{"id":"court_ctb_2490_0","court":"CTB","case_no":"22-50073","doc_number":2490,"sub_number":0,"doc_type":"NOTICE","filed_date":"2024-01-04","title":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION | -------------------------------------------","summary_zh":null,"summary_en":null,"body_en":"# **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| ------------------------------------------------------  | x           |                         |\n|---------------------------------------------------------|-------------|-------------------------|\n| In re:                                                  | :<br>:      | Chapter 11              |\n| HO WAN KWOK, et al.,1                                   | :<br>:      | Case No. 22-50073 (JAM) |\n| Debtors.                                                | :<br>:<br>: | (Jointly Administered)  |\n| ------------------------------------------------------x |             |                         |\n\n# **NOTICE OF CHAPTER 11 TRUSTEE REGARDING UPDATE WITH RESPECT TO DEBTOR'S CRIMINAL PROCEEDINGS PENDING IN UNITED STATES DISTRICT COURT FOR SOUTHERN DISTRICT OF NEW YORK**\n\nLuc A. Despins, as chapter 11 trustee (the \"Trustee\") for Ho Wan Kwok (the \"Debtor\"), hereby provides notice that, on January 3, 2024, the United States filed a superseding indictment [Criminal Case ECF No. 215] (the \"Superseding Indictment\") in the criminal case pending against the Debtor in the United States District Court for the Southern District of New York [case no. 1:23-cr-00118-AT] (the \"Criminal Case\"). A copy of the Superseding Indictment is attached hereto as **Exhibit A**.\n\nIn particular, the Trustee wishes to highlight the new allegations by the United States that the Debtor and various other entities and individuals (both known and unknown) were part of a criminal enterprise in violation of the racketeering laws of the United States.\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, Genever Holdings LLC, and 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## Dated: January 4, 2024 LUC A. DESPINS, CHAPTER 11 TRUSTEE\n\nBy: */s/ G. Alexander Bongartz*\n\nG. Alexander Bongartz (admitted *pro hac vice*) Avram E. Luft (admitted *pro hac vice*) PAUL HASTINGS LLP 200 Park Avenue New York, New York 10166 (212) 318-6079 aviluft@paulhastings.com alexbongartz@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\nDouglas S. Skalka (ct00616) Patrick R. Linsey (ct29437) NEUBERT, PEPE & MONTEITH, P.C. 195 Church Street, 13th Floor New Haven, Connecticut 06510 (203) 781-2847 dskalka@npmlaw.com plinsey@npmlaw.com\n\n*Counsel for the Chapter 11 Trustee*\n\n# **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| ------------------------------------------------------  | x           |                         |\n|---------------------------------------------------------|-------------|-------------------------|\n| In re:                                                  | :<br>:      | Chapter 11              |\n| HO WAN KWOK, et al.,1                                   | :<br>:      | Case No. 22-50073 (JAM) |\n| Debtors.                                                | :<br>:<br>: | (Jointly Administered)  |\n| ------------------------------------------------------x |             |                         |\n\n## **CERTIFICATE OF SERVICE**\n\nThe undersigned hereby certifies that on January 4, 2024, the foregoing Notice was electronically filed. Notice of this filing was sent by e-mail to all parties to the above-captioned chapter 11 case by operation of the Court's electronic filing (\"CM/ECF\") system or by mail to anyone unable to accept electronic filing as indicated on the Notice of Electronic Filing. Parties may access this filing through the Court's CM/ECF system.\n\nDated: January 4, 2024 By: */s/ G. Alexander Bongartz*\n\nG. Alexander Bongartz (admitted *pro hac vice*) Avram E. Luft (admitted *pro hac vice*) PAUL HASTINGS LLP 200 Park Avenue New York, New York 10166 (212) 318-6000 aviluft@paulhastings.com\n\n*Counsel for the Chapter 11 Trustee*\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, Genever Holdings LLC, and 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# **Exhibit A**\n\n**Superseding Indictment**\n\nCase 22-500731:20cm-2490.8-FifedD0104124t 2E5teFeld 01/04/24/17/41g011 of 53\n\n# ORIGINAL\n\n# UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK\n\n#### UNITED STATES OF AMERICA\n\n- 9-1\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,\" a/k/a \"Boss,\"\n\nKIN MING JE. a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and\n\nYANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\"\n\nDefendants.\n\n## COUNT ONE (Racketeering Conspiracy)\n\nThe Grand Jury charges:\n\n#### Overview of the Kwok Enterprise\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,\" a/k/a \"Boss,\" KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" 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 the K wok Enterprise through a series of complex fraudulent and fictitious businesses and\n\n# SUPERSEDING INDICTMENT\n\nS2 23 Cr. 118 (AT)\n\ninvestment opportunities that connected dozens of interrelated entities, which allowed the defendants and their co-conspirators to solicit, launder, and misappropriate victim funds (collectively, the \"Kwok Enterprise\" as defined in paragraph 3b. below).\n\n2. HO WAN KWOK, alk/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" a/k/a \"Boss,\" KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" 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. 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, strengthen the Kwok Enterprise, 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. To effectuate their 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,\" a/k/a \"Boss,\" KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" the defendants, and others known and unknown, created and maintained several interrelated and overlapping entities-i.e., the Kwok Enterprise. The Kwok Enterprise obtained fraud proceeds, laundered those proceeds, spent fraud proceeds on expensive and luxury items, vehicles, and property for the benefit of KWOK and his family, used fraud proceeds to promote the Kwok Enterprise, and used fraud proceeds to operate and manage the K wok Enterprise.\n\na. The interrelated and overlapping entities that form the Kwok Enterprise include: ACA Capital Group Limited, ACA Investment Limited, Freedom Media\n\n#### Case 22-5003231:20ew-2490.8-FifedDiddle12.412EsteFeed @0000244.774age14 of 53\n\nof New York and elsewhere. The Kwok Enterprise was engaged in, and its activities affected, interstate and foreign commerce.\n\n4. To further effectuate their scheme, HO WAN KWOK, a/k/a \"Miles Guo,\" alla \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" a/k/a \"Boss,\" KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" 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, including entities that are part of the Kwok Enterprise. Hundreds of millions of dollars of the fraudulent scheme's proceeds were transferred, either directly or indirectly, to bank accounts in the United States, the Bahamas, Switzerland, and the United Arab Emirates (\"UAE\"), among other places, and held in the name of entities owned or otherwise controlled by JE, including ACA Capital, Hamilton Investment Management Ltd., and Hamilton Opportunity Fund SPC.\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,\" a/k/a \"Boss,\" and KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" 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 approximately 50,000-square-foot mansion in New Jersey for KWOK and his family; luxury vehicles, including an approximately \\$3.5 million Ferrari and an approximately \\$4.4 million custom Bugatti for one of KWOK's close family members and co-conspirators (\"Relative-1\"); an approximately \\$37 million luxury yacht that was used by K WOK and his family and purchased in the name of one of : > |\n\nKWOK's close family members (\"Relative-2\"); a piano valued at approximately \\$140,000; two approximately \\$36,000 mattresses; and a \\$100 million investment in a high-risk hedge fund for the ultimate benefit of Relative-1, 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. For her part, among other things, YANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" was paid at least approximately \\$500,000 per year, was gifted an approximately \\$1.1 million-dollar Manhattan condominium, and was promised millions of dollars' worth of a purported cryptocurrency.\n\n6. 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,\" a/k/a \"Boss,\" KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" the defendants, and their co-conspirators, operated the scheme for years, and continued to do so through at least March 2023. They did so by, among other things, expanding the Kwok Enterprise to include additional entities and individuals; continually adapting the scheme's means and methods to evade the enforcement of investor-protection, anti-money laundering, and bankruptcy laws in the United States; and retaliating against individual victims, and others, who complained, requested return of invested funds, or criticized the Kwok Enterprise.\n\n## Purposes of the Enterprise\n\n7. The purposes of the Kwok Enterprise included, but were not limited to, the following:\n\n- a. Enriching the members and associates of the enterprise;\n- b. Obtaining the money and property of victims;\n- c. Concealing and laundering fraud proceeds;\n\nd. Purchasing, with fraud proceeds, expensive and luxury items, vehicles, and property for the benefit of the defendants and their co-conspirators; and\n\ne. Promoting, increasing, and preserving the standing of the Kwok Enterprise, entities that are part of the Kwok Enterprise, and members of the Kwok Enterprise, including 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,\" a/k/a \"Boss,\" in order to solicit additional victims, as well as to exert influence over, or to intimidate, those who criticized or threatened the Kwok Enterprise.\n\n#### Means and Methods of the Enterprise\n\n8. The means and methods by which the members and the associates of the Kwok Enterprises conducted their affairs included, but were not limited to, the following:\n\na. Causing the Kwok Enterprise to amass significant assets through false and fraudulent misrepresentations;\n\nb. Obstructing and circumventing law enforcement and civil regulatory authorities;\n\nc. Obstructing and ignoring court orders;\n\nd. Concealing fraud proceeds through, among other things, monetary transfers between entities within the Kwok Enterprise; and\n\ne. Harassing, threatening, and silencing critics of HO WAN KWOK, ak/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" a/k/a \"Boss,\" the defendant, and the Kwok Enterprise.\n\n#### Relevant Persons and Entities\n\n9. 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,\" a/k/a \"Boss,\" the defendant, was the leader of, and directed, the Kwok Enterprise.\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 listed 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 K WOK'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. KWOK directed others to create and maintain a variety of corporate entities that would come to make up the Kwok Enterprise over which KWOK was in charge.\n\n10. At all relevant times, KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" 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\n\nnumerous companies and investment vehicles central to the scheme and served as the financial architect and key money launderer for the Kwok Enterprise.\n\n11. At all relevant times, YANPING WANG, ak/a \"Y vette,\" a/k/a \"Y,\" the defendant, was a citizen of China who principally resided in New York, New York and has had a close relationship with HO WANKWOK, 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,\" a/k/a \"Boss,\" 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 and the Kwok Enterprise. In that capacity, WANG has held titles in, and exercised control over, a variety of entities that were part of the Kwok Enterprise and 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, and exercised control over other entities within the Kwok Enterprise, even where she held no formal position or title.\n\n12. At certain times relevant to this Indictment, Saraca Media Group, Inc. (\"Saraca\") was a corporation based in New York. Relative-1 was its ultimate beneficial owner.\n\n13. 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,\" a/k/a \"Boss,\" the defendant, although KWOK held no formal position or title at GTV. KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" 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 \"Y vette,\" a/k/a \"Y,\" the defendant, was an \"Executive Director\" of GTV.\n\ncryptocurrencies, assisted in the recruitment of Himalaya Exchange personnel, and worked to transfer fraud proceeds to the Himalaya Exchange.\n\n#### The Kwok Enterprise's Fraud\n\n## The GTV Private Placement\n\n16. 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,\" a/k/a \"Boss,\" KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" 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\"). The GTV Private Placement scheme included, but was not limited to, the following:\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 materials-including the written \"Confidential Information Memorandum\" (the \"Private Placement Memorandum\" or \"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. YANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" 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\ni. 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\niii. The PPM included a chart itemizing the \"contemplated use of proceeds\" raised from the GTV Private Placement:\n\n| Description                                            | Percentage of Proceeds |\n|--------------------------------------------------------|------------------------|\n| Acquisition of companies to strengthen and grow<br>GIN | Approximate 70%        |\n| Upgrade of GTV technology and security                 | Approximate 10%        |\n| Marketing                                              | Approximate 8%         |\n| Working capital                                        | Approximate 7%         |\n| Other                                                  | Approximate 5%         |\n| Total                                                  | 10.0%                  |\n\ne. Between on or about April 20, 2020 and on or about June 2, 2020, approximately \\$452 million worth of GTV common stock was sold to more than 5,500 investors\n\nlocated 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-1.\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 individually 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,\" a/k/a \"Boss,\" KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" the defendants, and their coconspirators, 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-1\") for the benefit of Saraca and its ultimate beneficial owner, Relative-1. 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-1 was not made \"to strengthen and grow\" GTV's business or to benefit GTV, but rather was made for the benefit of Saraca and Relative-1. The victims who supplied the \\$100 million invested into Fund-1 did not own any shares of Saraca. Ultimately, the investment into Fund-1 lost approximately \\$30 million in value.\n\ni. After directing \\$100 million of GTV victim funds into Fund-1, 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\n17. Beginning in or about June 2020-the same month that HO WAN KWOK, alk/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" a/k/a \"Boss,\" KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" the defendants, and their co-conspirators misappropriated money from the GTV Private Placement for the benefit of Saraca and Relative-1-KWOK, JE, and their co-conspirators fraudulently obtained more than approximately \\$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, WANG 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\"). The Farm Loan Program scheme included, but was not limited to, the following:\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, stating, in substance and in part, \"the money has been changed to a new way of cooperation, signing a loan contract with a local farm, with 6% interest, giving you equity. . . . [i]n this case, it is a loan, and then you can ask for stocks . . . \" 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 of 2 billion US dollars.\"1 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\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\n<sup>1</sup> All statements attributed herein to KWOK have been translated from Mandarin to English.\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-1, 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## G|CLUBS\n\n18. 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,\" a/k/a \"Boss,\" KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" the defendants, and others known and unknown, fraudulently induced KWOK's followers to transfer additional funds to a purported online membership club called GCLUBS. From at least in or about June 2020 through at least in or about March 2023, KWOK, JE, WANG, and others known and unknown, fraudulently obtained more than approximately \\$250 million in victim funds through GCLUBS. The GCLUBS scheme included, but was not limited to, the following:\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, G|CLUBS 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 G|CLUBS, 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: a Tier 5 Membership cost \\$50,000; a Tier 4 Membership cost \\$40,000; a Tier 3 Membership cost \\$30,000; a Tier 2 Membership cost \\$20,000; and a 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 [GCLUBS] member[s] . . . \\$100 million dollars, the cash [in] the bank account. Then we have the 111 million . . . [who] want to join.\" By contrast, GCLUBS 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, JE, and WANG well knew, GCLUBS 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, GCLUBS maintained a relatively small number of employees and provided its members few to no discernable membership benefits. As of on or about March 8, 2021-months after GCLUBS launched and began to collect \"membership\" fees-G|CLUBS did not have a business plan or a board of directors.\n\nf. KWOK, JE, and WANG also used G|CLUBS as a mechanism to continue fraudulent private placement stock offerings. KWOK, and others known and unknown, told KWOK's online followers that their purchase of GCLUBS memberships would entitle them to stock in KWOK-affiliated entities, such as GTV and G|Fashion.\n\ni. In a conversation regarding GCLUBS membership funds on or about May 4, 2021, JE stated, in substance and in part, that \"first of all, [prospective members] are buying the G CLUBS 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, in a video distributed via social media, K WOK 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 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, WANG, and others known and unknown, asked investors to purchase multiple memberships in GCLUBS, enabling KWOK, JE, and WANG to increase the amount of money solicited. In this regard, the G|CLUBS 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, JE, and WANG well knew, multiple memberships did not provide members with commensurate additional benefits.\n\nh. All told, investors purchased hundreds of millions of dollars' worth of G(CLUBS memberships. However, most of this money did not fund the business of G(CLUBS. Rather, HO WAN KWOK, alk/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a\n\n\"Brother Seven,\" a/k/a \"The Principal,\" a/k/a \"Boss,\" KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" the defendants, and others known and unknown, misappropriated a substantial portion of the funds victims had paid G|CLUBS for \"memberships\" using, among other things, a complex web of entities and bank accounts to do so. For example:\n\ni. G|CLUBS funds, which had been funneled through bank accounts in other entities' names, were used to pay personal expenses for K WOK and his family, including luxury purchases of an approximately \\$2.6 million yacht and luxury automobiles that together cost more than \\$5 million.\n\nii. In or about November 2021, JE directed approximately \\$26.5 million of G|CLUBS 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\niii. JE directed the transfer of an additional \\$13 million of GCLUBS 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-1 and to 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\niv. On or about August 5, 2021, JE directed the transfer of approximately \\$1.1 million consisting of G/CLUBS membership payments into a bank account that JE controlled.\n\nv. G|CLUBS used membership fees to purchase luxury automobiles, including a custom-built Bugatti sports car for approximately \\$4.4 million. While the car's signed\n\npurchase agreement listed G(CLUBS as the customer, the initial specifications documentation for the custom-built car named Relative-1 as the customer. Relative-1 had no official position with GCLUBS.\n\n## The Himalaya Exchange\n\n19. 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,\" a/k/a \"Boss,\" and KIN MING JE, a/k/a \"Yu Jianming,\" 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 1-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. The Himalaya Exchange scheme included, but was not limited to, the following:\n\na. 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,\" a/k/a \"Boss,\" the defendant, trumpeted 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\ni. \"I am talking about your H Coins, 'Brother Seven' [i.e., KWOK] designed it . . . []]t has the attribute of currency, why? It has 20% gold. Awesome[.] [[]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\nii. \"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\niii. \"If anyone loses money, I can say that I will compensate 100%. I give you 100%. Whoever loses money, I will bear it.\"\n\niv. \"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\nb. The initial coin offering of HCN 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\nc. 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,\" a/k/a \"Boss,\" the defendant, 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\n\nin value. The music video depicted KWOK in various locations and depicted imagery of gold and wealth.\n\nd. At times, including following the Himalaya Exchange launch, KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" 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 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-1.\n\ne. 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,\" a/k/a \"Boss,\" and KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" the defendants, and others known and unknown, HCN and HDO were not cryptocurrencies. In particular, and contrary to the defendants' representations that HCN and HDO were cryptocurrencies, transactions using ICN and HDO were-unlike real cryptocurrencies-not recorded on a \"blockchain,\" which is an electronic. publicly accessible, decentralized ledger that uses cryptography to record cryptocurrency transactions Instead of using a publicly accessible blockchain, transactions in HCN and HDO were recorded in an internal database, which was not subject to public review.\n\nf. Moreover, HCN and HDO could not be traded anywhere other than (purportedly) on the Himalaya Exchange. Nor could HCN 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 could be converted only to or from fiat currency (and only on the Himalaya Exchange).\n\ni. 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 merely \"Credits.\" 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.\"\n\nii. 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\ng. In or about April 2022, HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" alk/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" a/k/a \"Boss,\" and KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" 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 \\$37 million was structured as a purported \"loan\" to personally guarantee 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#### Concealment of Ownership and Control\n\n20. Despite his extravagant lifestyle and his control of hundreds of millions of dollars in fraud proceeds, 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,\" a/k/a \"Boss,\" the defendant, filed for bankruptcy on or about February 15, 2022. KWOK's claim of bankruptcy was based on yearslong efforts to obscure the funds used and controlled by KWOK, which was a means and method of the KWOK Enterprise. For example, KWOK, KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" the defendants, regularly moved funds within the Kwok Enterprise and for the benefit of K WOK, his family, and his associates, by disguising the money movements as \"loans\" or \"investments.\" As another example, the defendants installed figurehead executives and/or straw owners at the entities within the Kwok Enterprise, while the entities within the Kwok Enterprise were, in reality, owned and/or controlled by KWOK, KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" the defendants, and others known and unknown.\n\n#### Government Seizure of Proceeds of the Kwok Enterprise\n\n21. 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 the Kwok Enterprise. Following the September 2022 judicially authorized seizures, KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" the defendant, 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. In an attempt to protect the assets of the Kwok Enterprise from a judicially authorized seizure, 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\n22. 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 G/CLUBS accounts at the domestic bank from which KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" the defendant, requested the \\$46 million transfer.\n\n23. 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 that purported to hold the Himalaya Exchange's HDO cash reserves.\n\na. 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\nb. Despite the seizure of the Himalaya Exchange's cash reserves, the purported price of HCN had not suddenly and sharply declined as of in or about March 2023.\n\n## STATUTORY ALLEGATIONS\n\n24. 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 K WOK, 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,\" a/k/a \"Boss,\" KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" the defendants, and others known and unknown, being persons employed by and associated with the enterprise described above, namely, the Kwok Enterprise, which was engaged in, and the activities of which affected, interstate and foreign commerce, willfully and knowingly combined, conspired, confederated, and agreed together and with each other to violate the racketeering laws of the United States, to wit, Title 18 , United States Code, Section 1962(c), that is, to conduct and participate, directly and indirectly, in the conduct of the affairs of the Kwok Enterprise through a pattern of racketeering activity, as that term is defined in Title 18, United States Code, Sections 1961(1) and 1961(5), consisting of multiple:\n\na. Acts indictable under Title 18, United States Code, Section 1343 (relating to wire fraud);\n\nb. Acts indictable under Title 18, United States Code, Section 1344 (relating to financial institution fraud);\n\nc. Acts indictable under Title 18, United States Code, Section 1956 (relating to the laundering of monetary instruments);\n\nd. Acts indictable under Title 18, United States Code, Section 1957 (relating to engaging in monetary transactions in property derived from specified unlawful activity); and\n\ne. Offenses involving fraud in the sale of securities, in violation of Title 15, United States Code, Sections 78j (b) and 78ff, and Title 17, Code of Federal Regulations, Section 240.10b-5.\n\n25. It was a part of the conspiracy that each defendant agreed that a conspirator would commit at least two acts of racketeering activity in the conduct of the affairs of the enterprise.\n\n26. 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,\" a/k/a \"Boss,\" KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" the defendants, and others known and unknown, sought to advance the purposes of the racketeering conspiracy, and to conduct and participate, directly and indirectly, in the affairs of the Kwok Enterprise, through various unlawful means and methods, including:\n\na. The defendants caused the Kwok Enterprise to amass significant assets through false and fraudulent misrepresentations.\n\nb. The defendants caused the Kwok Enterprise to conceal its fraud proceeds through, among other things, monetary transfers between entities within the Kwok Enterprise.\n\nc. The defendants caused the Kwok Enterprise to silence its critics through threats and intimidation directed at its opponents.\n\nd. The defendants obstructed, influenced, and interfered with an official proceeding.\n\ne. The defendants obstructed and interfered with court orders.\n\n(Title 18, United States Code, Section 1962(d).)\n\n# COUNT TWO (Conspiracy to Commit Wire Fraud and Bank Fraud)\n\nThe Grand Jury further charges:\n\n27. The allegations contained in paragraphs 1 through 23 of this Indictment are repeated and realleged as if fully set forth herein.\n\n28. 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 K WOK, alk/a \"Miles Guo,\" alk/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" a/k/a \"Boss,\" KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/s/a \"Yvette,\" a/k/a \"Y,\" the defendants, and others known and unknown, willfully and knowingly combined, conspired, confederated, and agreed together and with each other to commit wire fraud, in violation of Title 18, United States Code, Section 1343.\n\n29. It was a part and 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,\" a/k/a \"Boss,\" KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" 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 pretenses, representations, and promises, would and did transmit and cause to be transmitted by means of wire, radio, and television communication in interstate and foreign commerce, writings, signs, signals, pictures, and sounds for the purpose of executing such scheme and artifice, in violation of Title 18, United States Code, Section 1343, to\n\nwit, KWOK, JE, WANG, and others known and unknown, fraudulently induced victims to send money by providing materially false and misleading information and representations.\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,\" alk/a \"Boss,\" KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and Y ANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" 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 that term is 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 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, WANG, and others known and unknown, made false representations, and caused others to make false representations, to financial institutions to, among other things, open and maintain bank accounts used in furtherance of their fraud and obtain funds under the custody and control of those financial institutions.\n\n(Title 18, United States Code, Section 1349.)\n\n# COUNT THREE (Money Laundering Conspiracy)\n\nThe Grand Jury further charges:\n\n31. The allegations contained in paragraphs 1 through 23 of this Indictment are repeated and realleged as if fully set forth herein.\n\n32. 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, alk/a \"Miles Guo,\" alk/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" a/k/a \"Boss,\"\n\nKIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" the defendants, and others known and unknown, willfully and knowingly combined, conspired, confederated, and agreed together and with each other to commit money laundering, in violation of Title 18, United States Code, Sections 1956(a)(1)(A)(i), 1956(a)(1)(B)(i), 1956(a)(2)(A), and 1956(a)(2)(B)(i).\n\n33. It was a part and 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,\" a/k/a \"Boss,\" KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" the defendants. and others known and unknown, knowing that the property involved in a financial transaction represented the proceeds of some form of unlawful activity, would and did conduct and attempt to conduct such a financial transaction, which transaction affected interstate and foreign commerce and involved the use of a financial institution which was engaged in, and the activities of which affected, interstate and foreign commerce, and which in fact involved the proceeds of specified unlawful activity, to wit, Counts Five through Eleven of this Indictment, knowing that the transaction 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, in violation of Title 18, United States Code, Section 1956(a)(1)(B)(i).\n\n34. It was further a part and object of the conspiracy that HO WAN KWOK, alk/a \"Miles Guo,\" alk/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" a/k/a \"Boss,\" KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" the defendants, and others known and unknown would and did transport, transmit, and transfer, and attempted to transmit, and transfer, a monetary instrument and funds from a place in the United States to and through a place outside the United\n\nStates, 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 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, to wit, the offenses alleged in Counts Five through Eleven of this Indictment, in violation of Title 18, United States Code, Section 1956(a)(2)(B)(i).\n\n35. It was further a part and 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,\" alk/a \"Boss,\" KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Y vette,\" a/k/a \"Y,\" the defendants, and others known and unknown, would and did transport, transmit, and transfer, and attempt to 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 Five through Eleven of this Indictment, in violation of Title 18, United States Code, Section 1956(a)(2)(A).\n\n(Title 18, United States Code, Section 1956(h).)\n\n#### COUNT FOUR\n\n# (Conspiracy to Commit Securities Fraud and Make False Statements to a Financial Institution)\n\nThe Grand Jury further charges:\n\n36. The allegations contained in paragraphs 1 through 23 of this Indictment are repeated and realleged as if fully set forth herein.\n\nGCLUBS 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\n39. It was a further part and an object of the conspiracy that HO WAN KWOK, alk/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" alk/a \"Boss,\" KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" the defendants, and others known and unknown, knowingly made false statements and reports for the purpose of influencing the actions of a financial institution, the accounts of which were insured by the FDIC, in connection with an application, advance, discount, purchase, purchase agreement, repurchase agreement, commitment, and loan, in violation of Title 18, United States Code, Section 1014, to wit, KWOK, JE, and WANG lied, and caused others to lie, to financial institutions in connection with applications for bank accounts, including concerning the source and ownership of funds to be deposited and the intended purpose of the accounts.\n\n## Overt Acts\n\n40. 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,\" alk/a \"Boss,\" KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" 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 May 20, 2020, WANG opened a particular bank account in the name of GTV and, in documents submitted to the bank, indicated that the intended balance of the account would be between \\$25,000 to \\$50,000. On or about June 2, 2020, WANG transferred approximately \\$200,000,000 into that account.\n\nc. 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\nd. On or about July 22, 2020, in a video distributed via social media, KWOK promoted the Farm Loan Program, stating, in substance and in part, \"the money has been changed to a new way of cooperation, signing a loan contract with a local farm, with 6% interest, giving you equity . . . . [i]n this case, it is a loan, and then you can ask for stocks . . . \".\n\ne. 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\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 anyone who buys G-Clubs 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-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 G(CLUBS in exchange for \"memberships\" to a bank account that JE controlled.\n\n(Title 18, United States Code, Section 371.)\n\n# COUNT FIVE (Wire Fraud - GTV Private Placement)\n\nThe Grand Jury further charges:\n\n41. The allegations contained in paragraphs 1 through 23 of this Indictment are repeated and realleged as if fully set forth herein.\n\n42. From at least in or about April 2020 up to and including at least in or about September 2021, in the Southern District of New York and elsewhere, HO WAN KWOK, a/k/a \"Miles Guo,\" alk/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" alk/a \"Boss,\" KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and Y ANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" 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, including regarding, among other things, the purpose and use of victims' money, 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 SIX (Securities Fraud - GTV Private Placement)\n\nThe Grand Jury further charges:\n\n43. The allegations contained in paragraphs 1 through 23 of this Indictment are repeated and realleged as if fully set forth herein.\n\n44. From at least in or about April 2020 up to and including at least in or about September 2021, in the Southern District of New York, and elsewhere, HO WAN K WOK, alk/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" a/k/a \"Boss,\" KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" 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 240.10b-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, including regarding, among other things, the purpose and use of victims'\n\nmoney, 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 240.10b-5; and Title 18, United States Code, Section 2.)\n\n## COUNT SEVEN (Wire Fraud - Farm Loan Program)\n\nThe Grand Jury further charges:\n\n45. The allegations contained in paragraphs 1 through 23 of this Indictment are repeated and realleged as if fully set forth herein.\n\n46. 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,\" a/k/a \"Boss,\" KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Yvette,\" alk/a \"Y,\" 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 Farm Loan Program to fraudulently obtain money from victims through false statements and misrepresentations, including regarding, among other things, the purpose and use of victims' money, 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 EIGHT (Securities Fraud - Farm Loan Program)\n\nThe Grand Jury further charges:\n\n47. The allegations contained in paragraphs 1 through 23 of this Indictment are repeated and realleged as if fully set forth herein.\n\n48. 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,\" a/k/a \"Boss,\" KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Y vette,\" alk/a \"Y,\" the defendants, willfully and knowingly, directly, 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 240.10b-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 Farm Loan Program to obtain money from victims through false statements and misrepresentations, including regarding, among other things, the purpose and use of victims' money, which scheme was furthered through\n\nelectronic 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 240.10b-5; and Title 18, United States Code, Section 2.)\n\n## COUNT NINE (Wire Fraud - G|CLUBS)\n\nThe Grand Jury further charges:\n\n49. The allegations contained in paragraphs 1 through 23 of this Indictment are repeated and realleged as if fully set forth herein.\n\n50. 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,\" a/k/a \"Boss,\" KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Y vette,\" alk/a \"Y,\" 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 promoted and marketed GCLUBS to fraudulently obtain money from victims through false statements and misrepresentations, to obtain money from victims through false statements and misrepresentations, including regarding, among other things, the purpose and use of victims' money 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 TEN (Securities Fraud - G|CLUBS)\n\nThe Grand Jury further charges:\n\n51. The allegations contained in paragraphs 1 through 23 of this Indictment are repeated and realleged as if fully set forth herein.\n\n52. 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,\" a/k/a \"Boss,\" KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Yvette,\" alk/a \"Y,\" the defendants, willfully and knowingly, directly, 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 240.10b-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 promoted and marketed G/CLUBS to obtain money from victims through false statements and misrepresentations, including regarding, among other things, the purpose and use of victims' money, 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 240.10b-5; and Title 18, United States Code, Section 2.)\n\n# COUNT ELEVEN (Wire Fraud - The Himalaya Exchange)\n\nThe Grand Jury further charges:\n\n53. The allegations contained in paragraphs 1 through 23 of this Indictment are repeated and realleged as if fully set forth herein.\n\n54. 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, 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,\" a/k/a \"Boss,\" and KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jiaming,\" 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, including regarding. among other things, the purpose and use of victims' money, 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 TWELEVE (Unlawful Monetary Transactions)\n\nThe Grand Jury further charges:\n\n55. The allegations contained in paragraphs 1 through 23 of this Indictment are repeated and realleged as if fully set forth herein.\n\n56. 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,\" a/k/a \"Boss,\" KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Y vette,\" a/k/a \"Y,\" 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(f)(1), in criminally derived property of a value greater than \\$10,000 that was derived from specified unlawful activity, to wit, K WOK, JE, and WANG made, and directed others to make, a wire transfer of approximately \\$100 million derived from the offenses charged in Counts Five and Six to Fund-1.\n\n(Title 18, United States Code, Sections 1957 and 2.)\n\n## COUNT THIRTEEN (Obstruction of Justice)\n\nThe Grand Jury further charges:\n\n57. The allegations contained in paragraphs 1 through 23 of this Indictment are repeated and realleged as if fully set forth herein.\n\n58. From at least on or about September 20, 2022 through at least 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,\" a/k/a \"Yu Jianming,\" the defendant, corruptly obstructed, influenced, and impeded an official proceeding and attempted so to do, to wit, JE attempted to transfer money to\n\nthe UAE, beyond the jurisdiction of the 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 of criminally derived proceeds.\n\n(Title 18, United States Code, Sections 1512(c)(2) and 2.)\n\n## FORFEITURE ALLEGATIONS\n\n59. As a result of committing the offense alleged in Count One 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,\" a/k/a \"Boss,\" KIN MING JE, a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" the defendants, shall forfeit to the United States, pursuant to Title 18, United States Code, Section 1963:\n\na. any interest acquired or maintained in violation of Section 1962;\n\nb. any interest in, security of, claim against, or property or contractual right of any kind affording a source of influence over, any enterprise the defendants and their coconspirators established, operated, controlled, conducted, or participated in the conduct of, in violation of Section 1962; and\n\nc. any property constituting , or derived from, any proceeds obtained, directly or indirectly, from the racketeering activity charged in Count One including the following specific property:\n\n(1) \\$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\n(2) \\$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\n(3) \\$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\n(4) \\$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\n(5) \\$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\n(6) \\$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\n(7) \\$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\n(8) \\$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\n(9) \\$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\n(10) \\$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\n(11) \\$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\n(12) \\$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\n(13) \\$10,008,284.04 in United States currency formerly on deposit in Account Number MBI10133-0000 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\n(14) \\$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\n(15) \\$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\n\nInternational Reserves Ltd.,\" seized by the Government between on or about October 16, 2022 and on or about March 10, 2023;\n\n(16) \\$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 International Financial Group Ltd.,\" seized by the Government between on or about October 16, 2022 and on on about March 10, 2023;\n\n(17) \\$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\n(18) \\$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\n(19) \\$7,715.00, in United States currency formerly on deposit in Account Number 7801000589 at FV Bank held in the name of \"Himalaya International Financial Group, Ltd.,\" seized by the Government on or about September 20, 2022;\n\n(20) \\$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\n(21) \\$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\n(22) \\$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\n(23) 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\n(24) A Bugatti Chiron Super Sport, bearing Vehicle Identification Number VF9SW3V3XNM795047;\n\n(25) A Lamborghini Aventador SVJ Roads, bearing Vehicle Identification Number ZHWUN6ZD2MLA10393;\n\n(26) A Rolls Royce Phantom EWB, bearing Vehicle Identification Number SCATT8C08MU206445;\n\n(27) A 46m 2014 Feadship superyacht \"Lady May\" (ex Como), bearing IMO Number 112359, MMSI Number 319059500, and Callsign ZGDQ9;\n\n(28) A Bösendorfer 185VC Porsche #49539 piano with custom bench, purchased for approximately \\$140,938.69;\n\n(29) A Railis Design Iceland Contemporary Poseidon Bed with Nightstands, Ebony Veneer, Brass, Velvet, purchased for approximately \\$31,413.71;\n\n(30) A Hästens 2000T md mattress, purchased for approximately \\$36,590.00;\n\n(31) A Hästens 2000T sf mattress, purchased for approximately \\$36,210.00;\n\n(32) A Wembe watch storage box, purchased for approximately \\$59,392.91;\n\n(33) A Samsung Q900 Series QN98Q900RBF 98\" QLED Smart TV -8K, purchased for approximately \\$62,787.54;\n\n(34) A Louis XV Style French Ormolu-Mounted Mahogany Commode by Joseph Emmanuel Zweiner;\n\n(35) A \"K'ang Hsi\" extension table in etched and patinated pewter and bronze with hand-painted enamel colors by Philip & Kelvin LaVerne, purchased for approximately \\$180,000.00; and\n\n(36) 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(1) through (36), collectively, the \"Specific Property.\"\n\n60. As a result of committing the wire fraud and securities fraud offenses alleged in Counts Two, Four, and Five through 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,\" a/k/a \"Boss,\" KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" the defendants, shall forfeit to the United States, pursuant to Title 18, United States Code, Section 981(a)(1)(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 the Specific Property.\n\n61. As a result of committing the money laundering offenses alleged in Counts Three and Twelve 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,\" a/k/a \"Boss,\" KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and YANPING WANG, a/k/a \"Y vette,\" a/k/a \"Y,\" the defendants, shall forfeit to the United States, pursuant to Title 18, United States Code, Section 982(a)(1), any and all property, real and personal, involved in said offenses, 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 offenses and the Specific Property.\n\n## Substitute Assets Provision\n\n62. 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- has been placed beyond the jurisdiction of the Court; C.\n- d. has been substantially diminished in value; or\n- e. has been commingled with other property which cannot be subdivided without difficulty;\n\nit is the intent of the United States, pursuant to Title 18, United States Code, Section 1963(m), 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, 982, and 1963; Title 21, United States Code, Section 853; and Title 28, United States Code, Section 2461.)\n\nFOREPERSON\n\n10\n\nDoming W:11:900\n\nDAMIAN WILLIAMS United States Attorney","body_zh":"美国康涅狄格联邦地区破产法院布里奇波特分庭\n\n------------------------------------------------------　x\n\n关于：　:\n:　第11章\nHO WAN KWOK（郭文贵）等人，1　:\n:　案号 22-50073 (JAM)\n债务人。　:\n:\n:　（联合管理）\n\n第11章受托人就债务人在美国纽约南区联邦地区法院待决刑事程序的更新通知\n\nLuc A. Despins（卢克·A·德斯平斯）作为 HO WAN KWOK（郭文贵）（“债务人”）的第11章受托人（“受托人”），特此通知：2024年1月3日，美国政府在美国纽约南区联邦地区法院（United States District Court for the Southern District of New York）针对债务人待决的刑事案件［案号 1:23-cr-00118-AT］（“刑事案件”）中提交了一份替代起诉书［刑事案件 ECF No. 215］（“替代起诉书”）。替代起诉书副本作为附件A随附于本通知。\n\n特别是，受托人希望强调美国政府提出的新指控，即债务人与多个其他实体和个人（已知及未知）构成一个违反美国反敲诈勒索法的犯罪企业的一部分。\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）（税务识别号码后四位：9595）、Genever Holdings LLC（Genever控股有限责任公司）（税务识别号码后四位：8202）及 Genever Holdings Corporation（Genever控股公司）。受托人、Genever Holdings LLC 和 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（仅用于通知和通信）。\n\n日期：January 4, 2024　LUC A. DESPINS，第11章受托人\n\n签署人：/s/ G. Alexander Bongartz\n\nG. Alexander Bongartz（G. Alexander Bongartz，获准临时出庭） Avram E. Luft（Avram E. Luft，获准临时出庭） PAUL HASTINGS LLP 200 Park Avenue New York, New York 10166 (212) 318-6079 aviluft@paulhastings.com alexbongartz@paulhastings.com\n\n及\n\nNicholas A. Bassett（Nicholas A. Bassett，获准临时出庭） PAUL HASTINGS LLP 2050 M Street NW Washington, D.C., 20036 (202) 551-1902 nicholasbassett@paulhastings.com\n\n及\n\nDouglas S. Skalka（Douglas S. Skalka，ct00616） Patrick R. Linsey（Patrick R. Linsey，ct29437） NEUBERT, PEPE & MONTEITH, P.C.（NEUBERT、PEPE & MONTEITH专业公司） 195 Church Street, 13th Floor New Haven, Connecticut 06510 (203) 781-2847 dskalka@npmlaw.com plinsey@npmlaw.com\n\n第11章受托人代理律师\n\n美国康涅狄格联邦地区破产法院布里奇波特分庭\n\n------------------------------------------------------　x\n\n关于：　:\n:　第11章\nHO WAN KWOK（郭文贵）等人，1　:\n:　案号 22-50073 (JAM)\n债务人。　:\n:\n:　（联合管理）\n\n送达证明\n\n下列签署人特此证明，前述通知已于2024年1月4日以电子方式提交。根据法院电子提交（“CM/ECF”）系统的运行，或依电子提交通知所示通过邮寄方式向无法接受电子提交的任何人，已通过电子邮件向上述第11章案件的所有当事人发送本次提交通知。当事人可通过法院的 CM/ECF 系统查阅本次提交文件。\n\n日期：January 4, 2024　签署人：/s/ G. Alexander Bongartz\n\nG. Alexander Bongartz（G. Alexander Bongartz，获准临时出庭） Avram E. Luft（Avram E. Luft，获准临时出庭） PAUL HASTINGS LLP 200 Park Avenue New York, New York 10166 (212) 318-6000 aviluft@paulhastings.com\n\n第11章受托人代理律师\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）（税务识别号码后四位：9595）、Genever Holdings LLC（Genever控股有限责任公司）（税务识别号码后四位：8202）及 Genever Holdings Corporation（Genever控股公司）。受托人、Genever Holdings LLC 和 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（仅用于通知和通信）。\n\n附件A\n\n替代起诉书\n\nCase 22-500731:20cm-2490.8-FifedD0104124t 2E5teFeld 01/04/24/17/41g011 of 53\n原件\n美国纽约南区联邦地区法院\n美利坚合众国\n\n- 9-1\n\n诉\n\nHO WAN KWOK（郭文贵），亦称 “Miles Guo”、亦称 “Miles Kwok”、亦称 “Guo Wengui”、亦称 “Brother Seven”、亦称 “The Principal”、亦称 “Boss”，\n\nKIN MING JE（纪明杰），亦称 “William Je”、亦称 “Yu Jianming”，以及\n\nYANPING WANG（王雁平），亦称 “Yvette”、亦称 “Y”，\n\n被告人。\n\n第一项罪名（敲诈勒索共谋）\n\n大陪审团指控：\n\nKwok 企业概述\n\n1. 自至少约2018年起至至少约2023年3月止，HO WAN KWOK（郭文贵），亦称 “Miles Guo”、亦称 “Miles Kwok”、亦称 “Guo Wengui”、亦称 “Brother Seven”、亦称 “The Principal”、亦称 “Boss”，KIN MING JE（纪明杰），亦称 “William Je”、亦称 “Yu Jianming”，以及 YANPING WANG（王雁平），亦称 “Yvette”、亦称 “Y”，即各被告人，连同其他已知及未知人员，共谋欺诈数千名受害人，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及虚假企业和\n\n替代起诉书\n\nS2 23 Cr. 118 (AT)\n\n投资机会运营 Kwok 企业；该等企业和投资机会连接数十个相互关联的实体，使被告人及其共谋者能够招揽、洗钱和侵吞受害人资金（合称下文第3b段所定义的“Kwok 企业”）。\n\n2. HO WAN KWOK（郭文贵），亦称 “Miles Guo”、亦称 “Miles Kwok”、亦称 “Guo Wengui”、亦称 “Brother Seven”、亦称 “The Principal”、亦称 “Boss”，KIN MING JE（纪明杰），亦称 “William Je”、亦称 “Yu Jianming”，以及 YANPING WANG（王雁平），亦称 “Yvette”、亦称 “Y”，即各被告人及其共谋者，利用 KWOK 在网络上的广泛影响力及数十万名网络追随者，通过承诺异常高额的财务回报及其他利益，招揽对各种实体和项目的投资。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、巩固 Kwok 企业并剥削 KWOK 的追随者而设立和使用的工具。该计划使 KWOK、JE 和 WANG 能够使其本人、家庭成员及共谋者获利，并资助 KWOK 的奢侈生活方式。\n\n3. 为实施其计划，HO WAN KWOK（郭文贵），亦称 “Miles Guo”、亦称 “Miles Kwok”、亦称 “Guo Wengui”、亦称 “Brother Seven”、亦称 “The Principal”、亦称 “Boss”，KIN MING JE（纪明杰），亦称 “William Je”、亦称 “Yu Jianming”，以及 YANPING WANG（王雁平），亦称 “Yvette”、亦称 “Y”，即各被告人，连同其他已知及未知人员，设立并维持数个相互关联且重叠的实体——即 Kwok 企业。Kwok 企业取得欺诈所得、对该等所得进行洗钱、将欺诈所得用于购买供 KWOK 及其家人受益的昂贵和奢侈物品、车辆及财产、使用欺诈所得推广 Kwok 企业，并使用欺诈所得运营和管理 Kwok 企业。\n\na. 构成 Kwok 企业的相互关联且重叠的实体包括：ACA Capital Group Limited（ACA资本集团有限公司）、ACA Investment Limited（ACA投资有限公司）、Freedom Media\nCase 22-5003231:20ew-2490.8-FifedDiddle12.412EsteFeed @0000244.774age14 of 53\n\n位于纽约及其他地区。Kwok 企业从事州际和对外贸易，其活动影响州际和对外贸易。\n\n4. 为进一步实施其计划，HO WAN KWOK（郭文贵），亦称 “Miles Guo”、亦称 “Miles Kwok”、亦称 “Guo Wengui”、亦称 “Brother Seven”、亦称 “The Principal”、亦称 “Boss”，KIN MING JE（纪明杰），亦称 “William Je”、亦称 “Yu Jianming”，以及 YANPING WANG（王雁平），亦称 “Yvette”、亦称 “Y”，即各被告人及其共谋者，对数亿美元的欺诈所得进行了洗钱。为掩盖资金的非法来源，KWOK、JE 和 WANG 将资金转入并通过由至少80个不同实体或个人名下持有的超过约500个账户进行转移，且指示进行该等转移，其中包括属于 Kwok 企业的实体。该欺诈计划的数亿美元所得被直接或间接转入位于美国、巴哈马、瑞士和阿拉伯联合酋长国（“UAE”）等地的银行账户，该等账户以 JE 所拥有或以其他方式控制的实体名义持有，其中包括 ACA Capital、Hamilton Investment Management Ltd.（Hamilton投资管理有限公司）和 Hamilton Opportunity Fund SPC（Hamilton机会基金SPC）。\n\n5. HO WAN KWOK（郭文贵），亦称 “Miles Guo”、亦称 “Miles Kwok”、亦称 “Guo Wengui”、亦称 “Brother Seven”、亦称 “The Principal”、亦称 “Boss”，以及 KIN MING JE（纪明杰），亦称 “William Je”、亦称 “Yu Jianming”，即各被告人，将该欺诈计划所得中的超过约 \\$300 million 用于其本人及其家人的利益。例如，KWOK 使用以欺诈手段取得的受害人资金购买、资助或融资取得：一处位于新泽西州、约50,000平方英尺、价值 \\$26.5 million 的豪宅，供 KWOK 及其家人使用；豪华车辆，包括一辆价值约 \\$3.5 million 的 Ferrari（法拉利）和一辆为 KWOK 一名近亲属及共谋者（“亲属-1”）定制、价值约 \\$4.4 million 的 Bugatti（布加迪）；一艘价值约 \\$37 million 的豪华游艇，供 KWOK 及其家人使用，并以 KWOK 一名近亲属（“亲属-2”）的名义购得；一架价值约 \\$140,000 的钢琴；两张各约 \\$36,000 的床垫；以及为亲属-1最终利益而对一家高风险对冲基金进行的 \\$100 million 投资，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，等等。YANPING WANG（王雁平），亦称 “Yvette”、亦称 “Y”，则获得每年至少约 \\$500,000 的报酬，被赠与一套价值约 \\$1.1 million-dollar 的曼哈顿共管公寓，并获承诺价值数百万美元的所谓加密货币，等等。\n\n6. HO WAN KWOK（郭文贵），亦称 “Miles Guo”、亦称 “Miles Kwok”、亦称 “Guo Wengui”、亦称 “Brother Seven”、亦称 “The Principal”、亦称 “Boss”，KIN MING JE（纪明杰），亦称 “William Je”、亦称 “Yu Jianming”，以及 YANPING WANG（王雁平），亦称 “Yvette”、亦称 “Y”，即各被告人及其共谋者，多年来一直实施该计划，并至少持续至2023年3月。他们通过以下方式等实施该计划：扩大 Kwok 企业以纳入其他实体和个人；持续调整该计划的手段和方法，以规避美国投资者保护、反洗钱及破产法的执行；并对提出投诉、要求返还投资资金或批评 Kwok 企业的个别受害人及其他人进行报复。\n\n企业目的\n\n7. Kwok 企业的目的包括但不限于以下各项：\n\na. 使企业成员和关联人员获利；\n\nb. 获取受害人的金钱和财产；\n\nc. 隐瞒并清洗欺诈所得；\n\nd. 使用欺诈所得购买供被告人及其共谋者受益的昂贵和奢侈物品、车辆及财产；以及\n\ne. 推广、提高并维持 Kwok 企业、属于 Kwok 企业的实体及 Kwok 企业成员的地位，包括 HO WAN KWOK（郭文贵），亦称 “Miles Guo”、亦称 “Miles Kwok”、亦称 “Guo Wengui”、亦称 “Brother Seven”、亦称 “The Principal”、亦称 “Boss”，以便招揽更多受害人，并对批评或威胁 Kwok 企业者施加影响或实施恐吓。\n\n企业的手段和方法\n\n8. Kwok 企业的成员和关联人员经营其事务所采用的手段和方法包括但不限于以下各项：\n\na. 通过虚假及欺诈性陈述，使 Kwok 企业积累大量资产；\n\nb. 妨碍并规避执法机关及民事监管机构；\n\nc. 妨碍并无视法院命令；\n\nd. 通过包括郭文贵企业集团内部实体之间的资金转移在内的方式，隐匿欺诈所得；以及\n\ne. 骚扰、威胁并压制 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”、又名 “Boss”，即被告人，以及郭文贵企业集团的批评者。\n\n相关人员和实体\n\n9. 在所有相关期间，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”、又名 “Boss”，即被告人，系郭文贵企业集团的领导人，并对其进行指挥。\n\na. KWOK 是一名流亡的中国商人，于2015年前后逃往美国，并以约 \\$67.5 million 购得纽约市一家酒店的一套顶层公寓。自至少2017年前后起，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，声称推动一场反对中国共产党的运动。\n\nb. 于2018年前后，KWOK 创立了两个自称为非营利组织的机构，即 Rule of Law Foundation（法治基金会）和 Rule of Law Society（法治协会）。法治协会的网站将 KWOK 列为其“创始人、推动者和发言人”。两个组织的网站均刊有 KWOK 的照片。KWOK 利用这些非营利组织聚集追随者；这些追随者与其声称的反对中国共产党的运动立场一致，且也倾向于相信 KWOK 关于投资和赚钱机会的陈述。事实上，如 KWOK 明知，他和其他人提供虚假且在重大方面具有误导性的信息，以推销这些“机会”，并欺骗 KWOK 的追随者及其他受害人。KWOK 指示他人设立并维持多种公司实体，该等实体后来构成由 KWOK 负责的郭文贵企业集团。\n\n10. 在所有相关期间，KIN MING JE，又名 “William Je”、又名 “Yu Jianming”，即被告人，是香港和英国的双重公民，主要居住于英国，同时前往美国及其他地方。JE 拥有并经营众多在该计划中处于核心地位的公司和投资工具，并担任郭文贵企业集团的财务架构师及主要洗钱者。\n\n11. 在所有相关期间，YANPING WANG（王燕平），又名 “Yvette”、又名 “Y”，即被告人，是一名中国公民，主要居住于纽约州纽约市，并与 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”、又名 “Boss”，即被告人，关系密切。特别是，自至少2018年前后起，WANG 已为 KWOK 及其家人工作数年，并担任 KWOK 及郭文贵企业集团的“幕僚长”。以该身份，WANG 在属于郭文贵企业集团且作为本文所述欺诈工具的多种实体中担任职务，并对其行使控制权。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，并对郭文贵企业集团内的其他实体行使控制权，即使她在该等实体中未担任任何正式职务或头衔亦然。\n\n12. 在与本起诉书相关的某些期间，Saraca Media Group, Inc.（萨拉卡媒体集团公司）（“Saraca”）是一家总部位于纽约的公司。Relative-1（亲属-1）是其最终受益所有人。\n\n13. 在与本起诉书相关的某些期间，GTV Media Group, Inc.（GTV 媒体集团公司）（“GTV”）是一个总部位于纽约州纽约市、自称以新闻为重点的社交媒体平台。GTV 在实际控制和所有权上归 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”、又名 “Boss”，即被告人，所有并控制，尽管 KWOK 在 GTV 未担任任何正式职务或头衔。KIN MING JE，又名 “William Je”、又名 “Yu Jianming”，即被告人，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（王燕平），又名 “Yvette”、又名 “Y”，即被告人，是 GTV 的一名“执行董事”。\n\n加密货币，协助招募 Himalaya Exchange（喜马拉雅交易所）人员，并致力于将欺诈所得转移至喜马拉雅交易所。\n\n郭文贵企业集团的欺诈行为\n\nGTV 私募配售\n\n16. 在2020年4月前后至2020年6月前后期间，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”、又名 “Boss”，KIN MING JE，又名 “William Je”、又名 “Yu Jianming”，以及 YANPING WANG（王燕平），又名 “Yvette”、又名 “Y”，即被告人，连同其他已知及未知人员，通过与 GTV 有关的非法私募股票发行（“GTV 私募配售”），以欺诈方式获取超过 \\$400 million 的受害人资金。GTV 私募配售计划包括但不限于以下内容：\n\na. 于2020年4月21日前后，KWOK 在社交媒体上发布并促使他人发布一段视频，宣布通过私募配售方式非注册发行 GTV 普通股。在该视频中，KWOK 实质上并部分地说明了 GTV 私募配售的投资条款，并指示人们如对 GTV 私募配售有任何问题，可通过移动即时通讯应用程序联系他。该视频及 GTV 私募配售材料——包括书面“保密信息备忘录”（“私募配售备忘录”或“PPM”）、认购协议和投资程序指南——通过移动即时通讯应用程序、社交媒体及短信发送给数千名潜在投资者，包括纽约南区的潜在投资者。\n\nb. PPM 将 GTV 推介为“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 确定为 GTV 的“发起人及顾问”。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位。YANPING WANG（王燕平），又名 “Yvette”、又名 “Y”，即被告人，在 PPM 中被确定为 GTV 的一名“执行董事”。\n\nd. PPM 还包含以下陈述，其中实质上并部分地包括：\n\ni. GTV 私募配售面向“有兴趣评估向 GTV 投入资本之机会”的投资者；\n\nii. GTV 计划将 GTV 私募配售募集的资金“用于扩展并加强业务”；以及\n\niii. PPM 包含一张图表，逐项列明 GTV 私募配售所募集资金的“拟议用途”：\n\n说明　资金比例\n\n收购公司以加强并发展\nGIN　约70%\n升级 GTV 技术和安全性　约10%\n营销　约8%\n营运资金　约7%\n其他　约5%\n合计　10.0%\n\ne. 在2020年4月20日前后至2020年6月2日前后期间，价值约 \\$452 million 的 GTV 普通股出售给了5,500多名位于美国境内——包括纽约南区——及境外的投资者。投资者参与 GTV 私募配售，部分基于如下信念：正如 PPM 所承诺的，他们的资金将被投资于 GTV，以发展和壮大该业务。\n\nf. GTV 私募配售从投资者获得的绝大多数所得款项，并未用于发展和壮大 GTV 业务，而是直接存入以 Saraca 名义持有的银行账户；Saraca 是 GTV 的母公司，且由 Relative-1 实益拥有。\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”）提交的注册说明书进行。相反，该发行据称是依据 SEC 规章进行，该等规章允许在对获发行证券的投资者类型及招揽其投资的方式有所限制的条件下出售未注册证券。然而，为规避这些限制，KWOK 及其控制下的其他人利用至少一个中介实体，代表不具备单独参与 GTV 私募配售资格的投资者集合购买 GTV 股票。\n\nh. 于2020年6月初前后，且仅在 GTV 私募配售结束数日后，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”、又名 “Boss”，KIN MING JE，又名 “William Je”、又名 “Yu Jianming”，以及 YANPING WANG（王燕平），又名 “Yvette”、又名 “Y”，即被告人及其共同谋划者，挪用了从 GTV 私募配售投资者筹集的约 \\$100 million，并指示将该等资金投入一家高风险对冲基金（“Fund-1”），以使 Saraca 及其最终受益所有人 Relative-1 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-1 的 \\$100 million 投资并非为“加强和发展”GTV 的业务或使 GTV 受益，而是为使 Saraca 和 Relative-1 受益。提供投资于 Fund-1 的 \\$100 million 的受害人并不拥有 Saraca 的任何股份。最终，对 Fund-1 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-1 后，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”，即被告人，继续利用虚假和误导性陈述推销 GTV。\n\n农场贷款计划\n\n17. 自2020年6月前后开始——即 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”、又名 “Boss”，KIN MING JE，又名 “William Je”、又名 “Yu Jianming”，以及 YANPING WANG（王燕平），又名 “Yvette”、又名 “Y”，即被告人及其共同谋划者，为使 Saraca 和 Relative-1 受益而从 GTV 私募配售中挪用资金的同一个月——KWOK、JE 及其共同谋划者通过“喜马拉雅农场联盟”以欺诈方式获取了超过约 \\$150 million 的受害人资金。由 KWOK 组织和推销的喜马拉雅农场联盟，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“农场”）。KWOK、JE、WANG 及其他代表他们并按其指示行事的人员，通过向 GTV 私募配售的投资者作出进一步虚假陈述，并以欺诈方式招揽进一步投资，获取了该等资金；该次投资采取向农场提供“贷款”的形式，并承诺该等贷款可按每出借 \\$1 转换为一股 GTV 普通股的转换比例转换为 GTV 普通股（“农场贷款计划”）。农场贷款计划包括但不限于以下内容：\n\na. 自2020年6月前后开始，持有用于处理通过 GTV 私募配售筹集资金账户的境内银行，开始冻结并关闭与 GTV 有关的银行账户，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 及其共同谋划者收取寻求投资 GTV 的受害人所得款项的能力。\n\nc. 约于2020年7月22日，在通过社交媒体发布的一段视频中，KWOK 推广 Farm Loan Program（农场贷款计划），其实质内容部分为：“资金已改为一种新的合作方式，与当地农场签订贷款合同，利息为6%，给予你股权……[i]n this case, it is a loan, and then you can ask for stocks……”。根据 KWOK 及代表其开展工作的人员的说法，希望投资（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 并虚假陈述 GTV 的价值。例如，约于2020年8月2日，在通过社交媒体发布的一段视频中，KWOK 虚假声称，其实质内容部分为：“GTV 值多少钱？……市值为20亿美元。”1 实际上，且如 KWOK 明知，GTV 的市值远低于该数额，原因之一是 GTV 是一家没有产生任何收入的新企业。\n\ne. 数千名受害人通过向由农场控制（而非由 GTV 控制）的银行账户汇款，向农场“出借”资金。根据农场经常未予会签的“贷款协议”，该等资金将用于某一农场的“一般营运资金用途”。\n\n1 本文归于 KWOK 的所有陈述均已从普通话译为英语。\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2000万美元被转给 Relative-1，其中约95万美元被用于支付私人飞机的机组服务费用；\n\nii. 约500万美元被转给由 KWOK 的配偶拥有的实体；\n\niii. 约230万美元被用于支付与一艘长约145英尺、价值约3700万美元、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1000万美元被转入以 JE 和/或 JE 的配偶名义开立的个人银行账户。\n\nG|CLUBS（G|俱乐部）\n\n18. 在就农场贷款计划作出虚假陈述的同时，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”，又名“Boss”，KIN MING JE（解敬明），又名“William Je”，又名“Yu Jianming”，以及 YANPING WANG（王雁平），又名“Yvette”，又名“Y”，即各被告，连同其他已知及未知人员，通过欺诈手段诱使 KWOK 的追随者向一个名为 G|CLUBS 的所谓线上会员俱乐部转入额外资金。自至少约2020年6月起至至少约2023年3月止，KWOK、JE、WANG 以及其他已知及未知人员通过 G|CLUBS 欺诈取得超过约2.5亿美元的受害人资金。G|CLUBS 计划包括但不限于以下内容：\n\na. 自至少约2020年6月20日起，在通过社交媒体发布的视频中，KWOK 推广并鼓励个人购买其称为“G Club……会员卡”的产品。\n\nb. G|CLUBS 于约2020年10月正式推出，并在其网站上声称其为“一项提供全方位服务的专属高端会员计划”，以及“通往精心甄选的世界级产品、服务和体验的门户”。\n\nc. 为加入 G|CLUBS，会员除须缴纳年度会员费外，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所选的会员等级而异：第5级会员资格的价格为$50,000；第4级会员资格的价格为$40,000；第3级会员资格的价格为$30,000；第2级会员资格的价格为$20,000；第1级会员资格的价格为$10,000。\n\nd. 约于2021年7月5日，在通过社交媒体发布的一段视频中，KWOK 声称，其实质内容部分为，存在“25,000名[GCLUBS]会员……银行账户中有$100 million dollars现金。随后我们有1.11亿……[人]想加入。”相比之下，GCLUBS 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、JE 和 WANG 明知，GCLUBS 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，GCLUBS 仍维持相对较少数量的员工，并向其会员提供极少或没有可辨识的会员福利。截至约2021年3月8日——即 G|CLUBS 推出并开始收取“会员”费用数月后——G|CLUBS 尚无商业计划或董事会。\n\nf. KWOK、JE 和 WANG 还将 G|CLUBS 用作继续进行欺诈性私募股票发行的机制。KWOK 及其他已知和未知人员告诉 KWOK 的线上追随者，购买 GCLUBS 会员资格将使其有权获得 KWOK 关联实体的股票，例如 GTV 和 G|Fashion（G|时尚）。\n\ni. 在约2021年5月4日一次关于 GCLUBS 会员资金的谈话中，JE 表示，其实质内容部分为：“首先，[潜在会员]是在购买 G CLUBS 会员资格，但他们期待自己可能会获得一些股份，你知道的，在、在、在未来的 GTV，我认为这是他们的期待。”\n\nii. 约于2021年7月30日，在通过社交媒体发布的一段视频中，KWOK 表示，其实质内容部分为：“一些战友问，‘[w]ill I still get a free stock offer when I buy a G CLUBS membership?’百分之百。因为我说过，我必须承诺，任何在9月17日之前购买 G-Club 会员资格的人都必须获配股份，这完全一样。因为我们说过，任何人都可以选择是否在9月17日之前用你的钱购买 G-Club、G-Club 和股票股份。你将两者兼得。”\n\ng. KWOK、JE、WANG 以及其他已知和未知人员要求投资者购买 GCLUBS 的多个会员资格，从而使 KWOK、JE 和 WANG 能够增加所募集的资金数额。在这方面，G|CLUBS 网站声称，其实质内容部分为，拥有多个会员资格的会员将“获得额外福利”；然而实际上，且如 KWOK、JE 和 WANG 明知，多个会员资格并未向会员提供相应的额外福利。\n\nh. 总计，投资者购买了价值数亿美元的 G|CLUBS 会员资格。然而，其中大部分资金并未用于资助 G|CLUBS 的业务。相反，HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，又名“Boss”，KIN MING JE，又名“William Je”，又名“Yu Jianming”，以及 YANPING WANG，又名“Yvette”，又名“Y”，即各被告，连同其他已知和未知人员，挪用了受害人向 G|CLUBS 支付以购买“会员资格”的相当一部分资金，其中包括利用复杂的实体和银行账户网络实施该等挪用。例如：\n\ni. 经由以其他实体名义开立的银行账户转移的 G|CLUBS 资金，被用于支付 KWOK 及其家人的个人开支，包括购买一艘价值约260万美元的豪华游艇，以及合计价值超过500万美元的豪华汽车；\n\nii. 约于2021年11月，JE 指示将约2650万美元的 G|CLUBS 资金——该等资金经由以其他实体名义开立的银行账户转移——用于购买 KWOK 位于新泽西州、面积为50,000平方英尺的豪宅；\n\niii. JE 指示将额外1300万美元的 GCLUBS 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 位于新泽西州的豪宅进行的奢华翻修，包括为 Relative-1 设置的侧翼部分和为 Relative-2 设置的侧翼部分，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的壁炉柴薪托架；\n\niv. 约于2021年8月5日，JE 指示将约110万美元的 G|CLUBS 会员付款转入由 JE 控制的一个银行账户；\n\nv. G|CLUBS 使用会员费购买豪华汽车，包括一辆价值约440万美元的定制布加迪跑车。尽管该车辆已签署的购买协议将 G|CLUBS 列为客户，但该定制车辆的初始规格文件将 Relative-1 列为客户。Relative-1 在 GCLUBS 没有任何正式职务。\n\nHimalaya Exchange（喜马拉雅交易所）\n\n19. 自至少约2021年4月起至至少约2023年3月止，HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，又名“Boss”，以及 KIN MING JE，又名“Yu Jianming”，即各被告，连同其他已知和未知人员，通过 Himalaya Exchange——一个可通过互联网访问的所谓加密货币“生态系统”——欺诈取得超过约2.62亿美元的受害人资金。Himalaya Exchange 包括一种名为 Himalaya Dollar（喜马拉雅元）（“HDO”或“H Dollar”）的所谓稳定币，以及一种名为 Himalaya Coin（喜马拉雅币）（“HCN”或“H Coin”）的交易币。Himalaya Exchange 声称，该“稳定币”是一种由储备支持、价值固定为1比$1的数字资产，而该“交易币”是一种其估值基于供求关系的加密货币。JE 是 Himalaya Exchange 的创始人兼主席。Himalaya Exchange 计划包括但不限于以下内容：\n\na. 在通过社交媒体发布的视频中，HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，又名“Boss”，即被告，吹捧 Himalaya Exchange 以及 HCN 和 HDO 两者的前景和估值；他曾公开将二者描述为加密货币。例如，在约2021年10月20日发布于互联网的一段视频中，KWOK 作出以下虚假陈述，其中包括以下实质内容：\n\ni. “我说的是你们的 H Coins，‘Brother Seven’[即 KWOK]设计了它……[]]t 具有货币属性，为什么？它有20%的黄金。太棒了[。][]]t 在第一天诞生时就是货币，所以它有价值，并且与黄金挂钩……直接明确的黄金。无论它筹集多少，20%都会变成黄金。”\n\nii. “如果 H Coin 没有价值，[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。或者拿出20%黄金的全部价值，要求所有人统一，并使其成为你的。”\n\niii. “如果任何人亏钱，我可以说我将赔偿100%。我给你100%。谁亏钱，我承担。”\n\niv. “我可以在一分钟内在市场上卖出 H Coin，并将其换回我的 H Dollar，再换回你们的法定货币单位……[A]nd you can buy anything immediately。”\n\nb. HCN 和 HDO 的首次代币发行发生于约2021年11月1日。HCN 开始交易时价格为10美分，并且在约两周内，Himalaya Exchange 网站声称每一枚 HCN 据称价值约27 HDO（即$27），这代表价值增长26,900%。也就是说，在首次代币发行约两周后，Himalaya Exchange 网站显示 HCN 据称的估值约为270亿美元。\n\nc. 在 Himalaya Exchange 推出时，HO WAN KWOK，又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，又名“Boss”，即被告，向其线上追随者及其他人推销 HCN。例如，约于2021年11月1日——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，并意味着价值急剧上涨。该音乐视频描绘了 KWOK 身处不同地点，并展示了黄金和财富的图像。\n\nd. 有时，包括在 Himalaya Exchange（喜马拉雅交易所）推出之后，被告 KIN MING JE（介文汲），又名“William Je”、又名“Yu Jianming”，对 Himalaya Exchange 进行了误导性宣传。例如，在 2022年6月前后，JE 试图制造这样一种印象：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 实质上并在一定程度上表示，他“极为高兴，[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，并且如 JE 明知，一名 Himalaya Exchange 员工向该拍卖行发送了一笔国际银行电汇以支付该 Ferrari 的款项，同时还在 Himalaya Exchange 上处理了一笔相应的“交易”，以虚假地制造该购买交易系使用 HDO 完成的表象。JE 的陈述还具有误导性，因为除其他事项外，该 Ferrari 身份未明的“买家”事实上是亲属-1。\n\ne. 与被告 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”、又名“Boss”，以及 KIN MING JE（介文汲），又名“William Je”、又名“Yu Jianming”，和其他已知及未知人员的陈述相反，HCN 和 HDO 并非加密货币。具体而言，与被告关于 HCN 和 HDO 属于加密货币的陈述相反，使用 HCN 和 HDO 的交易——不同于真正的加密货币——并未记录在“区块链”上；区块链是使用密码学记录加密货币交易的电子、公开可访问且去中心化的账本。HCN 和 HDO 的交易并非使用公开可访问的区块链，而是记录在一个不受公众审查的内部数据库中。\n\nf. 此外，HCN 和 HDO 无法在 Himalaya Exchange 以外的任何地方交易（据称仅可在 Himalaya Exchange 上交易）。HCN 也不能交易或兑换为其他货币。HCN 据称仅可兑换为 HDO（且仅限于在 Himalaya Exchange 上），而 HDO 据称仅可兑换为或由法定货币兑换而来（且仅限于在 Himalaya Exchange 上）。\n\ni. 事实上，Himalaya Exchange 网站上提供的 HDO 和 HCN 白皮书以小字载明，与 KWOK 的陈述相反，HCN 和 HDO 仅为“积分”。根据 HCN 白皮书，“Himalaya Exchange 及相关应用程序和基础设施的运营将通过使用‘积分’来促进。”该等积分（i）“只能在 Himalaya Exchange 或 Himalaya Ecosystem（喜马拉雅生态系统）内使用”，且（ii）“不附带要求将其兑换为法定货币或加密资产的任何权利”。\n\nii. 此外，尽管 Himalaya Exchange 会员可以请求将其“HDO”积分兑换为等值的美元付款，HDO 白皮书载明，Himalaya Exchange 有“酌处权”拒绝任何此类请求。\n\ng. 在 2022年4月前后，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”、又名“Boss”，以及 KIN MING JE（介文汲），又名“William Je”、又名“Yu Jianming”，安排将约 \\$37 million 的 Himalaya Exchange 资金从一个 Himalaya Exchange 银行账户转入某一托管账户。该 \\$37 million 被构造为一笔所谓的“贷款”，用于个人担保 KWOK 先前购买并使用的一艘豪华游艇的成本；该游艇当时由一个以亲属-2 名义持有的实体拥有。\n\n所有权和控制权的隐瞒\n\n20. 尽管生活奢靡并控制着数亿美元的欺诈所得，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”、又名“Boss”，仍于 2022年2月15日前后申请破产。KWOK 提出破产主张的基础，是其长期以来为掩盖由 KWOK 使用和控制的资金所作的努力，而这正是 Kwok Enterprise（郭氏企业）的一种手段和方法。例如，被告 KWOK、KIN MING JE（介文汲），又名“William Je”、又名“Yu Jianming”，以及 YANPING WANG（王雁平），又名“Yvette”、又名“Y”，经常在郭氏企业内部并为 K WOK、其家人及其关联人士的利益转移资金，将该等资金流动伪装为“贷款”或“投资”。又例如，被告在郭氏企业内的实体中安插挂名高管和/或代持所有人，而事实上，郭氏企业内的实体由被告 KWOK、KIN MING JE（介文汲），又名“William Je”、又名“Yu Jianming”，以及 YANPING WANG（王雁平），又名“Yvette”、又名“Y”，以及其他已知和未知人员拥有和/或控制。\n\n政府扣押郭氏企业所得\n\n21. 在 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 Himalaya Exchange 实体及其他与郭氏企业有关联的实体名义持有的银行账户中，扣押了约 \\$335 million 的所得。在 2022年9月经司法授权的扣押之后，被告 KIN MING JE（介文汲），又名“William Je”、又名“Yu Jianming”，试图将约 \\$46 million 从与 Himalaya Exchange 相关联、尚未被美国扣押的境内银行账户，转移至由 JE 控制的位于 UAE 的一个银行账户。\n\na. 在首次经司法授权扣押与 Himalaya Exchange 有关的资金后约两天内，即在 2022年9月22日前后，JE 联系了持有 Himalaya Exchange 银行账户的一家境内银行的管理层。JE 试图实施一笔电汇；他和一名 Himalaya Exchange 高管向该境内银行声称，该电汇是为 Himalaya Exchange 一名未具名“VIP”（即，非常重要）客户完成从 HDO 赎回为美元所必需的。\n\nb. 在随后与该境内银行的沟通中，JE 透露，该 VIP 实际上就是 JE 本人。JE 向该境内银行提供了文件，显示 JE 在 2022年9月22日前后进行了两笔所谓的 HCN 销售——合计 46 million HDO——JE 正试图将其“转换”为 \\$46 million。为保护郭氏企业资产免遭经司法授权的扣押，JE 两次向该境内银行管理层实质上并在一定程度上强调，\\$46 million 的转账必须在“今天完成，否则就没有意义。”\n\n22. 在 2022年10月16日前后，根据经司法授权的令状，美国当局从该境内银行的数个 Himalaya Exchange 和 G/CLUBS 账户中额外扣押了约 \\$274 million 的所得；被告 KIN MING JE（介文汲），又名“William Je”、又名“Yu Jianming”，曾请求从该等账户转出 \\$46 million。\n\n23. 由于经司法授权的扣押，美国当局扣押了超过约 \\$634 million 的欺诈所得，其中包括从以 Himalaya Exchange 实体名义持有、据称持有 Himalaya Exchange 的 HDO 现金储备的银行账户中扣押的约 \\$278 million。\n\na. 扣押之后，Himalaya Exchange 网站仍然表示，HDO 由“由 USD 和现金等价资产构成的储备金”支持，而事实上并非如此。\n\nb. 尽管 Himalaya Exchange 的现金储备已被扣押，截至 2023年3月前后，HCN 的所谓价格并未突然大幅下跌。\n\n法定指控\n\n24. 自至少在 2018年前后起，至至少在 2023年3月前后止，包括该期间内，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”、又名“Boss”，KIN MING JE（介文汲），又名“William Je”、又名“Yu Jianming”，以及 YANPING WANG（王雁平），又名“Yvette”、又名“Y”，和其他已知及未知人员，作为受雇于并关联于上述企业，即从事并且其活动影响州际和对外商业的郭氏企业的人员，故意且明知地共同结合、共谋、结社并相互同意违反美国敲诈勒索法律，即 Title 18, United States Code, Section 1962(c)，亦即通过构成敲诈勒索活动模式的行为，直接和间接地经营并参与郭氏企业事务的经营；该术语的定义见 Title 18, United States Code, Sections 1961(1) and 1961(5)，其包括多项：\n\na. 可根据 Title 18, United States Code, Section 1343（涉及电信欺诈）起诉的行为；\n\nb. 可根据 Title 18, United States Code, Section 1344（涉及金融机构欺诈）起诉的行为；\n\nc. 可根据 Title 18, United States Code, Section 1956（涉及货币工具洗钱）起诉的行为；\n\nd. 可根据 Title 18, United States Code, Section 1957（涉及就源于特定非法活动的财产进行货币交易）起诉的行为；以及\n\ne. 涉及证券销售欺诈、违反 Title 15, United States Code, Sections 78j (b) and 78ff, and Title 17, Code of Federal Regulations, Section 240.10b-5 的犯罪。\n\n25. 该共谋的一部分内容是，每名被告均同意，一名共谋者将在该企业事务的经营中实施至少两项敲诈勒索活动行为。\n\n26. 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”、又名“Boss”，KIN MING JE（介文汲），又名“William Je”、又名“Yu Jianming”，以及 YANPING WANG（王雁平），又名“Yvette”、又名“Y”，和其他已知及未知人员，试图推进敲诈勒索共谋的目的，并通过各种非法手段和方法，直接和间接地经营并参与郭氏企业的事务，包括：\n\na. 被告使郭氏企业通过虚假和欺诈性的陈述积累大量资产。\n\nb. 被告使郭氏企业通过包括郭氏企业内部实体之间的资金转移等方式隐瞒其欺诈所得。\n\nc. 被告通过针对其反对者的威胁和恐吓，使郭氏企业压制其批评者。\n\nd. 被告妨碍、影响并干扰正式程序。\n\ne. 被告妨碍并干扰法院命令。\n\n(Title 18, United States Code, Section 1962(d).)\n\n第二项罪名（共谋实施电信欺诈和银行欺诈）\n\n大陪审团进一步指控：\n\n27. 本起诉书第 1 至 23 段所载指控在此重复提出并重新主张，如同在本文中完整列明。\n\n28. 自至少在 2018年前后起，至至少在 2023年3月前后止，包括该期间内，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”、又名“Boss”，KIN MING JE（介文汲），又名“William Je”、又名“Yu Jianming”，以及 YANPING WANG（王雁平），又名“Yvette”、又名“Y”，和其他已知及未知人员，故意且明知地共同结合、共谋、结社并相互同意实施电信欺诈，违反 Title 18, United States Code, Section 1343。\n\n29. 该共谋的一部分及目的在于，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”，又名“Boss”，KIN MING JE（闫明杰），又名“William Je”，又名“Yu Jianming”，以及 YANPING WANG（王雁平），又名“Yvette”，又名“Y”，以及其他已知和未知人员，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，且将会并确实通过州际和国际商业中的有线电、无线电和电视通信传送，并促使传送文字、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，具体而言，KWOK、JE、WANG及其他已知和未知人员通过提供重大虚假和误导性信息及陈述，欺诈性地诱使受害人汇款。\n\n30. 该共谋的另一部分及目的在于，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”，又名“Boss”，KIN MING JE，又名“William Je”，又名“Yu Jianming”，以及 YANPING WANG，又名“Yvette”，又名“Y”，以及其他已知和未知人员，明知将会并确实实施和企图实施一项欺诈金融机构的计划和手段，该术语定义见 Title 18, United States Code, Section 20，并通过虚假和欺诈性的借口、陈述和承诺，获取该等金融机构拥有且由其保管和控制的金钱、资金、信贷、资产、证券及其他财产，违反 Title 18, United States Code, Section 1344，具体而言，KWOK、JE、WANG及其他已知和未知人员向金融机构作出虚假陈述，并促使他人作出虚假陈述，以便除其他事项外，开立和维持用于推进其欺诈行为的银行账户，并获取由该等金融机构保管和控制的资金。\n\n(Title 18, United States Code, Section 1349.)\n第三项罪名（洗钱共谋）\n\n大陪审团进一步指控：\n\n31. 本起诉书第1至23段所载指控在此重述并再次主张，如同在此全文列明。\n\n32. 至少自约2018年起，直至并包括至少约2023年3月，在 Southern District of New York（纽约南区）及其他地点，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”，又名“Boss”，KIN MING JE，又名“William Je”，又名“Yu Jianming”，以及 YANPING WANG，又名“Yvette”，又名“Y”，以及其他已知和未知人员，故意且明知地相互并与彼此联合、共谋、结社并达成协议实施洗钱，违反 Title 18, United States Code, Sections 1956(a)(1)(A)(i), 1956(a)(1)(B)(i), 1956(a)(2)(A), and 1956(a)(2)(B)(i)。\n\n33. 该共谋的一部分及目的在于，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”，又名“Boss”，KIN MING JE，又名“William Je”，又名“Yu Jianming”，以及 YANPING WANG，又名“Yvette”，又名“Y”，以及其他已知和未知人员，明知某项金融交易所涉财产代表某种形式非法活动的收益，将会并确实进行和企图进行该金融交易；该交易影响州际和国际商业，并涉及一家从事州际和国际商业且其活动影响州际和国际商业的金融机构；且该交易事实上涉及特定非法活动的收益，具体而言，即本起诉书第五至第十一项罪名；其明知该交易的全部或部分目的在于隐瞒和掩饰特定非法活动收益的性质、地点、来源、所有权和控制权，违反 Title 18, United States Code, Section 1956(a)(1)(B)(i)。\n\n34. 该共谋的另一部分及目的在于，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”，又名“Boss”，KIN MING JE，又名“William Je”，又名“Yu Jianming”，以及 YANPING WANG，又名“Yvette”，又名“Y”，以及其他已知和未知人员，将会并确实运输、传送和转移，并企图传送和转移货币工具和资金，从美国境内某地运往并经由美国境外某地，以及从并经由美国境外某地运往美国境内某地，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收益，并明知该等运输、传送和转移的全部或部分目的在于隐瞒和掩饰特定非法活动收益的性质、地点、来源、所有权和控制权，具体而言，即本起诉书第五至第十一项罪名所指控的犯罪行为，违反 Title 18, United States Code, Section 1956(a)(2)(B)(i)。\n\n35. 该共谋的另一部分及目的在于，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”，又名“Boss”，KIN MING JE，又名“William Je”，又名“Yu Jianming”，以及 YANPING WANG，又名“Yvette”，又名“Y”，以及其他已知和未知人员，为促进实施特定非法活动，将会并确实运输、传送和转移，并企图传送和转移货币工具和资金，从美国境内某地运往并经由美国境外某地，以及从并经由美国境外某地运往美国境内某地，具体而言，即本起诉书第五至第十一项罪名所指控的犯罪行为，违反 Title 18, United States Code, Section 1956(a)(2)(A)。\n\n(Title 18, United States Code, Section 1956(h).)\n第四项罪名\n（证券欺诈及向金融机构作出虚假陈述的共谋）\n\n大陪审团进一步指控：\n\n36. 本起诉书第1至23段所载指控在此重述并再次主张，如同在此全文列明。\n\nGCLUBS 通过就声称的 GTV（GTV）普通股股份及声称的与 GTV 关联的公司提供重大虚假和误导性信息及陈述。\n\n39. 该共谋的另一部分及目的在于，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”，又名“Boss”，KIN MING JE，又名“William Je”，又名“Yu Jianming”，以及 YANPING WANG，又名“Yvette”，又名“Y”，以及其他已知和未知人员，为影响由 FDIC 承保其账户的金融机构的行为，就申请、预付款、贴现、购买、购买协议、回购协议、承诺和贷款，明知作出虚假陈述和报告，违反 Title 18, United States Code, Section 1014，具体而言，KWOK、JE和WANG就银行账户申请向金融机构撒谎，并促使他人撒谎，包括就拟存入资金的来源和所有权以及账户的预定用途作出虚假陈述。\n\n公开行为\n\n40. 为推进该共谋并实现其非法目的，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”，又名“Boss”，KIN MING JE，又名“William Je”，又名“Yu Jianming”，以及 YANPING WANG，又名“Yvette”，又名“Y”，以及其他已知和未知人员，在 Southern District of New York 及其他地点实施了下列公开行为，其中包括：\n\na. 约于2020年4月21日，KWOK在社交媒体上发布并促使发布一段视频，宣布通过 GTV Private Placement（GTV 私募配售）进行未经注册的 GTV 股票发售。\n\nb. 约于2020年5月20日，WANG以 GTV 名义开立了一个特定银行账户，并在提交给银行的文件中表示，该账户的预期余额将在 $25,000 至 $50,000 之间。约于2020年6月2日，WANG向该账户转入约 $200,000,000。\n\nc. 约于2020年6月5日，WANG在 Southern District of New York 内时，授权将 $100 million 从 Saraca（Saraca）电汇至 Fund-1（Fund-1）。\n\nd. 约于2020年7月22日，在一段通过社交媒体传播的视频中，KWOK推介 Farm Loan Program（农场贷款计划），其大意及部分内容为：“这笔钱已经改为一种新的合作方式，与当地农场签订贷款合同，利息为6%，给你股权……在这种情况下，这是一笔贷款，然后你可以要求获得股票……”。\n\ne. 约于2020年8月2日，在一段通过社交媒体传播的视频中，KWOK表示，其大意及部分内容为：“GTV 值多少？……市值为20亿美元。”\n\nf. 约于2021年7月30日，在一段通过社交媒体传播的视频中，KWOK表示，其大意及部分内容为：“一些战友问，‘我购买 G-Clubs（G-Clubs）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，任何在9月17日之前购买 G-Clubs 会员资格的人都必须获配股份，这完全一样。因为我们说过，任何人都可以选择在9月17日之前是否用你的钱购买 G-Clubs、G-Clubs 和股票股份。你将两者兼得。”\n\ng. 约于2021年8月5日，JE 指示将受害人以换取“会员资格”而汇给 GCLUBS 的约 $1.1 million 资金转入由 JE 控制的一个银行账户。\n\n(Title 18, United States Code, Section 371.)\n第五项罪名（电信欺诈——GTV 私募配售）\n\n大陪审团进一步指控：\n\n41. 本起诉书第1至23段所载指控在此重述并再次主张，如同在此全文列明。\n\n42. 至少自约2020年4月起，直至并包括至少约2021年9月，在 Southern District of New York 及其他地点，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”，又名“Boss”，KIN MING JE，又名“William Je”，又名“Yu Jianming”，以及 YANPING WANG，又名“Yvette”，又名“Y”，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，通过州际和国际商业中的有线电、无线电和电视通信传送并促使传送文字、标志、信号、图像和声音，以执行该等计划和手段，具体而言，KWOK、JE和WANG实施 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欺诈性获取金钱，包括但不限于就受害人资金的目的和用途作出虚假陈述；该计划通过与 Southern District of New York 及其他地点之间的电子通信和资金转移得以推进。\n\n(Title 18, United States Code, Sections 1343 and 2.)\n第六项罪名（证券欺诈——GTV 私募配售）\n\n大陪审团进一步指控：\n\n43. 本起诉书第1至23段所载指控在此重述并再次主张，如同在此全文列明。\n\n44. 自至少约于2020年4月起至至少约于2021年9月止（含该期间），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”、又名“Miles Kwok”、又名“Guo Wengui”、又名“Brother Seven”、又名“The Principal”、又名“Boss”，KIN MING JE，又名“William Je”、又名“Yu Jianming”，以及YANPING WANG，又名“Yvette”、又名“Y”，即被告人，故意且明知地，直接及间接地，通过使用州际商业及邮政的手段和工具，以及全国性证券交易所的设施，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手段和伎俩，违反Title 17, Code of Federal Regulations, Section 240.10b-5，方式为：(a)采用欺诈性手段、计划和伎俩；(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其作出时所处情形下不具误导性所必需的重大事实；以及(c)从事已经并将会对他人构成欺诈和欺骗的行为、做法及业务过程；具体而言，KWOK、JE和WANG实施GTV Private Placement（GTV私募配售），通过虚假陈述和不实陈述从受害人处出售GTV股票并获取资金，其中包括但不限于有关受害人资金的目的和用途的虚假陈述和不实陈述；该计划通过往来于Southern District of New York及其他地区的电子通信和资金转移得到推进。\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第七项罪名（电信诈骗—Farm Loan Program（农场贷款计划））\n\n大陪审团进一步指控：\n\n45. 本起诉书第1至23段所载指控在此重述并再次主张，犹如在本文中完整列明。\n\n46. 自至少约于2020年6月起至至少约于2023年3月止（含该期间），在Southern District of New York及其他地区，HO WAN KWOK，又名“Miles Guo”、又名“Miles Kwok”、又名“Guo Wengui”、又名“Brother Seven”、又名“The Principal”、又名“Boss”，KIN MING JE，又名“William Je”、又名“Yu Jianming”，以及YANPING WANG，又名“Yvette”、又名“Y”，即被告人，明知已设计并意图设计一项欺诈性计划和伎俩，以虚假和欺诈性的借口、陈述及承诺获取金钱和财产，并为执行该计划和伎俩之目的，通过州际及外国商业中的电报、无线电及电视通信传输并促使传输文字、标志、信号、图像和声音；具体而言，KWOK、JE和WANG实施农场贷款计划，通过虚假陈述和不实陈述欺诈性地从受害人处获取资金，其中包括但不限于有关受害人资金的目的和用途的虚假陈述和不实陈述；该计划通过往来于Southern District of New York及其他地区的电子通信和资金转移得到推进。\n\n(Title 18, United States Code, Sections 1343 and 2.)\n\n第八项罪名（证券欺诈—Farm Loan Program）\n\n大陪审团进一步指控：\n\n47. 本起诉书第1至23段所载指控在此重述并再次主张，犹如在本文中完整列明。\n\n48. 自至少约于2020年6月起至至少约于2023年3月止（含该期间），在Southern District of New York及其他地区，HO WAN KWOK，又名“Miles Guo”、又名“Miles Kwok”、又名“Guo Wengui”、又名“Brother Seven”、又名“The Principal”、又名“Boss”，KIN MING JE，又名“William Je”、又名“Yu Jianming”，以及YANPING WANG，又名“Yvette”、又名“Y”，即被告人，故意且明知地，直接地，通过使用州际商业及邮政的手段和工具，以及全国性证券交易所的设施，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手段和伎俩，违反Title 17, Code of Federal Regulations, Section 240.10b-5，方式为：(a)采用欺诈性手段、计划和伎俩；(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其作出时所处情形下不具误导性所必需的重大事实；以及(c)从事已经并将会对他人构成欺诈和欺骗的行为、做法及业务过程；具体而言，KWOK、JE和WANG实施农场贷款计划，通过虚假陈述和不实陈述从受害人处获取资金，其中包括但不限于有关受害人资金的目的和用途的虚假陈述和不实陈述；该计划通过往来于Southern District of New York及其他地区的电子通信和资金转移得到推进。\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第九项罪名（电信诈骗—G|CLUBS）\n\n大陪审团进一步指控：\n\n49. 本起诉书第1至23段所载指控在此重述并再次主张，犹如在本文中完整列明。\n\n50. 自至少约于2020年6月起至至少约于2023年3月止（含该期间），在Southern District of New York及其他地区，HO WAN KWOK，又名“Miles Guo”、又名“Miles Kwok”、又名“Guo Wengui”、又名“Brother Seven”、又名“The Principal”、又名“Boss”，KIN MING JE，又名“William Je”、又名“Yu Jianming”，以及YANPING WANG，又名“Yvette”、又名“Y”，即被告人，明知已设计并意图设计一项欺诈性计划和伎俩，以虚假和欺诈性的借口、陈述及承诺获取金钱和财产，并为执行该计划和伎俩之目的，通过州际及外国商业中的电报、无线电及电视通信传输并促使传输文字、标志、信号、图像和声音；具体而言，KWOK、JE和WANG推介和营销G|CLUBS，以通过虚假陈述和不实陈述欺诈性地从受害人处获取资金，通过虚假陈述和不实陈述从受害人处获取资金，其中包括但不限于有关受害人资金的目的和用途的虚假陈述和不实陈述；该计划通过往来于Southern District of New York及其他地区的电子通信和资金转移得到推进。\n\n(Title 18, United States Code, Sections 1343 and 2.)\n\n第十项罪名（证券欺诈—G|CLUBS）\n\n大陪审团进一步指控：\n\n51. 本起诉书第1至23段所载指控在此重述并再次主张，犹如在本文中完整列明。\n\n52. 自至少约于2020年6月起至至少约于2023年3月止（含该期间），在Southern District of New York及其他地区，HO WAN KWOK，又名“Miles Guo”、又名“Miles Kwok”、又名“Guo Wengui”、又名“Brother Seven”、又名“The Principal”、又名“Boss”，KIN MING JE，又名“William Je”、又名“Yu Jianming”，以及YANPING WANG，又名“Yvette”、又名“Y”，即被告人，故意且明知地，直接地，通过使用州际商业及邮政的手段和工具，以及全国性证券交易所的设施，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手段和伎俩，违反Title 17, Code of Federal Regulations, Section 240.10b-5，方式为：(a)采用欺诈性手段、计划和伎俩；(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其作出时所处情形下不具误导性所必需的重大事实；以及(c)从事已经并将会对他人构成欺诈和欺骗的行为、做法及业务过程；具体而言，KWOK、JE和WANG推介和营销G|CLUBS，通过虚假陈述和不实陈述从受害人处获取资金，其中包括但不限于有关受害人资金的目的和用途的虚假陈述和不实陈述；该计划通过往来于Southern District of New York及其他地区的电子通信和资金转移得到推进。\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第十一项罪名（电信诈骗—The Himalaya Exchange（喜马拉雅交易所））\n\n大陪审团进一步指控：\n\n53. 本起诉书第1至23段所载指控在此重述并再次主张，犹如在本文中完整列明。\n\n54. 自至少约于2021年4月起至至少约于2023年3月止（含该期间），在Southern District of New York及其他地区，HO WAN KWOK，又名“Miles Guo”、又名“Miles Kwok”、又名“Guo Wengui”、又名“Brother Seven”、又名“The Principal”、又名“Boss”，以及KIN MING JE，又名“William Je”、又名“Yu Jiaming”，即被告人，明知已设计并意图设计一项欺诈性计划和伎俩，以虚假和欺诈性的借口、陈述及承诺获取金钱和财产，并为执行该计划和伎俩之目的，通过州际及外国商业中的电报、无线电及电视通信传输并促使传输文字、标志、信号、图像和声音；具体而言，KWOK和JE运营喜马拉雅交易所，通过虚假陈述和不实陈述欺诈性地从受害人处获取资金，其中包括但不限于有关受害人资金的目的和用途的虚假陈述和不实陈述；该计划通过往来于Southern District of New York及其他地区的电子通信和资金转移得到推进。\n\n(Title 18, United States Code, Sections 1343 and 2.)\n\n第十二项罪名（非法货币交易）\n\n大陪审团进一步指控：\n\n55. 本起诉书第1至23段所载指控在此重述并再次主张，犹如在本文中完整列明。\n\n56. 约于2020年6月5日，在Southern District of New York及其他地区，HO WAN KWOK，又名“Miles Guo”、又名“Miles Kwok”、又名“Guo Wengui”、又名“Brother Seven”、又名“The Principal”、又名“Boss”，KIN MING JE，又名“William Je”、又名“Yu Jianming”，以及YANPING WANG，又名“Yvette”、又名“Y”，即被告人，在美国境内，明知地进行并企图进行Title 18, United States Code, Section 1957(f)(1)所定义的货币交易，涉及价值超过$10,000、源自特定非法活动的犯罪所得财产；具体而言，KWOK、JE和WANG进行了并指示他人进行一笔约$100 million的电汇，该款项源自第五项和第六项罪名所指控的犯罪，并被汇至Fund-1。\n\n(Title 18, United States Code, Sections 1957 and 2.)\n\n第十三项罪名（妨害司法）\n\n大陪审团进一步指控：\n\n57. 本起诉书第1至23段所载指控在此重述并再次主张，犹如在本文中完整列明。\n\n58. 自至少约于2022年9月20日起至至少本起诉书提交之日止，在Southern District of New York及其他地区，KIN MING JE，又名“William Je”、又名“Yu Jianming”，即被告人，腐败地妨碍、影响和阻挠一项官方程序，并企图如此行事；具体而言，JE企图转移资金至\n\n阿联酋（UAE），在美国管辖范围之外，以阻碍和干扰纽约南区（Southern District of New York）联邦大陪审团对本起诉书第一项至第十一项罪名所指控犯罪行为的调查，以及美国纽约南区联邦地区法院（United States District Court for the Southern District of New York）关于扣押犯罪所得收益的程序。\n\n(Title 18, United States Code, Sections 1512(c)(2) and 2.)\n\n没收指控\n\n59. 因实施本起诉书第一项罪名所指控的犯罪行为，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”、又名“Boss”，KIN MING JE（喻建明），又名“Yu Jianming”，以及 YANPING WANG（王雁平），又名“Yvette”、又名“Y”，应根据 Title 18, United States Code, Section 1963，向美国没收：\n\na. 任何违反 Section 1962 而取得或维持的权益；\n\nb. 对被告及其共谋者违反 Section 1962 而设立、经营、控制、管理或参与其管理的任何企业所享有的任何权益、担保、请求权、财产或合同权利，只要该等权益、担保、请求权、财产或合同权利能够构成对该企业施加影响力的来源；以及\n\nc. 构成第一项罪名所指控的敲诈勒索活动直接或间接取得的任何收益，或源自该等收益的任何财产，包括下列特定财产：\n\n(1) 原存放于 Silvergate Bank（Silvergate 银行）账户号码 5090037713、以“Hamilton Opportunity Fund SPC（汉密尔顿机会基金 SPC）”名义持有的 \\$64,826.87 美元；政府于 2022 年 9 月 18 日前后予以扣押；\n\n(2) 原存放于 Silvergate Bank 账户号码 5090037705、以“Hamilton Opportunity Fund SPC”名义持有的 \\$75,000,000.00 美元；政府于 2022 年 9 月 18 日前后予以扣押；\n\n(3) 原存放于 Silvergate Bank 账户号码 5090037754、以“Hamilton Opportunity Fund SPC”名义持有的 \\$467,343.00 美元；政府于 2022 年 9 月 18 日前后予以扣押；\n\n(4) 原存放于 Silvergate Bank 账户号码 5090042770、以“Hamilton Opportunity Fund SPC”名义持有的 \\$89,992,861.75 美元；政府于 2022 年 9 月 18 日前后予以扣押；\n\n(5) 原存放于 Silvergate Bank 账户号码 5090042762、以“Hamilton Opportunity Fund SPC”名义持有的 \\$1,683,077.40 美元；政府于 2022 年 9 月 18 日前后予以扣押；\n\n(6) 原存放于 Silvergate Bank 账户号码 5090042853、以“Hamilton Opportunity Funds SPC（汉密尔顿机会基金 SPC）”名义持有的 \\$85,899,889.20 美元；政府于 2022 年 9 月 18 日前后予以扣押；\n\n(7) 原存放于 Silvergate Bank 账户号码 5090030288、以“Hamilton Investment Management Ltd.（汉密尔顿投资管理有限公司）”名义持有的 \\$48,230,709.62 美元；政府于 2022 年 9 月 18 日前后予以扣押；\n\n(8) 原存放于 Silvergate Bank 账户号码 5090037739、以“Hamilton Opportunity Fund SPC”名义持有的 \\$1,800,000.00 美元；政府于 2022 年 9 月 18 日前后予以扣押；\n\n(9) 原存放于 Silvergate Bank 账户号码 5090042853、以“Hamilton Opportunity Funds SPC”名义持有的 \\$85,899,889.20 美元；政府于 2022 年 9 月 18 日前后予以扣押；\n\n(10) 原存放于 FV Bank（FV 银行）账户号码 7801000590、以“Himalaya International Reserves, Ltd.（喜马拉雅国际储备有限公司）”名义持有的 \\$4,643,744.70 美元；政府于 2022 年 9 月 20 日前后予以扣押；\n\n(11) 原存放于 FV Bank 账户号码 7801000254、以“Himalaya International Clearing, Ltd.（喜马拉雅国际清算有限公司）”名义持有的 \\$14,599,257.25 美元；政府于 2022 年 9 月 20 日前后予以扣押；\n\n(12) 原存放于 Mercantile Bank International（国际商业银行）账户号码 MBI10103-0000、以“G Club International Ltd.（G俱乐部国际有限公司）”名义持有的 \\$11,538,579.87 美元；政府于 2022 年 10 月 16 日前后予以扣押；\n\n(13) 原存放于 Mercantile Bank International 账户号码 MBI10133-0000、以“Himalaya International Clearing Ltd.”名义持有的 \\$10,008,284.04 美元；政府于 2022 年 10 月 16 日前后至 2023 年 3 月 10 日前后期间予以扣押；\n\n(14) 原存放于 Mercantile Bank International 账户号码 MBI10137-0000、以“Hamilton Capital Holding Ltd.（汉密尔顿资本控股有限公司）”名义持有的 \\$3,090,856.54 美元；政府于 2022 年 10 月 16 日前后至 2023 年 3 月 10 日前后期间予以扣押；\n\n(15) 原存放于 Mercantile Bank International 账户号码 MBI10138-0000、以“Himalaya International Reserves Ltd.”名义持有的 \\$272,350,313.76 美元；政府于 2022 年 10 月 16 日前后至 2023 年 3 月 10 日前后期间予以扣押；\n\n(16) 原存放于 Mercantile Bank International 账户号码 MBI10139-0000、以“Himalaya International Financial Group Ltd.（喜马拉雅国际金融集团有限公司）”名义持有的 \\$310,594.31 美元；政府于 2022 年 10 月 16 日前后至 2023 年 3 月 10 日前后期间予以扣押；\n\n(17) 原存放于 Mercantile Bank International 账户号码 MBI10171-0000、以“Hamilton Investment Management Ltd.”名义持有的 \\$1,187,278.87 美元；政府于 2022 年 10 月 16 日前后至 2023 年 3 月 10 日前后期间予以扣押；\n\n(18) 原存放于 Mercantile Bank International 账户号码 MBI10172-0000、以“G Fashion International Limited（G时尚国际有限公司）”名义持有的 \\$43,782.71 美元；政府于 2022 年 10 月 16 日前后予以扣押；\n\n(19) 原存放于 FV Bank 账户号码 7801000589、以“Himalaya International Financial Group, Ltd.”名义持有的 \\$7,715.00 美元；政府于 2022 年 9 月 20 日前后予以扣押；\n\n(20) 原存放于 Mercantile Bank International 账户号码 MBI10183-0000、以“Himalaya Currency Clearing Pty Ltd.（喜马拉雅货币清算私人有限公司）”名义持有的 \\$161,809.47 美元；政府于 2022 年 10 月 16 日前后予以扣押；\n\n(21) 原存放于 Manufacturers & Traders Trust Co.（制造商与交易商信托公司）账户号码 9878904409、以“GETTR USA, Inc.（GETTR 美国公司）”名义持有的 \\$2,745,377.75 美元；政府于 2022 年 9 月 18 日前后予以扣押；\n\n(22) 原存放于 US Bank（美国银行）账户号码 157525208185、以“G Fashion（G时尚）”名义持有的 \\$9,899,659.19 美元；政府于 2022 年 9 月 18 日前后予以扣押；\n\n(23) 位于 675 Ramapo Valley Road, Mahwah, New Jersey 07430 的全部土地或地块，以及其建筑物、附属物、改良物、固定装置、附着物和地役权，地块编号为 3300021-03-00001-02，描述为：地块编号：1.02；街区：21.03；区：33；市、自治市、镇区：MAHWAH TWP；\n\n(24) 一辆 Bugatti Chiron Super Sport，车辆识别号码为 VF9SW3V3XNM795047；\n\n(25) 一辆 Lamborghini Aventador SVJ Roads，车辆识别号码为 ZHWUN6ZD2MLA10393；\n\n(26) 一辆 Rolls Royce Phantom EWB，车辆识别号码为 SCATT8C08MU206445；\n\n(27) 一艘 46m、2014 年制造的 Feadship 超级游艇“Lady May”（原名 Como），IMO 编号为 112359，MMSI 编号为 319059500，呼号为 ZGDQ9；\n\n(28) 一架 Bösendorfer 185VC Porsche #49539 钢琴，配定制琴凳，购置价格约为 \\$140,938.69；\n\n(29) 一张 Railis Design Iceland Contemporary Poseidon Bed 床，配床头柜、乌木饰面、黄铜及天鹅绒，购置价格约为 \\$31,413.71；\n\n(30) 一张 Hästens 2000T md 床垫，购置价格约为 \\$36,590.00；\n\n(31) 一张 Hästens 2000T sf 床垫，购置价格约为 \\$36,210.00；\n\n(32) 一个 Wembe 手表收纳盒，购置价格约为 \\$59,392.91；\n\n(33) 一台 Samsung Q900 Series QN98Q900RBF 98\" QLED Smart TV -8K，购置价格约为 \\$62,787.54；\n\n(34) 一件由 Joseph Emmanuel Zweiner 制作的路易十五风格法式镀金铜饰桃花心木五斗柜；\n\n(35) 一张由 Philip & Kelvin LaVerne 制作的“K'ang Hsi”蚀刻及做旧锡镴和青铜延伸桌，带手绘珐琅彩色装饰，购置价格约为 \\$180,000.00；以及\n\n(36) 一张由 Gabriella Crespi 制作的“Punto '83”不锈钢网面桌，桌面高度和花瓣可调，意大利，1982 年，购置价格约为 \\$180,000.00。\n\n(1) 至 (36) 统称为“特定财产”。\n\n60. 因实施本起诉书第二项、第四项及第五项至第十一项罪名所指控的电信欺诈和证券欺诈犯罪行为，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”、又名“Boss”，KIN MING JE，又名“William Je”、又名“Yu Jianming”，以及 YANPING WANG，又名“Yvette”、又名“Y”，应根据 Title 18, United States Code, Section 981(a)(1)(C) and Title 28 United States Code, Section 2461(c)，向美国没收构成或源自可追溯至实施上述犯罪行为所得收益的任何及全部不动产和动产，包括但不限于代表可追溯至实施上述犯罪行为所得收益金额的一笔美元款项，以及特定财产。\n\n61. 因实施本起诉书第三项和第十二项罪名所指控的洗钱犯罪行为，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”、又名“Boss”，KIN MING JE，又名“William Je”、又名“Yu Jianming”，以及 YANPING WANG，又名“Y vette”、又名“Y”，应根据 Title 18, United States Code, Section 982(a)(1)，向美国没收涉及上述犯罪行为的任何及全部不动产和动产，或任何可追溯至该等财产的财产，包括但不限于代表涉及上述犯罪行为的财产金额的一笔美元款项，以及特定财产。\n\n替代资产条款\n\n62. 如因被告的任何作为或不作为，上述任何应没收财产：\n\na. 经尽职调查后仍无法找到；\n\nb. 已转让或出售给第三人，或已向第三人存放；\n\nc. 已被置于本院管辖范围之外；\n\nd. 价值已大幅减损；或\n\ne. 已与其他财产混同，且无法在无困难的情况下予以分割；\n\n美国拟根据 Title 18, United States Code, Section 1963(m), Title 21, United States Code, Section 853(p) and Title 28, United States Code, Section 2461(c)，寻求没收被告价值不超过上述应没收财产价值的任何其他财产。\n\n(Title 18, United States Code, Sections 981, 982, and 1963; Title 21, United States Code, Section 853; and Title 28, United States Code, Section 2461.)\n\n陪审团团长\n\nDoming W:11:900\n\nDAMIAN WILLIAMS（达米安·威廉斯） 美国联邦检察官","key_entities":["Kwok","Je","Guo","GTV","CIPA","Himalaya","Ho Wan Kwok","Miles Guo","Kin Ming Je","William Je","Himalaya Exchange","Yanping Wang","Farm Loan","Saraca","Paul Hastings","Despins","G Clubs","Chinese Communist Party","forfeiture","GETTR","853(p)"],"ecf_references":[{"doc_number":215,"court":"CTB"}],"word_count":12962,"status":"published","published_at":"2024-01-04 00:00:00","created_at":"2024-01-04","updated_at":"2026-08-23 21:36:07"}