{"id":"court_sdny_160_1","court":"SDNY","case_no":"23-cr-00118","doc_number":160,"sub_number":1,"doc_type":"EXHIBIT","filed_date":"2023-10-19","title":"EXHIBIT A UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK","summary_zh":"AUSA 宣誓书（附件 A）—— 美国诉 Ho Wan Kwok（郭文贵 / Guo Wengui / Miles Guo）等案，SDNY 1:23-cr-00118 ECF #160（2023年10月19日）。AUSA Juliana N. Murray 提交宣誓书，阐明政府与 SEC 的关系：SEC 未参与起诉决策或起诉策略，与政府进行平行调查；Trustee 自 2022 年 7 月任命后，未参与起诉决策、大陪审团呈述、搜查证执行或法庭陪同。","summary_en":"AUSA Affirmation (Exhibit A) — United States v. Ho Wan Kwok (a/k/a Miles Guo, Miles Kwok, Guo Wengui, Brother Seven, The Principal), Kin Ming Je (a/k/a William Je), and Yanping Wang (a/k/a Yvette), SDNY 1:23-cr-00118 ECF #160 (filed Oct. 19, 2023). AUSA Juliana N. Murray affirmed that the SEC played no role in prosecutorial charging decisions or strategy development and conducted a parallel investigation; the Chapter 11 Trustee, appointed in July 2022, did not participate in charging decisions, grand jury presentations, search warrant execution, or court proceedings.","body_en":"# **EXHIBIT A**\n\n## UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK\n\nUNITED STATES OF AMERICA\n\nv.\n\nHO WAN KWOK, a/k/a \"Miles Guo,\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\"\n\nKIN MING JE, a/k/a \"William Je,\" and\n\nYANPING WANG, a/k/a \"Yvette,\"\n\n*Defendants*.\n\n## **AUSA AFFIRMATION**\n\n**S1 23 Cr. 118 (AT)**\n\nSTATE OF NEW YORK ) COUNTY OF NEW YORK : ss.: SOUTHERN DISTRICT OF NEW YORK )\n\nJULIANA N. MURRAY, pursuant to 28 U.S.C. § 1746, hereby affirms under penalty of perjury:\n\n1. I am an Assistant United States Attorney in the Office of Damian Williams, United States Attorney for the Southern District of New York. I submit this affirmation to provide the Court with information concerning the nature and extent of the Government's<sup>1</sup> relationship with the Securities and Exchange Commission (\"SEC\") during the Government's investigation of Ho\n\n<span id=\"page-1-0\"></span><sup>1</sup> References to the Government throughout this Affirmation refer to the United States Attorney's Office for the Southern District of New York.\n\nWan Kwok, Kin Ming Je, and Yanping Wang (the \"Kwok Investigation\"). I am one of the Assistant United States Attorneys currently responsible for this matter, and I have been involved with the investigation since 2021.\n\n2. Based on my participation in this investigation, my review of emails and text messages, my review of call notes, my conversations with attorneys for the SEC Enforcement Division team who conducted the parallel investigation of Kwok, Je, and Wang, and my conversations with other Assistant United States Attorneys who also participated in the Kwok Investigation, I have learned the following, among other things, about the Kwok Investigation:\n\na. The SEC played no role in the Government's charging decisions or the development of the Government's prosecutorial strategy.\n\nb. Likewise, based on my discussions with attorneys at the SEC, I understand that the Government played no role in the SEC's charging decisions or the developments of the SEC's litigation strategy.\n\nc. No one from the SEC was designated as a special Assistant U.S. Attorney to work on the criminal investigation.\n\nd. The SEC participated in certain of the interviews conducted by the Government in the course of the Kwok Investigation. The SEC did not take notes during those interviews.\n\ne. At interviews in which both the Government and the SEC participated, witnesses were told, in sum and substance, that the agencies' investigations were separate, that the interviews were conducted together only as a matter of convenience, and that, if there were to be a proffer agreement, the witness would enter into a separate agreement with each agency.[2](#page-2-0)\n\n<span id=\"page-2-0\"></span><sup>2</sup> Where a witness was interviewed on multiple occasions, these statements were made at the initial proffer but were not necessarily repeated at each subsequent proffer.\n\nf. The SEC was not involved in presenting the criminal case to the grand jury and did not receive grand jury transcripts.\n\ng. The SEC did not participate in the execution of search warrants, or the responsiveness reviews of materials obtained pursuant to search warrants.\n\nh. The Government did not produce to the SEC any materials that the Government obtained pursuant to grand jury subpoenas.\n\ni. The SEC has not accompanied the Government to Court in the criminal case.\n\n3. Based on my participation in this investigation, my review of the docket in Kwok's chapter 11 bankruptcy case, my review of emails and text messages, my review of call notes, my conversations with the Trustee and his associates, and my conversations with other Assistant United States Attorneys who also participated in the Kwok Investigation, I have learned the following, among other things, about the Kwok Investigation:\n\na. The Government initiated the Kwok Investigation in or about May 2020.\n\nb. Kwok filed a voluntary petition for chapter 11 bankruptcy on or about February 15, 2022. The Trustee was appointed on or about July 7, 2022.\n\nc. The Trustee played no role in the Government's charging decisions or the development of the Government's prosecutorial strategy.\n\nd. The Trustee was not involved in presenting the Kwok Investigation to the grand jury and did not receive grand jury transcripts.\n\ne. The Trustee did not participate in the execution of search warrants, or the responsiveness reviews of materials obtained pursuant to search warrants.\n\nf. The Trustee has not participated in any of the Government's interviews.\n\n3\n\ng. The Trustee did not obtain materials produced to the Government pursuant to grand\n\njury subpoenas.\n\nh. The Trustee has not accompanied the Government to Court in the criminal case.\n\nDated: New York, New York October 19, 2023\n\nJuliana Nu\n\nJuliana N. Murray Assistant United States Attorney (212) 637-2314","body_zh":"附件 A\n\nUNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK（美国纽约南区联邦地区法院）\n\nUNITED STATES OF AMERICA（美利坚合众国）\n\n诉\n\nHO WAN KWOK（郭文贵），又名“Miles Guo”、“Miles Kwok”、“Guo Wengui”、“七哥”、“校长”，\n\nKIN MING JE（余建明），又名“William Je”，以及\n\nYANPING WANG（王雁平），又名“Yvette”，\n\n被告。\n\n助理联邦检察官书面陈述\n\nS1 23 Cr. 118 (AT)\n\n纽约州 ) 纽约县 : ss.: 纽约南区 )\n\nJULIANA N. MURRAY（朱莉安娜·N·默里）依据 28 U.S.C. § 1746，特此在接受伪证罪处罚的前提下确认如下：\n\n1. 我是纽约南区联邦检察官 Damian Williams（达米安·威廉姆斯）办公室的一名助理联邦检察官。我提交本陈述，旨在向法院提供有关政府1在对郭文贵、余建明和王雁平进行调查（“郭案调查”）期间，与 Securities and Exchange Commission（美国证券交易委员会，简称“SEC”）关系的性质和程度的信息。我是目前负责本案的助理联邦检察官之一，自 2021 年起一直参与该项调查。\n\n1 本陈述通篇所提及的“政府”均指纽约南区联邦检察官办公室。\n\n2. 基于我参与本次调查的情况、我对电子邮件和短信的审查、我对通话记录的审查、我与对郭、余和王进行平行调查的 SEC 执法部团队律师的交谈，以及我与同样参与郭案调查的其他助理联邦检察官的交谈，我获悉了有关郭案调查的以下情况等：\n\na. SEC 在政府的起诉指控决定或政府起诉策略的制定中没有发挥任何作用。\n\nb. 同样，根据我与 SEC 律师的讨论，据我了解，政府在 SEC 的起诉指控决定或 SEC 诉讼策略的发展中没有发挥任何作用。\n\nc. SEC 没有任何人员被指定为特别助理联邦检察官参与该刑事调查。\n\nd. SEC 参与了政府在郭案调查过程中进行的某些面谈。SEC 在这些面谈期间没有做笔记。\n\ne. 在政府与 SEC 均参与的面谈中，证人被告知（大意是）：各机构的调查是相互独立的，联合进行面谈纯粹出于便利考虑；如果涉及陈述披露协议，证人将与每个机构分别签订独立的协议。2\n\n2 如果同一证人接受过多次面谈，上述声明是在最初的陈述披露时做出的，但并不一定在随后的每次陈述披露中重复说明。\n\nf. SEC 没有参与向大陪审团呈交该刑事案件，也未收到大陪审团记录副本。\n\ng. SEC 没有参与搜查令的执行，也没有参与对根据搜查令获取的材料进行相关性审查。\n\nh. 政府未向 SEC 提供政府根据大陪审团传票获取的任何材料。\n\ni. 在该刑事案件中，SEC 未曾陪同政府出庭。\n\n3. 基于我参与本次调查的情况、我对郭破产法第 11 章破产案诉讼记录的审查、我对电子邮件和短信的审查、我对通话记录的审查、我与受托人及其助理人员的交谈，以及我与同样参与郭案调查的其他助理联邦检察官的交谈，我获悉了有关郭案调查的以下情况等：\n\na. 政府大约于 2020 年 5 月启动了郭案调查。\n\nb. 郭于 2022 年 2 月 15 日或前后主动提交了破产法第 11 章破产申请。受托人大致于 2022 年 7 月 7 日被任命。\n\nc. 受托人在政府的起诉指控决定或政府起诉策略的制定中没有发挥任何作用。\n\nd. 受托人没有参与向大陪审团呈交郭案调查，也未收到大陪审团记录副本。\n\ne. 受托人没有参与搜查令的执行，也没有参与对根据搜查令获取的材料进行相关性审查。\n\nf. 受托人未曾参与政府的任何面谈。\n\ng. 受托人未曾获取根据大陪审团传票向政府提供的材料。\n\nh. 在该刑事案件中，受托人未曾陪同政府出庭。\n\n日期：纽约州纽约市 2023 年 10 月 19 日\n\nJuliana Nu\n\nJuliana N. Murray 助理联邦检察官 (212) 637-2314","key_entities":["Kwok","CIPA","Je","Guo","Yanping Wang","Kin Ming Je","Murray","Miles Guo","Ho Wan Kwok","William Je"],"ecf_references":[],"word_count":765,"status":"published","published_at":"2023-10-19 00:00:00","created_at":"2023-10-19","updated_at":"2026-08-23 07:23:08"}