{"id":"court_sdny_616_0","court":"SDNY","case_no":"23-cr-00118","doc_number":616,"sub_number":0,"doc_type":"PETITION","filed_date":null,"title":"| UNITED STATES DISTRICT COURT<br>SOUTHERN DISTRICT OF NEW YORK<br>- - - - - - - - - - - - - - - - - - - - - - - - - - -","summary_zh":"第三方没收异议申请（Verified Forfeiture Petition）—— 美国诉 Ho Wan Kwok（郭文贵 / Guo Wengui / Miles Guo）案，SDNY 1:23-cr-00118 ECF #616。申请人 Mercantile Global Holdings Inc.（MGH）经律所 Sullivan & Cromwell LLP 代理，依据 21 U.S.C. § 853(n) 就政府从 Silvergate Bank 多个账户（以 Hamilton Opportunity Fund 等名义开立、与 William Je 关联）扣押的资金中的 $37,089,253.00 主张权益，源于其与 Hamilton 一方未完成的股权收购交易，请求就该权益举行听证或予以返还。","summary_en":"Verified Forfeiture Petition — United States v. Ho Wan Kwok (Miles Guo / Guo Wengui), SDNY 1:23-cr-00118, ECF #616. Petitioner Mercantile Global Holdings Inc. (MGH), represented by Sullivan & Cromwell LLP, asserts under 21 U.S.C. § 853(n) an interest in $37,089,253.00 of funds the government seized from several Silvergate Bank accounts held in the name of Hamilton Opportunity Fund and related entities (associated with William Je), arising from an uncompleted stock-purchase transaction with Hamilton, and requests a hearing or return of the funds.","body_en":"| UNITED STATES DISTRICT COURT<br>SOUTHERN DISTRICT OF NEW YORK<br>- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - x |                                                                                      |\n|----------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------|\n| UNITED STATES OF AMERICA,<br>Plaintiff,                                                                                                | :<br>:<br>:<br>18 Cr. 118 (AT)<br>:                                                  |\n| v.                                                                                                                                     | :<br>VERIFIED FORFEITURE PETITION<br>:<br>OF MERCANTILE GLOBAL<br>:<br>HOLDINGS INC. |\n| YVETTE WANG,<br>a/k/a \"Yanping,\"<br>a/k/a \"Y,\"<br>Defendant,                                                                           | :<br>:<br>:<br>:<br>:                                                                |\n| - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - X                                                                  | :                                                                                    |\n| MERCANTILE GLOBAL HOLDINGS INC.,<br>Petitioner<br>- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - X                | :<br>:<br>:                                                                          |\n\nPetitioner, MERCANTILE GLOBAL HOLDINGS INC. (\"Petitioner\") respectfully\n\nsubmits this Verified Petition, pursuant to 21 U.S.C. § 853(n), to request a hearing to adjudicate\n\nPetitioner's interest in \\$37,089,253.00 from the following assets:\n\n- 1. \\$89,992,861.75 in United States currency formerly on deposit in account number 5090042770 at Silvergate Bank, held in the name of \"Hamilton Opportunity Fund SPC\" and seized by the Government on or about September 18, 2022 (23-FBI-000074)\n- 2. \\$89,899,889.20 in United States currency formerly on deposit in account number 5090042853 at Silvergate Bank, held in the name of \"Hamilton Opportunity Funds SPC\" and seized by the Government on or about September 18, 2022 (23-FBI-000069)\n- 3. \\$48,230,709.62 in United States currency formerly on deposit in account number 5090030288 at Silvergate Bank, held in the name of \"Hamilton Investment Management Ltd.\" and seized by the Government on or about September 18, 2022 (23-FBI-000072)\n- 4. \\$1,683,077.40 in United States currency formerly on deposit in account number 5090042762 at Silvergate Bank, held in the name of \"Hamilton Opportunity Fund SPC\" and seized by the Government on or about September 18, 2022 (23-FBI-000073)\n- 5. \\$64,826.87 in United States currency formerly on deposit in account number 5090037713 at Silvergate Bank, held in the name of \"Hamilton Opportunity Fund SPC\" and seized by the Government on or about September 18, 2022 (23 FBI-000075)\n- 6. \\$467,343.00 in United States currency formerly on deposit in account number 5090037754 at Silvergate Bank, held in the name of \"Hamilton Opportunity Fund SPC\" and seized by the Government on or about September 18, 2022 (23-FBI-000077)\n- 7. \\$75,000,000.00 in United States currency formerly on deposit in account number 5090037705 at Silvergate Bank, held in the name of \"Hamilton Opportunity Fund SPC\" and seized by the Government on or about September 18, 2022 (23-FBI-000078)\n- 8. \\$1,800,000.00 in United States currency formerly on deposit in account number 5090037739 at Silvergate Bank, held in the name of \"Hamilton Opportunity Fund SPC\" and seized by the Government on or about September 18, 2022 (23-FBI-000079)\n\n(collectively, the \"Subject Funds\") which are subject to forfeiture in the above referenced matter.\n\nMercantile Global Holdings, Inc. (\"MGH\") is a Delaware holding company, whose sole operating asset was Mercantile Bank International, an International Financial Entity licensed by the Puerto Rico Office of Financial Institutions (\"OCIF\") to provide banking, payment and custody services.\n\nIn September of 2022, William Je,<sup>1</sup> through his controlled vehicle, the Hamilton Opportunity Fund (\"Hamilton\"), offered to purchase all outstanding shares of MGH in the amount of \\$12,605,747.00, in order to acquire control of MBI. Je also agreed to purchase \\$37,089,253 in newly issued shares of MGH in order to provide MBI with working capital on an on-going basis.\n\nOn September 16, 2022, in furtherance of the offer by Je, Hamilton executed a Stock Purchase Agreement (\"SPA\") with Morpheus Asset Strategies LLC; Galaxy Digital Ventures LLC; Options Technology Solutions International LLC d/b/a Mercury Digital Assets; BTG Trading Ltd., Dave Chen; Thomas Becker; International Sports LLC; Robert Doyle; Arturo\n\n<sup>1</sup> William -e is an alias for Kin Ming Je, a defendant in this criminal action.\n\nGanteaume; Jeremy Cunningham; Jeff Lee; Eric Edwards; Brittany Hickman; Myla Johnson; Mirstar, LLC; Don Cornwell; Netonis Wybensinger; Kevin Long; and Yarot Lafontaine (collectively, the \"Shareholders\") to purchase their shares in MGH. *See* Exhibit 1. Pursuant to the SPA, the Shareholders designated and appointed James R. Collins, Jr. as their \"agent and attorney-in-fact with full power and authority to act for and on behalf of each\" Shareholder. *Id.* The total collective amount due to the MGH's Shareholders was \\$12,605,747.00. *Id.* The shares sold by each individual Shareholder is detailed in Schedule 2.1 of Exhibit 1.\n\nAdditionally, the proposed share purchases for the newly issued shares, as described above, were documented in two separate investment agreements titled: *Investment Agreement* (with a purchase price of \\$12,089,253) and *Investment and Restricted Account Agreement* (with a purchase price of \\$25,000,000) (collectively, the \"Investment Agreements\"). *See* Ex. 2; Ex. 3, respectively. Both of the Investment Agreements, between MGH and Hamilton, are dated and were executed on September 16, 2022, and have a combined total of \\$37,089,253, which was the amount due to MGH at closing. The parties (*i.e.* Hamilton, the Shareholders, and MGH) agreed that the total amount due under the parties' respective agreements (\\$49,695,000) would be sent in one wire to the bank account of MGH on the day of signature. Upon signature, MGH had an enforceable contractual right to payment and a legally cognizable interest in the \\$37,089,253 held by Hamilton at Silvergate Bank (\"Silvergate\") to satisfy its obligations under the parties' agreements. Additionally, the Shareholders likewise had an enforceable contractual right to payment and a legally cognizable interest in the \\$12,605,747.00 held by Hamilton at Silvergate. MGH and the Shareholders stood ready, willing and able to convey the purchased shares upon receipt of payment.\n\n3\n\nHamilton initiated a wire transfer in the amount of \\$49,695,000 from its account at Silvergate Bank to MGH near the close of business on September 16, 2022. A copy of the wire transfer confirmation, received by Hamilton from Silvergate on September 16, 2022, and sent to MGH and the Shareholders, is attached as Exhibit 4.\n\nOn or about September 18, 2022, after the wire transfer had been initiated, but prior to its receipt by MGH's bank, the funds were seized in transit by the Department of Justice. MGH has not received payment from Hamilton or from any other source.2\n\nMGH and the Shareholders were bona fide sellers of their MGH shares for value, with no knowledge that the funds earmarked by Hamilton to pay for the transaction had been derived from an illegal source. By this petition, MGH respectfully requests recovery of their funds – \\$37,089,253, which they were entitled to, that were in transit to MGH's bank account for distribution to MGH, and that were seized preemptively by the Department of Justice.\n\n## **SPACE INTENTIONALLY LEFT BLANK**\n\n<sup>2</sup> MGH sued Hamilton in arbitration, seeking damages relating to Hamilton's failure to pay for the \\$37,089,253 in shares Hamilton agreed to purchase. The individual shareholders, *i.e.* the Shareholders, have preserved their rights, but have not yet litigated their claims. In the MGH arbitration, the arbitrator held that the parties had a binding contract which Hamilton breached, and issued an award in excess of \\$20 million. Hamilton stated in the arbitration and in subsequent challenges to entry of judgment to the award that it had no funds to satisfy its contractual obligations to MGH other than the \\$50 million that had been seized by the government.\n\nPetitioner, *i.e.* Mercantile Global Holdings Inc, respectfully asserts an interest in \\$37,089,253.00\n\nof the Subject Funds as described above, and requests the return of said funds, or in the\n\nalternative for a hearing to adjudicate its interest.\n\nDated: New York, New York April 4, 2025\n\nRespectfully submitted,\n\n*/s/ Sharon Cohen Levin .*\n\nSharon Cohen Levin SULLIVAN & CROMWELL LLP 125 Broad Street New York, NY 10004 Tel: (212) 558-4334 Email: levinsc@sullcrom.com\n\n*Attorney for Mercantile Global Holdings Inc.*\n\n## **VERIFICATION**\n\nJames R. Collins, Jr., on behalf of Mercantile Global Holdings Inc., pursuant to 28 U.S.C.\n\n§ 1746, declares, under penalty of perjury that the foregoing Verified Forfeiture Petition of\n\nMercantile Global Holdings Inc. is true and correct.\n\nExecuted on April 4, 2025\n\nMercantile Global Holdings Inc\n\nDocuSigned by:\n\n329265019B784C7...\n\n By: James R. Collins, Jr. Chief Executive Officer","body_zh":"UNITED STATES DISTRICT COURT（美国联邦地区法院）\nSOUTHERN DISTRICT OF NEW YORK（纽约南区）\n- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - x\nUNITED STATES OF AMERICA（美利坚合众国），\n原告，\n案号：18 Cr. 118 (AT)\nv.\nMERCANTILE GLOBAL HOLDINGS INC.（Mercantile Global Holdings公司）\n经核实的没收请愿书\nYVETTE WANG（王雁平），\n又名“Yanping”，\n又名“Y”，\n被告。\n- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - X\nMERCANTILE GLOBAL HOLDINGS INC.，\n请愿人\n- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - X\n\n请愿人 MERCANTILE GLOBAL HOLDINGS INC.（“请愿人”）谨依据 21 U.S.C. § 853(n) 提交本经核实的请愿书，请求举行听证会，以裁定请愿人在下列资产中享有的 $37,089,253.00 权益：\n\n- 1. 原存于 Silvergate Bank（银门银行）账号为 5090042770 的账户内、户名为“Hamilton Opportunity Fund SPC（汉密尔顿机遇基金SPC）”并由政府于 2022年9月18日左右扣押的 $89,992,861.75 美元货币 (23-FBI-000074)\n- 2. 原存于银门银行账号为 5090042853 的账户内、户名为“Hamilton Opportunity Funds SPC”并由政府于 2022年9月18日左右扣押的 $89,899,889.20 美元货币 (23-FBI-000069)\n- 3. 原存于银门银行账号为 5090030288 的账户内、户名为“Hamilton Investment Management Ltd.（汉密尔顿投资管理有限公司）”并由政府于 2022年9月18日左右扣押的 $48,230,709.62 美元货币 (23-FBI-000072)\n- 4. 原存于银门银行账号为 5090042762 的账户内、户名为“Hamilton Opportunity Fund SPC”并由政府于 2022年9月18日左右扣押的 $1,683,077.40 美元货币 (23-FBI-000073)\n- 5. 原存于银门银行账号为 5090037713 的账户内、户名为“Hamilton Opportunity Fund SPC”并由政府于 2022年9月18日左右扣押的 $64,826.87 美元货币 (23 FBI-000075)\n- 6. 原存于银门银行账号为 5090037754 的账户内、户名为“Hamilton Opportunity Fund SPC”并由政府于 2022年9月18日左右扣押的 $467,343.00 美元货币 (23-FBI-000077)\n- 7. 原存于银门银行账号为 5090037705 的账户内、户名为“Hamilton Opportunity Fund SPC”并由政府于 2022年9月18日左右扣押的 $75,000,000.00 美元货币 (23-FBI-000078)\n- 8. 原存于银门银行账号为 5090037739 的账户内、户名为“Hamilton Opportunity Fund SPC”并由政府于 2022年9月18日左右扣押的 $1,800,000.00 美元货币 (23-FBI-000079)\n\n（统称“标的资金”），上述资金在上述引述案件中属于应予没收的财产。\n\nMercantile Global Holdings, Inc.（“MGH”）是一家 Delaware（特拉华州）控股公司，其唯一的运营资产为 Mercantile Bank International（Mercantile国际银行，简称“MBI”），后者是由 Puerto Rico Office of Financial Institutions（波多黎各金融机构专员办公室，简称“OCIF”）许可提供银行、支付和托管服务的国际金融实体。\n\n2022年9月，William Je（余建明）[1] 通过其控制的实体 Hamilton Opportunity Fund（“汉密尔顿”）提议以 $12,605,747.00 购买 MGH 的全部已发行股份，以获取对 MBI 的控制权。余建明还同意购买 MGH 新发行的价值 $37,089,253 的股份，以便持续为 MBI 提供营运资金。\n\n[1] William Je 是本刑事诉讼被告 Kin Ming Je（余建明）的化名。\n\n2022年9月16日，为推进余建明的要约，汉密尔顿与 Morpheus Asset Strategies LLC、Galaxy Digital Ventures LLC、Options Technology Solutions International LLC（以 Mercury Digital Assets 之名开展业务）、BTG Trading Ltd.、Dave Chen、Thomas Becker、International Sports LLC、Robert Doyle、Arturo Ganteaume、Jeremy Cunningham、Jeff Lee、Eric Edwards、Brittany Hickman、Myla Johnson、Mirstar, LLC、Don Cornwell、Netonis Wybensinger、Kevin Long 以及 Yarot Lafontaine（统称“股东们”）签署了一份《股份购买协议》（“SPA”），以购买其持有的 MGH 股份。参见附件 1。根据该 SPA，股东们指定并委任 James R. Collins, Jr. 为其“代理人和事实委托代理人，享有充分的权力和权限代表每位股东并为其利益行事”。同上。MGH 股东应得的总金额为 $12,605,747.00。同上。每位单独股东出售的股份详见附件 1 的附表 2.1。\n\n此外，如上所述拟购买新发行股份的交易记录在两份单独的投资协议中，题为：《投资协议》（购买价为 $12,089,253）以及《投资与受限账户协议》（购买价为 $25,000,000）（统称“投资协议”）。分别参见附件 2、附件 3。MGH 与汉密尔顿之间的两份投资协议均注明日期的签署时间为 2022年9月16日，合计总额为 $37,089,253，即交割时应向 MGH 支付的金额。各方（即汉密尔顿、股东们及 MGH）一致同意，各方相应协议项下应付的总金额（$49,695,000）应在签署当日以一笔电汇汇入 MGH 的银行账户。一经签署，MGH 即拥有可强制执行的获得付款的合同权利，并对汉密尔顿存放在 Silvergate Bank（“银门银行”）用于履行其在各方协议项下义务的 $37,089,253 享有法律上可承认的权益。此外，股东们同样拥有可强制执行的获得付款的合同权利，并对汉密尔顿存放在银门银行的 $12,605,747.00 享有法律上可承认的权益。MGH 和股东们在收到付款后随时准备、愿意且能够转让所购买的股份。\n\n汉密尔顿于 2022年9月16日临近营业结束时，从其在银门银行的账户向 MGH 发起了一笔金额为 $49,695,000 的电汇转账。汉密尔顿于 2022年9月16日从银门银行收到的电汇确认函副本已发送给 MGH 和股东们，作为附件 4 附后。\n\n2022年9月18日左右，在电汇已经发起但尚未到达 MGH 银行之前，该笔资金在途经过程中被司法部扣押。MGH 尚未从汉密尔顿或任何其他来源收到付款。[2]\n\nMGH 和股东们是以对价出售其 MGH 股份的善意出售方，并不知道汉密尔顿指定用于支付该交易的资金来源于非法途径。通过本请愿书，MGH 谨请求追回其有权获得的款项——即在转账途中发往 MGH 银行账户以分配给 MGH、但被司法部先发制人扣押的 $37,089,253。\n\n此处有意留白\n\n[2] MGH 在仲裁中起诉了汉密尔顿，就汉密尔顿未能支付其同意购买的 $37,089,253 股份价款索赔。各单独股东（即股东们）保留了其权利，但尚未就其主张提起诉讼。在 MGH 仲裁中，仲裁员认定各方之间存在具有约束力的合同且汉密尔顿违约，并作出了超过 2000 万美元的裁决。汉密尔顿在仲裁中以及随后对裁决做成判决的异议中均表示，除了被政府扣押的 5000 万美元之外，它没有其他资金来履行其对 MGH 的合同义务。\n\n请愿人（即 Mercantile Global Holdings Inc）谨如上所述对标的资金中的 $37,089,253.00 主张权益，并请求返还上述资金，或者以备选方式请求举行听证会以裁定其权益。\n\n日期：纽约州纽约市 2025年4月4日\n\n谨此提交，\n\n/s/ Sharon Cohen Levin\n\nSharon Cohen Levin SULLIVAN & CROMWELL LLP 125 Broad Street New York, NY 10004 电话: (212) 558-4334 电子邮件: levinsc@sullcrom.com\n\nMercantile Global Holdings Inc. 代理律师\n\n核实声明\n\nJames R. Collins, Jr. 代表 Mercantile Global Holdings Inc.，依据 28 U.S.C. § 1746，在接受伪证罪处罚的前提下声明：上述 Mercantile Global Holdings Inc. 的经核实的没收请愿书真实且准确无误。\n\n签署于 2025年4月4日\n\nMercantile Global Holdings Inc\n\nDocuSigned 签署人：\n\n329265019B784C7...\n\n签署人：James R. Collins, Jr. 首席执行官","key_entities":["Je","forfeiture","Kin Ming Je","William Je","853(n)","RICO"],"ecf_references":[],"word_count":1381,"status":"published","published_at":null,"created_at":null,"updated_at":"2026-08-23 07:27:08"}