一家总部位于 New York, New York 的公司。Relative-I 是其最终实益所有人。\n\n10. 在与本起诉书相关的某些时期，GTV Media Group, Inc.（“GTV”）是一个据称以新闻为重点、总部位于 New York, New York 的社交媒体平台。尽管 KWOK 在 GTV 未担任任何正式职务或头衔，GTV 实际上由 HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，即被告，所有和控制。KIN MING JE，又名“William Je”，即被告，同样未在 GTV 担任任何正式职务或头衔，但实际上对其财务行使控制权。Saraca 是 GTV 的母公司。YANPING WANG，又名“Yvette”，即被告，是 GTV 的“Executive Director”。\n\n11. 在与本起诉书相关的某些时期，G Club Operations, LLC（“GICLUBS”）是一个据称总部位于 Puerto Rico（波多黎各）及 New York, New York 的会员组织。尽管 KWOK 在 GICLUBS 未担任任何正式职务或头衔，GICLUBS 实际上由 HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，即被告，所有和控制。KIN MING JE，又名“William Je”，即被告，同样未在 GICLUBS 担任任何正式职务或头衔，但实际上对其财务行使控制权。\n\n12. 在与本起诉书相关的某些期间，被告 KIN MING JE（“William Je”），又名“William Je”，通过其拥有且设在境外的多个实体创立并运营了所谓的加密货币“生态系统”Himalaya Exchange（喜马拉雅交易所）。被告 HO WAN KWOK（郭文贵），又名“Miles Guo”、又名“Miles Kwok”、又名“Guo Wengui”、又名“Brother Seven”、又名“The Principal”，实际拥有和控制的实体，如 GICLUBS 和 GIFashion，与 Himalaya Exchange 存在所谓业务关系。KWOK 推广 Himalaya Exchange，并声称自己是其所谓加密货币的设计者，尽管 KWOK 在 Himalaya Exchange 未担任任何正式职务或拥有任何正式头衔。\n\n欺诈\n\nGTV 私募配售\n\n13. 自约 2020 年 4 月至约 2020 年 6 月期间，被告 HO WAN KWOK（郭文贵），又名“Miles Guo”、又名“Miles Kwok”、又名“Guo Wengui”、又名“Brother Seven”、又名“The Principal”，KIN MING JE（“William Je”），又名“William Je”，以及 YANPING WANG（王燕平），又名“Yvette”，连同已知和未知的其他人，通过与 GTV 有关的非法私募股票发行（“GTV 私募配售”），以欺诈手段取得了超过 \\$400 million 的受害人资金。\n\na. 约于 2020 年 4 月 21 日，KWOK 在社交媒体上发布并促使发布了一段视频，宣布通过私募配售进行未注册的 GTV 普通股发行。在该视频中，KWOK 实质性地且部分地说明了 GTV 私募配售的投资条款，并指示人们如对 GTV 私募配售有任何疑问，可通过移动通信应用程序联系他。该视频及 GTV 私募配售材料——包括书面《保密信息备忘录》（“PPM”）、认购协议和投资程序指南——通过移动通信应用程序、社交媒体和短信，被传送给数千名潜在投资者，其中包括位于 Southern District of New York（纽约南区）的潜在投资者。\n\nb. PPM 将 GTV 宣传为“首个将公民新闻和社交新闻的力量，与最先进技术、大数据、人工智能、区块链技术及实时互动通信相结合的平台”。\n\nc. 根据 PPM 的元数据，JE 是 PPM 的“作者”。PPM 披露了 GTV 私募配售的条款，并将 KWOK 列为 GTV 的“发起人和顾问”。根据 PPM 及其他 GTV 材料，KWOK 和 JE 均未在 GTV 担任任何正式管理职务。被告 YANPING WANG（王燕平），又名“Yvette”，在 PPM 中被列为 GTV 的“执行董事”。\n\nd. 除其他事项外，PPM 还作出了如下实质性且部分的陈述：\n\ni. GTV 私募配售面向“有兴趣评估向 GTV 投入资本的机会”的投资者；\n\nii. GTV 计划将从 GTV 私募配售筹集的款项“用于扩大和加强业务”；以及\n\niii. PPM 包含一张逐项列明从 GTV 私募配售筹集资金的“拟议用途”的图表：\n\n收购公司以加强和发展\nGTV\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合计　100%\n\ne. 自约 2020 年 4 月 20 日至约 2020 年 6 月 2 日期间，价值约 \\$452 million 的 GTV 普通股据称被出售给位于美国（包括纽约南区）及境外的 5,500 多名投资者。投资者参与 GTV 私募配售，部分基于如下信念：如 PPM 所承诺，其资金将投资于 GTV，以发展和壮大该业务。\n\nf. 从 GTV 私募配售投资者取得的绝大多数收益，并未用于发展和壮大 GTV 业务，而是直接存入以 Saraca（萨拉卡）——GTV 的母公司——名义持有的银行账户；Relative-I 是 Saraca 的最终受益所有人。\n\ng. GTV 私募配售并非依据向 U.S. Securities and Exchange Commission（美国证券交易委员会）（“SEC”）提交的注册声明进行。相反，该发行据称依据 SEC 规章进行，该等规章允许出售未注册证券，但对可向其发行证券的投资者类型以及可招揽其投资的方式设有限制。然而，为规避该等限制，KWOK 及其控制下的其他人使用了至少一个中介实体，代表不具备参与 GTV 私募配售资格的投资者集合购买 GTV 股票。\n\nh. 约于 2020 年 6 月初，即 GTV 私募配售结束仅数日后，被告 HO WAN KWOK（郭文贵），又名“Miles Guo”、又名“Miles Kwok”、又名“Guo Wengui”、又名“Brother Seven”、又名“The Principal”，KIN MING JE（“William Je”），又名“William Je”，以及 YANPING WANG（王燕平），又名“Yvette”，和其共谋者，挪用了从 GTV 私募配售投资者处筹集的约 \\$100 million，并指示将该等资金存入一家高风险对冲基金（“Fund-I”），以使 Saraca 及其最终受益所有人 Relative-I 受益。该交易与 PPM 就 GTV 投资将如何使用向潜在 GTV 投资者作出的陈述相违背。事实上，对 Fund-I 的 \\$100 million 投资并非为了 GTV 的利益，而是为了 Saraca 的利益。提供了投资于 Fund-I 的 \\$100 million 的受害人并不拥有 Saraca 的任何股份。最终，对 Fund-I 的投资损失了约 \\$30 million 的价值。\n\ni. 在将 \\$100 million 的 GTV 受害人资金投入 Fund-I 后，被告 HO WAN KWOK（郭文贵），又名“Miles Guo”、又名“Miles Kwok”、又名“Guo Wengui”、又名“Brother Seven”、又名“The Principal”，继续使用虚假和误导性陈述推广 GTV。\n\n农场贷款计划\n\n14. 自约 2020 年 6 月开始——即被告 HO WAN KWOK（郭文贵），又名“Miles Guo”、又名“Miles Kwok”、又名“Guo Wengui”、又名“Brother Seven”、又名“The Principal”，以及 KIN MING JE（“William Je”），又名“William Je”，和其共谋者为使 Saraca 和 Relative-I 受益而挪用 GTV 私募配售资金的同一个月——KWOK、JE 及其共谋者通过“Himalaya Farm Alliance（喜马拉雅农场联盟）”，以欺诈手段取得了超过约\n\n\\$150 million 的受害人资金。由 KWOK 组织和推广的 Himalaya Farm Alliance，是由位于世界各地城市的非正式团体组成的集合体（每个团体称为一个“Farm（农场）”）。KWOK、JE 及代表其行事并受其指示的其他人，通过向 GTV 私募配售投资者作出进一步虚假陈述，并以欺诈手段招揽进一步投资，取得了这些资金；该等投资此次采取向农场提供“贷款”的形式，并承诺该等贷款可按每贷款一美元转换一股的转换率转换为 GTV 普通股（“农场贷款计划”）。\n\na. 自约 2020 年 6 月开始，持有用于处理 GTV 私募配售筹集资金的账户的境内银行，开始冻结和关闭与 GTV 相关的银行账户，原因包括该等账户收到数十笔大额入账电汇，其中部分提及未注册股票发行。\n\nb. 这些银行账户关闭，妨碍了 KWOK、JE 及其共谋者从寻求投资 GTV 的受害人处收取收益的能力。\n\nc. 约于 2020 年 7 月 22 日，在一段通过社交媒体发布的视频中，KWOK 推广农场贷款计划。根据 KWOK 及代表其行事的人员所述，寻求投资（或再投资）GTV 的个人可以参与农场贷款计划。\n\nd. 在推出农场贷款计划后，KWOK 继续推广 GTV，并继续虚假陈述 GTV 的价值。例如，约于 2020 年 8 月 2 日，在一段通过社交媒体发布的视频中，KWOK 实质性且部分地虚假称：“GTV 值多少钱？……市值 2 billion US dollars。”1 实际上，且如 KWOK 明知，GTV 的市值远低于此，因为除其他事项外，GTV 是一家没有产生任何收入的新企业。\n\n1除非另有说明，本文归属于 KWOK 的所有陈述均已从普通话译为英语。\n\ne. 数千名受害人通过向由农场控制的银行账户（而非 GTV）汇款，向农场“出借”资金。根据农场经常未予会签的“贷款协议”，这些资金将用于农场的“一般营运资金用途”。\n\nf. KWOK 和 JE 挪用了通过农场贷款计划筹集的资金。例如：\n\ni. 约 \\$20 million 被转给 Relative-I，其中约 \\$950,000 被用于支付私人飞机的机组人员服务费用；\n\nii. 约 \\$5 million 被转给由 KWOK 配偶拥有的实体；\n\niii. 约 \\$2.3 million 被用于支付与一艘价值约 \\$37 million、长约 145 英尺、名义上由 Relative-2 所有并由 KWOK 使用的豪华游艇有关的维护费用；以及\n\niv. 约 \\$10 million 被转入以 JE 和/或 JE 配偶名义开立的个人银行账户。\n\nGICLUBS\n\n15. 在就农场贷款计划作出虚假陈述期间，被告 HO WAN KWOK（郭文贵），又名“Miles Guo”、又名“Miles Kwok”、又名“Guo Wengui”、又名“Brother Seven”、又名“The Principal”，以及 KIN MING JE（“William Je”），又名“William Je”，连同已知和未知的其他人，以欺诈手段诱使 KWOK 的追随者向一个名为 GICLUBS 的所谓在线会员俱乐部转入额外资金。自至少约 2020 年 10 月至至少约 2023 年 3 月期间，KWOK、JE 及已知和未知的其他人通过 GICLUBS，以欺诈手段取得了超过约 \\$250 million 的受害人资金。\n\na. 至少自约 2020 年 6 月 20 日开始，在一段通过社交媒体发布的视频中，KWOK 推广并鼓励个人购买 KWOK 所称的“G Club……会员卡”。\n\nb. GICLUBS 于约 2020 年 10 月正式推出，其在网站上声称自己是“提供全方位服务的专属高端会员计划”，并且是“通向经精心筛选的世界级产品、服务和体验的门户”。\n\nc. 为加入 GICLUBS，会员除须支付年度会费外，还须一次性付款购买“会员资格”。会员资格的价格因潜在会员选择的会员等级而异：第 5 级会员资格价格为 \\$50,000；第 4 级会员资格价格为 \\$40,000；第 3 级会员资格价格为 \\$30,000；第 2 级会员资格价格为 \\$20,000；第 1 级会员资格价格为 \\$10,000。\n\nd. 约于 2021 年 7 月 5 日，在一段通过社交媒体发布的视频中，KWOK 实质性且部分地称，存在“25,000 名 [GICLUBS] 会员……\\$100 million dollars，银行账户中的现金。然后我们还有 111 million……[名] 想要加入[的人]。”相比之下，GICLUBS 的内部文件显示，截至约 2021 年 8 月，其活跃会员约为 5,900 名。\n\ne. 实际上，且如 KWOK 和 JE 明知，GICLUBS 向其会员提供的服务和“体验”远未达到“全方位服务”的程度。尽管收取了数亿美元的所谓会员费，GICLUBS 的雇员人数相对较少，且向其会员提供的可识别会员福利极少或没有。事实上，GICLUBS 甚至未兑现其向会员提供的参与奖品\n\n抽奖活动。2021年2月14日前后，GICLUBS（GI俱乐部）举行了一场网络直播和抽奖活动，期间向会员承诺提供豪华奖品。至少有一次，GI CLUBS并未向据称赢得抽奖活动的会员提供一辆BMW（宝马），而是向该会员声称，该会员已要求将该BMW的价值用于将其GICLUBS Tier 1会员资格升级为GICLUBS Tier 4会员资格，并部分抵扣其后连续三年的年度会员费。截至2021年3月8日前后——在GICLUBS成立并开始收取“会员”费用数月后——GICLUBS尚无商业计划或董事会。\n\nf. KWOK（郭文贵）和JE（闫明）还将GICLUBS作为继续进行欺诈性私募发行的机制。KWOK及其他已知和未知人员告诉KWOK的网络追随者，购买GICLUBS会员资格将使他们有权获得KWOK关联实体的股票，例如GTV和GIFashion。\n\ni. 在2021年5月4日前后一次关于GICLUBS会员资金的谈话中，JE实质上和部分地表示：“首先，[潜在会员]是在购买GICLUBS会员资格，但他们期待将来可能会获得一些股份，你知道的，关于、关于、关于未来的GTV，我认为这是他们的期待。”\n\nii. 2021年7月30日前后，KWOK在通过社交媒体发布的一段视频中实质上和部分地表示：“一些战友问，‘我购买GICLUBS会员资格时，是否仍会获得免费股票发售？’百分之百。因为我说过，我必须承诺，凡是在9月17日之前购买G-Club会员资格的人，必须获配股份，这完全一样。因为我们说过，任何人都可以选择在9月17日之前用你的钱购买G-Club，G-Club和股票份额。你会同时获得两者。”\n\ng. KWOK、JE及其他已知和未知人员要求投资者购买GICLUBS的多个会员资格，使KWOK和JE能够增加募集的资金数额。就此而言，GICLUBS网站实质上和部分地称，拥有多个会员资格的会员将“获得额外福利”，而事实上，如KWOK和JE明知，多个会员资格并不向会员提供额外福利。\n\n16. 总计而言，投资者购买了价值数亿美元的GI CLUBS会员资格。然而，其中大部分资金并未用于资助GICLUBS的业务。相反，被告HO WAN KWOK（郭文贵），又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，以及KIN MING JE（闫明），又名“William Je”，连同其他已知和未知人员，挪用了受害人向GICLUBS支付的“会员”费用中的很大一部分，并使用包括复杂的实体和银行账户网络在内的手段实施挪用。例如：\n\na. 经由以其他实体名义开设的银行账户转入的GICLUBS资金，被用于支付KWOK及其家人的个人开支，包括购买一艘约$2.6 million的豪华游艇，以及合计成本超过$5 million的豪华汽车。\n\nb. 2021年11月前后，JE指示将约$26.5 million的GICLUBS资金——该等资金经由以其他实体名义开设的银行账户转入——用于购买KWOK位于New Jersey（新泽西州）的50,000平方英尺豪宅。\n\nc. JE指示将额外$13 million的GICLUBS会员付款转入一个托管账户。该等资金随后被用于支付对KWOK新泽西州豪宅的奢华翻修，包括为Relative-I（亲属1）设置的一翼和为Relative-2（亲属2）设置的一翼，并购买各类家具和装饰物品，其中包括价值约$978,000的中国和波斯地毯、一台$62,000的电视，以及一个$53,000的壁炉柴架托座。\n\nd. 2021年8月5日前后，JE指示将约$1.1 million的GICLUBS会员付款转入由JE控制的一个银行账户。\n\ne. GICLUBS使用会员费购买豪华汽车，包括一辆定制的Bugatti（布加迪）跑车，价格约为$4.4 million。尽管该车已签署的购买协议将GICLUBS列为客户，但该定制车辆的初始规格文件将Relative-I列为客户。Relative-I在GICLUBS没有任何正式职务。\n\n喜马拉雅交易所\n\n17. 至少自2021年4月前后起至至少2023年3月前后止，被告HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，以及KIN MING JE，又名“William Je”，连同其他已知和未知人员，通过Himalaya Exchange（喜马拉雅交易所）这一可通过互联网访问的所谓加密货币“生态系统”，以欺诈手段取得超过约$262 million的受害人资金。喜马拉雅交易所包括一种名为Himalaya Dollar（“HDO”或“H Dollar”）的所谓稳定币，以及一种名为Himalaya Coin（“HCN”或“H Coin”）的交易币。喜马拉雅交易所声称，该“稳定币”是一种由储备支持、价值固定为1-to-$1的数字资产，而该“交易币”是一种估值基于供求关系的加密货币。JE为喜马拉雅交易所的创始人兼董事长。\n\n18. 在通过社交媒体发布的视频中，被告HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，大肆宣扬喜马拉雅交易所及HCN和HDO两者的前景和估值；其公开将二者称为加密货币。例如，在2021年10月20日前后发布于互联网的一段视频中，KWOK虚假地作出以下陈述，其中包括以下实质性内容：\n\na. “我说的是你们的H Coin，‘Brother Seven’［即KWOK］设计了它……它具有货币的属性，为什么？它有20%的黄金。太棒了［。］它第一天诞生时就是货币，所以它有价值，并且与黄金挂钩……直接实物黄金。无论它涨多少，20%都会变成黄金。”\n\nb. “如果H Coin毫无价值，[H Coin的发行人]可以出售全部20%的黄金，兑换给你，成为你的钱。或者取得20%黄金的全部价值，要求大家统一把它变成你的。”\n\nc. “如果任何人亏钱，我可以说我将100%赔偿。我给你100%。谁亏钱，我承担。”\n\nd. “我可以在一分钟内在市场上卖出H Coin，将其换回我的H Dollar，再换回你的法定货币单位。……［并且］你可以立即购买任何东西。”\n\n19. HCN和HDO的首次代币发行发生于2021年11月1日前后。HCN开始交易时价格为10 cents，并且在约两周内，喜马拉雅交易所网站声称每枚HCN据称价值约27 HDO（即$27），即价值上涨26,900%。也就是说，在首次代币发行约两周后，喜马拉雅交易所网站显示HCN据称的估值约为$27 billion。\n\n20. 在喜马拉雅交易所推出之时，被告HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，向其网络追随者及其他人推销HCN。例如，2021年11月1日前后——即首次代币发行当日——KWOK通过社交媒体发布了一首名为“HCoin To the Moon”的原创歌曲的官方音乐视频。“to the moon”一语通常与加密货币相关联，并暗示价值急剧上涨。该音乐视频描绘了KWOK身处多个奢华地点，并展示黄金和财富的图像。\n\n21. 包括在喜马拉雅交易所推出之后在内的某些时候，被告KIN MING JE，又名“William Je”，以误导性方式推销喜马拉雅交易所。例如，2022年6月前后，JE试图制造如下印象：从某一拍卖行购买一辆Ferrari（法拉利，以下简称“Ferrari”）的€3,561,127交易，是使用HDO完成的。JE实质上和部分地表示，他“非常高兴［一名］买家决定使用HDO购买［一辆］世界级汽车”。与JE的说法相反，该Ferrari并非使用HDO购买。事实上，如JE明知，一名喜马拉雅交易所雇员向该拍卖行发送了一笔国际银行电汇，以支付该Ferrari的价款，同时在喜马拉雅交易所处理了一笔相应的“交易”，以虚假地制造该购买系使用HDO完成的表象。JE的陈述还具有误导性，因为其中包括该Ferrari身份未公开的“买家”事实上是Relative-I。\n\n22. 与被告HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，以及KIN MING JE，又名“William Je”，连同其他已知和未知人员所作陈述相反，HCN和HDO不能在喜马拉雅交易所以外的任何地方交易，至少表面上如此。此外，与加密货币不同，HCN不能交易为或兑换为其他货币。HCN据称只能兑换为HDO（且仅能在喜马拉雅交易所兑换），而HDO据称只能兑换为或从法定货币兑换而来（且仅能在喜马拉雅交易所兑换）。\n\na. 事实上，喜马拉雅交易所网站上提供的HDO和HCN白皮书，以小号字体规定，与KWOK的陈述相反，HCN和HDO并非加密货币。相反，根据HCN白皮书，“喜马拉雅交易所及相关应用程序和基础设施的运营，将通过使用‘Credits’予以便利。”该等积分(i)“只能在喜马拉雅交易所或喜马拉雅生态系统内使用”，且(ii)“不附带任何要求将其兑换为法定货币或加密资产的权利”。此外，尽管喜马拉雅交易所会员可请求将其“HDO”积分兑换为等值的美元付款，但HDO白皮书规定，喜马拉雅交易所有“酌处权”拒绝任何该等请求。\n\n23. 2022年4月前后，被告HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，以及KIN MING JE，又名“William Je”，安排将约$37 million的喜马拉雅交易所资金从一个喜马拉雅交易所银行账户转入某一托管账户。该$37 million被构造为一笔所谓“贷款”，用于支付一艘KWOK此前已购买并使用的豪华游艇的成本；该游艇当时由一个以Relative-2名义持有的实体拥有。\n\n政府扣押欺诈所得\n\n24. 2022年9月20日和2022年9月21日前后，美国当局向数家境内银行送达经司法授权的扣押令，随后从以喜马拉雅交易所实体及与被告HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，以及KIN MING JE，又名“William Je”相关的其他实体名义持有的银行账户中，扣押约$335 million的所得。在2022年9月经司法授权的扣押之后，JE试图将约$46 million从尚未被美国扣押的、与喜马拉雅交易所相关的境内银行账户，转至由JE控制的一个位于UAE（阿拉伯联合酋长国）的银行账户。\n\na. 在首次经司法授权扣押与喜马拉雅交易所相关的资金后约两天内，即2022年9月22日前后，JE联系了一家持有喜马拉雅交易所银行账户的境内银行管理层。JE寻求实施一笔电汇；他和一名喜马拉雅交易所高管向该境内银行声称，该电汇是为一名未具名的“VIP”（即喜马拉雅交易所的非常重要客户）实现从HDO兑换为美元所必需的。\n\nb. 在随后与该美国境内银行的沟通中，JE透露，该贵宾（VIP）实际上就是JE本人。JE向该美国境内银行提供了文件，显示JE于2022年9月22日前后进行的两笔据称HCN销售，合计46 million HDO，JE正试图将其“转换”为\\$46 million。JE两次向该美国境内银行的管理层强调，其实质内容和部分内容为，该笔\\$46 million转账必须在“今天完成，否则毫无意义。”\n\n25. 于2022年10月16日前后，根据经司法授权的搜查令，美国当局从JE请求转出\\$46 million的该美国境内银行中若干Himalaya Exchange（喜马拉雅交易所）和GICLUBS账户，另行扣押了约\\$274 million的所得款项。\n\na. 因经司法授权的扣押，美国当局扣押了超过约\\$634 million的欺诈所得，包括从以Himalaya Exchange实体名义持有的银行账户中扣押的约\\$278 million，其中包括据称持有其HDO现金储备的账户。\n\nb. 扣押后，Himalaya Exchange网站仍声称，HDO由“由美元及现金等价资产构成的储备”支持，而事实上并非如此。\n\nc. 尽管Himalaya Exchange的现金储备被扣押，截至本起诉书日期，HCN的据称价格并未突然大幅下跌。\n\n法定指控\n\n26. 自至少2018年前后起至至少2023年3月前后止，在Southern District of New York（纽约南区）及其他地区，HO WAN KWOK（郭文贵），又名“Miles Guo（郭文贵）”，又名“Miles Kwok（郭文贵）”，又名“Guo Wengui（郭文贵）”，又名“Brother Seven（七哥）”，又名“The Principal（主公）”，KIN MING JE（闫明），又名“William Je（闫明）”，以及YANPING WANG（王雁平），又名“Yvette（王雁平）”，即被告人，连同其他已知及未知人员，故意且明知地共同结合、共谋、结盟并相互达成协议，实施针对美国的犯罪，即：(1) 违反Title 18, United States Code, Section 1343的电信欺诈；(2) 违反Title 15, United States Code, Sections 78j(b) & 78ff，以及Title 17, Code of Federal Regulations, Section 240.10b-5的证券欺诈；(3) 违反Title 18, United States Code, Section 1344的银行欺诈；(4) 违反Title 18, United States Code, Section 1956(a)(2)(A)的国际促进型洗钱；以及(5) 违反Title 18, United States Code Section 1956(a)(2)(B)(i)的国际隐匿型洗钱。\n\n27. 该共谋的一部分及其目的在于，HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，KIN MING JE，又名“William Je”，以及YANPING WANG，又名“Yvette”，即被告人，连同其他已知及未知人员，明知已设计并意图设计一项欺诈计划和手段，以及通过虚假和欺诈性的借口、陈述和承诺获取金钱和财产，将会并确实通过州际和外国商业中的电线、无线电和电视通信传输，及促使传输书面材料、标志、信号、图像和声音，以执行该等计划和手段，违反Title 18, United States Code, Section 1343，即KWOK、JE和WANG同意通过促使与GTV Private Placement（GTV私募配售）、Farm Loan Program（农场贷款计划）、GICLUBS和Himalaya Exchange有关的重大虚假信息和虚假陈述经州际电信传输，以获取受害人的金钱。\n\n28. 该共谋的进一步一部分及其目的在于，HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，KIN MING JE，又名“William Je”，以及YANPING WANG，又名“Yvette”，即被告人，连同其他已知及未知人员，故意且明知地，直接或间接地，通过使用州际商业和邮政的一种方式和工具，以及全国性证券交易所的一项设施，就在全国性证券交易所注册的证券及任何未如此注册的证券的买卖，使用和采用操纵性及欺骗性的装置和手段，违反Title 17, Code of Federal Regulations, Section 240.10b-5，方式为：(a) 使用欺诈装置、计划和手段；(b) 作出对重大事实的不实陈述，并遗漏陈述为使已作出的陈述在作出该陈述的情形下不致产生误导所必需的重大事实；以及(c) 从事已经并将会对他人构成欺诈和欺骗的行为、惯例和业务过程，即KWOK、JE和WANG同意通过提供与据称GTV普通股股份及据称与GTV关联的公司有关的重大虚假及误导性信息和陈述，欺诈性地诱使投资者参与GTV Private Placement、Farm Loan Program和GICLUBS。\n\n29. 该共谋的进一步一部分及其目的在于，HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，KIN MING JE，又名“William Je”，以及YANPING WANG，又名“Yvette”，即被告人，连同其他已知及未知人员，明知地将会并确实实施及企图实施一项计划和手段，以欺诈Title 18, United States Code, Section 20所定义的金融机构，并通过虚假和欺诈性的借口、陈述和承诺，获取由该金融机构拥有及处于该金融机构保管和控制之下的金钱、资金、信贷、资产、证券及其他财产，违反Title 18, United States Code, Section 1344，即KWOK、JE和WANG同意参与一项计划，通过与GTV Private Placement、Farm Loan Program、GICLUBS和Himalaya Exchange有关的虚假和欺诈性借口、陈述及文件，误导美国金融机构，以获取至少一家金融机构的金钱，或处于至少一家金融机构保管或控制之下的金钱。\n\n30. 该共谋的进一步一部分及其目的在于，HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，KIN MING JE，又名“William Je”，以及YANPING WANG，又名“Yvette”，即被告人，连同其他已知及未知人员，将会并确实运输、传送和转移，以及企图运输、传送和转移货币工具和资金，从美国境内某地至并经由美国境外某地，以及从并经由美国境外某地至美国境内某地，意图促进实施特定非法活动，即本起诉书第二项至第八项罪名项所指控的犯罪，违反Title 18, United States Code, Section 1956(a)(2)(A)(i)。\n\n31. 该共谋的进一步一部分及其目的在于，HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，KIN MING JE，又名“William Je”，以及YANPING WANG，又名“Yvette”，即被告人，连同其他已知及未知人员，将会并确实运输、传送和转移，以及企图运输、传送和转移货币工具和资金，从美国境内某地至并经由美国境外某地，以及从并经由美国境外某地至美国境内某地，明知该等运输、传送和转移所涉货币工具和资金代表某种形式非法活动的所得，并明知该等运输、传送和转移经全部或部分设计，以隐瞒和掩饰特定非法活动所得的性质、地点、来源、所有权和控制权，即本起诉书第二项至第八项罪名项所指控的犯罪，违反Title 18, United States Code, Section 1956(a)(2)(B)(i)。\n\n公开行为\n\n32. 为推进该共谋并实现其非法目的，HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，KIN MING JE，又名“William Je”，以及YANPING WANG，又名“Yvette”，即被告人，连同其他已知及未知人员，在Southern District of New York及其他地区实施了下列公开行为及其他行为：\n\na. 于2020年4月21日前后，KWOK在社交媒体上发布，并促使发布一则视频，宣布通过GTV Private Placement进行未注册的GTV股票发行。\n\nb. 于2020年6月5日前后，WANG在Southern District of New York境内时，授权将\\$100 million从Saraca电汇至Fund-1。\n\nc. 于2020年7月22日前后，在通过社交媒体发布的一段视频中，KWOK推广了Farm Loan Program。\n\nd. 于2020年8月2日前后，在通过社交媒体发布的一段视频中，KWOK实质上和部分地表示：“GTV值多少？……市值为20亿美金。”\n\ne. 于2021年5月28日前后，JE将约\\$13 million从JE控制的阿拉伯联合酋长国银行账户，转至由一实体（由Relative-2拥有）在纽约州纽约市某特定银行持有的银行账户。\n\nf. 于2021年7月30日前后，在通过社交媒体发布的一段视频中，KWOK实质上和部分地表示：“一些战友问，‘[w]ill I still get a free stock offer when I buy a G-Clubs membership?’ 100%。因为我说过，我必须向任何在9月17日之前购买G-Clubs会员资格的人承诺，[他们]必须获配股份，这完全一样。因为我们说过，任何人都可以选择在9月17日之前用你的钱购买G-Clubs、G-Clubs和股票股份。你将两者兼得。”\n\ng. 于2021年8月5日前后，JE指示将约\\$1.1 million从受害人为换取“会员资格”而向GICLUBS汇入的资金，转至JE控制的银行账户。\n\nh. 于2021年10月20日前后，在通过社交媒体发布的一段视频中，KWOK实质上和部分地表示，KWOK“设计了”HCN，“[n]o matter how much it raises, 20% will tum into gold”，并且“[i]f anyone loses money”于HCN，“I can say that I will compensate 100%。”\n\ni. 于2022年9月22日前后，JE向一家美国银行的管理层发送短信，实质上和部分地表示，向JE控制的阿拉伯联合酋长国银行账户转账\\$46 million必须在“今天完成，否则毫无意义。”\n\n(Title 18, United States Code, Section 371.)\n\n第二项罪名（电信欺诈—GTV私募配售）\n\n大陪审团进一步指控：\n\n33. 本起诉书第1至25段所载指控在此重复提出并再次主张，视同在此完整列明。\n\n34. 自至少约自 April 2020 起至至少约于 March 2021 止，在 Southern District of New York（纽约南区）及其他地区，被告人 HO WAN KWOK（郭文贵），又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，KIN MING JE，又名“William Je”，以及 YANPING WANG，又名“Yvette”，明知已设计并意图设计一项欺诈计划和手段，并通过虚假及欺诈性的借口、陈述和承诺获取金钱和财产，为执行该计划和手段之目的，经州际及国际商业中的有线电、无线电及电视通信，传输并致使传输文字、标志、信号、图像和声音；即，KWOK、JE 和 WANG 开展 GTV Private Placement，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人处获取金钱；该计划通过往返于 Southern District of New York 及其他地区的电子通信和资金转移而得以推进。\n\n(Title 18, United States Code, Sections 1343 and 2.)\n\n第三罪名项（证券欺诈——GTV Private Placement）\n\n大陪审团进一步指控：\n\n35. 本起诉书第 1 至 25 段所载指控在此重述并再次提出，犹如在此完整列明。\n\n36. 自至少约自 April 2020 起至至少约于 March 2021 止，在 Southern District of New York 及其他地区，被告人 HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，KIN MING JE，又名“William Je”，以及 YANPING WANG，又名“Yvette”，故意且明知地，直接及间接地，通过使用州际商业和邮政的方式及工具，以及全国证券交易所的设施，就在全国证券交易所注册的证券和任何未如此注册的证券的买卖，使用和采取操纵性及欺骗性的装置和手段，违反 Title 17, Code of Federal Regulations, Section 240.10b-5，具体方式为：(a) 使用欺诈性装置、计划和手段；(b) 作出对重要事实的不实陈述，并遗漏陈述为使已作出的陈述在作出该陈述的情形下不具有误导性所必需的重要事实；以及 (c) 从事对他人构成并将构成欺诈和欺骗的行为、做法及经营过程；即，KWOK、JE 和 WANG 开展 GTV Private Placement，以出售 GTV 股票，并通过虚假陈述和失实陈述从受害人处获取金钱；该计划通过往返于 Southern District of New York 及其他地区的电子通信和资金转移而得以推进。\n\n(Title 15, United States Code, Sections 78j(b) & 78ff; Title 17, Code of Federal Regulations, Section 240.10b-5; and Title 18, United States Code, Section 2.)\n\n第四罪名项（电信欺诈——Farm Loan Program）\n\n大陪审团进一步指控：\n\n37. 本起诉书第 1 至 25 段所载指控在此重述并再次提出，犹如在此完整列明。\n\n38. 自至少约自 June 2020 起至至少约于 March 2023 止，在 Southern District of New York 及其他地区，被告人 HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，以及 KIN MING JE，又名“William Je”，明知已设计并意图设计一项欺诈计划和手段，并通过虚假及欺诈性的借口、陈述和承诺获取金钱和财产，为执行该计划和手段之目的，经州际及国际商业中的有线电、无线电及电视通信，传输并致使传输文字、标志、信号、图像和声音；即，KWOK 和 JE 开展 Farm Loan Program，以通过虚假陈述和失实陈述欺诈性地从受害人处获取金钱；该计划通过往返于 Southern District of New York 及其他地区的电子通信和资金转移而得以推进。\n\n(Title 18, United States Code, Sections 1343 and 2.)\n\n第五罪名项（证券欺诈——Farm Loan Program）\n\n大陪审团进一步指控：\n\n39. 本起诉书第 1 至 25 段所载指控在此重述并再次提出，犹如在此完整列明。\n\n40. 自至少约自 June 2020 起至至少约于 March 2023 止，在 Southern District of New York 及其他地区，被告人 HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，以及 KIN MING JE，又名“William Je”，故意且明知地，直接及间接地，通过使用州际商业和邮政的方式及工具，以及全国证券交易所的设施，就在全国证券交易所注册的证券和任何未如此注册的证券的买卖，使用和采取操纵性及欺骗性的装置和手段，违反 Title 17, Code of Federal Regulations, Section 240.10b-5，具体方式为：(a) 使用欺诈性装置、计划和手段；(b) 作出对重要事实的不实陈述，并遗漏陈述为使已作出的陈述在作出该陈述的情形下不具有误导性所必需的重要事实；以及 (c) 从事对他人构成并将构成欺诈和欺骗的行为、做法及经营过程；即，KWOK 和 JE 开展 Farm Loan Program，以通过虚假陈述和失实陈述从受害人处获取金钱，包括但不限于有关 GTV 价值的陈述；该计划通过往返于 Southern District of New York 及其他地区的电子通信和资金转移而得以推进。\n\n(Title 15, United States Code, Sections 78j(b) & 78ff; Title 17, Code of Federal Regulations, Section 240.10b-5; and Title 18, United States Code, Section 2.)\n\n第六罪名项（电信欺诈——GICLUBS）\n\n大陪审团进一步指控：\n\n41. 本起诉书第 1 至 25 段所载指控在此重述并再次提出，犹如在此完整列明。\n\n42. 自至少约自 June 2020 起至至少约于 March 2023 止，在 Southern District of New York 及其他地区，被告人 HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，以及 KIN MING JE，又名“William Je”，明知已设计并意图设计一项欺诈计划和手段，并通过虚假及欺诈性的借口、陈述和承诺获取金钱和财产，为执行该计划和手段之目的，经州际及国际商业中的有线电、无线电及电视通信，传输并致使传输文字、标志、信号、图像和声音；即，KWOK 和 JE 推广及营销 GICLUBS，以通过虚假陈述和失实陈述欺诈性地从受害人处获取金钱；该计划通过往返于 Southern District of New York 及其他地区的电子通信和资金转移而得以推进。\n\n(Title 18, United States Code, Sections 1343 and 2.)\n\n第七罪名项（证券欺诈——GICLUBS）\n\n大陪审团进一步指控：\n\n43. 本起诉书第 1 至 25 段所载指控在此重述并再次提出，犹如在此完整列明。\n\n44. 自至少约自 June 2020 起至至少约于 March 2021 止，在 Southern District of New York 及其他地区，被告人 HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，以及 KIN MING JE，又名“William Je”，故意且明知地，直接及间接地，通过使用州际商业和邮政的方式及工具，以及全国证券交易所的设施，就在全国证券交易所注册的证券和任何未如此注册的证券的买卖，使用和采取操纵性及欺骗性的装置和手段，违反 Title 17, Code of Federal Regulations, Section 240.10b-5，具体方式为：(a) 使用欺诈性装置、计划和手段；(b) 作出对重要事实的不实陈述，并遗漏陈述为使已作出的陈述在作出该陈述的情形下不具有误导性所必需的重要事实；以及 (c) 从事对他人构成并将构成欺诈和欺骗的行为、做法及经营过程；即，KWOK 和 JE 推广及营销 GICLUBS，以通过虚假陈述和失实陈述从受害人处获取金钱，包括但不限于有关 GTV 价值的陈述；该计划通过往返于 Southern District of New York 及其他地区的电子通信和资金转移而得以推进。\n\n(Title 15, United States Code, Sections 78j(b) & 78ff; Title 17, Code of Federal Regulations, Section 240.10b-5; and Title 18, United States Code, Section 2.)\n\n第八罪名项（电信欺诈——The Himalaya Exchange）\n\n大陪审团进一步指控：\n\n45. 本起诉书第 1 至 25 段所载指控在此重述并再次提出，犹如在此完整列明。\n\n46. 自至少约自 April 2021 起至至少约于 March 2023 止，在 Southern District of New York 及其他地区，被告人 HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，以及 KIN MING JE，又名“William Je”，明知已设计并意图设计一项欺诈计划和手段，并通过虚假及欺诈性的借口、陈述和承诺获取金钱和财产，为执行该计划和手段之目的，经州际及国际商业中的有线电、无线电及电视通信，传输并致使传输文字、标志、信号、图像和声音；即，KWOK 和 JE 运营 The Himalaya Exchange，以通过虚假陈述和失实陈述欺诈性地从受害人处获取金钱；该计划通过往返于 Southern District of New York 及其他地区的电子通信和资金转移而得以推进。\n\n(Title 18, United States Code, Sections 1343 and 2.)\n\n第九罪名项（国际促进型洗钱）\n\n大陪审团进一步指控：\n\n47. 本起诉书第 1 至 25 段所载指控在此重述并再次提出，犹如在此完整列明。\n\n48. 自至少约自 2018 起至至少约于 March 2023 止，在 Southern District of New York 及其他地区，被告人 HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，以及 KIN MING JE，又名“William Je”，曾将并企图将货币工具和资金从美国境内某地运输、传送和转移至经由美国境外某地的地点，以及从经由美国境外某地的地点运输、传送和转移至美国境内某地，意图促进特定非法活动的实施；即，KWOK 和 JE 指示并进行了资金进出美国及经由美国的国际转移，意图促进本起诉书第二至第八罪名项中的欺诈罪行。\n\n(Title 18, United States Code, Sections 1956(a)(2)(A) and 2.)\n\n第十罪名项（国际隐匿型洗钱）\n\n大陪审团进一步指控：\n\n49. 本起诉书第1至25段所载指控在此重述并再次主张，犹如在本文中完整载明。\n\n50. 自至少约2018年起至至少约2023年3月止（包括该期间），在Southern District of New York（纽约南区）及其他地区，被告HO WAN KWOK（郭文贵），又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，以及KIN MING JE（谢建明），又名“William Je”，明知所涉运输、传送和转移中的货币工具及资金系某种形式非法活动的所得，且明知该等运输、传送和转移全部或部分旨在隐瞒和掩饰特定非法活动所得的性质、所在地、来源、所有权及控制权，仍将货币工具和资金从美国境内某地运输、传送和转移，并企图运输、传送和转移至及经由美国境外某地；以及将货币工具和资金从及经由美国境外某地运输、传送和转移，并企图运输、传送和转移至美国境内某地；即，KWOK和JE将涉及欺诈所得的国际金融交易转入、转出及经由美国进行，包括但不限于涉及以名义上由其他个人所有的实体及与被告无明显关联的实体名义持有的银行账户的交易，以隐瞒欺诈所得的所有权、控制权及／或收取情况，以及该等所得的非法性质和来源；所述欺诈犯罪载于本起诉书第二至第八罪名项。\n\n（《美国法典》第18编第1956(a)(2)(B)(i)条和第2条。）\n第十一罪名项（非法货币交易）\n\n大陪审团进一步指控：\n\n51. 本起诉书第1至25段所载指控在此重述并再次主张，犹如在本文中完整载明。\n\n52. 约于2020年6月5日，在纽约南区及其他地区，被告HO WAN KWOK（郭文贵），又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，KIN MING JE（谢建明），又名“William Je”，以及Y ANPING WANG（王雁平），又名“Yvette”，在美国境内，明知而进行并企图进行《美国法典》第18编第1957(f)(1)条所定义的货币交易，该交易涉及价值超过\\$10,000、源自特定非法活动的犯罪所得财产；即，KWOK、JE和WANG将源自第二和第三罪名项所控犯罪的大约\\$100 million汇款转账至Fund-1，并指使他人作出该汇款转账。\n\n（《美国法典》第18编第1957条和第2条。）\n第十二罪名项（妨碍司法）\n\n大陪审团进一步指控：\n\n53. 本起诉书第1至25段所载指控在此重述并再次主张，犹如在本文中完整载明。\n\n54. 自至少约2022年9月20日起至本起诉书提交之日止，在纽约南区及其他地区，被告KIN MING JE（谢建明），又名“William Je”，腐败地妨碍、影响和阻挠一项正式程序，并企图如此行事；即，JE企图将资金转移至美国管辖范围之外的阿拉伯联合酋长国，以阻碍和干扰纽约南区联邦大陪审团对本起诉书第一至第十一罪名项所指控犯罪的调查，以及United States District Court for the Southern District of New York（美国纽约南区联邦地区法院）就查封和没收犯罪所得进行的程序。\n\n（《美国法典》第18编第1512(c)(2)条和第2条。）\n没收指控\n\n55. 作为实施本起诉书第一至第八罪名项所指控犯罪的结果，被告HO WAN KWOK（郭文贵），又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，KIN MING JE（谢建明），又名“William Je”，以及Y ANPING WANG（王雁平），又名“Yvette”，应依照《美国法典》第18编第981(a)(1)(C)条和《美国法典》第28编第2461(c)条，向美国没收构成或源自可追溯至实施所述犯罪所得的任何及全部不动产和动产，包括但不限于以美元计、代表可追溯至实施所述犯罪所得数额的一笔款项，以及下列特定财产：\n\na. 原存入以“Hamilton Opportunity Fund SPC（汉密尔顿机会基金SPC）”名义在Silvergate Bank（银门银行）开立的账户号码5090037713中的\\$64,826.87美元，政府于约2022年9月18日予以查封；\n\nb. 原存入以“Hamilton Opportunity Fund SPC（汉密尔顿机会基金SPC）”名义在银门银行开立的账户号码5090037705中的\\$75,000,000.00美元，政府于约2022年9月18日予以查封；\n\nc. 原存入以“Hamilton Opportunity Fund SPC（汉密尔顿机会基金SPC）”名义在银门银行开立的账户号码5090037754中的\\$467,343.00美元，政府于约2022年9月18日予以查封；\n\nd. 原存入以“Hamilton Opportunity Fund SPC（汉密尔顿机会基金SPC）”名义在银门银行开立的账户号码5090042770中的\\$89,992,861.75美元，政府于约2022年9月18日予以查封；\n\ne. 原存入以“Hamilton Opportunity Fund SPC（汉密尔顿机会基金SPC）”名义在银门银行开立的账户号码5090042762中的\\$1,683,077.40美元，政府于约2022年9月18日予以查封；\n\nf. 原存入以“Hamilton Opportunity Funds SPC（汉密尔顿机会基金SPC）”名义在银门银行开立的账户号码5090042853中的\\$85,899,889.20美元，政府于约2022年9月18日予以查封；\n\ng. 原存入以“Hamilton Investment Management Ltd.（汉密尔顿投资管理有限公司）”名义在银门银行开立的账户号码5090030288中的\\$48,230,709.62美元，政府于约2022年9月18日予以查封；\n\nh. 原存入以“Hamilton Opportunity Fund SPC（汉密尔顿机会基金SPC）”名义在银门银行开立的账户号码5090037739中的\\$1,800,000.00美元，政府于约2022年9月18日予以查封；\n\ni. 原存入以“Hamilton Opportunity Funds SPC（汉密尔顿机会基金SPC）”名义在银门银行开立的账户号码5090042853中的\\$85,899,889.20美元，政府于约2022年9月18日予以查封；\n\nj. 原存入以“Himalaya International Reserves, Ltd.（喜马拉雅国际储备有限公司）”名义在FV Bank（FV银行）开立的账户号码7801000590中的\\$4,643,744.70美元，政府于约2022年9月20日予以查封；\n\nk. 原存入以“Himalaya International Clearing, Ltd.（喜马拉雅国际清算有限公司）”名义在FV银行开立的账户号码7801000254中的\\$14,599,257.25美元，政府于约2022年9月20日予以查封；\n\nl. 原存入以“G Club International Ltd.（G俱乐部国际有限公司）”名义在Mercantile Bank International（商业国际银行）开立的账户号码MBI10103-0000中的\\$11,538,579.87美元，政府于约2022年10月16日予以查封；\n\nm. 原存入以“Himalaya International Clearing Ltd.（喜马拉雅国际清算有限公司）”名义在商业国际银行开立的账户号码MBI10133-0000中的\\$10,008,284.04美元，政府于约2022年10月16日至约2023年3月10日期间予以查封；\n\nn. 原存入以“Hamilton Capital Holding Ltd.（汉密尔顿资本控股有限公司）”名义在商业国际银行开立的账户号码MBI10137-0000中的\\$3,090,856.54美元，政府于约2022年10月16日至约2023年3月10日期间予以查封；\n\no. 原存入以“Himalaya International Reserves Ltd.（喜马拉雅国际储备有限公司）”名义在商业国际银行开立的账户号码MBI10138-0000中的\\$272,350,313.76美元，政府于约2022年10月16日至约2023年3月10日期间予以查封；\n\np. 原存入以“Himalaya International Financial Group Ltd.（喜马拉雅国际金融集团有限公司）”名义在商业国际银行开立的账户号码MBI10139-0000中的\\$310,594.31美元，政府于约2022年10月16日至约2023年3月10日期间予以查封；\n\nq. 原存入以“Hamilton Investment Management Ltd.（汉密尔顿投资管理有限公司）”名义在商业国际银行开立的账户号码MBI10171-0000中的\\$1,187,278.87美元，政府于约2022年10月16日至约2023年3月10日期间予以查封；\n\nr. 原存入以“G Fashion International Limited（G时尚国际有限公司）”名义在商业国际银行开立的账户号码MBI10172-0000中的\\$43,782.71美元，政府于约2022年10月16日予以查封；\n\ns. 原存入以“Himalaya Currency Clearing Pty Ltd.（喜马拉雅货币清算有限公司）”名义在商业国际银行开立的账户号码MBI10183-0000中的\\$161,809.47美元，政府于约2022年10月16日予以查封；\n\nt. 原存入以“GETTR USA, Inc.（GETTR美国公司）”名义在Manufacturers & Traders Trust Co.（制造商与交易商信托公司）开立的账户号码9878904409中的\\$2,745,377.75美元，政府于约2022年9月18日予以查封；\n\nu. 原存入以“G Fashion（G时尚）”名义在US Bank（美国银行）开立的账户号码157525208185中的\\$9,899,659.19美元，政府于约2022年9月18日予以查封；\n\nv. 位于675 Ramapo Valley Road, Mahwah, New Jersey 07430的全部土地或地块，连同其建筑物、附属物、改良物、固定装置、附着物及地役权，地块编号为3300021-03-00001-02，并描述为：地块编号：1.02；街区：21.03；区：33；城市、市政区、镇区：MAHWAH TWP；\n\nw. 一辆Bugatti Chiron Super Sport（布加迪Chiron Super Sport），车辆识别号码为VF9SW3V3XNM795047；\n\nx. 一辆Lamborghini Aventador SVJ Roads（兰博基尼Aventador SVJ Roads），车辆识别号码为ZHWUN6ZD2MLA10393；\n\ny. 一辆Rolls Royce Phantom EWB（劳斯莱斯幻影EWB），车辆识别号码为SCA TT8C08MU206445；\n\nz. 一艘2014年建造的46米Feadship（斐帝星）超级游艇“Lady May”（原名Como），IMO编号为112359，MMSI编号为319059500，呼号为ZGDQ9；\n\naa. 一架Bosendorfer 185VC Porsche #49539钢琴，配有定制琴凳，购置价约为\\$140,938.69；\n\nbb. 一张Railis Design Iceland Contemporary Poseidon Bed with Nightstands, Ebony Veneer, Brass, Velvet床，配床头柜、乌木饰面、黄铜和天鹅绒，购置价约为\\$31,413.71；\n\ncc. 一张Hastens 2000T md床垫，购置价约为\\$36,590.00；\n\ndd. 一张Hastens 2000T sf床垫，购置价约为\\$36,210.00；\n\nee. 一个Wembe手表收纳盒，购置价约为\\$59,392.91；\n\nff. 一台Samsung Q900 Series QN98Q900RBF 98\" QLED Smart TV - 8K（三星Q900系列QN98Q900RBF 98英寸QLED智能电视—8K），购置价约为\\$62,787.54；\n\ngg. 一件Joseph Emmanuel Zweiner制作的路易十五风格法国镀金铜饰桃花心木五斗橱；\n\nhh. 一张由Philip & Kelvin La Verne制作、名为“K'ang Hsi”的延伸桌，以蚀刻和做旧锡镴及青铜制成，并配有手绘彩色珐琅，购置价约为\\$180,000.00；以及\n\nii. 一张由Gabriella Crespi制作、1982年意大利产、名为“Punto '83”的不锈钢桌，配有可调节高度和可调节花瓣的网状桌面，购置价约为\\$180,000.00。\n\n(a)至(ii)项统称为“特定财产”。\n\n56. 作为实施本起诉书第一、九、十及十一罪名项所指控的洗钱犯罪的结果，被告HO WAN KWOK（郭文贵），又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，KIN MING JE（介明杰），又名“William Je”，以及Y ANPING WANG（王雁平），又名“Yvette”，应依据《美国法典》第18编第982(a)(l)条，向美国没收涉入该等犯罪的任何及全部不动产和动产，或可追溯至该等财产的任何财产，包括但不限于以美元计的、代表涉入该等犯罪的财产数额及特定财产的金钱。\n\n替代资产条款\n\n57. 如上述任何可没收财产因被告的任何作为或不作为而：\n\na. 经尽职调查后仍无法找到；\n\nb. 已被转让、出售给或存放于第三人处；\n\nc. 已被置于本院管辖权之外；\n\nd. 价值已大幅减少；或\n\ne. 已与其他财产混同，且难以在不造成困难的情况下分割；\n\n则美国拟依据《美国法典》第21编第853(p)条及第28编第2461(c)条，寻求没收被告的任何其他财产，直至达到上述可没收财产的价值。\n\n（《美国法典》第18编第981条及第982条；第21编第853条；以及第28编第2461条。）\n\n达米安·威廉姆斯（DAMIAN WILLIAMS） 美国联邦检察官","key_entities":["Je","Kwok","Guo","GTV","CIPA","Ho Wan Kwok","Himalaya","Miles Guo","Himalaya Exchange","William Je","Kin Ming Je","forfeiture","Farm Loan","Despins","Saraca","Yanping Wang","Paul Hastings","Fergenson","Murray","Finkel","Chinese Communist Party","GETTR","853(p)","Crime Victim","RICO"],"ecf_references":[{"doc_number":19,"court":"CTB"}],"word_count":17302,"status":"published","published_at":"2023-08-14 00:00:00","created_at":"2023-08-14","updated_at":"2026-08-23 21:52:53"}