{"id":"court_ctb_2898_2","court":"CTB","case_no":"22-50073","doc_number":2898,"sub_number":2,"doc_type":"INDICTMENT","filed_date":"2024-01-03","title":"Exhibit 2 ORIGINAL","summary_zh":"附件：追加起诉书 —— Ho Wan Kwok 破产案（郭文贵 / Guo Wengui / Miles Guo），CTB 22-50073 ECF #2898-2（2024-01-03立案）。本附件为纽约南区联邦地区法院对郭文贵、余建明（Kin Ming Je）及王雁平（Yanping Wang）的 S2 追加起诉书。起诉书指控被告通过「Kwok Enterprise」实施涉案逾 10 亿美元的欺诈、洗钱及敲诈勒索（RICO）阴谋，并列明详细的财产没收条款。","summary_en":"Exhibit: Superseding Indictment — In re Ho Wan Kwok (Miles Guo / Guo Wengui), CTB 22-50073 ECF #2898-2 (filed 2024-01-03). This exhibit is the SDNY superseding indictment (S2 23 Cr. 118) charging Ho Wan Kwok, Kin Ming Je, and Yanping Wang with racketeering conspiracy (RICO), wire fraud, securities fraud, and money laundering exceeding $1 billion through the \"Kwok Enterprise.\" It also includes comprehensive forfeiture and substitute asset provisions.","body_en":"# **Exhibit 2**\n\n# **ORIGINAL**\n\n# UNITED STA TES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK\n\n# UNITED STATES OF AMERICA **SUPERSEDING INDICTMENT**\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\nKINMINGJE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" and\n\nYANPINGWANG, 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 \"~iles 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 Y ANPING 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 Kwok Enterprise through a series of complex fraudulent and fictitious businesses and\n\n# 50\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, 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, 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 Y ANPING 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 Kwok Enterprise.\n\na. The interrelated and overlapping entities that form the Kwok Enterprise include: ACA Capital Group Limited, ACA Investment Management Limited, Freedom Media\n\nVentures Limited, G Club International Limited, G Club Operations LLC, G Fashion LLC, G Fashion International Limited, GF Italy, LLC, GFNY, Inc., G Music LLC, GETTR USA, Inc., Golden Spring (New York) Limited, Greenwich Land, LLC, GTV Media Group, Inc., Guo Media, G News LLC, Hamilton Capital Holding Limited, Hamilton Investment Management Limited, Hamilton Opportunity Fund SPC, HCHK Property Management, Inc., HCHK Technologies, Inc., the Himalaya Exchange, the Himalaya Farm Alliance, Himalaya Currency Clearing Pty Ltd., Himalaya International Clearing Limited, Himalaya International Financial Group Limited, Himalaya International Reserves Limited, Holy City Hong Kong Ventures Ltd., Hudson Diamond NY LLC, Infinity Treasury Management, Inc., Jovial Century International Limited, Lamp Capital LLC, Leading Shine NY Limited, Lexington Property and Staffing Inc., Major Lead International Limited, Mountains of Spices LLC (d/b/a New York Farm), the New Federal State of China, O.S.C. Orbit Service Company LLC, Rule of Law Foundation III, Inc., Rule of Law Society IV, Inc., Saraca Media Group, Inc., Taurus Fund LLC, Taurus Management LLC, and Voice of Guo Media Inc., among others.\n\nb. The defendants and the entities set forth in paragraph 3a., together with others known and unknown, were members and associates of a criminal organization (the \"Kwok Enterprise\") that engaged in criminal activity, to include wire fraud, bank fraud, money laundering, and securities fraud. The Kwok Enterprise, including its leaders, members, and associates, constituted an enterprise as defined in Title 18, United States Code Section 1961(4); that is, a group of entities and individuals associated in fact, consisting of KWOK, JE, WANG, the entities set forth in paragraph 3a., and others known and unknown. The Kwok Enterprise constituted an ongoing organization whose members functioned as a continuing unit for the common purpose of achieving the objectives of the enterprise. The Kwok Enterprise operated in the Southern District\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,\" 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 Y ANPING 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-I\"); an approximately \\$37 million luxury yacht that was used by KWOK and his family and purchased in the name of one of  KWOK'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-I, among other things. For his part, among other things, JE transferred at least \\$10 million of the fraud proceeds into his and his spouse's personal bank accounts. 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 Y ANPING 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\n> c. 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, 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, and the Kwok Enterprise.\n\n# **Relevant Persons and Entities**\n\n!.\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 KWOK's statements regarding investment and moneymaking opportunities. In truth and in fact, and as KWOK well knew, he and others provided false and materially misleading information to promote these \"opportunities\" and to defraud KWOK's followers and other victims. 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\nl 0. 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\n- I\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, Y ANPING WANG, a/k/a \"Yvette,\" 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 HOW AN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" 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, New York. Relative-I 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. Y ANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" the defendant, was an \"Executive Director\" of GTV.\n\n.!\n\n14. At certain times relevant to this Indictment, G Club Operations, LLC (\"GICLUBS\") was a purported membership organization based in Puerto Rico and in New York, New York. GjCLUBS was functionally owned and controlled by HOW AN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" a/k/a \"Boss,\" the defendant, although KWOK held no formal position or title at GICLUBS. KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" the defendant, likewise held no formal position or title at GICLUBS, but exerted influence over its finances and laundered its proceeds. Y ANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" similarly held no formal position or title at GICLUBS, but in fact exercised control over its day-to-day operations and ensured that KWOK's instructions were implemented across the organization. GICLUBS was formally owned by a coconspirator (\"CC-I\") who worked in concert with KWOK, WANG, Relative-I, and others known and unknown to further the goals of the Kwok Enterprise.\n\n15. At certain times relevant to this Indictment, the \"Himalaya Exchange\" was a purported cryptocurrency \"ecosystem\" that KIN MING JE, a/k/a \"William Je,\" a/k/a \"Yu Jianming,\" the defendant, founded and operated through various entities he owned, which were based abroad. Entities functionally owned and controlled by HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" a/k/a \"Boss,\" the defendant, such as GICLUBS and GjFashion, had purported business relationships with the Himalaya Exchange. KWOK promoted the Himalaya Exchange and claimed to be the designer of its purported cryptocurrency, although KWOK held no formal position or title at the Himalaya Exchange. WANG likewise held no formal position or title at the Himalaya Exchange but, among other things, was allocated millions of dollars in its purported\n\n*l*\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, HOW AN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" 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\n*l*\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| Acquisition<br>of<br>companies<br>strengthen<br>and<br>to<br>grow<br>GTV | Approximate<br>70% |\n|--------------------------------------------------------------------------|--------------------|\n| Upgrade<br>of<br>GTV<br>technology<br>and<br>security                    | Approximate<br>10% |\n| Marketing                                                                | Approximate<br>8%  |\n| Working<br>capital                                                       | Approximate<br>7%  |\n| Other                                                                    | Approximate<br>5%  |\n| Total                                                                    | 100%               |\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  *l*\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-I.\n\ng. The GTV Private Placement was not made pursuant to a registration statement filed with the U.S. Securities and Exchange Commission (\"SEC\"). Rather, the offering was purportedly made pursuant to SEC regulations that permit the sale of unregistered securities subject to limitations on the type of investors to whom the securities are offered and the manner in which their investments may be solicited. To evade these limitations, however, **KWOK** and others under his control used at least one intermediary entity to purchase GTV stock on behalf of pools of investors who did not 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 Y ANPING 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-I\") for the benefit of Saraca and its ultimate beneficial owner, Relative-I. This transaction was contrary to the PPM's representations to prospective GTV investors about how investments in GTV would be used. Indeed, the \\$100 million investment into Fund-I was not made \"to strengthen\n\nI I\n\nand grow\" GTV's business or to benefit GTV, but rather was made for the benefit of Saraca and Relative-I. The victims who supplied the \\$100 million invested into Fund-I did not own any shares of Saraca. Ultimately, the investment into Fund-I lost approximately \\$30 million in value.\n\ni. After directing \\$100 million of GTV victim funds into Fund-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, 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 misappropriated money from the GTV Private Placement for the benefit of Saraca and Relative-I-KWOK, JE, and their co-conspirators fraudulently obtained more than approximately \\$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 of2 billion US dollars.\" <sup>1</sup>In truth and in fact, and as KWOK well knew, GTV's market value was far less because, among other things, GTV was a new business that generated no revenue.\n\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### GICLUBS\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 GICLUBS. 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 GICLUBS. The GICLUBS 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, GICLUBS claimed, on its website, to be \"an exclusive, high-end membership program offering a full spectrum of services\" and \"a gateway to carefully curated world-class products, services and experiences.\"\n\nc. To join GICLUBS, a member was required to make a one-time payment to purchase a \"membership,\" in addition to an annual membership fee. The cost of the membership varied based on the membership tier selected by the prospective member: 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 [GICLUBS] member[s] ... \\$100 million dollars, the cash [in] the bank account. Then we have the 111 million ... [who] want to join.\" By contrast, GICLUBS internal documents reflected approximately 5,900 active members as of in or about August 2021.\n\ne. In truth and in fact, and as KWOK, JE, and WANG well knew, GICLUBS provided nothing close to \"a full spectrum of services\" and \"experiences\" to its members. Despite collecting hundreds of millions of dollars in purported membership fees, GICLUBS maintained a relatively small number of employees and provided its members few to no discemable membership benefits. As of on or about March 8, 2021-months after GICL UBS launched and began to collect \"membership\" fees-GICLUBS did not have a business plan or a board of directors.\n\nf. KWOK, JE, and WANG also used GICLUBS 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 GICLUBS memberships would entitle them to stock in KWOK-affiliated entities, such as GTV and GIFashion.\n\ni. In a conversation regarding GICLUBS membership funds on or about May 4, 2021, JE stated, in substance and in part, that \"first of all, [prospective members] are buying the GICLUBS membership, but they are expecting they would probably receive some shares, you know, on, on, on the future GTV, I think this is their expectation.\"\n\nii. On or about July 30, 2021, 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 GICLUBS membership?' 100%. Because I said that I have to promise that anyone who buys G-Club membership before September 17 must be allotted shares, which is exactly the same. Because we said that anyone can choose whether to use your money to buy G-Club before September 17, G-Club and the stock shares. You'll get both.\"\n\ng. KWOK, JE, WANG, and others known and unknown, asked investors to purchase multiple memberships in GICLUBS, enabling KWOK, JE, and WANG to increase the amount of money solicited. In this regard, the GICLUBS website stated, in substance and in part, that members with multiple memberships would \"receive additional benefits\" when, in truth and in fact, and as KWOK, 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 GICLUBS memberships. However, most of this money did not fund the business of GICLUBS. Rather, HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a\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 GICLUBS for \"memberships\" using, among other things, a complex web of entities and bank accounts to do so. For example:\n\ni. GICLUBS funds, which had been funneled through bank accounts in other entities' names, were used to pay personal expenses for KWOK and his family, including luxury purchases of an approximately \\$2.6 million yacht and luxury automobiles that together cost more than \\$5 million.\n\nii. In or about November 2021, JE directed approximately \\$26.5 million of GICLUBS funds, which had been funneled through bank accounts in other entities' names, toward the purchase ofKWOK's 50,000-square-foot New Jersey mansion.\n\niii. JE directed the transfer of an additional \\$13 million of GICLUBS membership payments to an escrow account. The funds were subsequently used to pay for extravagant renovations to KWOK's New Jersey mansion, including to a wing for Relative-I and 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 GICLUBS membership payments into a bank account that JE controlled.\n\nv. GICLUBS used membership fees to purchase luxury automobiles, including a custom-built Bugatti sports car for approximately \\$4.4 million. While the car's signed\n\npurchase agreement listed GICLUBS as the customer, the initial specifications documentation for the custom-built car named Relative-I as the customer. Relative-I had no official position with GICLUBS.\n\n# *The Himalaya Exchange*\n\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 \"William 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\n1. \"I am talking about your H Coins, 'Brother Seven' [i.e., **KWOK]**  designed it .... [I]t has the attribute of currency, why? It has 20% gold. Awesome[.] [l]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 I 00%. I give you I 00%. 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 I, 2021. HCN began trading at IO 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 I, 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 luxurious 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 cost of the Ferrari, while also processing a corresponding \"transaction\" on the Himalaya Exchange to create the false appearance that the purchase had taken place using HDO. JE's statement was also misleading in that, among other things, the unidentified \"buyer\" of the Ferrari was, in fact, Relative-I.\n\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 HCN 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 HOO 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 HOO purportedly could be converted only to or from fiat currency (and only on the Himalaya Exchange).\n\ni. Indeed, the HOO 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 HOO 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,\" 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, arranged for the transfer of approximately \\$3 7 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 Y ANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" the defendants, regularly moved funds within the Kwok Enterprise and for the benefit of KWOK, 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 Y ANPING 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 GICLUBS 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 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 Y ANPING 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.lOb-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 conduct of 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 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, 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 Y ANPING 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,\" a/k/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, 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 Y ANPING 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 l956(a)(l)(A)(i), 1956(a)(l)(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 Y ANPING 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)(l)(B)(i).\n\n34. 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,\" 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 transport, 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,\" a/k/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, would and did transport, transmit, and transfer, and attempt to transport, transmit, and transfer, a monetary instrument and funds from a place in the United States to and through a place outside the United States, and to a place in the United States from and through a place outside the United States, with the intent to promote the carrying on specified unlawful activity, to wit, the offenses alleged in Counts 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\n37. From at least in or about 2018, up to and including at least in or about March 2023, in the Southern District of New York and elsewhere, HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" 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 willfully and knowingly combined, conspired, confederated, and agreed together and with each other to commit offenses against the United States, to wit, (1) securities fraud, in violation of Title 15, United States Code, Sections 78j(b) & 78ff, and Title 17, Code of Federal Regulations, Section 240.lOb-5; and (2) making false statements to a financial institution, in violation of Title 18, United States Code, Section 1014.\n\n38. It was a part and an object of the conspiracy that HO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" KIN MING JE, a/k/a \"William Je,\" and Y ANPING WANG, a/k/a \"Yvette,\" a/k/a \"Y,\" the defendants, and others known and unknown, willfully and knowingly, directly and indirectly, by use of the means and instrumentalities ofinterstate commerce, and of the mails, and of the facilities of a national securities exchange, used and employed, in connection with the purchase and sale of securities registered on a national securities exchange and any security not so registered, manipulative and deceptive devices and contrivances, in violation of Title 17, Code of Federal Regulations, Section 240.I0b-5, by (a) employing devices, schemes, and artifices to defraud; (b) making untrue statements of material fact and omitting to state material facts necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading; and (c) engaging in acts, practices, and courses of business which operated and would operate as a fraud and deceit upon a person, to wit, KWOK, JE, and WANG agreed to fraudulently induce investors to participate in the GTV Private Placement, the Farm Loan Program, and\n\nGICLUBS 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, 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 Y ANPING 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,\" 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, 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 of2 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 GjCLUBS 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,\" 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 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 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 Y ANPING 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.l0b-5, by (a) employing a device, scheme and artifice to defraud; (b) making an untrue statement of material fact and omitting to state a material fact necessary in order to make the statement made, in light of the circumstances under which it was made, not misleading; and (c) engaging in an act, practice and course of business which operated and would operate as a fraud and deceit upon a person, to wit, KWOK, JE, and WANG 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 240.1 0b-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, HOW AN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" a/k/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 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\n4 7. 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 ofNew York, and elsewhere, HOW AN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" a/k/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, willfully and knowingly, directly and indirectly, by use of a means and instrumentality of interstate commerce and of the mails, and of a facility of a national securities exchange, used and employed, in connection with the purchase and sale of a security registered on a national securities exchange and any security not so registered, a manipulative and deceptive device and contrivance, in violation of Title 17, Code of Federal Regulations, Section 240.l0b-5, by (a) employing a device, scheme and artifice to defraud; (b) making an untrue statement of material fact and omitting to state a material fact necessary in order to make the statement made, in light of the circumstances under which it was made, not misleading; and ( c) engaging in an act, practice and course of business which operated and would operate as a fraud and deceit upon a person, to wit, **KWOK,** JE, and WANG 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 240.1 0b-5; and Title 18, United States Code, Section 2.)\n\n# **COUNT NINE (Wire Fraud** - **GICLUBS)**\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 Jiaruning,\" 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 promoted and marketed GICLUBS 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-GICLUBS)**\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,\" 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.I0b-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 GICLUBS 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\n\nfurthered 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.l0b-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\nJ.\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 offalse 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 Y ANPING WANG, a/k/a \"Yvette,\" 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(±)(1 ), in criminally derived property of a value greater than \\$10,000 that was derived from specified unlawful activity, to wit, KWOK, JE, and WANG made, and directed others to make, a wire transfer of approximately \\$100 million derived from the offenses charged in Counts Five and Six to Fund-I.\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 and forfeiture 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 \"William Je,\" a/k/a \"Yu Jianming,\" and Y ANPING 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\n> a. 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 509003 7705 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 509003 7739 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 MBil O 103-0000 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 MBI 1013 3-0000 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 MBil O 137-0000 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 MBil O 138-0000 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 MBI 10139-0000 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 or about March 10, 2023;\n\n(17) \\$1,187,278.87 in United States currency formerly on deposit in Account Number MBI 101 71-0000 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 m 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\nj J\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 Bosendorfer 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 Hastens 2000T md mattress, purchased for approximately \\$36,590.00;\n\n(31) A Hastens 2000T sf mattress, purchased for approximately \\$36,210.00;\n\n1 ..! !\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 La Verne, 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 Y ANPING 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)(l)(C) and Title 28 United States Code, Section 2461(c), any and all property, real and personal, that constitutes or is derived from proceeds traceable to the commission of said offenses, including but not limited to a sum of money in United States currency representing the amount of proceeds traceable to the commission of said offenses and 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 Y ANPING 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 982(a)(l), 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- c. has been placed beyond the jurisdiction of the Court;\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 l 963(m), Title 21, United States Code, Section 853(p) and Title 28, United States Code, Section 2461(c), to\n\nseek 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\n**~•9>- 4/:IJ;\"'-+-**\n\nDAMIAN WILLIAMS United States Attorney","body_zh":"证物2\n\n原件\n\n美国联邦地区法院 纽约南区\n\n美利坚合众国　　　　　　　　　　　　　　　　追加起诉书\n\n诉\n\nHO WAN KWOK（郭文贵），又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，又名“Boss”，\n\nKIN MING JE（叶简明），又名“William Je”，又名“Yu Jianming”，以及\n\nYANPING WANG（王雁平），又名“Yvette”，又名“Y”，\n\n被告。\n\n第一项罪名（敲诈勒索共谋）\n\n大陪审团指控如下：\n\n郭文贵企业概述\n\n1. 自至少约2018年起至至少约2023年3月止，HO WAN KWOK（郭文贵），又名“~iles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，又名“Boss”，KIN MING JE（叶简明），又名“William Je”，又名“Yu Jianming”，以及YANPING WANG（王雁平），又名“Yvette”，又名“Y”，各被告及其他已知和未知人员，共谋诈欺数千名被害人，涉案金额超过约$1 billion，其中包括位于纽约南区的被害人。郭文贵、叶简明、王雁平及其共谋者通过一系列复杂的欺诈性和虚构性企业及投资机会经营郭文贵企业；这些企业及投资机会连接了数十个相互关联的实体，使各被告及其共谋者得以招揽、洗钱和侵吞被害人资金（统称为下文第3b段所界定的“郭文贵企业”）。\n\nS2 23 Cr. 118 (AT)\n\n2. 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（叶简明），又名“William Je”，又名“Yu Jianming”，以及YANPING WANG（王雁平），又名“Yvette”，又名“Y”，各被告及其共谋者，利用郭文贵在网络上的广泛影响力及数十万名网络追随者，以承诺超额财务回报及其他利益的方式，招揽对各类实体和项目的投资。事实上，且如郭文贵、叶简明和王雁平明知，这些实体是郭文贵、叶简明和王雁平创设并用于实施其欺诈、壮大郭文贵企业以及利用郭文贵追随者的工具。该计划使郭文贵、叶简明和王雁平得以使其本人、家庭成员及共谋者获利，并为郭文贵奢靡的生活方式提供资金。\n\n3. 为实施其计划，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（叶简明），又名“William Je”，又名“Yu Jianming”，以及YANPING WANG（王雁平），又名“Yvette”，又名“Y”，各被告及其他已知和未知人员，创设并维持了若干相互关联且相互重叠的实体，即郭文贵企业。郭文贵企业获取欺诈所得，对该等所得进行洗钱，为郭文贵及其家人的利益而将欺诈所得用于购买昂贵和奢侈物品、车辆及财产，使用欺诈所得推广郭文贵企业，并使用欺诈所得运营和管理郭文贵企业。\n\na. 构成郭文贵企业的相互关联且相互重叠的实体包括：ACA Capital Group Limited（ACA资本集团有限公司）、ACA Investment Management Limited（ACA投资管理有限公司）、Freedom Media Ventures Limited（自由媒体创投有限公司）、G Club International Limited（G俱乐部国际有限公司）、G Club Operations LLC（G俱乐部运营有限责任公司）、G Fashion LLC（G时尚有限责任公司）、G Fashion International Limited（G时尚国际有限公司）、GF Italy, LLC（GF意大利有限责任公司）、GFNY, Inc.（GFNY公司）、G Music LLC（G音乐有限责任公司）、GETTR USA, Inc.（GETTR美国公司）、Golden Spring (New York) Limited（金泉〈纽约〉有限公司）、Greenwich Land, LLC（格林威治土地有限责任公司）、GTV Media Group, Inc.（GTV媒体集团公司）、Guo Media（郭媒体）、G News LLC（G新闻有限责任公司）、Hamilton Capital Holding Limited（汉密尔顿资本控股有限公司）、Hamilton Investment Management Limited（汉密尔顿投资管理有限公司）、Hamilton Opportunity Fund SPC（汉密尔顿机会基金SPC）、HCHK Property Management, Inc.（HCHK物业管理公司）、HCHK Technologies, Inc.（HCHK科技公司）、the Himalaya Exchange（喜马拉雅交易所）、the Himalaya Farm Alliance（喜马拉雅农场联盟）、Himalaya Currency Clearing Pty Ltd.（喜马拉雅货币清算有限公司）、Himalaya International Clearing Limited（喜马拉雅国际清算有限公司）、Himalaya International Financial Group Limited（喜马拉雅国际金融集团有限公司）、Himalaya International Reserves Limited（喜马拉雅国际储备有限公司）、Holy City Hong Kong Ventures Ltd.（圣城香港创投有限公司）、Hudson Diamond NY LLC（哈德逊钻石纽约有限责任公司）、Infinity Treasury Management, Inc.（无限财资管理公司）、Jovial Century International Limited（欢悦世纪国际有限公司）、Lamp Capital LLC（灯塔资本有限责任公司）、Leading Shine NY Limited（领耀纽约有限公司）、Lexington Property and Staffing Inc.（列克星敦物业及人事公司）、Major Lead International Limited（主要领导国际有限公司）、Mountains of Spices LLC（香料山有限责任公司，经营名称为New York Farm〔纽约农场〕）、the New Federal State of China（新中国联邦）、O.S.C. Orbit Service Company LLC（O.S.C.轨道服务公司有限责任公司）、Rule of Law Foundation III, Inc.（法治基金会III公司）、Rule of Law Society IV, Inc.（法治协会IV公司）、Saraca Media Group, Inc.（无忧媒体集团公司）、Taurus Fund LLC（金牛基金有限责任公司）、Taurus Management LLC（金牛管理有限责任公司）以及Voice of Guo Media Inc.（郭媒体之声公司）等。\n\nb. 各被告及第3a段所列实体，连同其他已知和未知人员，均为一个从事包括电信欺诈、银行欺诈、洗钱和证券欺诈在内的犯罪活动的犯罪组织（“郭文贵企业”）的成员和关联人员。郭文贵企业，包括其领导人、成员和关联人员，构成Title 18, United States Code Section 1961(4)所界定的企业；即一个事实上结合的实体和个人团体，由郭文贵、叶简明、王雁平、第3a段所列实体以及其他已知和未知人员组成。郭文贵企业构成一个持续存在的组织，其成员作为一个持续的单位运作，以实现该企业的共同目标。郭文贵企业在纽约南区及其他地区开展活动。郭文贵企业从事的活动影响州际及外国商业。\n\n4. 为进一步实施其计划，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（叶简明），又名“William Je”，又名“Yu Jianming”，以及YANPING WANG（王雁平），又名“Yvette”，又名“Y”，各被告及其共谋者，对数亿美元的欺诈所得进行了洗钱。为掩饰资金的非法来源，郭文贵、叶简明和王雁平将资金转入、转经并指示将资金转入、转经至少80个不同实体或个人名下持有的超过约500个账户，其中包括属于郭文贵企业的实体。该欺诈计划所得的数亿美元，被直接或间接转入美国、巴哈马、瑞士和阿拉伯联合酋长国（“UAE”）等地的银行账户，并以由叶简明拥有或以其他方式控制的实体名义持有，其中包括ACA Capital（ACA资本）、Hamilton Investment Management Ltd.（汉密尔顿投资管理有限公司）和Hamilton Opportunity Fund SPC（汉密尔顿机会基金SPC）。\n\n5. 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（叶简明），又名“William Je”，又名“Yu Jianming”，各被告，为其本人及其家人的利益使用了该欺诈计划所得中的超过约$300 million。例如，郭文贵使用欺诈取得的被害人资金购买、出资或融资购置了：一座位于新泽西州、价值$26.5 million、约50,000平方英尺的宅邸，供郭文贵及其家人使用；豪华车辆，包括一辆约$3.5 million的Ferrari（法拉利）以及一辆约$4.4 million、为郭文贵的一名近亲和共谋者（“Relative-I”）定制的Bugatti（布加迪）；一艘约$37 million的豪华游艇，供郭文贵及其家人使用，并以郭文贵一名近亲（“Relative-2”）的名义购置；一架价值约$140,000的钢琴；两张约$36,000的床垫；以及一项向高风险对冲基金作出的$100 million投资，最终使Relative-I受益；等等。就叶简明而言，除其他事项外，他将至少$10 million的欺诈所得转入其本人及其配偶的个人银行账户。就王雁平而言，除其他事项外，YANPING WANG（王雁平），又名“Yvette”，又名“Y”，每年至少获得约$500,000的报酬，被赠与一套价值约$1.1 million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。\n\n6. 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（叶简明），又名“William Je”，又名“Yu Jianming”，以及YANPING WANG（王雁平），又名“Yvette”，又名“Y”，各被告及其共谋者，多年来实施该计划，并至少持续至2023年3月。他们通过以下方式实施该计划，其中包括：扩大郭文贵企业以纳入额外的实体和个人；持续调整该计划的手段和方法，以规避美国投资者保护、反洗钱和破产法的执行；以及对投诉、要求返还投资资金或批评郭文贵企业的个别被害人及其他人员进行报复。\n\n企业的目的\n\n7. 郭文贵企业的目的包括但不限于以下各项：\n\na. 使企业的成员和关联人员获利；\n\nb. 获取被害人的金钱和财产；\n\nc. 隐匿和洗白欺诈所得；\n\nd. 使用欺诈所得，为各被告及其共谋者的利益购买昂贵和奢侈物品、车辆及财产；以及\n\ne. 提升、增强和维护郭文贵企业、属于郭文贵企业的实体以及郭文贵企业成员的地位，包括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”，以便招揽更多被害人，并对批评或威胁郭文贵企业的人施加影响或进行恐吓。\n\n企业的手段和方法\n\n8. 郭文贵企业成员和关联人员开展其事务所使用的手段和方法包括但不限于以下各项：\n\na. 通过虚假和欺诈性陈述，使郭文贵企业积累大量资产；\n\nb. 妨碍和规避执法及民事监管机关；\n\nc. 妨碍和无视法院命令；\n\nd. 除其他方式外，通过郭文贵企业内部各实体之间的资金转移，隐匿欺诈所得；以及\n\ne. 骚扰、威胁和压制对被告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”，以及郭文贵企业的批评者。\n\n相关人员和实体\n\n9. 在所有相关时期内，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”，均为郭文贵企业的领导人并指挥该企业。\n\na. 郭文贵是一名流亡的中国商人，于约2015年逃往美国，并以约$67.5 million购买纽约市一家酒店的一套顶层公寓。自至少约2017年起，当时自称为亿万富翁的郭文贵获得了大量网络追随者。郭文贵接受了众多媒体采访，并在社交媒体上发布内容，声称推动一场反对中国共产党的运动。\n\nb. 于约2018年，郭文贵创办了两个所谓的非营利组织，即Rule of Law Foundation（法治基金会）和Rule of Law Society（法治协会）。Rule of Law Society的网站将郭文贵列为其“创始人、推动者和发言人”。两个组织的网站均展示郭文贵的照片。郭文贵利用这些非营利组织聚集与其所谓反对中国共产党的运动立场一致、并且也倾向于相信郭文贵关于投资和赚钱机会之陈述的追随者。事实上，且如郭文贵明知，他和其他人提供虚假且具有重大误导性的信息，以推销这些“机会”并欺诈郭文贵的追随者及其他被害人。郭文贵指示他人创设和维持各种公司实体，这些实体后来组成了由郭文贵负责的郭文贵企业。\n\n10. 在所有相关期间内，被告 KIN MING JE（叶简明），又名“William Je”，又名“Yu Jianming”，为香港和英国双重国籍公民，主要居住于英国，同时前往美国及其他地区旅行。JE 拥有并经营众多公司和投资工具，这些公司和投资工具是该计划的核心，并担任 Kwok Enterprise（郭氏企业）的财务架构师和关键洗钱者。\n\n11. 在所有相关期间内，被告 YANPING WANG（王雁平），又名“Yvette”，又名“Y”，为中国公民，主要居住于纽约州纽约市，并与被告 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”，保持密切关系。具体而言，自至少约 2018 年起，WANG 已为 KWOK 及 KWOK 的家族工作数年，并一直担任 KWOK 和郭氏企业的“幕僚长”。在该职务中，WANG 在作为郭氏企业组成部分且为本起所述欺诈工具的多种实体中担任职务并行使控制权。例如，WANG 曾担任据称管理 KWOK 资金的实体的总裁、财务主管和秘书，并对郭氏企业内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位或头衔。\n\n12. 在与本起诉书相关的某些期间内，Saraca Media Group, Inc.（Saraca Media Group, Inc.）（“Saraca”）是一家位于纽约州纽约市的公司。Relative-I 是其最终受益所有人。\n\n13. 在与本起诉书相关的某些期间内，GTV Media Group, Inc.（GTV Media Group, Inc.）（“GTV”）是一个据称以新闻为重点、位于纽约州纽约市的社交媒体平台。尽管 KWOK 在 GTV 未担任任何正式职位或头衔，GTV 实际上由被告 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”，拥有和控制。被告 KIN MING JE（叶简明），又名“William Je”，又名“Yu Jianming”，同样未在 GTV 担任任何正式职位或头衔，但实际上对其财务行使控制权。Saraca 是 GTV 的母公司。被告 YANPING WANG（王雁平），又名“Yvette”，又名“Y”，是 GTV 的“执行董事”。\n\n14. 在与本起诉书相关的某些期间内，G Club Operations, LLC（G Club Operations, LLC）（“GCLUBS”）是一个据称位于波多黎各和纽约州纽约市的会员组织。尽管 KWOK 在 GCLUBS 未担任任何正式职位或头衔，GCLUBS 实际上由被告 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”，拥有和控制。被告 KIN MING JE（叶简明），又名“William Je”，又名“Yu Jianming”，同样未在 GCLUBS 担任任何正式职位或头衔，但对其财务施加影响并对其所得进行洗钱。被告 YANPING WANG（王雁平），又名“Yvette”，又名“Y”，同样未在 GCLUBS 担任任何正式职位或头衔，但实际上对其日常运营行使控制权，并确保在整个组织内执行 KWOK 的指示。GCLUBS 由一名与 KWOK、WANG、Relative-I 及其他已知和未知人员协同行动、以推进郭氏企业目标的共同谋犯（“CC-I”）正式拥有。\n\n15. 在与本起诉书相关的某些期间内，“Himalaya Exchange（喜马拉雅交易所）”是一个据称的加密货币“生态系统”，被告 KIN MING JE（叶简明），又名“William Je”，又名“Yu Jianming”，通过其拥有的、位于境外的各种实体创立并运营该生态系统。由被告 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”，实际拥有和控制的实体，如 GCLUBS 和 GjFashion，据称与 Himalaya Exchange 存在业务关系。KWOK 推广 Himalaya Exchange，并声称自己是其据称加密货币的设计者，尽管 KWOK 在 Himalaya Exchange 未担任任何正式职位或头衔。WANG 同样未在 Himalaya Exchange 担任任何正式职位或头衔，但除其他事项外，被分配数百万美元其据称加密货币，协助招募 Himalaya Exchange 人员，并致力于将欺诈所得转移至 Himalaya Exchange。\n\n郭氏企业的欺诈行为\n\nGTV 私募配售\n\n16. 约在 2020 年 4 月至约在 2020 年 6 月期间，被告 HO WAN KWOK（郭文贵），又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，又名“Boss”；KIN MING JE（叶简明），又名“William Je”，又名“Yu Jianming”；以及 YANPING WANG（王雁平），又名“Yvette”，又名“Y”，连同其他已知和未知人员，通过与 GTV 有关的非法私募股票发行（“GTV 私募配售”）欺诈取得超过 $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. 约在 2020 年 4 月 21 日，KWOK 在社交媒体上发布并促使他人发布一段视频，宣布通过私募配售未经注册发行 GTV 普通股。在该视频中，KWOK 实质上且部分地说明了 GTV 私募配售的投资条款，并指示人们通过移动通信应用程序向其询问有关 GTV 私募配售的任何问题。该视频和 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引——通过移动通信应用程序、社交媒体和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 宣传为“第一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、区块链技术以及实时互动通信相结合的平台。”\n\nc. 根据 PPM 的元数据，JE 是 PPM 的“作者”。PPM 披露了 GTV 私募配售的条款，并将 KWOK 列为 GTV 的“发起人和顾问”。根据 PPM 及其他 GTV 材料，KWOK 和 JE 均未在 GTV 担任任何正式管理职务。被告 YANPING WANG（王雁平），又名“Yvette”，又名“Y”，在 PPM 中被列为 GTV 的“执行董事”。\n\nd. PPM 还载有以下陈述，实质上且部分地包括：\n\ni. GTV 私募配售面向“有意评估向 GTV 投入资本的机会”的投资者；\n\nii. GTV 计划将从 GTV 私募配售筹集的所得款项“用于扩大和加强业务”；以及\n\niii. PPM 包含一张图表，逐项列明从 GTV 私募配售筹集的资金的“预期用途”：\n\n收购公司以加强和发展 GTV　约 70%\n\n升级 GTV 技术和安全性　约 10%\n\n营销　约 8%\n\n营运资金　约 7%\n\n其他　约 5%\n\n合计　100%\n\ne. 在约 2020 年 4 月 20 日至约 2020 年 6 月 2 日期间，价值约 $452 million 的 GTV 普通股被出售给位于美国——包括纽约南区——及国外的 5,500 多名投资者。投资者参与 GTV 私募配售，部分基于 PPM 所承诺的信念，即他们的资金将投资于 GTV，以发展和壮大该业务。\n\nf. 从 GTV 私募配售投资者获得的绝大部分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-I 受益所有。\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”）提交的注册声明进行。相反，该发行据称是依据 SEC 规章进行，该等规章允许出售未经注册的证券，但对证券发行对象的投资者类型以及可以招揽其投资的方式设有限制。然而，为规避这些限制，KWOK 及其控制下的其他人员使用至少一个中介实体，代表不分别具备参与 GTV 私募配售资格的投资者集合购买 GTV 股票。\n\nh. 约在 2020 年 6 月初，即 GTV 私募配售结束后仅数日，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（叶简明），又名“William Je”，又名“Yu Jianming”；以及 YANPING WANG（王雁平），又名“Yvette”，又名“Y”，及其共同谋犯，侵占了从 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-I”），以使 Saraca 及其最终受益所有人 Relative-I 受益。该交易违反了 PPM 就 GTV 投资将如何使用向潜在 GTV 投资者作出的陈述。事实上，对 Fund-I 的 $100 million 投资并非为“加强和发展”GTV 的业务或使 GTV 受益，而是为了使 Saraca 和 Relative-I 受益。提供投资于 Fund-I 的 $100 million 的受害人并不拥有 Saraca 的任何股份。最终，对 Fund-I 的投资损失了约 $30 million 的价值。\n\ni. 在将 $100 million 的 GTV 受害人资金投入 Fund-I 后，被告 HO WAN KWOK（郭文贵），又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，继续使用虚假和误导性陈述推广 GTV。\n\n农场贷款计划\n\n17. 自约 2020 年 6 月起——即被告 HO WAN KWOK（郭文贵），又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，又名“Boss”；KIN MING JE（叶简明），又名“William Je”，又名“Yu Jianming”；以及 YANPING WANG（王雁平），又名“Yvette”，又名“Y”，及其共同谋犯为使 Saraca 和 Relative-I 受益而侵占 GTV 私募配售资金的同一个月份——KWOK、JE 及其共同谋犯通过“Himalaya Farm Alliance（喜马拉雅农场联盟）”欺诈取得超过约 $150 million 的受害人资金。由 KWOK 组织和推广的 Himalaya Farm Alliance，是由位于世界各地不同城市的非正式团体组成的集合体（每个团体称为一个“Farm（农场）”）。KWOK、JE、WANG 及其他代表他们并按其指示行事的人员，通过向 GTV 私募配售投资者作出进一步虚假陈述并欺诈性招揽进一步投资取得该等资金；此时，该等投资采取向农场提供“贷款”的形式，并承诺该等贷款可按每贷款 $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. 自约 2020 年 6 月起，持有用于处理通过 GTV 私募配售筹集资金的账户的国内银行开始冻结和关闭与 GTV 相关联的银行账户，原因包括该等账户收到数十笔大额汇入电汇，其中部分提及未经注册的股票发行。\n\nb. 这些银行账户关闭妨碍了 KWOK、JE 及其共同谋犯从寻求投资 GTV 的受害人处收取所得款项的能力。\n\nc. 2020年7月22日前后，在一段通过社交媒体发布的视频中，KWOK 推广农场贷款计划（Farm Loan Program），其大意和部分内容为：“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……[i]在这种情况下，这是一笔贷款，然后你可以要求获得股票……”据 KWOK 及代表其行事的人员称，寻求投资（或再投资）GTV（GTV）的人士可以参与农场贷款计划。\n\nd. 在推出农场贷款计划后，KWOK 继续推广 GTV，并继续虚假陈述 GTV 的价值。例如，2020年8月2日前后，在一段通过社交媒体发布的视频中，KWOK 虚假陈述，其大意和部分内容为：“GTV 值多少？……市值为20亿美元。”1 事实上，且如 KWOK 明知，GTV 的市值远低于此，因为除其他原因外，GTV 是一家没有产生任何收入的新企业。\n\ne. 数千名受害人通过将款项汇入由农场（Farms）控制的银行账户（而非 GTV 的银行账户），向农场“出借”资金。根据这些农场经常未予会签的“贷款协议”，这些资金应被用于农场的“一般营运资本用途”。\n\n1 本文所归属于 KWOK 的全部陈述，均已由普通话译为英语。\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 $20 million 被转给 Relative-1，其中约 $950,000 被用于支付私人飞机机组人员服务费用；\n\nii. 约 $5 million 被转给由 KWOK 配偶拥有的一家实体；\n\niii. 约 $2.3 million 被用于支付一艘长约145英尺、价值约 $37 million、名义上由 Relative-2 所有且由 KWOK 使用的豪华游艇的维护费用；以及\n\niv. 约 $10 million 被转入以 JE 和/或 JE 配偶名义开立的个人银行账户。\nGICLUBS\n\n18. 在就农场贷款计划作出虚假陈述的同时，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（叶简明），又名 “William Je”，又名 “Yu Jianming”，以及 YANPING WANG（王燕平），又名 “Yvette”，又名 “Y”，和其他已知及未知人员，欺诈性地诱使 KWOK 的追随者向一个名为 GICLUBS（GICLUBS）的所谓线上会员俱乐部转入额外资金。自至少2020年6月前后至至少2023年3月前后，KWOK、JE、WANG 以及其他已知及未知人员通过 GICLUBS 欺诈性地获得了受害人超过约 $250 million 的资金。GICLUBS 计划包括但不限于以下内容：\n\na. 至少自2020年6月20日前后起，在一段通过社交媒体发布的视频中，KWOK 推广并鼓励个人购买 KWOK 所称的“一张 G Club……会员卡”。\n\nb. GICLUBS 于2020年10月前后正式推出，其网站声称其为“提供全方位服务的专属高端会员计划”，并且是“通往经精心甄选的世界级产品、服务和体验的门户”。\n\nc. 要加入 GICLUBS，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”。会员资格的费用取决于潜在会员所选的会员等级：第5级会员资格费用为 $50,000；第4级会员资格费用为 $40,000；第3级会员资格费用为 $30,000；第2级会员资格费用为 $20,000；第1级会员资格费用为 $10,000。\n\nd. 2021年7月5日前后，在一段通过社交媒体发布的视频中，KWOK 陈述，其大意和部分内容为，存在“25,000名 [GICLUBS] 会员……$100 million dollars，银行账户中的现金。然后我们有1.11亿……[人]想要加入。”相比之下，GICLUBS 内部文件显示，截至2021年8月前后，约有5,900名活跃会员。\n\ne. 事实上，且如 KWOK、JE 和 WANG 明知，GICLUBS 向其会员提供的服务和“体验”远远称不上“全方位”。尽管收取了数亿美元的所谓会员费，GICLUBS 仅维持了相对较少的雇员人数，并向其会员提供极少或没有可辨识的会员福利。截至2021年3月8日前后——即 GICLUBS 推出并开始收取“会员”费用数月后——GICLUBS 尚无商业计划或董事会。\n\nf. KWOK、JE 和 WANG 还将 GICLUBS 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 GICLUBS 会员资格将使其有权获得 KWOK 关联实体的股票，例如 GTV 和 GIFashion（GIFashion）。\n\ni. 在2021年5月4日前后一次关于 GICLUBS 会员资金的谈话中，JE 陈述，其大意和部分内容为：“首先，[潜在会员]是在购买 GICLUBS 会员资格，但他们预期自己可能会在未来的 GTV 获得一些股份，我认为这是他们的预期。”\n\nii. 2021年7月30日前后，在一段通过社交媒体发布的视频中，KWOK 陈述，其大意和部分内容为：“一些战友问，‘[w]我购买 GICLUBS 会员资格时，是否仍会获得免费股票配售？’百分之百。因为我说过，我必须承诺，凡是在9月17日之前购买 G-Club 会员资格的人，都必须获配股份，这完全一样。因为我们说过，在9月17日之前，任何人都可以选择是否使用自己的钱购买 G-Club、G-Club 和股票份额。你将两者兼得。”\n\ng. KWOK、JE、WANG 及其他已知和未知人员要求投资者购买多个 GICLUBS 会员资格，使 KWOK、JE 和 WANG 能够增加所募集的金额。就此而言，GICLUBS 网站陈述，其大意和部分内容为，持有多个会员资格的会员将“获得额外福利”，而事实上，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. 总计而言，投资者购买了价值数亿美元的 GICLUBS 会员资格。然而，其中大部分资金并未用于资助 GICLUBS 的业务。相反，被告 HO WAN KWOK，又名 “Miles Guo”，又名 “Miles Kwok”，又名 “Guo Wengui”，又名\n\n“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”，和其他已知及未知人员，通过包括使用复杂的实体和银行账户网络在内的方式，挪用了受害人为取得“会员资格”而支付给 GICLUBS 的大部分资金。例如：\n\ni. 经由以其他实体名义开立的银行账户转移的 GICLUBS 资金，被用于支付 KWOK 及其家人的个人开支，包括购买一艘价值约 $2.6 million 的豪华游艇以及合计价值超过 $5 million 的豪华汽车。\n\nii. 2021年11月前后，JE 指示将约 $26.5 million 的 GICLUBS 资金——该等资金经由以其他实体名义开立的银行账户转移——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 $13 million 的 GICLUBS 会员付款转入一个托管账户。该等资金随后被用于支付 KWOK 位于新泽西州豪宅的奢华翻修费用，包括用于 Relative-1 的一翼和用于 Relative-2 的一翼，以及购买各种家具和装饰品，其中包括价值约 $978,000 的中国和波斯地毯、一台 $62,000 的电视机和一个 $53,000 的壁炉柴架。\n\niv. 2021年8月5日前后，JE 指示将约 $1.1 million 的 GICLUBS 会员付款转入一个由 JE 控制的银行账户。\n\nv. GICLUBS 使用会员费购买豪华汽车，包括一辆价值约 $4.4 million 的定制布加迪跑车。虽然该汽车已签署的购买协议将 GICLUBS 列为客户，但该定制汽车的初始规格文件将 Relative-1 列为客户。Relative-1 在 GICLUBS 没有任何正式职位。\n喜马拉雅交易所\n\n19. 自至少2021年4月前后至至少2023年3月前后，被告 HO WAN KWOK，又名 “Miles Guo”，又名 “Miles Kwok”，又名 “Guo Wengui”，又名 “Brother Seven”，又名 “The Principal”，又名 “Boss”，以及 KIN MING JE，又名 “William Je”，又名 “Yu Jianming”，和其他已知及未知人员，通过一个可在互联网访问的所谓加密货币“生态系统”喜马拉雅交易所（Himalaya Exchange），欺诈性地获得了受害人超过约 $262 million 的资金。喜马拉雅交易所包括一种所谓的稳定币，称为 Himalaya Dollar（“HDO”或“H Dollar”），以及一种交易币，称为 Himalaya Coin（“HCN”或“H Coin”）。喜马拉雅交易所声称，该“稳定币”是一种由储备金支持、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 是喜马拉雅交易所的创始人兼主席。喜马拉雅交易所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，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”，大力宣传喜马拉雅交易所以及 HCN 和 HDO 两者的前景和估值；他曾公开将二者称为加密货币。例如，在2021年10月20日前后发布于互联网的一段视频中，KWOK 作出了如下虚假陈述，其中包括以下大意和部分内容：\n\ni. “我说的是你们的 H Coin，‘Brother Seven’[即 KWOK] 设计了它……[I]它具有货币属性，为什么？它有20%的黄金。太棒了[。][I]它从第一天起就作为货币诞生，所以它有价值，并且与黄金挂钩……直接清算黄金。无论筹集多少，20%都会转化为黄金。”\n\nii. “如果 H Coin 一文不值，[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。或者拿出全部20%黄金的价值，让所有人统一处理，使之成为你的。”\n\niii. “如果有人亏钱，我可以说我会赔偿100%。我给你100%。谁亏钱，我来承担。”\n\niv. “我可以在一分钟内在市场上出售 H Coin，并将其换回我的 H Dollar，再换回你的法定货币单位……[A]而且你可以立即购买任何东西。”\n\nb. HCN 和 HDO 的首次代币发行发生于2021年11月1日前后。HCN 开始交易时价格为10美分，并且在约两周内，喜马拉雅交易所网站声称，每个 HCN 据称价值约27 HDO（即 $27），即价值上涨了26,900%。也就是说，在首次代币发行约两周后，喜马拉雅交易所网站显示，HCN 据称的估值约为 $27 billion。\n\nc. 在喜马拉雅交易所推出时，被告 HO WAN KWOK，又名 “Miles Guo”，又名 “Miles Kwok”，又名 “Guo Wengui”，又名 “Brother Seven”，又名 “The Principal”，又名 “Boss”，向其线上追随者及其他人士推销 HCN。例如，2021年11月1日前后——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，意指价值急剧上涨。该音乐视频描绘了身处各种奢华场所的 KWOK，并展示了黄金和财富的图像。\n\nd. 被告 KIN MING JE（金明杰），又名“William Je”、又名“Yu Jianming”，曾在包括喜马拉雅交易所（Himalaya Exchange）上线后在内的多个时期，以误导性方式推销喜马拉雅交易所。例如，在2022年6月前后，JE 试图造成这样一种印象：其使用 HDO 从某一拍卖行完成了对一辆 Ferrari（法拉利）（以下简称“Ferrari”）的 €3,561,127 购买。JE 在实质上并部分地表示，他“非常高兴[一名]买方决定使用 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，且如 JE 明知，喜马拉雅交易所的一名员工向该拍卖行发送了一笔国际银行电汇，以支付该 Ferrari 的费用，同时在喜马拉雅交易所处理了一笔相应的“交易”，从而虚假地造成该购买系使用 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“买方”事实上是 Relative-I。\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（金明杰），又名“William Je”、又名“Yu Jianming”，和其他已知及未知人士所作陈述相反，HCN 和 HDO 并非加密货币。尤其是，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；区块链是一种使用密码学记录加密货币交易的电子、可公开访问、去中心化账本。HCN 和 HDO 的交易并未使用可公开访问的区块链，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 除了（据称）在喜马拉雅交易所外，无法在其他任何地方交易。HCN 也无法交易为或兑换成其他货币。HCN 据称只能交易为 HDO（且仅限于在喜马拉雅交易所），而 HDO 据称只能兑换为或由法定货币兑换而来（且仅限于在喜马拉雅交易所）。\n\ni. 事实上，喜马拉雅交易所网站上提供的 HDO 和 HCN 白皮书以小字载明，与 KWOK 的陈述相反，HCN 和 HDO 仅仅是“Credits”。根据 HCN 白皮书，“喜马拉雅交易所及相关应用程序和基础设施的运营，将通过使用‘Credits’来促成。”这些 Credits：(i)“只能在喜马拉雅交易所或喜马拉雅生态系统内使用”；以及 (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，尽管喜马拉雅交易所成员可以请求将其“HDO”Credits 兑换为等值的美元付款，HDO 白皮书称，喜马拉雅交易所有“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（金明杰），又名“William Je”、又名“Yu Jianming”，安排将喜马拉雅交易所资金中约 $37 million 从一个喜马拉雅交易所银行账户转入某一托管账户。该 $37 million 被构成为一笔名义上的“贷款”，以个人担保 KWOK 此前购买并使用的一艘豪华游艇的费用；该游艇当时由一个以 Relative-2 名义持有的实体所有。\n\n所有权和控制权的隐匿\n\n20. 尽管其生活方式奢侈，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 的破产主张基于其多年为隐匿由 KWOK 使用和控制的资金所作的努力，该等努力是 Kwok Enterprise（郭文贵企业集团）的一种手段和方法。例如，被告 KWOK、KIN MING JE（金明杰），又名“William Je”、又名“Yu Jianming”，以及 YANPING WANG（王雁平），又名“Yvette”、又名“Y”，经常通过将资金流动伪装为“贷款”或“投资”，在郭文贵企业集团内部以及为 KWOK、其家人和其关联人士之利益转移资金。再例如，被告在郭文贵企业集团内的实体中安插挂名高管和/或名义所有人，而郭文贵企业集团内的实体实际上由被告 KWOK、KIN MING JE（金明杰），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士所有和/或控制。\n\n政府扣押郭文贵企业集团所得\n\n21. 在2022年9月20日及2022年9月21日前后，美国当局向数家境内银行送达经司法授权的扣押令，随后从以喜马拉雅交易所实体及其他与郭文贵企业集团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（金明杰），又名“William Je”、又名“Yu Jianming”，试图将尚未被美国扣押、与喜马拉雅交易所有关的境内银行账户中的约 $46 million，转入 JE 控制的阿拉伯联合酋长国银行账户。\n\na. 在首次经司法授权扣押与喜马拉雅交易所有关的资金后约两日内，即2022年9月22日前后，JE 联系了一家持有喜马拉雅交易所银行账户的境内银行管理层。JE 试图实施一笔电汇；其与一名喜马拉雅交易所高管向该境内银行声称，该笔电汇是为一名身份未明的喜马拉雅交易所“VIP”（即非常重要）客户，将 HDO“赎回”为美元所必需的。\n\nb. 在随后与该境内银行的通信中，JE 透露该 VIP 事实上是 JE 本人。JE 向该境内银行提供了文件，反映 JE 于2022年9月22日前后进行的两笔名义上的 HCN 销售——合计 46 million HDO——JE 正试图将其“转换”为 $46 million。为保护郭文贵企业集团的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部分地强调，该笔 $46 million 转账必须在“今天完成，否则毫无意义。”\n\n22. 在2022年10月16日前后，依据经司法授权的令状，美国当局从数个喜马拉雅交易所和 GICLUBS 账户中额外扣押了约 $274 million 的所得；被告 KIN MING JE（金明杰），又名“William Je”、又名“Yu Jianming”，曾从该境内银行的这些账户请求进行 $46 million 转账。\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，其中包括从以喜马拉雅交易所实体名义持有的银行账户中扣押的约 $278 million；这些实体据称持有喜马拉雅交易所的 HDO 现金储备。\n\na. 扣押后，喜马拉雅交易所网站继续声称，HDO 由“由美元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. 尽管喜马拉雅交易所的现金储备已被扣押，截至2023年3月前后，HCN 的名义价格并未突然且大幅下跌。\n\n法定指控\n\n24. 自至少2018年前后起至至少2023年3月前后止（包括该期间），在 Southern District of New York（纽约南区）及其他地区，被告 HO WAN KWOK（郭文贵），又名“Miles Guo”、又名“Miles Kwok”、又名“Guo Wengui”、又名“Brother Seven”、又名“The Principal”、又名“Boss”，KIN MING JE（金明杰），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士，作为受雇于并关联于上述企业即郭文贵企业集团的人员，该企业从事并且其活动影响州际和对外贸易，故意且明知地共同结合、共谋、结盟并彼此达成协议，违反美国反勒索法，即 Title 18, United States Code, Section 1962(c)，即通过 Title 18, United States Code, Sections 1961(1) and 1961(5) 所定义的多项勒索活动模式，直接或间接地进行和参与郭文贵企业集团事务的进行，该等活动包括：\n\na. 根据 Title 18, United States Code, Section 1343（涉及电信欺诈）可被起诉的行为；\n\nb. 根据 Title 18, United States Code, Section 1344（涉及金融机构欺诈）可被起诉的行为；\n\nc. 根据 Title 18, United States Code, Section 1956（涉及货币工具洗钱）可被起诉的行为；\n\nd. 根据 Title 18, United States Code, Section 1957（涉及从事涉及源自特定非法活动财产的货币交易）可被起诉的行为；以及\n\ne. 涉及证券销售欺诈的犯罪，违反 Title 15, United States Code, Sections 78j(b) and 78ff，以及 Title 17, Code of Federal Regulations, Section 240.10b-5。\n\n25. 该共谋的一部分是，每名被告均同意，一名共谋者将在进行该企业事务时实施至少两项勒索活动行为。\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（金明杰），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士，试图通过包括以下在内的各种非法手段和方法推进勒索共谋的目的，并直接或间接地进行和参与郭文贵企业集团事务的进行：\n\na. 被告通过虚假和欺诈性的失实陈述，使郭文贵企业集团积累大量资产。\n\nb. 被告通过包括郭文贵企业集团内部实体之间的货币转移在内的方式，使郭文贵企业集团隐匿其欺诈所得。\n\nc. 被告通过针对其反对者的威胁和恐吓，使郭文贵企业集团压制其批评者。\n\nd. 被告阻碍、影响并干扰一项正式程序。\n\ne. 被告阻碍并干扰法院命令。\n\n（Title 18, United States Code, Section 1962(d).）\n\n第二罪名项（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段所载指控在此重述并再次主张，如同在本文中完整载明。\n\n28. 自至少2018年前后起至至少2023年3月前后止（包括该期间），在 Southern District of New York（纽约南区）及其他地区，被告 HO WAN KWOK（郭文贵），又名“Miles Guo”、又名“Miles Kwok”、又名“Guo Wengui”、又名“Brother Seven”、又名“The Principal”、又名“Boss”，KIN MING JE（金明杰），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士，故意且明知地共同结合、共谋、结盟并彼此达成协议，实施电信欺诈，违反 Title 18, United States Code, Section 1343。\n\n29. 阴谋的组成部分和目标之一是，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（谢建明），又名“William Je”，又名“Yu Jianming”，以及 YANPING WANG（王雁平），又名“Yvette”，又名“Y”，和其他身份已知及未知人员，明知已设计并意图设计一项欺诈计划和诡计，并通过虚假和欺诈性的借口、陈述及承诺获取金钱和财产，将会并且确实通过州际和外国商业中的有线电、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，以执行该等计划和诡计，违反 Title 18, United States Code, Section 1343，具体而言，KWOK、JE、WANG及其他身份已知和未知人员通过提供重大虚假及误导性信息和陈述，欺诈性地诱使受害人汇款。\n\n30. 阴谋的另一组成部分和目标是，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（谢建明），又名“William Je”，又名“Yu Jianming”，以及 YANPING WANG（王雁平），又名“Yvette”，又名“Y”，和其他身份已知及未知人员，明知将会并且确实实施及企图实施一项欺诈金融机构的计划和诡计，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、陈述及承诺，取得由该等金融机构拥有并处于其保管和控制之下的金钱、资金、信贷、资产、证券及其他财产，违反 Title 18, United States Code, Section 1344，具体而言，KWOK、JE、WANG及其他身份已知和未知人员向金融机构作出虚假陈述，并促使他人向金融机构作出虚假陈述，以便除其他事项外，开设并维持用于推进其欺诈行为的银行账户，并取得处于该等金融机构保管和控制之下的资金。\n\n（Title 18, United States Code, Section 1349。）\n\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段所载指控在此重复援引，并视同在本文中完整列明。\n\n32. 至少自约2018年起，直至并包括至少约2023年3月期间，在 Southern District of New York（纽约南区）及其他地方，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（谢建明），又名“William Je”，又名“Yu Jianming”，以及 YANPING WANG（王雁平），又名“Yvette”，又名“Y”，和其他身份已知及未知人员，故意且明知地相互联合、共谋、结盟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. 阴谋的组成部分和目标之一是，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（谢建明），又名“William Je”，又名“Yu Jianming”，以及 YANPING WANG（王雁平），又名“Yvette”，又名“Y”，和其他身份已知及未知人员，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，将会并且确实进行及企图进行该项金融交易；该交易影响州际和外国商业，并涉及使用从事州际和外国商业且其活动影响州际和外国商业的金融机构，且该交易事实上涉及特定非法活动的收益，具体而言，本起诉书第五项至第十一项罪名；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、所有权及控制权，违反 Title 18, United States Code, Section 1956(a)(1)(B)(i)。\n\n34. 阴谋的另一组成部分和目标是，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（谢建明），又名“William Je”，又名“Yu Jianming”，以及 YANPING WANG（王雁平），又名“Yvette”，又名“Y”，和其他身份已知及未知人员，将会并且确实将货币工具和资金从美国境内某地运输、传送和转移至并经由美国境外某地，以及从并经由美国境外某地运输、传送和转移至美国境内某地，并企图如此运输、传送和转移，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、所有权及控制权，具体而言，本起诉书第五项至第十一项罪名中指控的罪行，违反 Title 18, United States Code, Section 1956(a)(2)(B)(i)。\n\n35. 阴谋的另一组成部分和目标是，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（谢建明），又名“William Je”，又名“Yu Jianming”，以及 YANPING WANG（王雁平），又名“Yvette”，又名“Y”，和其他身份已知及未知人员，为促进特定非法活动的实施，将会并且确实将货币工具和资金从美国境内某地运输、传送和转移至并经由美国境外某地，以及从并经由美国境外某地运输、传送和转移至美国境内某地，并企图如此运输、传送和转移，具体而言，本起诉书第五项至第十一项罪名中指控的罪行，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（共谋实施证券欺诈及向金融机构作出虚假陈述）\n\n大陪审团进一步指控：\n\n36. 本起诉书第1至23段所载指控在此重复援引，并视同在本文中完整列明。\n\n37. 至少自约2018年起，直至并包括至少约2023年3月期间，在 Southern District of New York（纽约南区）及其他地方，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（谢建明），又名“William Je”，又名“Yu Jianming”，以及 YANPING WANG（王雁平），又名“Yvette”，又名“Y”，和其他身份已知及未知人员，故意且明知地相互联合、共谋、结盟并达成协议实施危害美国的罪行，具体而言：(1) 证券欺诈，违反 Title 15, United States Code, Sections 78j(b) & 78ff, and Title 17, Code of Federal Regulations, Section 240.10b-5；以及 (2) 向金融机构作出虚假陈述，违反 Title 18, United States Code, Section 1014。\n\n38. 阴谋的组成部分和目标之一是，被告 HO WAN KWOK（郭文贵），又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven”，又名“The Principal”，KIN MING JE（谢建明），又名“William Je”，以及 YANPING WANG（王雁平），又名“Yvette”，又名“Y”，和其他身份已知及未知人员，故意且明知地，直接或间接地，通过州际商业手段和工具、邮件以及全国证券交易所的设施，就在全国证券交易所登记的证券及任何未作此类登记的证券的买卖，使用和采用操纵性及欺骗性的手段和诡计，违反 Title 17, Code of Federal Regulations, Section 240.10b-5，其方式为：(a) 使用欺诈性手段、计划和诡计；(b) 作出对重大事实的不实陈述，并遗漏陈述为使已作陈述在作出时的情形下不具误导性所必需的重大事实；及 (c) 从事已构成并将构成对他人实施欺诈和欺骗的行为、做法和业务过程，具体而言，KWOK、JE和WANG同意通过就所谓GTV普通股股份及所谓与GTV关联公司的重大虚假及误导性信息和陈述，欺诈性地诱使投资者参与GTV Private Placement、Farm Loan Program及GICLUBS。\n\n39. 阴谋的另一组成部分和目标是，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（谢建明），又名“William Je”，又名“Yu Jianming”，以及 YANPING WANG（王雁平），又名“Yvette”，又名“Y”，和其他身份已知及未知人员，为影响由 FDIC 承保其账户的金融机构的行为，就申请、垫款、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就在申请银行账户时向金融机构撒谎，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. 为推进该阴谋并实现其非法目标，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（谢建明），又名“William Je”，又名“Yu Jianming”，以及 YANPING WANG（王雁平），又名“Yvette”，又名“Y”，和其他身份已知及未知人员，在 Southern District of New York（纽约南区）及其他地方实施了以下公开行为及其他行为：\n\na. 约于2020年4月21日，KWOK在社交媒体上发布并促使他人发布一则视频，宣布通过GTV Private Placement未登记发行GTV股票。\n\nb. 约于2020年5月20日，WANG以GTV名义开设了一个特定银行账户，并在提交给该银行的文件中表示，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（纽约南区）期间，授权从Saraca向Fund-1进行一笔$100 million的电汇转账。\n\nd. 约于2020年7月22日，在通过社交媒体发布的一则视频中，KWOK推介Farm Loan Program，并实质上部分表示：“这笔钱已改为一种新的合作方式，即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，这是贷款，然后你可以要求股票……”。\n\ne. 约于2020年8月2日，在通过社交媒体发布的一则视频中，KWOK实质上部分表示：“GTV值多少钱？……市值为20亿美元。”\n\nf. 约于2021年7月30日，在通过社交媒体发布的一则视频中，KWOK实质上部分表示：“一些战友问，‘我购买G-Clubs会员资格后，仍会获得免费股票配售吗？’百分之百。因为我说过，我必须承诺，任何在9月17日前购买G-Clubs会员资格的人都必须获配股份，完全一样。因为我们说过，任何人都可以选择在9月17日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 August 5, 2021，JE 指示将约 \\$1.1 million 转入其控制的一个银行账户；该款项由受害人支付给 GjCLUBS，以换取“会员资格”。\n\n(Title 18, United States Code, Section 371.)\n罪名项五（电信欺诈—GTV Private Placement（GTV 私募发行））\n\n大陪审团进一步指控：\n\n41. 本起诉书第 1 至 23 段所载指控在此重复陈述并重新主张，如同在此完整列明。\n\n42. 自至少约 April 2020 起至至少约 September 2021 止，在 Southern District of New York（纽约南区）及其他地区，HO WAN KWOK（郭文贵），又名“Miles Guo”、又名“Miles Kwok”、又名“Guo Wengui”、又名“Brother Seven”、又名“The Principal”、又名“Boss”，KIN MING JE（余建明），又名“William Je”、又名“Yu Jianming”，以及 YANPING WANG（王雁平），又名“Yvette”、又名“Y”，各被告明知已设计并意图设计一项欺诈计划和诡计，并意图通过虚假和欺诈性的借口、陈述及承诺取得金钱和财产，为实施该计划和诡计，通过州际及对外商业中的有线电、无线电和电视通信传输并促使传输了文字、标志、信号、图像和声音，即，KWOK、JE 和 WANG 实施 GTV Private Placement，以出售 GTV 股票，并通过虚假陈述和不实表述从受害人处欺诈性取得金钱，包括但不限于就受害人资金的目的和用途作出虚假陈述和不实表述；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以推进。\n\n(Title 18, United States Code, Sections 1343 and 2.)\n罪名项六（证券欺诈—GTV Private Placement）\n\n大陪审团进一步指控：\n\n43. 本起诉书第 1 至 23 段所载指控在此重复陈述并重新主张，如同在此完整列明。\n\n44. 自至少约 April 2020 起至至少约 September 2021 止，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”，各被告故意且明知，直接及间接地，通过使用州际商业和邮政的手段及工具，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经此类注册的证券的买卖，使用并运用操纵性和欺骗性的装置及手段，违反 Title 17, Code of Federal Regulations, Section 240.10b-5，具体方式为：(a) 采用欺诈性装置、计划和诡计；(b) 作出对重要事实的不真实陈述，并遗漏陈述为使已作出的陈述在作出时所处情形下不具误导性所必需的重要事实；以及 (c) 从事已经并将会对他人构成欺诈和欺骗的行为、做法和业务过程，即，KWOK、JE 和 WANG 实施 GTV Private Placement，以出售 GTV 股票，并通过虚假陈述和不实表述从受害人处取得金钱，包括但不限于就受害人资金的目的和用途作出虚假陈述和不实表述；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以推进。\n\n(Title 15, United States Code, Sections 78j(b) & 78ff; Title 17, Code of Federal Regulations, Section 240.10b-5; and Title 18, United States Code, Section 2.)\n罪名项七（电信欺诈—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 段所载指控在此重复陈述并重新主张，如同在此完整列明。\n\n46. 自至少约 June 2020 起至至少约 March 2023 止，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”，各被告明知已设计并意图设计一项欺诈计划和诡计，并意图通过虚假和欺诈性的借口、陈述及承诺取得金钱和财产，为实施该计划和诡计，通过州际及对外商业中的有线电、无线电和电视通信传输并促使传输了文字、标志、信号、图像和声音，即，KWOK、JE 和 WANG 实施 Farm Loan Program，通过虚假陈述和不实表述从受害人处欺诈性取得金钱，包括但不限于就受害人资金的目的和用途作出虚假陈述和不实表述；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以推进。\n\n(Title 18, United States Code, Sections 1343 and 2.)\n罪名项八（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 段所载指控在此重复陈述并重新主张，如同在此完整列明。\n\n48. 自至少约 June 2020 起至至少约 March 2023 止，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”，各被告故意且明知，直接及间接地，通过使用州际商业和邮政的手段及工具，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经此类注册的证券的买卖，使用并运用操纵性和欺骗性的装置及手段，违反 Title 17, Code of Federal Regulations, Section 240.10b-5，具体方式为：(a) 采用欺诈性装置、计划和诡计；(b) 作出对重要事实的不真实陈述，并遗漏陈述为使已作出的陈述在作出时所处情形下不具误导性所必需的重要事实；以及 (c) 从事已经并将会对他人构成欺诈和欺骗的行为、做法和业务过程，即，KWOK、JE 和 WANG 实施 Farm Loan Program，通过虚假陈述和不实表述从受害人处取得金钱，包括但不限于就受害人资金的目的和用途作出虚假陈述和不实表述；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以推进。\n\n(Title 15, United States Code, Sections 78j(b) & 78ff; Title 17, Code of Federal Regulations, Section 240.10b-5; and Title 18, United States Code, Section 2.)\n罪名项九（电信欺诈—GICLUBS）\n\n大陪审团进一步指控：\n\n49. 本起诉书第 1 至 23 段所载指控在此重复陈述并重新主张，如同在此完整列明。\n\n50. 自至少约 June 2020 起至至少约 March 2023 止，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 Jiaruning”，以及 YANPING WANG，又名“Yvette”、又名“Y”，各被告明知已设计并意图设计一项欺诈计划和诡计，并意图通过虚假和欺诈性的借口、陈述及承诺取得金钱和财产，为实施该计划和诡计，通过州际及对外商业中的有线电、无线电和电视通信传输并促使传输了文字、标志、信号、图像和声音，即，KWOK、JE 和 WANG 推广和营销 GICLUBS，通过虚假陈述和不实表述从受害人处欺诈性取得金钱，并通过虚假陈述和不实表述从受害人处取得金钱，包括但不限于就受害人资金的目的和用途作出虚假陈述和不实表述；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以推进。\n\n(Title 18, United States Code, Sections 1343 and 2.)\n罪名项十（证券欺诈—GICLUBS）\n\n大陪审团进一步指控：\n\n51. 本起诉书第 1 至 23 段所载指控在此重复陈述并重新主张，如同在此完整列明。\n\n52. 自至少约 June 2020 起至至少约 March 2023 止，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”，各被告故意且明知，直接及间接地，通过使用州际商业和邮政的手段及工具，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经此类注册的证券的买卖，使用并运用操纵性和欺骗性的装置及手段，违反 Title 17, Code of Federal Regulations, Section 240.10b-5，具体方式为：(a) 采用欺诈性装置、计划和诡计；(b) 作出对重要事实的不真实陈述，并遗漏陈述为使已作出的陈述在作出时所处情形下不具误导性所必需的重要事实；以及 (c) 从事已经并将会对他人构成欺诈和欺骗的行为、做法和业务过程，即，KWOK、JE 和 WANG 推广和营销 GICLUBS，通过虚假陈述和不实表述从受害人处取得金钱，包括但不限于就受害人资金的目的和用途作出虚假陈述和不实表述；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以推进。\n\n(Title 15, United States Code, Sections 78j(b) & 78ff; Title 17, Code of Federal Regulations, Section 240.10b-5; and Title 18, United States Code, Section 2.)\n罪名项十一（电信欺诈—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 段所载指控在此重复陈述并重新主张，如同在此完整列明。\n\n54. 自至少约于 April 2021 起至至少约于 March 2023 止（包括该期间），在 Southern District of New York（纽约南区）及其他地方，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（叶简明），又名“William Je”、又名“Yu Jiaming”，明知已设计并意图设计一项诈骗计划和手段，以虚假及欺诈性的借口、陈述和承诺取得金钱和财产，并为实施该计划和手段之目的，通过州际和外国商业中的电报、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，即，KWOK 和 JE 经营 Himalaya Exchange（喜马拉雅交易所），通过虚假陈述和失实表示，欺诈性地从受害人处取得金钱，其中包括但不限于关于受害人资金的目的和用途的虚假陈述和失实表示；该计划通过与纽约南区及其他地方之间往来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\n罪名项十二（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，如同在本文中完整列明。\n\n56. 于约 June 5, 2020，在纽约南区及其他地方，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（叶简明），又名“William Je”、又名“Yu Jianming”，以及 YANPING WANG（王雁平），又名“Yvette”、又名“Y”，在美国境内，明知而从事并企图从事 Title 18, United States Code, Section 1957(f)(1) 所界定的货币交易，涉及价值超过 \\$10,000、源自特定非法活动的犯罪所得财产，即，KWOK、JE 和 WANG 将源自第五项和第六项罪名所指控犯罪的约 \\$100 million 转账至 Fund-I（基金-I），并指示他人如此转账。\n\n(Title 18, United States Code, Sections 1957 and 2.)\n\n罪名项十三（妨碍司法）\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，如同在本文中完整列明。\n\n58. 自至少约 September 20, 2022 起至至少本起诉书提交之日止，在纽约南区及其他地方，被告 KIN MING JE（叶简明），又名“William Je”、又名“Yu Jianming”，腐败地妨碍、影响和阻挠一项正式程序，并企图如此行事，即，JE 企图将资金转移至 UAE（阿拉伯联合酋长国），使其超出美国管辖范围，以阻碍和干扰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的调查，以及 United States District Court for the Southern District of New York（美国纽约南区联邦地区法院）就扣押和没收犯罪所得收益所进行的程序。\n\n(Title 18, United States Code, Sections 1512(c)(2) and 2.)\n\n没收指控\n\n59. 由于实施本起诉书第一项罪名所指控的犯罪，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（叶简明），又名“William Je”、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 United States（美国）没收：\n\na. 任何违反 Section 1962 而取得或维持的权益；\n\nb. 对被告及其共同谋划者违反 Section 1962 而设立、经营、控制、开展或参与开展其经营活动的任何企业，具有影响力来源的任何权益、担保权益、请求权，或任何种类的财产或合同权利；以及\n\nc. 构成第一项罪名所指控的敲诈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，包括以下特定财产：\n\n(1) 原存于 Silvergate Bank（西尔弗盖特银行）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 美国货币，由政府于约 September 18, 2022 扣押；\n\n(2) 原存于 Silvergate Bank 账户号码 5090037705、以“Hamilton Opportunity Fund SPC”名义持有的 \\$75,000,000.00 美国货币，由政府于约 September 18, 2022 扣押；\n\n(3) 原存于 Silvergate Bank 账户号码 5090037754、以“Hamilton Opportunity Fund SPC”名义持有的 \\$467,343.00 美国货币，由政府于约 September 18, 2022 扣押；\n\n(4) 原存于 Silvergate Bank 账户号码 5090042770、以“Hamilton Opportunity Fund SPC”名义持有的 \\$89,992,861.75 美国货币，由政府于约 September 18, 2022 扣押；\n\n(5) 原存于 Silvergate Bank 账户号码 5090042762、以“Hamilton Opportunity Fund SPC”名义持有的 \\$1,683,077.40 美国货币，由政府于约 September 18, 2022 扣押；\n\n(6) 原存于 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 美国货币，由政府于约 September 18, 2022 扣押；\n\n(7) 原存于 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 美国货币，由政府于约 September 18, 2022 扣押；\n\n(8) 原存于 Silvergate Bank 账户号码 5090037739、以“Hamilton Opportunity Fund SPC”名义持有的 \\$1,800,000.00 美国货币，由政府于约 September 18, 2022 扣押；\n\n(9) 原存于 Silvergate Bank 账户号码 5090042853、以“Hamilton Opportunity Funds SPC”名义持有的 \\$85,899,889.20 美国货币，由政府于约 September 18, 2022 扣押；\n\n(10) 原存于 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 美国货币，由政府于约 September 20, 2022 扣押；\n\n(11) 原存于 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 美国货币，由政府于约 September 20, 2022 扣押；\n\n(12) 原存于 Mercantile Bank International（国际商业银行）账户号码 MBI 10103-0000、以“G Club International Ltd.（G俱乐部国际有限公司）”名义持有的 \\$11,538,579.87 美国货币，由政府于约 October 16, 2022 扣押；\n\n(13) 原存于 Mercantile Bank International 账户号码 MBI 10133-0000、以“Himalaya International Clearing Ltd.（喜马拉雅国际清算有限公司）”名义持有的 \\$10,008,284.04 美国货币，由政府于约 October 16, 2022 至约 March 10, 2023 期间扣押；\n\n(14) 原存于 Mercantile Bank International 账户号码 MBI 10137-0000、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 美国货币，由政府于约 October 16, 2022 至约 March 10, 2023 期间扣押；\n\n(15) 原存于 Mercantile Bank International 账户号码 MBI 10138-0000、以“Himalaya International Reserves Ltd.（喜马拉雅国际储备有限公司）”名义持有的 \\$272,350,313.76 美国货币，由政府于约 October 16, 2022 至约 March 10, 2023 期间扣押；\n\n(16) 原存于 Mercantile Bank International 账户号码 MBI 10139-0000、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 美国货币，由政府于约 October 16, 2022 至约 March 10, 2023 期间扣押；\n\n(17) 原存于 Mercantile Bank International 账户号码 MBI 10171-0000、以“Hamilton Investment Management Ltd.”名义持有的 \\$1,187,278.87 美国货币，由政府于约 October 16, 2022 至约 March 10, 2023 期间扣押；\n\n(18) 原存于 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 美国货币，由政府于约 October 16, 2022 扣押；\n\n(19) 原存于 FV Bank 账户号码 7801000589、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 \\$7,715.00 美国货币，由政府于约 September 20, 2022 扣押；\n\n(20) 原存于 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 美国货币，由政府于约 October 16, 2022 扣押；\n\n(21) 原存于 Manufacturers & Traders Trust Co.（制造商与贸易商信托公司）账户号码 9878904409、以“GETTR USA, Inc.（GETTR美国公司）”名义持有的 \\$2,745,377.75 美国货币，由政府于约 September 18, 2022 扣押；\n\n(22) 原存于 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 美国货币，由政府于约 September 18, 2022 扣押；\n\n(23) 位于 675 Ramapo Valley Road, Mahwah, New Jersey 07430 的全部土地或地块，连同其建筑物、附属物、改良物、固定装置、附着物和地役权，地块编号为 3300021-03-00001-02，并描述为：地块号：1.02；街区：21.03；区：33；市、自治市、镇：MAHWAH TWP；\n\n(24) 一辆 Bugatti Chiron Super Sport（布加迪 Chiron Super Sport），车辆识别号码为 VF9SW3V3XNM795047；\n\n(25) 一辆 Lamborghini Aventador SVJ Roadster（兰博基尼 Aventador SVJ Roadster），车辆识别号码为 ZHWUN6ZD2MLA10393；\n\n(26) 一辆 Rolls Royce Phantom EWB（劳斯莱斯 Phantom EWB），车辆识别号码为 SCATT8C08MU206445；\n\n(27) 一艘 46m 2014 Feadship（斐帝星）超级游艇“Lady May”（原名 Como），IMO 编号为 112359，MMSI 编号为 319059500，呼号为 ZGDQ9；\n\n(28) 一架 Bosendorfer 185VC Porsche #49539（贝森朵夫 185VC 保时捷 #49539）钢琴，配有定制琴凳，购置价格约为 \\$140,938.69；\n\n(29) 一张 Railis Design Iceland Contemporary Poseidon Bed with Nightstands, Ebony Veneer, Brass, Velvet（Railis Design 冰岛当代波塞冬床，配床头柜、乌木贴面、黄铜和天鹅绒），购置价格约为 \\$31,413.71；\n\n(30) 一张 Hastens 2000T md（海丝腾 2000T md）床垫，购置价格约为 \\$36,590.00；\n\n(31) 一张 Hastens 2000T sf（海丝腾 2000T sf）床垫，购置价格约为 \\$36,210.00；\n\n(32) 一个 Wembe（温贝）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（三星 Q900 系列 QN98Q900RBF 98 英寸 QLED 智能电视—8K），购置价格约为 \\$62,787.54；\n\n(34) 一件由 Joseph Emmanuel Zweiner（约瑟夫·伊曼纽尔·茨韦纳）制作的路易十五风格法国镀金铜饰桃花心木五斗柜；\n\n(35) 一张由 Philip & Kelvin La Verne（菲利普与凯尔文·拉韦恩）制作的“K'ang Hsi”延展桌，以蚀刻和古铜色锡镴及青铜制成，并带有手绘珐琅彩，购置价格约为 \\$180,000.00；以及\n\n(36) 一张由 Gabriella Crespi（加布里埃拉·克雷斯皮）制作的“Punto '83”不锈钢桌，配可调节高度的网状桌面和可调节花瓣，意大利 1982 年制，购置价格约为 \\$180,000.00。\n\n(1) 至 (36) 项合称“特定财产”。\n\n60. 由于实施本起诉书第二、第四及第五至第十一项罪名所指控的电信诈骗和证券诈骗罪行，被告人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（解克明），亦称“William Je”、亦称“Yu Jianming”，以及Y ANPING WANG（王雁平），亦称“Yvette”、亦称“Y”，应根据《美国法典》第18编第981(a)(1)(C)条及第28编第2461(c)条，向美国没收任何及所有构成或源自可追溯至实施所述罪行所得收益的不动产和动产，包括但不限于以美元计的一笔款项，该款项代表可追溯至实施所述罪行的收益数额及特定财产。\n\n61. 由于实施本起诉书第三及第十二项罪名所指控的洗钱罪行，被告人HO WAN KWOK，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，亦称“William Je”、亦称“Yu Jianming”，以及Y ANPING WANG，亦称“Yvette”、亦称“Y”，应根据《美国法典》第18编第982(a)(1)条，向美国没收涉及所述罪行的任何及所有不动产和动产，或可追溯至该等财产的任何财产，包括但不限于以美元计的一笔款项，该款项代表涉及所述罪行的财产价值及特定财产。\n\n替代资产条款\n\n62. 如因被告人的任何作为或不作为，致使上述任何应予没收的财产：\n\n- a. 经尽职调查仍无法找到；\n- b. 已转让、出售、存放或寄存给第三人；\n- c. 已置于本院管辖范围之外；\n- d. 价值已大幅减少；或\n- e. 已与其他财产混同，且无法在无困难的情况下分割；\n\n美国拟根据《美国法典》第18编第1963(m)条、第21编第853(p)条及第28编第2461(c)条，\n\n请求没收被告人其他任何财产，其价值以不超过上述应予没收财产的价值为限。\n\n（《美国法典》第18编第981、982及1963条；第21编第853条；以及第28编第2461条。）\n\n~•9>- 4/:IJ;\"'-+-\n\nDAMIAN WILLIAMS（达米安·威廉姆斯） 美国联邦检察官","key_entities":["Kwok","Je","Guo","GTV","Himalaya","CIPA","Miles Guo","William Je","Kin Ming Je","Himalaya Exchange","Ho Wan Kwok","Farm Loan","Yanping Wang","Saraca","forfeiture","HCHK","GETTR","Chinese Communist Party","853(p)","RICO"],"ecf_references":[{"doc_number":215,"court":"CTB"}],"word_count":13246,"status":"published","published_at":"2024-01-03 00:00:00","created_at":"2024-01-03","updated_at":"2026-08-23 21:36:23"}