{"id":"court_sdny_10_1","court":"SDNY","case_no":"","doc_number":10,"sub_number":null,"doc_type":"DOC","filed_date":"2023-03-29","title":"SDNY ECF 10","summary_zh":"刑事诉状附件 —— 美国诉 Ho Wan Kwok（郭文贵 / Guo Wengui / Miles Guo）关联案件材料，SDNY 1:23-cr-00118 ECF #10 附件（随2023年3月29日信函作为 Exhibit A 提交；原诉状由 FBI 特工 Nicholas DiMarino 宣誓提出）。系针对同案被告 Yanping Wang（\"Yvette\"）的密封刑事诉状，指控其涉嫌电信欺诈与证券欺诈共谋、电信欺诈、证券欺诈及洗钱等罪名，内容涉及 GTV Media Group 私募相关资金转移中被告的角色。","summary_en":"Criminal complaint (exhibit) — related to United States v. Ho Wan Kwok (Miles Guo / Guo Wengui), SDNY 1:23-cr-00118, ECF No. 10 attachment (submitted as Exhibit A to the March 29, 2023 letter; the underlying complaint was sworn by FBI Special Agent Nicholas DiMarino). It is the sealed criminal complaint against co-defendant Yanping Wang (\"Yvette\"), charging conspiracy to commit wire and securities fraud, wire fraud, securities fraud, and money laundering, and describing her role in fund transfers connected to the GTV Media Group private placement.","body_en":"Approved: ________________________________________\nRyan Finkel / Juliana Murray / Micah Fergenson\nAssistant United States Attorneys\nBefore: THE HONORABLE GABRIEL W. GORENSTEIN\nUnited States Magistrate Judge 23 MAG 2007\nSouthern District of New York\n-- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - X\n:\nSEALED COMPLAINT\n:\nUNITED STATES OF AMERICA\n:\nViolations of\n:\n-v. - 18 U.S.C. §§ 371, 1343, 1957 and 2;\n:\n15 U.S.C. §§ 78j(b) & 78ff; and\n:\nYANPING WANG, 17 C.F.R. § 240.10b-5\n:\na/k/a “Yvette,”\n:\nCOUNTY OF OFFENSE:\n:\nDefendant. NEW YORK\n:\n-- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - X\nSOUTHERN DISTRICT OF NEW YORK, ss.:\nSpecial Agent Nicholas DiMarino, being duly sworn, deposes and says that he is a Special\nAgent with the Federal Bureau of Investigation (“FBI”), and charges as follows:\nCOUNT ONE\n(Conspiracy to Commit Wire Fraud and Securities Fraud)\n1. From at least in or about 2018 up to and including at least in or about March 2023,\nin the Southern District of New York and elsewhere, YANPING WANG, a/k/a “Yvette,” the\ndefendant, and others known and unknown, willfully and knowingly combined, conspired,\nconfederated, and agreed together and with each other to commit offenses against the United\nStates, to wit, (1) wire fraud, in violation of Title 18, United States Code, Section 1343; and\n(2)securities fraud, in violation of Title 15, United States Code, Sections 78j(b) & 78ff, and Title\n17, Code of Federal Regulations, Section 240.10b-5.\n2. It was a part and an object of the conspiracy that YANPING WANG, a/k/a\n“Yvette,” the defendant, and others known and unknown, knowingly having devised and intending\nto devise a scheme and artifice to defraud, and for obtaining money and property by means of false\nand fraudulent pretenses, representations, and promises, would and did transmit and cause to be\ntransmitted by means of wire, radio, and television communication in interstate and foreign\ncommerce, writings, signs, signals, pictures, and sounds for the purpose of executing such scheme\nand artifice, in violation of Title 18, United States Code, Section 1343, to wit, WANG conspired\nwith others to obtain victims’ money through the use of materially false information and\nmisrepresentations transmitted over interstate wires, in connection with the unregistered offering\n\nof common stock of GTV Media Group, Inc. (“GTV”) via a private placement (the “GTV Private\nPlacement).\n3. It was further a part and an object of the conspiracy that YANPING WANG, a/k/a\n“Yvette,” the defendant, and others known and unknown, willfully and knowingly, directly and\nindirectly, by use of a means and instrumentality of interstate commerce and of the mails, and of\na facility of a national securities exchange, used and employed, in connection with the purchase\nand sale of a security registered on a national securities exchange and any security not so\nregistered, a manipulative and deceptive device and contrivance, in violation of Title 17, Code of\nFederal Regulations, Section 240.l0b-5, by (a) employing a device, scheme and artifice to defraud;\n(b) making an untrue statement of material fact and omitting to state a material fact necessary in\norder to make the statement made, in light of the circumstances under which it was made, not\nmisleading; and (c) engaging in an act, practice and course of business which operated and would\noperate as a fraud and deceit upon a person, to wit, WANG conspired with others to fraudulently\ninduce investors to participate in the GTV Private Placement by providing materially false and\nmisleading information and representations in connection with purported shares of GTV’s\ncommon stock.\n4. In furtherance of the conspiracy and to effect its illegal objects, YANPING WANG,\na/k/a “Yvette,” the defendant, and others known and unknown, committed the following overt act,\namong others, in the Southern District of New York and elsewhere:\na. On or about June 5, 2020, WANG, while located in the Southern District of New\nYork, authorized a wire transfer of $100 million of fraud proceeds to a particular hedge fund.\n(Title 18, United States Code, Section 371.)\nCOUNT TWO\n(Wire Fraud)\n5. From at least in or about April 2020 up to and including at least in or about March\n2021, in the Southern District of New York and elsewhere, YANPING WANG, a/k/a “Yvette,”\nthe defendant, knowingly having devised and intending to devise a scheme and artifice to defraud,\nand for obtaining money and property by means of false and fraudulent pretenses, representations,\nand promises, transmitted and caused to be transmitted by means of wire, radio, and television\ncommunication in interstate and foreign commerce, writings, signs, signals, pictures, and sounds,\nfor the purpose of executing such scheme and artifice, to wit, WANG conducted the GTV Private\nPlacement to sell GTV stock and fraudulently obtain money from victims through false statements\nand misrepresentations, which scheme was furthered through electronic communications and\nmonetary transfers to and from the Southern District of New York and elsewhere.\n(Title 18, United States Code, Sections 1343 and 2.)\n2\n\nCOUNT THREE\n(Securities Fraud)\n6. From at least in or about April 2020 up to and including at least in or about March\n2021, in the Southern District of New York, and elsewhere, YANPING WANG, a/k/a “Yvette,”\nthe defendant, willfully and knowingly, directly and indirectly, by use of a means and\ninstrumentality of interstate commerce and of the mails, and of a facility of a national securities\nexchange, used and employed, in connection with the purchase and sale of a security registered on\na national securities exchange and any security not so registered, a manipulative and deceptive\ndevice and contrivance, in violation of Title 17, Code of Federal Regulations, Section 240.10b-5,\nby (a) employing a device, scheme and artifice to defraud; (b) making an untrue statement of\nmaterial fact and omitting to state a material fact necessary in order to make the statement made,\nin light of the circumstances under which it was made, not misleading; and (c) engaging in an act,\npractice and course of business which operated and would operate as a fraud and deceit upon a\nperson, to wit, WANG conducted the GTV Private Placement to sell GTV stock and fraudulently\nobtain money from victims through false statements and misrepresentations, which scheme was\nfurthered through electronic communications and monetary transfers to and from the Southern\nDistrict of New York and elsewhere.\n(Title 15, United States Code, Sections 78j(b) & 78ff; Title 17, Code of Federal Regulations,\nSection 240.10b-5; and Title 18, United States Code, Section 2.)\nCOUNT FOUR\n(Unlawful Monetary Transaction)\n7. On or about June 5, 2020, YANPING WANG, a/k/a “Yvette,” the defendant, in the\nSouthern District of New York and elsewhere, within the United States, knowingly engaged and\nattempted to engage in a monetary transaction, as defined in Title 18, United States Code, Section\n1957(f)(1), in criminally derived property of a value greater than $10,000 that was derived from\nspecified unlawful activity, to wit, WANG, while located in the Southern District of New York,\nauthorized a wire transfer of $100 million of fraud proceeds to a particular hedge fund.\n(Title 18, United States Code, Sections 1957 and 2.)\nThe bases for my knowledge and for the foregoing charges are, in part, as follows:\n8. I am a Special Agent with the FBI and I have been personally involved in the\ninvestigation of this matter. This affidavit is based upon my personal participation in the\ninvestigation of this matter, and my conversations with law enforcement officers, law enforcement\nemployees, and witnesses, as well as a review of documents. Because this affidavit is being\nsubmitted for the limited purpose of establishing probable cause, it does not include all the facts\nthat I have learned during the course of my investigation. Where the actions, statements, and\nconversations of others are reported herein, they are reported in substance and in part, except where\notherwise indicated.\n3\n\nOverview\n9. Based on my involvement in this investigation, my review of documents,\nconversations with witnesses, and other law enforcement officers, I have learned the following, in\nsubstance and in part:\na. Between in or about April 2020 and in or about June 2020, YANPING\nWANG, a/k/a “Yvette,” the defendant, and others known and unknown, fraudulently obtained\napproximately $452 million in victim funds through an illegal private stock offering related to\nGTV. WANG was an Executive Director of GTV and was one of the key individuals responsible\nfor transferring the money raised from the GTV Private Placement. Rather than investing the\nfunds raised through the GTV Private Placement as the defendant, and others, had promised to\nvictim-investors, WANG, and others known and unknown, misappropriated approximately\n$100,000,000 into a high-risk hedge fund for the ultimate benefit of a close family relative of one\nof WANG’s co-conspirators. WANG well knew that funds from the GTV Private Placement\ncould not be used to invest in a high-risk hedge fund. Indeed, when WANG sought to open a bank\naccount comprised of funds raised from the GTV Private Placement, WANG stated to a bank, in\npart, that such “funds of GTV Media Group [ ] are strickly [sic] for operational purposes and\nacquisitions.”\nThe GTV Private Placement\n10. Based on my review of documents, videos, conversations with witnesses, and other\nlaw enforcement officers, I have learned the following, in substance and in part:\na. On or about April 21, 2020, a co-conspirator not named herein (“CC-1”)1\nposted, and caused to be posted, a video on social media (the “Video”) announcing the unregistered\noffering of GTV common stock via a private placement (the “GTV Private Placement”). CC-1\nhas a substantial online following, and the Video was viewed by thousands of individuals.\nb. Based on my review of the Video, I have learned that, in the Video, CC-1\ndescribed, in substance and in part, the investment terms for the GTV Private Placement and\ndirected people to contact CC-1, via a mobile messaging application, with any questions about the\nGTV Private Placement. The Video and GTV Private Placement materials—including the written\n“Confidential Information Memorandum” (the “PPM”), Subscription Agreement, and Investment\nProcedure Guidelines—were transmitted to thousands of potential investors, including those in the\nSouthern District of New York, via mobile messaging applications, social media, and text\nmessages.\nc. Based on my review of the PPM, I have learned that the PPM promoted\nGTV as the “first ever platform which will combine the power of citizen journalism and social\nnews with state-of-the-art technology, big data, artificial intelligence, block-chain technology and\n1 CC-1 has been charged in eleven counts in an Indictment filed in this District with\nconspiring to commit wire fraud, securities fraud, bank fraud, and money laundering; and\ncommitting wire fraud, bank fraud and money laundering in connection with, among other\nconduct, the GTV Private Placement discussed herein.\n4\n\nreal-time interactive communication.” The PPM also contained the following representations, in\nsubstance and in part, among others:\ni. The GTV Private Placement was for investors who were “interested\nin evaluating an opportunity to invest capital into GTV”;\nii. GTV planned to use the proceeds raised from the GTV Private\nPlacement “to expand and strengthen the business;” and\niii. The PPM included a chart itemizing the “contemplated use of\nproceeds” raised from the GTV Private Placement:\nd. The PPM identified three “Executive Directors” of GTV. The first\nExecutive Director identified was “Yvette Y. Wang”— i.e., YANPING WANG, a/k/a “Yvette,”\nthe defendant. The PPM described WANG as “experienced in management, financial investment\nand merger and acquisition” and “instrumental in building Saraca’s media business.” 2 Elsewhere\nin the PPM, WANG was described as “key personnel” for GTV. The PPM further stated, in part,\nthat GTV’s “success depends in part upon the continued services of [its] key executive officers,\nincluding Yvette Wang” and two other particular individuals, including another coconspirator not\nnamed herein (“CC-2”).\ne. Based on conversations with witnesses who previously worked for CC-1, I\nhave learned, in substance and in part, that WANG has had a close personal relationship with\nCC-1. In particular, WANG has worked for CC-1 and CC-1’s family for several years, since at\nleast in or about 2018. Indeed, based on documents I have reviewed, I have learned that WANG\nis the President, Treasurer, and Secretary of an entity that manages CC-1’s purportedly vast\npersonal wealth.\n2 “Saraca” refers to “Saraca Media Group,” which is identified in the PPM as GTV’s parent\ncompany.\n5\n\nWANG Received and Transferred Fraud Proceeds\n11. Based on my review of videos and documents, including bank records and\nsubpoena returns, my conversations with witnesses and other law enforcement officers, open-\nsource research on the Internet, and my participation in this investigation, I have learned the\nfollowing, in substance and in part:\na. On or about July 24, 2018, YANPING WANG, a/k/a “Yvette,” the\ndefendant, opened a particular bank account in the name of Saraca (“Account-5601”). Account\nopening documents for Account-5601, which I have reviewed, identify WANG as “Acting\nSecretary” for Saraca. On or about May 21, 2020, WANG signed an additional business signature\ncard for Account-5601, in which WANG identified herself as “President” of Saraca. As of at least\nthat date, Account-5601 was held in the name of “Saraca Media Group DBA Himalaya Dollar.”\nThere are no other authorized signatories on Account-5601.\nb. On or about July 24, 2018, WANG opened another particular bank account\nin the name of “Saraca Media Group Inc.” (“Account-2038”). Account opening documents for\nAccount-2038 identity WANG as “Acting Secretary” for Saraca. On or about May 21, 2020,\nWANG signed an additional business signature card for Account-2038 and identified herself as\n“President.” As of at least that date, Account-2038 was held in the name of “Saraca Media Group\nDBA Himalaya Dollar.” On or about June 3, 2020, WANG signed an additional business signature\ncard for Account-2038 and, again, identified herself as “President” of Saraca. There are no other\nauthorized signatories on Account-2038.3\nc. Both Account-5601 and Account-2038 are held by a particular bank, which\nis headquartered int Manhattan (“Bank-1”).\nd. Between on or about April 20, 2020, and on or about June 2, 2020,\napproximately $452 million worth of GTV common stock was purportedly sold to more than 5,500\ninvestors located in the United States, including in the Southern District of New York, and abroad.\nInvestors participated in the GTV Private Placement based, in part, on the belief that their money\nwould be invested into GTV to develop and grow that business, as the PPM promised.\ne. In or about April 2020, Account-5601 received approximately 291 deposits\nand transfers totaling approximately $32,543,000. Most of these deposits and transfers were\ninvestments made by individuals seeking to participate in the GTV Private Placement. The\ntransfers appear to be from individuals located throughout the world, and many deposits and\ntransfers bear reference or memo information referring to the GTV Private Placement. For\nexample, memo lines state, among other things, in substance and in part: “Gtv Investment,” “Stock\nSubscription,” “Investment,” “G- Tv Common Stock Subscription,” “InvestmeNt [sic],”\n“Investment To G- Tv [sic],” and “Gtv Stockpurchase.” On or about April 30, 2020, the balance\nof Account-5601 was approximately $32,474,000.\nf. In or about May 2020, Account-5601 received approximately 2,450\ndeposits and transfers totaling approximately $291,899,000. Most of these deposits and transfers\n3 Based on bank records, CC-2 appears to have an online banking account with access to\nAccount-5601 and Account-2038.\n6\n\nwere investments made by individuals seeking to participate in the GTV Private Placement. Like\nthe prior month’s deposits and transfers, the transfers in or about May 2020 appear to be from\nindividuals located throughout the world, and many bear reference or memo information referring\nto the GTV Private Placement. For example, memo lines state, among other things, in substance\nand in part: “Capital Injection Infusion,” “To Inves Stment [sic],” “Private Placement Investment,”\n“Gtv Media Investment,” “Gtv Inv,” and “Additional Stock Purchase.” On or about May 29, 2020,\nthe balance of Account-5601 was approximately $313,213,000.\nThe Misappropriation\n12. Based on my review of documents, conversations with witnesses, and other law\nenforcement officers, I have learned the following, in substance and in part:\na. On or about June 3, 2020, YANPING WANG, a/k/a “Yvette,” the\ndefendant, signed a “Subscription Agreement” in her capacity as “President” of Saraca. Pursuant\nto the Subscription Agreement, Saraca agreed to invest $100,000,000 into a high-risk hedge fund\n(“Fund-1”). In the Subscription Agreement, WANG identified Account-5601 as the bank account\nfrom which Saraca’s capital contribution would be wired. WANG further identified herself as the\nonly “Authorized Signatory” of Account-5601. In or about the morning of June 3, 2020, an\nemployee of the Fund-1 investment manager confirmed receipt of the signed subscription\ndocuments.\nb. Also, on or about June 3, 2020, $100,000,000 was transferred from\nAccount-5601 to Account-2038. Prior to the transfer, the balance of Account-2038 was $0. Based\non bank records, this $100,000,000 transfer was conducted online by the user “yvettewang2018,”\nwhich is WANG’s Bank-1 online banking user ID. While authorizing that transfer, WANG was\nlogged into WANG’s Bank-1 online account from an IP address that geolocates to Manhattan.\nc. On or about June 5, 2020, WANG authorized a $100,000,000 wire transfer\nfrom Account-20384 to a bank account associated with Fund-1. This $100,000,000 transfer to a\nFund-1 bank account consisted of proceeds from investors in the GTV Private Placement. As\ndescribed above, the PPM did not contemplate using investor funds to invest into a high-risk hedge\nfund. The PPM also did not contemplate using investor funds for the benefit of companies other\nthan GTV, including Saraca, whose ultimate beneficial owner is a close relative of CC-1.\nWANG Transfers Additional Fraud Proceeds to Other Bank Accounts\n13. Based on my review of documents and videos, my conversations with witnesses\nand other law enforcement officers, and my participation in this investigation, I have learned the\nfollowing, in substance and in part:\na. On or about May 20, 2020, YANPING WANG, a/k/a “Yvette,” the\ndefendant, and CC-2 opened an account in the name of GTV (“Account-6691”). Account-6691\nwas opened at a particular FDIC-insured bank (“Bank-2”). WANG and CC-2 were the only\n4 Although the Subscription Agreement identified Account-5601 as the source of the capital\ncontribution, the transfer originated from Account-2038.\n7\n\nauthorized signatories for Account-6691. In account opening documents, WANG was identified\nas “Director” of GTV. The account opening documents further stated that the intended balance of\nAccount-6691 would be between $25,000 to $50,000.\nb. On or about June 3, 2020, Account-5601 transferred $200,000,000 to\nAccount-6691. The reference line for this transfer read, in part, “Gtv Private Placement.” Just\nprior to this transfer Account-6691’s balance was $0.\nc. On or about June 9, 2020, Account-2038 transferred $38,000,000 to\nAccount-6691. That $38,000,000 was made up of investor funds from the GTV Private Placement\nfirst sent to Account-5601 and another particular Bank-1 account, which were then transferred,\nfrom on or about June 3, 2020 through on or about June 9, 2020, to Account-2038. Thus, as of on\nor about June 10, 2020, the full $237,999,9705 in Account-6691 was compromised of proceeds\nfrom the GTV Private Placement.\nd. On or about June 9, 2020, approximately $30,906 was wired from\nAccount-5601 to a bank account in the name of “Yanping Wang.” The reference line for this wire\ntransfer stated, in part, “Director Fee.”\ne. Starting in or about June 2020, domestic banks that held accounts used to\nprocess the funds raised through the GTV Private Placement began to freeze and close GTV-\nassociated bank accounts (including bank accounts held in the name of Saraca) because, among\nother reasons, the accounts had received dozens of large incoming wire transfers, some of which\nreferenced the unregistered GTV Private Placement. Banks closings were also due to concerns\nabout money movements to and from GTV-associated and Saraca-associated accounts, which\nraised questions about the propriety of the incoming transfers.\nf. On or about July 10, 2020, Bank-2 closed Account-6691 and provided the\naccount holders, including WANG, one check in the amount of $137,999,970 (“Check-1”) and a\nsecond check in the amount of $100,000,000 (“Check-2”).\ng. In or about July 2020, WANG and others known and unknown attempted\nto open a bank account in the name of GTV at a particular bank (“Bank-3”). In connection with\nthat attempt, on or about July 20, 2020, WANG signed an “Enhanced Diligence Request” which\ncontained information about the purpose for which the Bank-3 account would be used. WANG\nsigned the “Enhanced Diligence Request” in her capacity as “Director” of GTV.\nh. In the “Enhanced Diligence Request,” WANG stated, in substance and in\npart, that the initial deposit into the account would “be approximately $138 million that was raised\nfrom private placement in the form of a cashiers check.” According to WANG, “Saraca Media\nGroup was the recipient of [GTV] Private Placement funds on behalf of GTV (guided by [law\nfirm] in [Bank-1]. Saraca Media Group transferred the funds to GTV ([Bank-2]).” WANG further\nstated, in substance and in part, that “[t]he funds in the account are funds of GTV Media Group\nand are strickly [sic] for operational purposes and acquisitions.” Accordingly, WANG well knew\nthat the funds raised from the GTV Private Placement could not be invested in a high-risk hedge\nfund held for the benefit of CC-1’s close relative.\n5 Bank-3 debited $30 from Account-6691 for the two incoming wire transfers.\n8\n\nWHEREFORE, I respectfully request that a warrant be issued for the arrest of YANPING\nWANG, a/k/a “Yvette,” the defendant, and that she be arrested, and imprisoned or bailed, as the\ncase may be.\n/s/ Nicholas DiMarino (sworn telephonically)\n______________________________\nNicholas DiMarino\nSpecial Agent\nFederal Bureau of Investigation\nSworn to me through the transmission of\nthis Complaint by reliable electronic\nmeans (telephone), this _1_0_ day of March, 2023.\n___________________________________\nTHE HONORABLE GABRIEL W. GORENSTEIN\nUnited States Magistrate Judge\nSouthern District of New York\n9","body_zh":"批准：________________________________________\nRyan Finkel（瑞安·芬克尔）/ Juliana Murray（朱莉安娜·默里）/ Micah Fergenson（米卡·弗根森）\n助理联邦检察官\n法官：GABRIEL W. GORENSTEIN（加布里埃尔·W·戈伦斯坦）阁下\n美国联邦治安法官 23 MAG 2007\nSouthern District of New York（纽约南区）\n-- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - X\n:\n封存刑事诉状\n:\n美利坚合众国\n:\n违法行为：\n:\n-诉- 18 U.S.C. §§ 371, 1343, 1957 及 2；\n:\n15 U.S.C. §§ 78j(b) & 78ff；以及\n:\nYANPING WANG（王雁平）， 17 C.F.R. § 240.10b-5\n:\n又名“Yvette”，\n:\n犯罪行为发生郡：\n:\n被告。 纽约\n:\n-- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - X\n\nSOUTHERN DISTRICT OF NEW YORK（纽约南区），宣誓证明：\n特别探员 Nicholas DiMarino（尼古拉斯·迪马里诺）经正式宣誓后作证并声明，他是 Federal Bureau of Investigation（联邦调查局，简称“FBI”）的一名特别探员，并提出指控如下：\n\n罪名项一\n（共谋实施电信欺诈和证券欺诈）\n\n1. 至少从大约 2018 年起直至并包括至少大约 2023 年 3 月，在纽约南区及其他地区，被告 YANPING WANG（王雁平），又名“Yvette”，以及其他已知和未知的人员，故意且明知地共同联合、共谋、结伙并相互商定实施危害合众国的犯罪行为，即：(1) 电信欺诈，违反《美国法典》第 18 编第 1343 条；以及 (2) 证券欺诈，违反《美国法典》第 15 编第 78j(b) & 78ff 条，以及《联邦法规汇编》第 17 编第 240.10b-5 条。\n\n2. 该共谋的组成部分及目的在于，被告王雁平（又名“Yvette”）以及其他已知和未知的人员，明知已策划并意图策划一项欺诈方案和诡计，以及旨在通过虚假和欺诈性的借口、陈述及承诺获取金钱和财产，为执行该方案和诡计的目的，在州际和对外贸易中通过电信、无线电和电视通信传输并导致传输了文字、符号、信号、图像和声音，违反《美国法典》第 18 编第 1343 条，即：王与他人共谋，在与未注册发售相关的活动中，通过跨州电信传输实质性虚假信息和失实陈述来获取受害者的金钱\n\n通过私募配售（“GTV 私募配售”）发行的 GTV Media Group, Inc.（“GTV”）普通股。3. 该共谋的进一步组成部分及目标为：被告 YANPING WANG（王雁平，又名“Yvette”）及其他已知与未知人员，故意且知情地，直接及间接地，利用州际贸易工具和手段、邮政系统以及全国性证券交易所的设施，在使用与在全国性证券交易所注册的证券以及未如此注册的任何证券的买卖相关联时，使用并雇用了操纵性和欺骗性的手段及计谋，违反了 Title 17, Code of Federal Regulations, Section 240.10b-5，方式包括：(a) 采用欺诈手段、方案与计策；(b) 对重大事实作出不真实陈述，并在陈述作出时所处的具体情况下，遗漏了为使所作陈述不致产生误导所必需的重大事实；以及 (c) 从事对他人构成欺诈和诡骗并产生欺诈和诡骗效果的商业行为、惯例及业务过程，即：王与他人共谋，通过就所声称的 GTV 普通股股份提供具有实质性虚假及误导性的信息与陈述，欺诈性地引诱投资者参与 GTV 私募配售。4. 为推进该共谋并实现其非法目标，被告 YANPING WANG（王雁平，又名“Yvette”）及其他已知与未知人员在 Southern District of New York（纽约南区）及其他地区实施了以下公开行为（其中包括）：\n\na. 在 2020年6月5日或该日前后，王在位于纽约南区期间，批准将 $100 million 欺诈收益电汇至某特定对冲基金。（Title 18, United States Code, Section 371.）\n\n罪名项二\n（电汇欺诈）\n\n5. 自至少在 2020年4月或该月前后起，直至并包括至少在 2021年3月或该月前后，在纽约南区及其他地区，被告 YANPING WANG（王雁平，又名“Yvette”），明知已策划并意图策划一项欺诈方案与计策，并意图通过虚假和欺诈性的托辞、陈述及承诺获取金钱和财产，为了执行该方案与计策，在州际和对外贸易中通过电汇、无线电和电视通信方式传输并促使传输了文字、代号、信号、图像和声音，即：王开展 GTV 私募配售以出售 GTV 股票，并通过虚假陈述和误导性陈述从受害者处欺诈性地获取资金，该方案通过进出纽约南区及其他地区的电子通信和资金划转得以推进。（Title 18, United States Code, Sections 1343 and 2.）\n\n罪名项三\n（证券欺诈）\n\n6. 自至少在 2020年4月或该月前后起，直至并包括至少在 2021年3月或该月前后，在纽约南区及其他地区，被告 YANPING WANG（王雁平，又名“Yvette”），故意且知情地，直接及间接地，利用州际贸易工具和手段、邮政系统以及全国性证券交易所的设施，在使用与在全国性证券交易所注册的证券以及未如此注册的任何证券的买卖相关联时，使用并雇用了操纵性和欺骗性的手段及计谋，违反了 Title 17, Code of Federal Regulations, Section 240.10b-5，方式包括：(a) 采用欺诈手段、方案与计策；(b) 对重大事实作出不真实陈述，并在陈述作出时所处的具体情况下，遗漏了为使所作陈述不致产生误导所必需的重大事实；以及 (c) 从事对他人构成欺诈和诡骗并产生欺诈和诡骗效果的商业行为、惯例及业务过程，即：王开展 GTV 私募配售以出售 GTV 股票，并通过虚假陈述和误导性陈述从受害者处欺诈性地获取资金，该方案通过进出纽约南区及其他地区的电子通信和资金划转得以推进。（Title 15, United States Code, Sections 78j(b) & 78ff；Title 17, Code of Federal Regulations, Section 240.10b-5；以及 Title 18, United States Code, Section 2.）\n\n罪名项四\n（非法货币交易）\n\n7. 在 2020年6月5日或该日前后，被告 YANPING WANG（王雁平，又名“Yvette”）在纽约南区及美国境内其他地区，明知故犯地从事并企图从事 Title 18, United States Code, Section 1957(f)(1) 中所定义的货币交易，涉及价值超过 $10,000 源自特定非法活动的犯罪所得财产，即：王在位于纽约南区期间，批准将 $100 million 欺诈收益电汇至某特定对冲基金。（Title 18, United States Code, Sections 1957 and 2.）\n\n本人所获知的信息及支持上述指控的依据部分如下：\n\n8. 本人是 FBI（联邦调查局）特别探员，并亲自参与了本案的调查工作。本宣誓书基于本人亲自参与本案调查、本人与执法官员、执法雇员及证人的交谈，以及对相关文件的审查。由于本宣誓书提交的有限目的仅为确立合理根据（probable cause），因此其并未包含本人在调查过程中所了解到的全部事实。凡本宣誓书中提及的他人的行为、陈述和谈话，除另有说明外，均按其实质内容和部分内容进行陈述。\n\n概述\n\n9. 基于本人对本案调查的参与、对文件的审查，以及与证人和其他执法人员的谈话，本人获悉以下实质性及部分内容：\n\na. 在 2020年4月或该月前后至 2020年6月或该月前后期间，被告 YANPING WANG（王雁平，又名“Yvette”）及其他已知与未知人员，通过与 GTV 相关的非法非公开发行股票，欺诈性地获取了大约 $452 million 受害者资金。王曾担任 GTV 的执行董事，并且是负责转移 GTV 私募配售所筹资金的关键人员之一。被告及其他人并未按照其向受害投资者承诺的那样对通过 GTV 私募配售筹集的资金进行投资，王及其他已知与未知人员将约 $100,000,000 挪用至一家高风险对冲基金中，最终使王的一名同谋者的直系亲属受益。王深知 GTV 私募配售的资金不能用于投资高风险对冲基金。事实上，当王试图开设一个由 GTV 私募配售所筹资金构成的银行账户时，王曾向某银行陈述称，该等“GTV Media Group 的资金[ ]严格[原文如此]用于运营目的和收购”。\n\nGTV 私募配售\n\n10. 基于本人对文件、视频的审查，以及与证人和其他执法人员的谈话，本人获悉以下实质性及部分内容：\n\na. 在 2020年4月21日或该日前后，一名未在此列名的共谋人（“CC-1”）1 在社交媒体上发布并促使发布了一段视频（“视频”），宣布通过私募配售方式未注册公开发行 GTV 普通股（“GTV 私募配售”）。CC-1 拥有大量网络追随者，该视频被数千人观看。\n\nb. 基于本人对该视频的审查，本人获知，CC-1 在视频中实质性且部分描述了 GTV 私募配售的投资条款，并指引人们若对 GTV 私募配售有任何疑问，可通过移动即时通讯软件联系 CC-1。该视频及 GTV 私募配售材料——包括书面的“机密信息备忘录”（“PPM”）、《认购协议》（Subscription Agreement）及《投资流程指引》（Investment Procedure Guidelines）——通过移动即时通讯软件、社交媒体和手机短信被传送给数千名潜在投资者，包括位于纽约南区的潜在投资者。\n\nc. 基于本人对 PPM 的审查，本人获悉该 PPM 将 GTV 宣传为“首个将公民新闻和社会新闻的力量与尖端技术、大数据、人工智能、区块链技术及实时互动通信相结合的平台”。该 PPM 还包含以下实质性及部分陈述（其中包括）：\n\ni. GTV 私募配售面向“有意评估向 GTV 投资资本的机会”的投资者；\n\nii. GTV 计划将 GTV 私募配售筹集的资金用于“扩大并增强业务”；以及\n\niii. PPM 包含一份图表，逐项列出了 GTV 私募配售所筹资金的“预期用途”：\n\nd. PPM 指明了 GTV 的三位“执行董事”。第一位被指明的执行董事是“Yvette Y. Wang”——即被告 YANPING WANG（王雁平，又名“Yvette”）。PPM 将王描述为“在管理、金融投资以及并购方面经验丰富”，并且“对建立 Saraca 媒体业务起到了关键作用”。2 在 PPM 的其他部分，王被描述为 GTV 的“核心人员”。PPM 进一步部分指出，GTV 的“成功部分取决于[其]关键执行官的持续服务，包括 Yvette Wang”以及另外两名特定个人，其中包括另一名未在此列名的共谋人（“CC-2”）。\n\ne. 基于与此前曾为 CC-1 工作的证人的交谈，本人获知实质性及部分内容表明王与 CC-1 关系密切。特别是，王已为 CC-1 及其家族工作多年，至少自 2018年或该年前后起。事实上，基于本人审查的文件，本人获悉王是负责管理 CC-1 据称庞大的个人财富的实体的总裁、财务主管和秘书。\n\n王接收并转移欺诈收益\n\n11. 基于本人对视频和文件（包括银行记录和传票调取资料）的审查、本人与证人及其他执法人员的交谈、互联网开源信息研究以及本人对本案调查的参与，本人获悉以下实质性及部分内容：\n\na. 在 2018年7月24日或该日前后，被告 YANPING WANG（王雁平，又名“Yvette”）以 Saraca 的名义开设了一个特定银行账户（“5601 账户”）。本人审查过的 5601 账户的开户文件显示王为 Saraca 的“代理秘书”。在 2020年5月21日或该日前后，王为 5601 账户签署了一份额外的企业印鉴卡，其中王表明自己为 Saraca 的“总裁”。至少自该日起，5601 账户以“Saraca Media Group DBA Himalaya Dollar”的名义持有。5601 账户上没有其他授权签字人。\n\nb. 在 2018年7月24日或该日前后，王以“Saraca Media Group Inc.”的名义开设了另一个特定银行账户（“2038 账户”）。2038 账户的开户文件显示王为 Saraca 的“代理秘书”。\n\n1 CC-1 在本地区法院提交的一份起诉书中被控十一项罪名，涉及共谋实施电汇欺诈、证券欺诈、银行欺诈和洗钱；以及在涉及（其中包括）本文所述的 GTV 私募配售行为中实施电汇欺诈、银行欺诈和洗钱。\n\n2 “Saraca”指“Saraca Media Group”，该机构在 PPM 中被指明为 GTV 的母公司。\n\n2020年5月21日或前后，WANG（王）为 Account-2038（2038号账户）签署了一份额外的商业印鉴卡，并表明其身份为“总裁”。至少自该日起，Account-2038 以“Saraca Media Group DBA Himalaya Dollar（萨拉卡媒体集团，以喜马拉雅美元名义对外营业）”的名义开立。2020年6月3日或前后，WANG 为 Account-2038 签署了一份额外的商业印鉴卡，并再次表明其身份为 Saraca（萨拉卡）的“总裁”。Account-2038 上没有其他被授权签字人。3\n\nc. Account-5601 和 Account-2038 均开立于一家总部位于曼哈顿的特定银行（“Bank-1（1号银行）”）。\n\nd. 在2020年4月20日或前后至2020年6月2日或前后期间，价值约4.52亿美元的 GTV 普通股据称被出售给位于美国（包括 Southern District of New York（纽约南区））及海外的5,500多名投资者。投资者参与 GTV 私募（GTV Private Placement），部分原因是相信正如 PPM（私募集资备忘录）所承诺的那样，他们的资金将被投入 GTV 用于开发和发展该业务。\n\ne. 2020年4月或前后，Account-5601 收到约291笔存款和转账，总计约32,543,000美元。这些存款和转账大部分是寻求参与 GTV 私募的个人所做的投资。转账似乎来自遍布世界各地的个人，许多存款和转账带有指涉 GTV 私募的参考或附言信息。例如，附言栏在实质上和部分内容中注明：“Gtv 投资”、“股票认购”、“投资”、“G-Tv 普通股认购”、“投资 [原文如此]”、“给 G-Tv 的投资 [原文如此]”以及“Gtv 购股”。2020年4月30日或前后，Account-5601 的余额约为32,474,000美元。\n\nf. 2020年5月或前后，Account-5601 收到约2,450笔存款和转账，总计约291,899,000美元。\n3 根据银行记录，CC-2（共谋者-2）似乎拥有一个网银账户，有权访问 Account-5601 和 Account-2038。\n这些存款和转账大部分是寻求参与 GTV 私募的个人所做的投资。与前一个月的存款和转账一样，2020年5月或前后的转账似乎来自遍布世界各地的个人，许多转账带有指涉 GTV 私募的参考或附言信息。例如，附言栏在实质上和部分内容中注明：“注资注资”、“用于投资 [原文如此]”、“私募投资”、“Gtv 媒体投资”、“Gtv 投资”以及“追加购股”。2020年5月29日或前后，Account-5601 的余额约为313,213,000美元。\n\n侵占挪用资金\n\n12. 根据我对文件的审查、与证人以及其他执法人员的交谈，我实质上且在部分内容中了解到以下情况：\n\na. 2020年6月3日或前后，被告 YANPING WANG（王雁平），又名“Yvette”，以 Saraca“总裁”的身份签署了一份“认购协议”。根据该认购协议，Saraca 同意向一家高风险对冲基金（“Fund-1（1号基金）”）投资100,000,000美元。在认购协议中，WANG 将 Account-5601 指定为电汇 Saraca 出资额的银行账户。WANG 进一步表明自己是 Account-5601 的唯一“授权签字人”。在2020年6月3日早间或前后，Fund-1 投资管理机构的一名员工确认收到了签署的认购文件。\n\nb. 同样在2020年6月3日或前后，100,000,000美元从 Account-5601 转入了 Account-2038。在转账之前，Account-2038 的余额为0美元。根据银行记录，这笔100,000,000美元的转账是由用户“yvettewang2018”在线进行的，该用户名是 WANG 在 Bank-1 的网银用户 ID。在授权该转账时，WANG 从一个地理定位在曼哈顿的 IP 地址登录了 WANG 的 Bank-1 在线账户。\n\nc. 2020年6月5日或前后，WANG 授权从 Account-2038 4 电汇100,000,000美元至与 Fund-1 关联的银行账户。这笔转入 Fund-1 银行账户的100,000,000美元转账由来自 GTV 私募投资者的收益组成。如上所述，PPM 并未设想将投资者资金用于投资高风险对冲基金。PPM 也未设想将投资者资金用于除 GTV 之外的其他公司的利益，包括最终实益拥有人为 CC-1（共谋者-1）近亲的 Saraca。\n\nWANG 将其他欺诈所得转至其他银行账户\n\n13. 根据我对文件和视频的审查、我与证人及其他执法人员的交谈、以及我对此项调查的参与，我实质上且在部分内容中了解到以下情况：\n\na. 2020年5月20日或前后，被告 YANPING WANG（王雁平），又名“Yvette”，与 CC-2 以 GTV 的名义开立了一个账户（“Account-6691”）。Account-6691 开立于一家特定的受 FDIC（联邦存款保险公司）承保的银行（“Bank-2（2号银行）”）。WANG 和 CC-2 是 Account-6691 的仅有被授权签字人。\n4 尽管认购协议将 Account-5601 指定为出资来源，但该转账发起自 Account-2038。\n在开户文件中，WANG 被注明为 GTV 的“董事”。开户文件进一步指出，Account-6691 的预期余额将在25,000美元至50,000美元之间。\n\nb. 2020年6月3日或前后，Account-5601 向 Account-6691 转账200,000,000美元。该转账的附言栏部分注明为“Gtv 私募”。在此次转账之前，Account-6691 的余额为0美元。\n\nc. 2020年6月9日或前后，Account-2038 向 Account-6691 转账38,000,000美元。该38,000,000美元由 GTV 私募的投资者资金组成，这些资金最初被汇入 Account-5601 和 Bank-1 的另一个特定账户，随后在2020年6月3日或前后至2020年6月9日或前后期间被转入 Account-2038。因此，截至2020年6月10日或前后，Account-6691 中的全部237,999,970美元5均由来自 GTV 私募的收益组成。\n\nd. 2020年6月9日或前后，约30,906美元从 Account-5601 电汇至一个以“Yanping Wang”名义开立的银行账户。该笔电汇的附言栏部分注明为“董事费”。\n\ne. 自2020年6月或前后开始，持有用于处理通过 GTV 私募所筹集资金账户的国内银行开始冻结并关闭与 GTV 关联的银行账户（包括以 Saraca 名义持有的银行账户），原因包括这些账户收到了数十笔大额进账电汇，其中一些提及未注册的 GTV 私募。银行关闭账户还由于对流向及来自 GTV 关联和 Saraca 关联账户的资金流动的担忧，这些资金流动引发了对进账转账正当性的质疑。\n\nf. 2020年7月10日或前后，Bank-2 关闭了 Account-6691，并向包括 WANG 在内的账户持有人提供了一张金额为137,999,970美元的支票（“Check-1（1号支票）”）和第二张金额为100,000,000美元的支票（“Check-2（2号支票）”）。\n\ng. 2020年7月或前后，WANG 与其他已知及未知人员企图在一家特定银行（“Bank-3（3号银行）”）以 GTV 名义开立银行账户。关于该企图，2020年7月20日或前后，WANG 签署了一份“强化尽职调查请求”，其中包含有关开立 Bank-3 账户用途的信息。WANG 以 GTV“董事”的身份签署了该“强化尽职调查请求”。\n\nh. 在“强化尽职调查请求”中，WANG 实质上且在部分内容中陈述称，存入该账户的初始存款将“约为通过私募筹集的1.38亿美元，以本票形式存入”。据 WANG 称，“Saraca Media Group 代表 GTV 接收了 [GTV] 私募资金（在 [Bank-1] 受到 [律师事务所] 的指导）。Saraca Media Group 将资金转给了 GTV（[Bank-2]）。”WANG 进一步实质上且在部分内容中陈述称，“账户中的资金属于 GTV Media Group（GTV媒体集团），严格 [原文如此] 用于运营目的和收购。”因此，WANG 清楚地知晓通过 GTV 私募筹集的资金不能用于投资为 CC-1 的近亲利益而设立的高风险对冲基金。\n5 Bank-3（实为Bank-2）针对两笔进账电汇从 Account-6691 中扣除了30美元。\n\n据此，我谨请求对被告 YANPING WANG（王雁平），又名“Yvette”，签发逮捕令，并视情况将其逮捕并予以监禁或保释。\n\n/签名/ Nicholas DiMarino（通过电话宣誓）\n______________________________\nNicholas DiMarino\nSpecial Agent（特别探员）\nFederal Bureau of Investigation（联邦调查局）\n\n于2023年3月10日，通过可靠的电子方式（电话）向我传输本刑事起诉书并向我宣誓。\n\n___________________________________\nTHE HONORABLE GABRIEL W. GORENSTEIN\nUnited States Magistrate Judge（美国联邦治安法官）\nSouthern District of New York（纽约南区）","key_entities":[],"ecf_references":[],"word_count":3652,"status":"published","published_at":"2023-03-29 00:00:00","created_at":"2023-03-29","updated_at":"2026-08-23 07:34:44"}