{"id":"court_sdny_124_3","court":"SDNY","case_no":"23-cr-00118","doc_number":124,"sub_number":3,"doc_type":"ORDER","filed_date":"2023-08-07","title":"![](_page_0_Picture_2.jpeg) This copy is for your personal, non-commercial use only. Distribution and use of this materi","summary_zh":"附件材料（媒体报道剪报）—— 美国诉 Ho Wan Kwok（郭文贵 / Guo Wengui / Miles Guo）案，SDNY 1:23-cr-00118 ECF #124（2023-08-07 立案）。该文件为作为附件提交的一篇 2020 年《华尔街日报》报道复印件，内容称联邦调查局、证券交易委员会等机构正调查与史蒂夫·班农（Steve Bannon）及郭文贵关联的 GTV Media Group 私募融资，多家银行曾冻结相关账户；报道中援引 GTV Media 声明称其在监管框架下开展融资、资金完好，并表示愿配合任何监管调查。","summary_en":"Exhibit (news article reprint) — United States v. Ho Wan Kwok (Miles Guo / Guo Wengui), SDNY 1:23-cr-00118, ECF No. 124 (filed 2023-08-07). The filing consists of a reprinted 2020 Wall Street Journal article reporting that federal and state authorities, including the FBI and SEC, were investigating a private fundraising round by GTV Media Group — a venture linked to Guo Wengui and former Trump adviser Steve Bannon — after several banks froze related accounts; the article quotes a GTV Media statement saying the offering was conducted properly, funds remained intact, and the company would cooperate with any regulatory inquiry.","body_en":"Case 1:23-cr-00118-AT\n\n![](_page_0_Picture_2.jpeg)\n\nThis copy is for your personal, non-commercial use only. Distribution and use of this material are governed by opyright law. For non-personal use or to order multiple copies. please contact Dow Jones Reprints at 1-800-843-0008 or visit www.direprints.com.\n\nhttp\n\n◆ WSJ NEWS EXCLUSIVE | U.S.\n\n## Fundraising at Company Tied to Steve Bannon and Guo Wengui Faces Probe\n\nFormer Trump political adviser and exiled Chinese businessman raised more than \\$300 million in private offering, Guo says\n\nBy Brian Spegele |Follow], Sha Hua |Follow] and Aruna Viswanatha |Follow Aug. 19, 2020 1:17 pm ET\n\nA media company linked to former Trump political adviser Steve Bannon and exiled Chinese businessman Guo Wengui raised more than \\$300 million in a private offering this spring that is now being investigated by federal and state authorities, say people familiar with the matter.\n\nJPMorgan Chase & Co. and Wells Fargo & Co. have frozen accounts tied to fundraising for the company, GTV Media Group, some of these people said. Bank of America Corp. also closed an account for GTV Media's parent company shortly after it was opened in recent months, another person with knowledge of the situation said.\n\nThe federal probe is being conducted by the Federal Bureau of Investigation and the Securities and Exchange Commission, people familiar with the investigation said. The investigators have been examining whether GTV Media or associates of Mr. Guo violated securities laws through the private share placement. The New York state attorney general's office has also been examining the matter, these people said.\n\nSoon after the fundraising, some investors began pushing for refunds after they said they never received official documentation verifying their investments in GTV Media, among other issues that led them to distrust Mr. Guo.\n\nMr. Guo, a former property tycoon who is now one of China's most-wanted fugitives, and Mr. Bannon were two of the key people behind GTV Media's launch this spring, according to a company fundraising document and interviews. The document identifies Mr. Bannon as a\n\nMessrs. Guo and Bannon joined forces in the last few years as tough critics of China's !- #\n\n nificant time together on Mr. Guo's - - -- - % ated with Mr. Guo. Mr. Guo races --- - ! bery, fraud and money laundering— -\n\n'-\n\nGTV Media said in a statement that it had carried out the private placement under the dance of its sed funds are intact.”\n\nThe company added that it is fully prepared to cooperate with any U.S. agency that nas + tions about the private placement or its business.\n\nA representative for Mr. Guo didn't provide comment, and Mr. Bannon declined to comment.\n\n![](_page_2_Picture_5.jpeg)\n\n2345647485993:;<;=>:>?@;A64B<6@6C>DD3D>D?E83F6DG8;H3;D6?I34=6A;D<J6:>A<I6KL6>4A>A<38GJ=4;<;=A3I MJ;D>NAM3558D;A<O>4<LPOQR7RSTRUVWWVX7YZEVUMV2XZUMV[OXVBBVYEV77\\]WZEVB\n\nThe FBI had been examining Mr. Guo's work with Mr. Bannon even before the private this spring. The Wall Street Journal, citing people familiar with the matter, reported last month that FBI agents had been investigating Mr. Guo and the money he used to fund his media efforts in the U.S. for more than six months and that prosecutors from the )\\*\n\nattorney's offices in Manhattan and Brooklyn had been involved in the probe.\n\nAt that time, representatives for Messrs. Guo and Bannon said neither man had been contacted by the FBI as part of the probe.\n\nEarlier this month, Mr. Guo said in an online video that he had been subpoenaed and that he welcomed authorities' probes. A lawyer for Mr. Guo didn't provide comment on what information the subpoenas were seeking and whether Mr. Guo had complied with them.\n\nSince fleeing China for the U.S. in 2014, Mr. Guo built a large following online, particularly among the Chinese diaspora in the U.S. and elsewhere, and has alleged high-level corruption in China's Communist Party. He has also applied for asylum.\n\nGTV Media sought to capitalize off that popularity. One fundraising document reviewed by the Journal said the venture aimed to be \"the only uncensored and independent bridge between China and the Western world.\"\n\nThe company told potential investors it would be a platform for news, social media and ecommerce, with competitors including Amazon.com Inc., Tencent Holdings Ltd.'s WeChat and ByteDance Ltd.'s TikTok. A fundraising memo for potential investors this spring didn't include a detailed business plan for GTV Media. It stated a pre-investment valuation of \\$1.8 billion.\n\nThe company identified Mr. Bannon as one of several prominent directors. Others included hedge-fund manager and China critic Kyle Bass, Texas venture capitalist Darren Blanton and John A. Morgan, the son of Morgan Stanley's co-founder.\n\n![](_page_4_Picture_1.jpeg)\n\nAs U.S .- China relations have soured, Guo Wengui has proven divisive among U.S. critics of China. PHOTO: NATALIE KEYSSAR FOR THE WALL STREET JOURNAL\n\nMr. Bass said on Twitter in July that he was no longer serving on GTV Media's board, and a person familiar with the company confirmed he had resigned. Mr. Blanton didn't respond to requests for comment. Mr. Morgan couldn't be reached.\n\nThe fundraising documents reviewed by the Journal say GTV Media aimed to sell a 10% stake in the company for as much as \\$200 million, with the rest held by another company affiliated with Mr. Guo.\n\nMr. Guo said in an online video in June that GTV Media had raised more than \\$300 million, with demand for shares exceeding expectations.\n\nGTV Media didn't register the deal with the SEC. To avoid registration, companies generally must sell shares only to wealthy \"accredited investors\" who meet requirements such as having more than \\$1 million in assets, excluding the value of a primary residence, or earning more than \\$200,000 a year. GTV Media said it sought to sell shares to such accredited investors.\n\nSpokespeople for the SEC, the FBI field office in New York, the Manhattan U.S. attorney's office and New York state attorney general declined to comment.\n\nSeparately, smaller investors were told they could invest in the GTV Media offering through another entity called Voice of Guo Media Inc. Several of these investors said they were told that the money sent to Voice of Guo Media would be invested in GTV Media on their behalf.\n\nMr. Guo said in June that Voice of Guo Media had raised nearly \\$120 million. That company didn't respond to requests for comment. GTV Media said in its statement that it didn't issue shares to anyone through Voice of Guo Media.\n\nSEC investigators have been reaching out to conduct interviews with investors who are now pushing GTV Media or Voice of Guo Media to refund their money and are lodging complaints about Mr. Guo and his associates, some of the people familiar with the matter said.\n\nThe Journal reviewed documentation from investors including copies of bank transfers, shareholder agreements and text messages.\n\nAs U.S.-China relations have soured during the Trump administration, Mr. Guo has proven divisive among U.S. critics of China. Some such as Mr. Bannon have aligned themselves with Mr. Guo, while others say they distrust him. The FBI previously viewed Mr. Guo as a potential agency informant and tried unsuccessfully to cultivate him as one around 2017, say people familiar with the matter.\n\n![](_page_5_Picture_6.jpeg)\n\nGuo Wengui, here at an event in New York in 2018, has alleged high-level corruption in China's Communist Party. PHOTO: DÓN EMMERT/AGENCE FRANCE-PRESSE/GETTY IMAGES\n\nStrategic Vision had issues with the request and accused Mr. Guo of being a \"dissidenthunter\" for China. The contract between the companies is now in litigation.\n\nA lawyer for Mr. Guo has denied those claims, saying in a previous statement to the Journal: \"Mr. Guo is the most-wanted dissident worldwide by the Chinese Communist Party and has been their most outspoken and vitriolic critic since his arrival in the United States.\"\n\nA New York state court on June 28 dismissed a lawsuit filed by Mr. Guo against Dow Jones & Co., publisher of the Journal, over its reporting about the litigation between Strategic Vision and the Guo-linked entity. Mr. Guo has indicated he plans to appeal.\n\nThe recent fundraising has also drawn scrutiny abroad. In Taiwan, local news media reported that police had prevented one supporter of Mr. Guo from transferring \\$43,000 to Voice of Guo because they suspected financial fraud. In New Zealand, dozens of protesters criticized a decision by Australia and New Zealand Banking Group Ltd., or ANZ, to block transfers worth \\$2 million to GTV Media, according to another local news-media report. ANZ declined to comment.\n\nMr. Guo has complained online about banks blocking transfers, alleging they are under the influence of China's Communist Party.\n\n—Rebecca Davis O'Brien and Dave Michaels contributed to this article.\n\nWrite to Brian Spegele at brian.spegele@wsj.com, Sha Hua at sha.hua@wsj.com and Aruna Viswanatha at Aruna.Viswanatha@wsj.com\n\nAppeared in the August 20, 2020, print edition.","body_zh":"Case 1:23-cr-00118-AT\n\n［图片：_page_0_Picture_2.jpeg］\n\n本副本仅供您个人、非商业用途使用。本资料的分发和使用受版权法管辖。如需非个人用途或订购多份副本，请致电 1-800-843-0008 联系 Dow Jones Reprints（道琼斯重印部）或访问 www.direprints.com。\n\nhttp\n\n◆ WSJ 独家新闻 | 美国\n与 Steve Bannon（史蒂夫·班农）及 Guo Wengui（郭文贵）有关联公司的募资活动面临调查\n\n郭表示，前特朗普政治顾问与流亡中国商人通过私募募资逾 3 亿美元\n\n作者：Brian Spegele［关注］、Sha Hua［关注］以及 Aruna Viswanatha［关注］，2020 年 8 月 19 日下午 1:17（美国东部时间）\n\n据知情人士透露，一家与前特朗普政治顾问 Steve Bannon（史蒂夫·班农）及流亡中国商人 Guo Wengui（郭文贵）有关联的媒体公司在今年春季的一项私募发行中筹集了逾 3 亿美元资金，目前正受到联邦及州当局的调查。\n\n部分知情人士表示，JPMorgan Chase & Co.（摩根大通公司）和 Wells Fargo & Co.（富国银行）已冻结了与该公司 GTV Media Group（GTV 传媒集团）募资相关的账户。另一位知情人士表示，Bank of America Corp.（美国银行）也在 GTV Media 母公司开户后不久，于近几个月关闭了该账户。\n\n知情人士称，该联邦调查由 Federal Bureau of Investigation（联邦调查局）和 Securities and Exchange Commission（证券交易委员会）联合开展。调查人员一直在审查 GTV Media 或郭先生的关联人员是否通过该私募股权发售违反了证券法。知情人士还表示，New York state attorney general's office（纽约州总检察长办公室）也一直在调查此事。\n\n在募资后不久，部分投资者开始要求退款，因其表示从未收到证实其在 GTV Media 投资的官方文件，加之其他问题导致他们对郭先生产生不信任。\n\n根据一份公司募资文件及相关访谈，曾为房地产大亨、现为中国通缉要犯之一的郭先生与班农先生是今年春季创立 GTV Media 的关键人物中的两位。该文件将班农先生列为一名\n\n郭先生与班农先生在过去几年里联手成为了对中国的严厉批评者！- #\n\n在郭先生的……上共度了大量时间……与郭先生有关。郭先生面临……行贿、欺诈及洗钱——\n\n'-\n\nGTV Media 在一份声明中表示，其在……的指导下进行了该私募，且……筹集的资金完好无损。\n\n该公司补充称，其完全准备好配合任何对该私募或其业务提出疑问的美国机构。\n\n郭先生的一名代表未予置评，班农先生则拒绝置评。\n\n［图片：_page_2_Picture_5.jpeg］\n\n2345647485993:;<;=>:>?@;A64B<6@6C>DD3D>D?E83F6DG8;H3;D6?I34=6A;D<J6:>A4A>A<38GJ=4;<;=A3I MJ;D>NAM3558D;A4<LPOQR7RSTRUVWWVX7YZEVUMV2XZUMV[OXVBBVYEV77]WZEVB\n\n甚至在今年春季的私募之前，FBI（联邦调查局）就一直在审查郭先生与班农先生的合作。The Wall Street Journal（《华尔街日报》）援引知情人士的话在上个月报道称，FBI 特工六个多月以来一直在调查郭先生及其用于资助其在美媒体业务的资金，且来自曼哈顿和布鲁克林联邦检察官办公室的检察官也已介入调查。\n\n当时，郭先生与班农先生的代表均表示，两人均未因该调查而受到 FBI 的接触。\n\n本月早些时候，郭先生在一段网络视频中表示自己收到了传票，并对当局的调查表示欢迎。郭先生的一名律师未就传票要求提供何种信息以及郭先生是否已遵照执行发表评论。\n\n自 2014 年逃离中国前往美国以来，郭先生在网络上建立了庞大的追随者群体，尤其是在美国及其他地方的海外华人中，并指控中国共产党存在高层腐败。他还申请了庇护。\n\nGTV Media 试图借此人气牟利。《华尔街日报》审阅的一份募资文件称，该合资企业旨在成为“中国与西方世界之间唯一不受审查且独立的桥梁”。\n\n该公司告知潜在投资者，它将成为一个集新闻、社交媒体和电子商务于一体的平台，竞争对手包括 Amazon.com Inc.（亚马逊公司）、Tencent Holdings Ltd.（腾讯控股有限公司）旗下的微信（WeChat）以及 ByteDance Ltd.（字节跳动有限公司）旗下的 TikTok。今年春季发给潜在投资者的募资备忘录中并未包含 GTV Media 的详细商业计划。该备忘录列出的投资前估值为 18 亿美元。\n\n该公司将班农先生列为数名知名董事之一。其他人员包括对冲基金经理兼对华批评人士 Kyle Bass（凯尔·巴斯）、德克萨斯州风险投资家 Darren Blanton（达伦·布兰顿）以及 Morgan Stanley（摩根士丹利）联合创始人之子 John A. Morgan（约翰·A·摩根）。\n\n［图片：_page_4_Picture_1.jpeg］\n\n随着美中关系恶化，郭文贵在美国的对华批评者群体中引发了分歧。摄影：NATALIE KEYSSAR / THE WALL STREET JOURNAL（《华尔街日报》）\n\n巴斯先生 7 月在 Twitter（推特）上表示，他已不再担任 GTV Media 董事会成员，一位熟悉该公司的人士证实他已辞职。布兰顿先生未回应置评请求。未能联系到摩根先生。\n\n《华尔街日报》审阅的募资文件显示，GTV Media 旨在以高达 2 亿美元的价格出售公司 10% 的股权，其余股份由郭先生旗下的另一家关联公司持有。\n\n郭先生在 6 月的一段网络视频中表示，GTV Media 已募集逾 3 亿美元，股票认购需求超出预期。\n\nGTV Media 未向 SEC（证券交易委员会）登记该交易。为免于登记，公司通常只能向满足特定条件的富有“获认可投资者”出售股份，例如拥有超过 100 万美元资产（不含主要居所价值）或年收入超过 20 万美元。GTV Media 表示其旨在向此类获认可投资者出售股份。\n\nSEC、FBI 纽约办事处、曼哈顿联邦检察官办公室以及纽约州总检察长的发言人均拒绝置评。\n\n此外，小额投资者被告知可以通过另一家名为 Voice of Guo Media Inc.（郭媒体公司）的实体投资 GTV Media 的股票发行。其中几名投资者表示，他们被告知汇给 Voice of Guo Media 的资金将代表他们投资于 GTV Media。\n\n郭先生在 6 月表示，Voice of Guo Media 已筹集近 1.2 亿美元。该企业未回应置评请求。GTV Media 在其声明中表示，其未通过 Voice of Guo Media 向任何人发行过股份。\n\n部分知情人士表示，SEC 调查人员已一直在联系并访谈那些目前要求 GTV Media 或 Voice of Guo Media 退款、并对郭先生及其关联人员提出投诉的投资者。\n\n《华尔街日报》审阅了来自投资者的文件资料，包括银行转账凭单副本、股东协议以及短信记录。\n\n随着特朗普政府执政期间美中关系恶化，郭先生在美国的对华批评者群体中引发了分歧。包括班农先生在内的部分人士与郭先生结盟，而其他人则表示对他不信任。知情人士称，FBI 此前曾将郭先生视为潜在的机构线人，并于 2017 年前后试图将其发展为线人但未果。\n\n［图片：_page_5_Picture_6.jpeg］\n\n2018 年在纽约某活动现场的郭文贵，他指控中国共产党存在高层腐败。摄影：DÓN EMMERT / AGENCE FRANCE-PRESSE / GETTY IMAGES（法新社/盖蒂图片社）\n\nStrategic Vision 对该请求存有疑虑，并指控郭先生是中国政府的“异见人士搜捕者”。两家公司之间的合同纠纷目前正处于诉讼阶段。\n\n郭先生的一名律师否认了这些指控，在先前致《华尔街日报》的一份声明中表示：“郭先生是中共在全球范围内头号通缉的异见人士，并且自抵美以来一直是他们最直言不讳、最尖锐的批评者。”\n\n纽约州法院于 6 月 28 日驳回了郭先生针对《华尔街日报》出版商 Dow Jones & Co.（道琼斯公司）提起的诉讼，该诉讼涉及其关于 Strategic Vision 与郭氏关联实体之间诉讼的报道。郭先生表示其计划提起上诉。\n\n近期这笔募资活动亦引起了海外的审查。在台湾，当地新闻媒体报道称，警方因怀疑存在金融欺诈，阻止了一名郭先生的支持者向 Voice of Guo 汇款 43,000 美元。另据新西兰当地媒体报道，数十名抗议者对 Australia and New Zealand Banking Group Ltd.（澳新银行集团有限公司，简称 ANZ）阻止向 GTV Media 转账 200 万美元的决定提出批评。ANZ 拒绝置评。\n\n郭先生在网上抱怨银行拦截转账，指称银行受到了中国共产党的影响。\n\n—Rebecca Davis O'Brien 与 Dave Michaels 对本文亦有贡献。\n\n致信 Brian Spegele：brian.spegele@wsj.com，Sha Hua：sha.hua@wsj.com，以及 Aruna Viswanatha：Aruna.Viswanatha@wsj.com\n\n载于 2020 年 8 月 20 日印刷版。","key_entities":["Guo","GTV","Chinese Communist Party"],"ecf_references":[],"word_count":1439,"status":"published","published_at":"2023-08-07 00:00:00","created_at":"2023-08-07","updated_at":"2026-08-23 07:39:21"}