{"id":"court_sdny_1_0","court":"SDNY","case_no":"23-cr-00118","doc_number":1,"sub_number":0,"doc_type":"UNKNOWN","filed_date":null,"title":"| ORIGl1                            | AL","summary_zh":"联邦刑事控告书（Sealed Complaint）—— 美国诉 Ho Wan Kwok（郭文贵 / Guo Wengui / Miles Guo）关联案卷，SDNY 1:23-cr-00118 ECF #1（原编号 23 MAG 2007，2023年3月10日由 FBI 特工 Nicholas DiMarino 宣誓提出）。文件指控被告 Yanping Wang（\"Yvette\"）合谋实施电信欺诈及证券欺诈，称其在 GTV Media Group 未注册普通股私募（\"GTV Private Placement\"）中向投资人提供虚假陈述，并请求纽约南区联邦地方法院签发逮捕令。","summary_en":"Sealed criminal complaint — filed in connection with United States v. Ho Wan Kwok (Miles Guo / Guo Wengui), SDNY 1:23-cr-00118 ECF #1 (originally docketed as 23 MAG 2007; sworn March 10, 2023 by FBI Special Agent Nicholas DiMarino). It charges defendant Yanping Wang (\"Yvette\") with conspiracy to commit wire fraud and securities fraud, alleging she made false representations to investors in an unregistered private placement of GTV Media Group common stock (the \"GTV Private Placement\"), and requests a warrant for her arrest from the U.S. District Court for the Southern District of New York.","body_en":"| ORIGl1                            | AL                                                                                                     |   |                                                                                             |  |\n|-----------------------------------|--------------------------------------------------------------------------------------------------------|---|---------------------------------------------------------------------------------------------|--|\n| Approved:                         | Juliana Murray I Micah Fergenson<br>-:rink.el /<br>Assistant United States Attorneys                   |   |                                                                                             |  |\n| Before:                           | THE HONORABLE GABRIEL W. GORENSTEIN<br>United States Magistrate Judge<br>Southern District of New York |   | 23 MAG2007                                                                                  |  |\n|                                   | ---------------------------------                                                                      | X |                                                                                             |  |\n|                                   | UNITED STATES OF AMERICA                                                                               |   | SEALED COMPLAINT                                                                            |  |\n|                                   | - V. -                                                                                                 |   | Violations of<br>18 U.S.C. §§ 371<br>, 1343, 1957 and 2;<br>15 U.S.C. §§ 78j(b) & 78ff; and |  |\n| Y ANPING WANG,<br>a/k/a \"Yvette,\" |                                                                                                        |   | 17 C.F .R. § 240.1 0b-5                                                                     |  |\n|                                   | Defendant.                                                                                             |   | COUNTY OF OFFENSE:<br>NEW YORK                                                              |  |\n|                                   | ---------------------------------                                                                      | X |                                                                                             |  |\n|                                   |                                                                                                        |   |                                                                                             |  |\n\nSOUTHERN DISTRICT OF NEW YORK, ss. :\n\nSpecial Agent Nicholas DiMarino, being duly sworn, deposes and says that he is a Special Agent with the Federal Bureau of Investigation (\"FBI\"), and charges as follows:\n\n### **COUNT ONE (Conspiracy to Commit Wire Fraud and Securities Fraud)**\n\n1. 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, Y ANPING WANG, a/k/a \"Yvette,\" the defendant, 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) wire fraud , in violation of Title 18, United States Code, Section 1343; and (2) securities fraud , in violation of Title 15, United States Code, Sections 78j(b) & 78ff, and Title 17, Code of Federal Regulations, Section 240.1 0b-5.\n\n2. It was a part and an object of the conspiracy that Y ANPING WANG, a/k/a \"Yvette,\" the defendant, 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 wit, WANG conspired with others to obtain victims' money through the use of materially false information and misrepresentations transmitted over interstate wires, in connection with the unregistered offering of common stock of GTV Media Group, Inc. (\"GTV\") via a private placement (the \"GTV Private Placement).\n\n3. It was further a part and an object of the conspiracy that YANPING WANG, a/k/a \"Yvette,\" the defendant, and others known and unknown, 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.!0b-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, WANG conspired with others to fraudulentl y induce investors to participate in the GTV Private Placement by providing materially false and misleading information and representations in connection with purported shares of GTV's common stock.\n\n4. In furtherance of the conspiracy and to effect its illegal objects, Y ANPING WANG, a/k/a \"Yvette,\" the defendant, and others known and unknown, committed the following overt act, among others, in the Southern District of New York and elsewhere:\n\na. On or about June 5, 2020, WANG, while located in the Southern District of New York, authorized a wire transfer of \\$100 million of fraud proceeds to a particular hedge fund.\n\n(Title 18, United States Code, Section 371.)\n\n# **COUNT TWO (Wire Fraud)**\n\n5. From at least in or about April 2020 up to and including at least in or about March 2021, in the Southern District of New York and elsewhere, YANPING WANG, a/k/a \"Yvette,\" the defendant, 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, WANG conducted the GTV Private Placement to sell GTV stock and fraudulently obtain money from victims through false statements and misrepresentations, 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 THREE (Securities Fraud)**\n\n6. From at least in or about April 2020 up to and including at least in or about March 2021, in the Southern District of New York, and elsewhere, Y ANPING WANG, a/k/a \"Yvette,\" the defendant, 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 240.1 0b-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, WANG conducted the GTV Private Placement to sell GTV stock and fraudulently obtain money from victims through false statements and misrepresentations, 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 FOUR (Unlawful Monetary Transaction)**\n\n7. On or about June 5, 2020, Y ANPING WANG, a/k/a \"Yvette,\" the defendant, in the Southern District of New York and elsewhere, within the United States, knowingly engaged and attempted to engage in a monetary transaction, as defined in Title 18, United States Code, Section 1957(f)(l ), in criminally derived property of a value greater than \\$10,000 that was derived from specified unlawful activity, to wit, WANG, while located in the Southern District of New York, authorized a wire transfer of \\$100 million of fraud proceeds to a particular hedge fund.\n\n(Title 18, United States Code, Sections 1957 and 2.)\n\nThe bases for my knowledge and for the foregoing charges are, in part, as follows:\n\n8. I am a Special Agent with the FBI and I have been personally involved in the investigation of this matter. This affidavit is based upon my personal participation in the investigation of this matter, and my conversations with law enforcement officers, law enforcement employees, and witnesses, as well as a review of documents. Because this affidavit is being submitted for the limited purpose of establishing probable cause, it does not include all the facts that I have learned during the course of my investigation. Where the actions, statements, and conversations of others are reported herein, they are reported in substance and in part, except where otherwise indicated.\n\n#### Overview\n\n9. Based on my involvement in this investigation, my review of documents, conversations with witnesses, and other law enforcement officers, I have learned the following, in substance and in part:\n\na. Between in or about April 2020 and in or about June 2020, Y ANPING WANG, a/k/a \"Yvette,\" the defendant, and others known and unknown, fraudulently obtained approximately \\$452 million in victim funds through an illegal private stock offering related to GTV. WANG was an Executive Director of GTV and was one of the key individuals responsible for transferring the money raised from the GTV Private Placement. Rather than investing the funds raised through the GTV Private Placement as the defendant, and others, had promised to victim-investors, WANG, and others known and unknown, misappropriated approximately \\$100,000,000 into a high-risk hedge fund for the ultimate benefit of a close family relative of one of WANG's co-conspirators. WANG well knew that funds from the GTV Private Placement could not be used to invest in a high-risk hedge fund. Indeed, when WANG sought to open a bank account comprised of funds raised from the GTV Private Placement, WANG stated to a bank, in part, that such \"funds of GTV Media Group [ ] are strickly [sic] for operational purposes and acquisitions.\"\n\n#### The GTV Private Placement\n\n10. Based on my review of documents, videos, conversations with witnesses, and other law enforcement officers, I have learned the following, in substance and in part:\n\na. On or about April 21, 2020, a co-conspirator not named herein (\"CC-1 \") <sup>1</sup> posted, and caused to be posted, a video on social media (the \"Video\") announcing the unregistered offering of GTV common stock via a private placement (the \"GTV Private Placement\"). CC-1 has a substantial online following, and the Video was viewed by thousands of individuals.\n\nb. Based on my review of the Video, I have learned that, in the Video, CC-1 described, in substance and in part, the investment terms for the GTV Private Placement and directed people to contact CC-1, 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 \"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\nc. Based on my review of the PPM, I have learned that 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\n\n<sup>1</sup>CC- I has been charged in eleven counts in an Indictment filed in this District with conspiring to commit wire fraud, securities fraud, bank fraud, and money laundering; and committing wire fraud, bank fraud and money laundering in connection with, among other conduct, the GTV Private Placement discussed herein.\n\nreal-time interactive communication.\" The PPM also contained the following representations, in substance and in part, among others:\n\n1. 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\n111. The PPM included a chart itemizing the \"contemplated use of proceeds\" raised from the GTV Private Placement:\n\n| Description                                            | Use of Proceeds |\n|--------------------------------------------------------|-----------------|\n| Acquisition of companies to strengthen and grow<br>GTV | Approximate 70% |\n| Upgrade of GTV technology and security                 | Approximate 10% |\n| Marketing                                              | Approximate 8%  |\n| Working capital                                        | Approximate 7%  |\n| Other                                                  | Approximate 5%  |\n| Total                                                  | 100%            |\n\nd. The PPM identified three \"Executive Directors\" of GTV. The first Executive Director identified was \"Yvette Y. Wang\"- *i.e.,* Y ANPING WANG, a/k/a \"Yvette,\" the defendant. The PPM described WANG as \"experienced in management, financial investment and merger and acquisition\" and \"instrumental in building Saraca's media business.\" 2 Elsewhere in the PPM, WANG was described as \"key personnel\" for GTV. The PPM further stated, in part, that GTV's \"success depends in part upon the continued services of [its] key executive officers, including Yvette Wang\" and two other particular individuals, including another coconspirator not named herein (\"CC-2\").\n\ne. Based on conversations with witnesses who previously worked for CC-1 , I have learned, in substance and in part, that WANG has had a close personal relationship with CC-1. In particular, WANG has worked for CC-1 and CC-1 's family for several years, since at least in or about 2018. Indeed, based on documents I have reviewed, I have learned that WANG is the President, Treasurer, and Secretary of an entity that manages CC-1 's purportedly vast personal wealth.\n\n<sup>2 &</sup>quot;Saraca\" refers to \"Saraca Media Group,\" which is identified in the PPM as GTV's parent company.\n\n### WANG Received and Transferred Fraud Proceeds\n\n11. Based on my review of videos and documents, including bank records and subpoena returns, my conversations with witnesses and other law enforcement officers, opensource research on the Internet, and my participation in this investigation, I have learned the following, in substance and in part:\n\na. On or about July 24, 2018, Y ANPING WANG, a/k/a \"Yvette,\" the defendant, opened a particular bank account in the name of Saraca (\"Account-5601 \"). Account opening documents for Account-5601 , which I have reviewed, identify WANG as \"Acting Secretary\" for Saraca. On or about May 21 , 2020, WANG signed an additional business signature card for Account-5601 , in which WANG identified herself as \"President\" of Saraca. As of at least that date, Account-5601 was held in the name of \"Saraca Media Group OBA Himalaya Dollar.\" There are no other authorized signatories on Account-5601 .\n\nb. On or about July 24, 2018, WANG opened another particular bank account in the name of \"Saraca Media Group Inc.\" (\"Account-2038\"). Account opening documents for Account-203 8 identity WANG as \"Acting Secretary\" for Saraca. On or about May 21 , 2020, WANG signed an additional business signature card for Account-2038 and identified herself as \"President.\" As of at least that date, Account-2038 was held in the name of \"Saraca Media Group OBA Himalaya Dollar.\" On or about June 3, 2020, WANG signed an additional business signature card for Account-2038 and, again, identified herself as \"President\" of Saraca. There are no other authorized signatories on Account-2038. 3\n\nc. Both Account-5601 and Account-2038 are held by a particular bank, which is headquartered int Manhattan (\"Bank-I \").\n\nd. Between on or about April 20, 2020, and on or about June 2, 2020, approximately \\$452 million worth ofGTV common stock was purportedly sold to more than 5,500 investors located 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\ne. In or about April 2020, Account-5601 received approximately 291 deposits and transfers totaling approximately \\$32,543,000. Most of these deposits and transfers were investments made by individuals seeking to participate in the GTV Private Placement. The transfers appear to be from individuals located throughout the world, and many deposits and transfers bear reference or memo information referring to the GTV Private Placement. For example, memo lines state, among other things, in substance and in part: \"Gtv Investment,\" \"Stock Subscription,\" \"Investment,\" \"G- Tv Common Stock Subscription,\" \"InvestmeNt [sic],\" \"Investment To G- Tv [sic],\" and \"Gtv Stockpurchase.\" On or about April 30, 2020, the balance of Account-5601 was approximately \\$32,474,000.\n\nf. In or about May 2020, Account-5601 received approximately 2,450 deposits and transfers totaling approximately \\$291 ,899,000. Most of these deposits and transfers\n\n<sup>3</sup> Based on bank records, CC-2 appears to have an online banking account with access to Account-5601 and Account-2038.\n\nwere investments made by individuals seeking to participate in the GTV Private Placement. Like the prior month's deposits and transfers, the transfers in or about May 2020 appear to be from individuals located throughout the world, and many bear reference or memo information referring to the GTV Private Placement. For example, memo lines state, among other things, in substance and in part: \"Capital Injection Infusion,\" \"To Inv es Stment [sic],\" \"Private Placement Investment,\" \"Gtv Media Investment,\" \"Gtv Inv,\" and \"Additional Stock Purchase.\" On or about May 29, 2020, the balance of Account-560 I was approximately \\$313,213 ,000.\n\n# The Misappropriation\n\n12. Based on my review of documents, conversations with witnesses, and other law enforcement officers, I have learned the following, in substance and in part:\n\na. On or about June 3, 2020, Y ANPING WANG, a/k/a \"Yvette,\" the defendant, signed a \"Subscription Agreement\" in her capacity as \"President\" of Saraca. Pursuant to the Subscription Agreement, Saraca agreed to invest \\$ I 00,000,000 into a high-risk hedge fund (\"Fund-I\"). In the Subscription Agreement, WANG identified Account-5601 as the bank account from which Saraca's capital contribution would be wired. WANG further identified herself as the only \"Authorized Signatory\" of Account-5601. In or about the morning of June 3, 2020, an employee of the Fund-I investment manager confirmed receipt of the signed subscription documents.\n\nb. Also, on or about June 3, 2020, \\$100,000,000 was transferred from Account-5601 to Account-2038 . Prior to the transfer, the balance of Account-2038 was \\$0. Based on bank records, this \\$ I 00,000,000 transfer was conducted on line by the user \"yvettewang2018,\" which is WANG's Bank-I online banking user ID. While authorizing that transfer, WANG was logged into WANG's Bank-I online account from an IP address that geolocates to Manhattan.\n\nc. On or about June 5, 2020, WANG authorized a \\$100,000,000 wire transfer from Account-20384 to a bank account associated with Fund-1. This \\$100,000,000 transfer to a Fund-I bank account consisted of proceeds from investors in the GTV Private Placement. As described above, the PPM did not contemplate using investor funds to invest into a high-risk hedge fund. The PPM also did not contemplate using investor funds for the benefit of companies other than GTY, including Saraca, whose ultimate beneficial owner is a close relative of CC-1.\n\n## WANG Transfers Additional Fraud Proceeds to Other Bank Accounts\n\n13. Based on my review of documents and videos, my conversations with witnesses and other law enforcement officers, and my participation in this investigation, I have learned the following, in substance and in part:\n\na. On or about May 20, 2020, Y ANPING WANG, a/k/a \"Yvette,\" the defendant, and CC-2 opened an account in the name of GTV (\"Account-6691 \"). Account-6691 was opened at a particular FDIC-insured bank (\"Bank-2\"). WANG and CC-2 were the only\n\n<sup>4</sup> Although the Subscription Agreement identified Account-5601 as the source of the capital contribution, the transfer originated from Account-2038.\n\nauthorized signatories for Account-6691. In account opening documents, WANG was identified as \"Director\" of GTV. The account opening documents further stated that the intended balance of Account-6691 would be between \\$25,000 to \\$50,000.\n\nb. On or about June 3, 2020, Account-5601 transferred \\$200,000,000 to Account-6691. The reference line for this transfer read, in part, \"Gtv Private Placement.\" Just prior to this transfer Account-6691 's balance was \\$0.\n\nc. On or about June 9, 2020, Account-2038 transferred \\$38,000,000 to Account-6691. That \\$38,000,000 was made up of investor funds from the GTV Private Placement first sent to Account-5601 and another particular Bank-I account, which were then transferred, from on or about June 3, 2020 through on or about June 9, 2020, to Account-2038. Thus, as of on or about June 10, 2020, the full \\$237,999,970 5 in Account-6691 was compromised of proceeds from the GTV Private Placement.\n\nd. On or about June 9, 2020, approximately \\$30,906 was wired from Account-5601 to a bank account in the name of \"Yanping Wang.\" The reference line for this wire transfer stated, in part, \"Director Fee.\"\n\ne. 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 (including bank accounts held in the name of Saraca) because, among other reasons, the accounts had received dozens of large incoming wire transfers, some of which referenced the unregistered GTV Private Placement. Banks closings were also due to concerns about money movements to and from QTY-associated and Saraca-associated accounts, which raised questions about the propriety of the incoming transfers.\n\nf. On or about July 10, 2020, Bank-2 closed Account-6691 and provided the account holders, including WANG, one check in the amount of \\$137,999,970 (\"Check-I\") and a second check in the amount of \\$100,000,000 (\"Check-2\").\n\ng. In or about July 2020, WANG and others known and unknown attempted to open a bank account in the name of GTV at a particular bank (\"Bank-3\"). In connection with that attempt, on or about July 20, 2020, WANG signed an \"Enhanced Diligence Request\" which contained information about the purpose for which the Bank-3 account would be used. WANG signed the \"Enhanced Diligence Request\" in her capacity as \"Director\" of GTV.\n\nh. In the \"Enhanced Diligence Request,\" WANG stated, in substance and in part, that the initial deposit into the account would \"be approximately \\$138 million that was raised from private placement in the form of a cashiers check.\" According to WANG, \"Saraca Media Group was the recipient of [GTV] Private Placement funds on behalf of GTV (guided by [law firm] in [Bank-I). Saraca Media Group transferred the funds to GTV ([Bank-2)).\" WANG further stated, in substance and in part, that \"[t]he funds in the account are funds of GTV Media Group and are strickly [sic] for operational purposes and acquisitions.\" Accordingly, WANG well knew that the funds raised from the GTV Private Placement could not be invested in a high-risk hedge fund held for the benefit of CC- I's close relative.\n\n<sup>5</sup> Bank-3 debited \\$30 from Account-6691 for the two incoming wire transfers.\n\nWHEREFORE, I respectfully request that a warrant be issued for the arrest of Y ANPING WANG, a/k/a \"Yvette,\" the defendant, and that she be arrested, and imprisoned or bailed, as the case may be.\n\n/s/ **Nicholas DiMarino (sworn telephonically)**\n\nNicholas DiMarino Special Agent Federal Bureau of Investigation\n\nSworn to me through the transmission of this Complaint by reliable electronic\n\n..\n\neans (telephone), this 10 day of March, 2023.\n\nGabriel W. Gnestin\n\nTHEORABLE GABRIEL W. GORENSTEIN United States Magistrate Judge Southern District of New York","body_zh":"原件\n\n批准人：Juliana Murray / Micah Fergenson / Assistant United States Attorneys（助理美国联邦检察官）\n\n法官：THE HONORABLE GABRIEL W. GORENSTEIN（尊敬的加百列·W·戈伦斯坦），United States Magistrate Judge（美国联邦治安法官），Southern District of New York（纽约南区）\n案号：23 MAG 2007\n\n--------------------------------- X\n美利坚合众国（UNITED STATES OF AMERICA）\n- 诉 -\n封存起诉状（SEALED COMPLAINT）\n违反法条：\n18 U.S.C. §§ 371, 1343, 1957 及 2；\n15 U.S.C. §§ 78j(b) & 78ff；以及\n17 C.F.R. § 240.10b-5\n\nYANPING WANG（王雁平），又名“Yvette”，\n被告。\n犯罪行为地所属县：NEW YORK（纽约）\n--------------------------------- X\n\n纽约南区，宣誓证明：\n\n特别探员 Nicholas DiMarino（尼古拉斯·迪马里诺）经正式宣誓，宣誓陈述并作证称其系 Federal Bureau of Investigation（联邦调查局，简称“FBI”）的特别探员，并提出如下指控：\n\n第一项罪名（共谋实施电信欺诈和证券欺诈）\n\n1. 至少自 2018 年前后起至至少包括 2023 年 3 月前后止，在纽约南区及其他地区，被告王雁平（YANPING WANG，又名“Yvette”）与已知及未知的其他人，蓄意且明知地共同联合、共谋、同盟，并相互达成一致，以实施针对美国的犯罪行为，即：(1) 电信欺诈，违反《美国法典》第 18 编第 1343 条（Title 18, United States Code, Section 1343）；以及 (2) 证券欺诈，违反《美国法典》第 15 编第 78j(b) 条和第 78ff 条（Title 15, United States Code, Sections 78j(b) & 78ff），以及《联邦法规汇编》第 17 编第 240.10b-5 条（Title 17, Code of Federal Regulations, Section 240.10b-5）。\n\n2. 该共谋的组成部分及目的之一是，被告王雁平（YANPING WANG，又名“Yvette”）与已知及未知的其他人，明知已经策划并意图策划一项用于欺诈以及通过虚假和欺诈性托辞、陈述与承诺获取金钱和财产的计划与手段，将且确已为了执行该计划与手段之目的，通过跨州及对外贸易中的电信、无线电和电视通信，传输及促使传输了书面材料、信号、信号标识、图片和声音，违反《美国法典》第 18 编第 1343 条（Title 18, United States Code, Section 1343），即：王与他人共谋，在通过私募（“GTV 私募”，即“GTV Private Placement”）未注册发行 GTV Media Group, Inc.（“GTV”）普通股的过程中，利用通过跨州电信网络传输的实质性虚假信息和失实陈述，获取受害者的资金。\n\n3. 该共谋的进一步组成部分及目的之一是，被告王雁平（YANPING WANG，又名“Yvette”）与已知及未知的其他人，蓄意且明知地，直接或间接地，利用跨州贸易手段及工具、邮政以及全国性证券交易所的设施，在与购买和出售在全国性证券交易所注册的证券以及任何未如此注册的证券相关的情形下，使用并采用了操纵性和欺骗性的手段及诡计，违反《联邦法规汇编》第 17 编第 240.10b-5 条（Title 17, Code of Federal Regulations, Section 240.10b-5），具体方式包括：(a) 采用旨在欺诈的手段、方案与诡计；(b) 对重大事实作不真实陈述，以及隐瞒为使所作陈述在作出时的具体情况下不致产生误导所必需的重大事实；以及 (c) 从事实质上欺骗及企图欺骗任何人的行为、做法及业务过程，即：王与他人共谋，在与所谓的 GTV 普通股相关的交易中，通过提供实质上虚假和误导性的信息及陈述，欺诈性地引诱投资者参与 GTV 私募。\n\n4. 为推进该共谋并实现其非法目的，被告王雁平（YANPING WANG，又名“Yvette”）与已知及未知的其他人，在纽约南区及其他地区实施了包括以下行为在内的公开作为：\n\na. 2020 年 6 月 5 日前后，身处纽约南区的王授权将 1 亿美元的欺诈所得电汇至某特定对冲基金。\n\n（《美国法典》第 18 编第 371 条 [Title 18, United States Code, Section 371]。）\n\n第二项罪名（电信欺诈）\n\n5. 至少自 2020 年 4 月前后起至至少包括 2021 年 3 月前后止，在纽约南区及其他地区，被告王雁平（YANPING WANG，又名“Yvette”），明知已经策划并意图策划一项用于欺诈以及通过虚假和欺诈性托辞、陈述与承诺获取金钱和财产的计划与手段，为了执行该计划与手段之目的，通过跨州及对外贸易中的电信、无线电和电视通信，传输及促使传输了书面材料、信号、信号标识、图片和声音，即：王实施了 GTV 私募以出售 GTV 股票，并通过虚假陈述和失实陈述欺诈性地获取受害者资金，该计划通过往返于纽约南区及其他地区的电子通信和资金转移得以推进。\n\n（《美国法典》第 18 编第 1343 条和第 2 条 [Title 18, United States Code, Sections 1343 and 2]。）\n\n第三项罪名（证券欺诈）\n\n6. 至少自 2020 年 4 月前后起至至少包括 2021 年 3 月前后止，在纽约南区及其他地区，被告王雁平（YANPING WANG，又名“Yvette”），蓄意且明知地，直接或间接地，利用跨州贸易手段及工具、邮政以及全国性证券交易所的设施，在与购买和出售在全国性证券交易所注册的证券以及任何未如此注册的证券相关的情形下，使用并采用了操纵性和欺骗性的手段及诡计，违反《联邦法规汇编》第 17 编第 240.10b-5 条（Title 17, Code of Federal Regulations, Section 240.10b-5），具体方式包括：(a) 采用旨在欺诈的手段、方案与诡计；(b) 对重大事实作不真实陈述，以及隐瞒为使所作陈述在作出时的具体情况下不致产生误导所必需的重大事实；以及 (c) 从事实质上欺骗及企图欺骗任何人的行为、做法及业务过程，即：王实施了 GTV 私募以出售 GTV 股票，并通过虚假陈述和失实陈述欺诈性地获取受害者资金，该计划通过往返于纽约南区及其他地区的电子通信和资金转移得以推进。\n\n（《美国法典》第 15 编第 78j(b) 条与第 78ff 条 [Title 15, United States Code, Sections 78j(b) & 78ff]；《联邦法规汇编》第 17 编第 240.10b-5 条 [Title 17, Code of Federal Regulations, Section 240.10b-5]；以及《美国法典》第 18 编第 2 条 [Title 18, United States Code, Section 2]。）\n\n第四项罪名（非法货币交易）\n\n7. 2020 年 6 月 5 日前后，被告王雁平（YANPING WANG，又名“Yvette”），在美国境内纽约南区及其他地区，明知而从事并企图从事《美国法典》第 18 编第 1957(f)(1) 条（Title 18, United States Code, Section 1957(f)(1)）所定义的货币交易，涉及来源于特定非法活动的价值大于 10,000 美元的源自犯罪的财产，即：身处纽约南区的王授权将 1 亿美元的欺诈所得电汇至某特定对冲基金。\n\n（《美国法典》第 18 编第 1957 条和第 2 条 [Title 18, United States Code, Sections 1957 and 2]。）\n\n本人获知上述情况及前述指控的依据，部分如下：\n\n8. 本人是 FBI 的特别探员，曾亲自参与对本案的调查。本宣誓书基于本人亲自参与本案调查、与执法人员、执法机关雇员及证人的交谈，以及对相关文件的审查。由于提交本宣誓书仅用于确立合理根据（probable cause）的有限目的，因此并未包含本人在调查过程中所了解到的所有事实。除另有说明外，凡本文中所述及的他人的行为、陈述和谈话，均系就其实质内容和部分内容进行陈述。\n\n概述\n\n9. 基于本人参与本项调查、审查文件、与证人及其他执法人员交谈，本人实质性地了解到以下部分内容：\n\na. 约自 2020 年 4 月至约 2020 年 6 月期间，被告王雁平（YANPING WANG，又名“Yvette”）与已知及未知的其他人，通过与 GTV 相关的非法非公开股票发行，欺诈性地获取了大约 4.52 亿美元的受害者资金。王是 GTV 的 Executive Director（执行董事），并且是负责转移通过 GTV 私募筹集资金的关键人员之一。被告及其他人并未按其向受害者投资者所承诺的方式对通过 GTV 私募筹集的资金进行投资，相反，王与已知及未知的其他人将大约 100,000,000 美元挪用到一只高风险对冲基金中，最终使王的一名同谋的近亲属受益。王深知 GTV 私募所得资金不能用于投资高风险对冲基金。事实上，当王试图开立一个由 GTV 私募所筹资金组成的银行账户时，王向某银行陈述称（部分内容）此类“GTV Media Group 的资金[ ]严格用于（strickly [原文如此]）运营目的和收购”。\n\nGTV 私募\n\n10. 基于本人对文件、视频的审查，以及与证人及其他执法人员的交谈，本人实质性地了解到以下部分内容：\n\na. 2020年4月21日或前后，一名在此未指名的共谋者（“CC-1”）[1]在社交媒体上发布并促成发布了一段视频（“该视频”），宣布通过私募配售方式未予注册发行GTV普通股（“GTV私募配售”）。CC-1在网络上拥有大量追随者，该视频被数千名个人观看。\n\nb. 根据我对该视频的审查，我了解到，在该视频中，CC-1大体上并部分描述了GTV私募配售的投资条款，并引导人们如有关于GTV私募配售的任何疑问，可通过手机通讯应用程序与CC-1联系。该视频以及GTV私募配售材料——包括书面的“机密信息备忘录”（“PPM”）、认购协议和投资流程指引——通过手机通讯应用程序、社交媒体和文本短信被传送给数千名潜在投资者，包括位于Southern District of New York（纽约南区）的潜在投资者。\n\nc. 根据我对该PPM的审查，我了解到，该PPM将GTV宣传为“有史以来第一个将公民新闻和社交新闻的力量与最先进的技术、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”。该PPM还大体上并部分载有以下陈述等：\n\ni. GTV私募配售面向“有兴趣评估向GTV投资资本之机会”的投资者；\n\nii. GTV计划将从GTV私募配售中募集的资金用于“扩大和加强业务”；以及\n\niii. 该PPM包含一份图表，逐项列明了从GTV私募配售中募集收益的“预期用途”：\n\n[1] CC-1已在本区提起的一份起诉书中被指控犯有十一项罪名，罪由为串谋实施电信欺诈、证券欺诈、银行欺诈和洗钱；以及就包括在此讨论的GTV私募配售在内的行为实施电信欺诈、银行欺诈和洗钱。\n\n说明 / 募集资金用途\n收购公司以加强和发展GTV / 约 70%\n升级GTV技术和安全性 / 约 10%\n市场营销 / 约 8%\n营运资金 / 约 7%\n其他 / 约 5%\n总计 / 100%\n\nd. 该PPM列明了GTV的三名“执行董事”。列明的第一位执行董事是“Yvette Y. Wang”——即被告YANPING WANG（王雁平），又名“Yvette”。该PPM将WANG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的媒体业务发挥了重要作用”。[2] 在该PPM的其他地方，WANG被描述为GTV的“关键人员”。该PPM进一步部分陈述称，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，包括另一名在此未指名的共谋者（“CC-2”）。\n\ne. 根据与此前为CC-1工作的证人的谈话，我大体上并部分了解到，WANG与CC-1保持着密切的个人关系。具体而言，WANG为CC-1及CC-1的家族工作了数年，至少自2018年或前后起。事实上，根据我审查过的文件，我了解到WANG是一家管理CC-1据称极其庞大的个人财富的实体的总裁、财务主管兼秘书。\n\n[2] “Saraca”指“Saraca Media Group”（萨拉卡媒体集团），在PPM中被指定为GTV的母公司。\n\nWANG接收并转移欺诈收益\n\n11. 根据我对视频和文件（包括银行记录和传票回执）的审查、我与证人及其他执法人员的谈话、互联网上的开源调查以及我参与本项调查的情况，我大体上并部分了解到以下内容：\n\na. 2018年7月24日或前后，被告YANPING WANG（王雁平），又名“Yvette”，以Saraca的名义开设了一个特定的银行账户（“账户-5601”）。我审查过的账户-5601开户文件将WANG列为Saraca的“代理秘书”。2020年5月21日或前后，WANG为账户-5601签署了一份额外的商业印鉴卡，其中WANG注明自己为Saraca的“总裁”。至少自该日起，账户-5601以“Saraca Media Group DBA Himalaya Dollar”的名义持有。账户-5601上没有其他授权签字人。\n\nb. 2018年7月24日或前后，WANG以“Saraca Media Group Inc.”的名义开设了另一个特定的银行账户（“账户-2038”）。账户-2038的开户文件将WANG列为Saraca的“代理秘书”。2020年5月21日或前后，WANG为账户-2038签署了一份额外的商业印鉴卡，并注明自己为“总裁”。至少自该日起，账户-2038以“Saraca Media Group DBA Himalaya Dollar”的名义持有。2020年6月3日或前后，WANG为账户-2038签署了又一份商业印鉴卡，并再次注明自己为Saraca的“总裁”。账户-2038上没有其他授权签字人。[3]\n\nc. 账户-5601和账户-2038均由一家总部位于Manhattan（曼哈顿）的特定银行（“银行-1”）持有。\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452,000,000美元的GTV普通股据称被出售给位于United States（美国）（包括纽约南区）及境外的5,500多名投资者。投资者参与GTV私募配售，部分原因在于相信其资金将如PPM所承诺的那样投资于GTV以发展和壮大该业务。\n\ne. 2020年4月或前后，账户-5601收到了约291笔存款和转账，总计约32,543,000美元。这些存款和转账中的绝大部分是寻求参与GTV私募配售的个人进行的投资。转账似乎来自世界各地的个人，许多存款和转账带有指称GTV私募配售的参考或备注信息。例如，备注行大体上并部分写有以下内容等：“Gtv Investment”（Gtv投资）、“Stock Subscription”（股票认购）、“Investment”（投资）、“G- Tv Common Stock Subscription”（G- Tv普通股认购）、“InvestmeNt [sic]”（投资[原文如此]）、“Investment To G- Tv [sic]”（对G- Tv的投资[原文如此]）以及“Gtv Stockpurchase”（Gtv购股）。2020年4月30日或前后，账户-5601的余额约为32,474,000美元。\n\nf. 2020年5月或前后，账户-5601收到了约2,450笔存款和转账，总计约291,899,000美元。这些存款和转账\n\n[3] 根据银行记录，CC-2似乎拥有一个可以访问账户-5601和账户-2038的网上银行账户。\n\n中的绝大部分是寻求参与GTV私募配售的个人进行的投资。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世界各地的个人，许多带有指称GTV私募配售的参考或备注信息。例如，备注行大体上并部分写有以下内容等：“Capital Injection Infusion”（注资注资）、“To Inv es Stment [sic]”（致投资[原文如此]）、“Private Placement Investment”（私募投资）、“Gtv Media Investment”（Gtv媒体投资）、“Gtv Inv”（Gtv投资）以及“Additional Stock Purchase”（追加购股）。2020年5月29日或前后，账户-5601的余额约为313,213,000美元。\n\n挪用行为\n\n12. 根据我对文件的审查、与证人及其他执法人员的谈话，我大体上并部分了解到以下内容：\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（“基金-1”）投资100,000,000美元。在认购协议中，WANG指明账户-5601为电汇Saraca出资款的银行账户。WANG进一步注明自己为账户-5601唯一的“授权签字人”。在2020年6月3日上午或前后，基金-1投资管理人的一名雇员确认收到了已签署的认购文件。\n\nb. 同在2020年6月3日或前后，100,000,000美元从账户-5601转入了账户-2038。在转账之前，账户-2038的余额为0美元。根据银行记录，该笔100,000,000美元的转账是由用户“yvettewang2018”在线进行的，该用户名是WANG的银行-1网上银行用户ID。在授权该转账时，WANG是从地理位置定位于曼哈顿的IP地址登录WANG的银行-1网上账户的。\n\nc. 2020年6月5日或前后，WANG授权了一笔从账户-2038[4]向与基金-1关联的银行账户电汇100,000,000美元的转账。向基金-1银行账户转账的这100,000,000美元由来自GTV私募配售投资者的收益组成。如上所述，PPM并未计划将投资者资金用于投资高风险对冲基金。PPM也未计划将投资者资金用于除GTV以外的其他公司的利益，包括其最终实益拥有人为CC-1近亲的Saraca。\n\nWANG将额外欺诈收益转移至其他银行账户\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谈话以及我参与本项调查的情况，我大体上并部分了解到以下内容：\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的名义开设了一个账户（“账户-6691”）。账户-6691开设于一家受FDIC（联邦存款保险公司）承保的特定银行（“银行-2”）。WANG和CC-2是\n\n[4] 尽管认购协议指明账户-5601为出资款的来源，但该转账发起自账户-2038。\n\n账户-6691仅有的授权签字人。在开户文件中，WANG被指明为GTV的“董事”。开户文件进一步陈述称，账户-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，账户-5601向账户-6691转账200,000,000美元。该转账的参考信息行部分写为“Gtv Private Placement”（Gtv私募配售）。就在该转账之前，账户-6691的余额为0美元。\n\nc. 2020年6月9日或前后，账户-2038向账户-6691转账38,000,000美元。该38,000,000美元由来自GTV私募配售的投资者资金构成，这些资金最初汇至账户-5601以及另一个特定的银行-1账户，随后自2020年6月3日或前后至2020年6月9日或前后期间被转入账户-2038。因此，截至2020年6月10日或前后，账户-6691中的全部237,999,970美元[5]均由来自GTV私募配售的收益构成。\n\nd. 2020年6月9日或前后，约30,906美元从账户-5601电汇至一个以“Yanping Wang”名义持有的银行账户。该电汇的参考信息行部分注明为“Director Fee”（董事费）。\n\ne. 大约自2020年6月起，持有用于处理通过 GTV 私募所筹集资金的账户的国内各银行开始冻结并关闭与 GTV 相关的银行账户（包括以 Saraca（萨拉卡公司）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汇入电汇款项，其中部分款项注明了未注册的 GTV 私募。银行予以销户的原因还在于对进出 GTV 相关及 Saraca 相关账户的资金流动的担忧，这些资金流动引发了对汇入转账正当性的质疑。\n\nf. 大约在2020年7月10日，Bank-2（2号银行）关闭了 Account-6691（6691号账户），并向包括 WANG（王雁平）在内的账户持有人提供了一张金额为 $137,999,970 的支票（“Check-1（1号支票）”）以及第二张金额为 $100,000,000 的支票（“Check-2（2号支票）”）。\n\ng. 大约在2020年7月，WANG 与其他已知及未知人员试图在某家特定银行（“Bank-3（3号银行）”）以 GTV 名义开设银行账户。就该尝试而言，大约在2020年7月20日，WANG 签署了一份“强化尽职调查申请”，其中包含有关该 Bank-3 账户使用目的的信息。WANG 以其 GTV “董事”的身份签署了该“强化尽职调查申请”。\n\nh. 在该“强化尽职调查申请”中，WANG 实质上且部分陈述称，存入该账户的首笔款项将“为大约 1.38 亿美元，系以本票形式通过私募筹集的资金”。据 WANG 称，“Saraca Media Group（萨拉卡媒体集团）代表 GTV 接收了 [GTV] 私募资金（在 [Bank-1（1号银行）] 由 [律师事务所] 指导）。Saraca Media Group 将资金转给了 GTV（[Bank-2（2号银行）]）”。WANG 进一步实质上且部分陈述称，“该账户中的资金属于 GTV Media Group（GTV媒体集团）的资金，严格 [原文如此] 用于运营目的及收购”。因此，WANG 清楚知晓通过 GTV 私募筹集的资金不得投资于为 CC-1（共谋者1）近亲利益而持有的高风险对冲基金。\n\n脚注5：Bank-3 就两笔汇入电汇转账从 Account-6691 扣除了 $30。\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、监禁或准予保释。\n\n/签名/ Nicholas DiMarino（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，通过可靠电子方式（电话）传输本控告书向我宣誓。\n\nGabriel W. Gorenstein\n\nHONORABLE GABRIEL W. GORENSTEIN（尊敬的加布里埃尔·W·戈伦斯坦）\nUnited States Magistrate Judge（美国治安法官）\nSouthern District of New York（纽约南区）","key_entities":["GTV","Saraca","CIPA","Je","Yanping Wang","Himalaya","Fergenson","Murray"],"ecf_references":[],"word_count":3740,"status":"published","published_at":null,"created_at":null,"updated_at":"2026-08-23 07:36:28"}