{"id":"court_sdny_660_0","court":"SDNY","case_no":"23-cr-00118","doc_number":660,"sub_number":0,"doc_type":"ORDER","filed_date":"2025-04-07","title":"UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK UNITED STATES OF AMERICA","summary_zh":"第三方没收财产上诉 —— 美国诉 Ho Wan Kwok（郭文贵/Guo Wengui/Miles Guo）案，SDNY 1:23-cr-00118 ECF #660（2025年4月7日提交）。请愿人就Yvette Wang在Silvergate Bank Hamilton Opportunity Fund SPC账户（Account 2770）中的没收财产提出上诉，主张其在该账户中拥有合法权益，而Wang对该账户及财产无任何权利，故没收令对请愿人财产无效，要求修改没收令、返还财产并赔偿律师费。","summary_en":"Third-Party Petition to Adjudicate Interest in Forfeited Property — United States v. Ho Wan Kwok (Guo Wengui / Miles Guo), SDNY 1:23-cr-00118 ECF #660 (filed April 7, 2025). Petitioner challenges the forfeiture order against Yvette Wang regarding assets in a Silvergate Bank account (Account 2770) held in the name of Hamilton Opportunity Fund SPC, asserting a legal right, title, and interest in the property that Wang lacks, and seeking to amend the forfeiture order, recover the property, and obtain attorney's fees.","body_en":"# UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK\n\n# UNITED STATES OF AMERICA\n\n- v. -\n\nYVETTE WANG a/k/a \"Yanping,\" a/k/a \"Y,\"\n\nDefendant.\n\n**THIRD-PARTY PETITION TO ADJUDICATE PETITIONER'S INTEREST IN FORFEITED PROPERTY AND TO AMEND THE PRELIMINARY ORDER OF FORFEITURE - VERIFIED CLAIM OF**\n\nS4 23 Cr. 118 (AT)\n\nPetitioner (\"Petitioner\") files this Third-Party Petition to Adjudicate Petitioner's Interest in Forfeited Property and to Amend the Preliminary Order of Forfeiture, pursuant to 21 U.S.C. § 853(n) and Federal Rule of Criminal Procedure 32.2(c) (the \"Petition\"). Petitioner seeks the return of funds in which Petitioner has a legal right, title, and/or interest (\"Petitioner's Property\") (as more fully defined below) and that the United States Government (the \"Government\") improperly seized as part of an order of forfeiture entered into with Defendant Yvette Wang (\"Defendant Wang\"). Specifically, Petitioner's Property was improperly seized by the Government when the Government seized all the funds in bank account number 5090042770 at Silvergate Bank held in the name of Hamilton Opportunity Fund SPC (\"Account 2770\"). However, any order of forfeiture reaching the funds in Account 2770, including Petitioner's Property, was unlawful and improper as Defendant Wang has no legal right, title, or interest in either Account 2770 or Petitioner's Property. The Forfeiture Order (as more fully defined below) is therefore rendered invalid as to Petitioner's Property because right, title, or interest in Petitioner's Property was vested in the Petitioner rather than Defendant Wang, and was superior to any right, title, or interest of Defendant Wang at the time of the commission of the acts which gave rise to the Forfeiture Order (as defined below). As such, this Court should amend the Forfeiture Order to remove Petitioner's Property from the Forfeiture Order and order that the Government immediately return Petitioner's Property to Petitioner. In support of Petitioner's claim, Petitioner states as follows:\n\n#### **I. PRELIMINARY STATEMENT**\n\nIt appears that the funds in Account 2770, including Petitioner's Property, were purely \"collateral damage\" in the Government's seizure of assets prior to its prosecution of Defendant Wang and Miles Guo (\"Defendant Guo\"). It has been over two and a half years since the seizure of Account 2770, and in that time span, there has never been any explanation as to how Account 2770 (including Petitioner's Property) is related to any of the offenses to which Defendant Wang pled guilty, a necessary prerequisite to a valid forfeiture order under the law. There was never any showing that any proceeds of any unlawful activity to which Defendant Wang pled guilty were ever deposited in Account 2770; no showing that any proceeds of such activity were ever commingled with Petitioner's Property; and, indeed, no showing that Defendant Wang ever had anything to do with Account 2770 or even knew of its existence.\n\nAs will be shown below, Petitioner is a beneficiary of a constructive trust over Petitioner's Property and Petitioner's Property cannot be seized by the Government in this case. Neither Defendant Wang, nor the Government who now stands in her shoes, have ever demonstrated that they have any interest whatsoever in Petitioner's Property in Account 2770 or in Account 2770 in general. While Defendant Wang consented to the forfeiture of \"all her right, title, and interest\" in Account 2770 (and thus, Petitioner's Property) in the Forfeiture Order (ECF No. 488 at 2-3), her consent has no legal bearing as to Account 2770 or Petitioner's Property. Defendant Wang never had such \"right, title, and interest\" in Account 2770 – there is no evidence that she was a signatory on Account 2770, ever deposited money into Account 2770, or otherwise had any control over Account 2770, and there is no evidence that Defendant Wang ever directed anyone, directly or indirectly, to deposit any money into Account 2770. Defendant Wang cannot forfeit property that she does not own, and in which she has no interest. In fact, it appears that the Court never established that Petitioner's Property is even subject to forfeiture in the first instance, as required by Fed.R.Crim.P. 32.2.(b)(1)(A).\n\nFor all the foregoing reasons, and for the reasons demonstrated below, Petitioner respectfully requests that this Court: (1) grant this Petition; (2) amend the Forfeiture Order to exclude Petitioner's Property; (3) order the immediate return of Petitioner's Property to Petitioner; (4) order that Petitioner is entitled to recover Petitioner's attorneys' fees and costs incurred in connection with this Petition and grant Petitioner leave to submit an application for such attorneys' fees and costs; and (5) grant such and other relief that is necessary and just.\n\n### **II. BACKGROUND FACTS**\n\n#### **A. Petitioner's Property**\n\n1. Hamilton Opportunity Fund SPC (\"Hamilton Opportunity Fund\"), a Cayman Islands Segregated Portfolio Company, provided Petitioner with an Offering Memorandum (the \"Offering Memorandum\") dated January 20, 2022. A true and correct copy of the Offering Memorandum is attached hereto as **Exhibit A.**\n\n2. Hamilton Opportunity Fund is a \"fund specializing in equity investments selected by the Investment Manager [as that term is defined in the Offering Memorandum] with a view to long-term capital gains.\" **Exhibit A**, Offering Memorandum at 33. The Investment Manager (as that term is defined in the Offering Memorandum) had identified an opportunity to invest in a bank (the \"Digital Bank\") (as more fully described in Offering Memorandum at 33). In connection with this investment, Hamilton Opportunity Fund sought to raise capital by issuing various classes of shares. *Id.* at 34.\n\n3. The Offering Memorandum offered Petitioner an opportunity to acquire Class B Shares attributed to a segregated portfolio of Hamilton Opportunity Fund - Hamilton M&A Fund SP (the \"M&A Fund\").\n\n4. Defendant Wang was not a director or member of, and otherwise lacked any corporate or equity interest in, the M&A Fund or Hamilton Opportunity Fund. The evidentiary record is devoid of any evidence to the contrary.\n\n5. Defendant Wang did not make any investments in the M&A Fund; again, the evidentiary record is devoid of any evidence to the contrary.\n\n6. On February 1, 2022, Petitioner submitted an application (the \"Subscription Agreement\") to Hamilton Opportunity Fund for a subscription for \\$1,000,000.00 worth of Class B Shares in the M&A Fund. A true and correct copy of the Subscription Agreement is attached hereto as **Exhibit B.**\n\n7. On February 1, 2022, Hamilton Opportunity Fund, on behalf of the M&A Fund, approved and accepted the Subscription Agreement. *See* **Exhibit B**, Subscription Agreement at 15.\n\n8. On February 1, 2022, pursuant to the terms of the Subscription Agreement, Petitioner wired \\$1,000,000.00 (the \"Petitioner Property\") to Account Number 5090042770 at Silvergate Bank. A true and correct copy of the wire confirmation is attached hereto as **Exhibit C**.\n\n9. The account to which Petitioner wired Petitioner Property to is Account 2770.\n\n10. Pursuant to the terms of the Offering Memorandum, Petitioner is entitled to redemption of Petitioner's shares at the Petitioner's option. **Exhibit A**, Offering Memorandum at 17; *see also id.* at 53 (stating that subject to certain limitations, \"Class B Shares may be redeemed\n\nat the option of the Shareholder on any Redemption Day\").\n\n11. The assets of Hamilton Opportunity Fund are \"kept segregated, separate and separately identifiable from those of any other segregated portfolios of the Fund and any general assets of the Fund.\" **Exhibit A**, Offering Memorandum at 12. In addition, pursuant to the laws of the Cayman Islands, it is the duty of Hamilton Opportunity Fund to \"segregate, and keep segregated, portfolio assets of each segregated portfolio separate and separately identifiable from segregated portfolio assets of any other segregated portfolio.\" **Exhibit A**, Offering Memorandum at 22-23 (citing the Companies Act (Revised) of Cayman Islands, Part XIV, 219(6)(b)).\n\n#### **B. Seizure of Account 2770**\n\n12. On September 18, 2022, the Government seized the entire balance of the funds in Account 2770.\n\n13. To date, there are no documents available publicly as to what probable cause the Government had to seize the funds in Account 2770.\n\n# **C. The Criminal Case Against Defendant Wang and Defendant Guo and the Forfeiture Order**\n\n14. On March 6, 2023, the Government filed an indictment against Defendant Wang and Defendant Guo, and a third defendant, William Je, who has never been arraigned. ECF No. 2.\n\n15. On May 3, 2024, the Government filed a superseding information (the \"Superseding Information\") against Defendant Wang. ECF No. 325. The Superseding Information charged Defendant Wang with one count of Conspiracy to Commit Wire Fraud (Count I) (Superseding Information at 1-2) and one count of Conspiracy to Commit Money Laundering (Count II) (Superseding Information at 2-4). The Superseding Information also contained a Forfeiture Allegation (the \"Forfeiture Allegation\"). Superseding Information at 4.\n\n16. On the same day, May 3, 2024, Defendant Wang pled guilty to Count I and Count\n\nII as charged in the Superseding Information.\n\n17. Also on May 3, 2024, this Court entered a Consent Preliminary Order of Forfeiture as to Specific Property/Money Judgment (\"Original Forfeiture Order\"). ECF No. 329.\n\n18. In the Original Forfeiture Order, Defendant Wang consented to forfeit, \"all *her*  right, title, and interest in\" certain assets, including Account 2770, because such property \"constitute[ed] proceeds of the offenses charged in Count One that the Defendant personally obtained and/or property involved in offense charged in Count Two of the [Superseding] Information.\" Original Forfeiture Order at 2-6 (emphasis added).\n\n19. Defendant Guo did not plead guilty to any of the offenses charged against him. Accordingly, a jury trial was held between May 22, 2024 and July 16, 2024 (the \"Guo Trial\"). On July 16, 2024, the jury found Defendant Guo guilty of racketeering conspiracy, conspiracy to commit wire fraud, conspiracy to commit money laundering, conspiracy to commit securities fraud, securities fraud, wire fraud, and money laundering. ECF No. 395. As of the date of this Petition, Defendant Guo has not yet been sentenced.\n\n20. On January 6, 2025, Defendant Wang was sentenced.\n\n21. On January 7, 2025, this Court entered a Consent Preliminary Order of Forfeiture as to Specific Property/Money Judgment (the \"Forfeiture Order\") ECF No. 488. As it pertains to Petitioner, the Forfeiture Order is substantially similar to the Original Forfeiture Order in all material respects. In the Forfeiture Order, Defendant Wang consented to forfeit, \"all *her* right, title, and interest in\" certain assets, including Account 2770, because such property \"constitute[ed] proceeds of the offenses charged in Count One that the Defendant personally obtained and/or property involved in offense charged in Count Two of the [Superseding] Information.\" Forfeiture Order at 2-11 (emphasis added).\n\n22. The assets in Account 2770 are described in both the Original Forfeiture Order and\n\nthe Forfeiture Order as follows:\n\n\\$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-FBl-000074).\n\nOriginal Forfeiture Order at 3; Forfeiture Order at 3.\n\n### **III. ARGUMENT**\n\n23. In an ancillary criminal forfeiture proceeding pursuant to 21 U.S.C. § 853(n) and Federal Rule of Criminal Procedure 32.2(c)(1), this Court must determine, by a preponderance of the evidence, whether a petitioner has a legal right, title, or interest in the property to be forfeited, and whether such right, title, or interest renders the order of forfeiture invalid, in whole or in part, because such interest was vested in the petitioner rather than the defendant, or was superior to any right, title, or interest of the defendant at the time of the commission of the acts which gave rise to the forfeiture of the property. *See* 21 U.S.C. § 853(n)(6)(A).\n\n24. Here, Petitioner has a legal right, title, or interest in Petitioner's Property pursuant to 21 U.S.C. §853(n)(6)(A) by virtue of a constructive trust over such property. Moreover, Petitioner's interest in Petitioner's Property was both vested in Petitioner and was superior to any right Defendant Wang had in Petitioner's Property because Defendant Wang had *no* legal right, title or, interest in either Petitioner's Property or Account 2770. In other words, Defendant Wang could not forfeit her interest in Account 2770 because she had no interest that was properly subject to criminal forfeiture. Accordingly, the Forfeiture Order should be modified to remove Petitioner's Property, and Petitioner's Property should be returned to Petitioner.\n\n# **A. The Government Failed to Demonstrate that the Funds in Account 2770, Including Petitioner's Property, Were Properly Subject to Forfeiture in the First Instance, Making the Forfeiture Order Improper as to Such Funds**\n\n25. The Government has no legal cause to retain Petitioner's Property because there is no evidence that the Government has ever demonstrated that Petitioner's Property, and Account 2770 in general, is actually forfeitable property, as required by Fed.R.Crim.P. 32.2.(b)(1)(A).\n\n26. \"When the government seeks to obtain an order of forfeiture, 'Federal Rule of Criminal Procedure 32.2(b)(1) ... requires the sentencing court to determine what property is subject to forfeiture under the applicable statute.'\" *U.S. v. Watts*, 786 F.3d 152, 172 (2d Cir. 2015) (citing *U.S. v. Capoccia*, 503 F.3d 103, 109 (2d Cir.2007)). Pursuant to Fed.R.Crim.P. 32.2, \"if the government seeks forfeiture of specific property, the court *must* determine whether the government has established the requisite nexus between the property and the offense.\" Fed.R.Crim.P. 32.2.(b)(1)(A) (emphasis added); *Watts*, 786 F.3d at 172. \"At various points in the proceedings, *the government bears the burden of proving this legal conclusion* to varying degrees of certainty: as a matter of probable cause at a post-indictment hearing. . .or by a preponderance of the evidence at a bench trial or before a jury.\" *Id.* (emphasis added) (internal citations omitted). \"Only if the government meets the relevant legal threshold, however, may the property in question be considered 'subject to forfeiture' in any legal sense. Prior to that, while the government has simply announced its intent to seek forfeiture through the indictment, the property is seen merely as 'potentially forfeitable' . . . or 'potentially subject to forfeiture.'\" *Id.* (internal citations omitted).\n\n27. This means that before the court reaches the question of whether the petitioner is entitled to the return of the property under §853(n), it is necessary to determine if the property in dispute is actually forfeitable in the first instance. If not, the government had no statutory authority to seize the property. If the property was improperly seized, the government must return the\n\naccounts seized regardless of whether the petitioner can meet the criteria set forth in §853(n). *See e.g. United States v. Delco Wire & Cable Co*., 772 F. Supp. 1511, 1518 (E.D.PA, 1991).\n\n28. A full and complete Fed. R. Crim. P. 32.2.(b)(1)(A) inquiry is critical to the fair administration of justice. The entire forfeiture system rests upon the supposition that a court has conducted an inquiry and determined that the property is subject to forfeiture. In enacting ancillary proceeding statutes, Congress chose to place the burden of proof on the third-party during an ancillary proceeding, since \"the United States will have already proven its forfeiture allegations in the criminal case beyond a reasonable doubt.\" S. REP. 98-225, 209, 1984 U.S.C.C.A.N. 3182, 3392.\n\n29. In this matter, there has never been a determination of whether there exists a nexus between Account 2770 and any of the offenses Defendant Wang was charged with (and pled guilty to), and, as a result, Petitioner is forced to file this Petition. Based on all the information contained in the publicly-available documentsin both Defendant Wang's and Defendant Guo's criminal case, the Government cannot prevail with respect to Account 2770.\n\n30. Here, in the Superseding Information, the Government included a Forfeiture Allegation as to both Counts I and Count II and sought forfeiture of specific property. Superseding Information at 4. There is no evidence in the record that the Government even attempted to show, let alone that it met its burden to show, a nexus between Account 2770, and the offenses to which Defendant Wang pled guilty.\n\n31. As to Count I, the Forfeiture Allegation states that, \"[a]s a result of committing the wire fraud offense alleged in Count One of this Superseding Information, YVETTE WANG, a/k/a \"Yanping\" a/k/a \"Y,\" the defendant, shall forfeit to the United States pursuant to Title 18, United\n\nStates Code, Section 981(a)(1)(C)<sup>1</sup>. . .and Title 28, United States Code, Section 2461(c), any and all property, real and personal, that constitutes or is derived from proceeds traceable to the commission of said offense.\" Superseding Information at 4. The Government must prove the elements of forfeiture under 18 U.S.C. § 981(a)(1)(C) by a preponderance of the evidence. 18 U.S.C. § 983(c)(1). Moreover, \"if the Government's theory of forfeiture is that the property was used to commit or facilitate the commission of a criminal offense, or was involved in the commission of a criminal offense, the Government shall establish that there was a substantial connection between the property and the offense.\" 18 U.S.C. § 983(c)(3).\n\n32. The record is devoid of any allegations pertaining to how funds in Account 2770 are, or are derived from, proceeds traceable to Defendant Wang's conspiracy to commit wire fraud. The Superseding Information alleges that \"[f]rom at least in or about 2018 until at least on or about March 15, 2023, coconspirators made false representations to investors that they would receive stock in exchange for their investments in GTV, the Himalaya Farm Alliance organization, and GClubs, and that they would receive cryptocurrency in exchange for their investments in the Himalaya Exchange [(the \"Fraud Scheme\")]. Through the [Fraud Scheme], YVETTE WANG, a/k/a \"Yanping,\" a/k/a \"Y,\" the defendant, and her coconspirators, including Miles Guo, induced investors to invest more than \\$1 billion into entities Guo controlled.\" Superseding Information at 2. There are no allegations in the Superseding Information regarding Defendant Wang depositing any proceeds from the Fraud Scheme into Account 2770. Similarly, there are no allegations in the Superseding Information that as a result of the Fraud Scheme, any investors deposited money into\n\n<sup>1</sup> 18 U.S.C. § 981(a)(1)(C) provides that \"[a]ny property, real or personal, [is subject to forfeiture] which constitutes or is derived from proceeds traceable to a violation of\" various specified offenses, including violations of 18 U.S.C. § 1343, wire fraud, as charged against Defendant Wang in Count I.\n\nAccount 2770. Nor can there be any such allegations, as the only deposits into Account 2770 were from investors who were investing in the Digital Bank – an investment that is not implicated in any way by the \"Fraud Scheme\" described in the Superseding Information. To be sure, Petitioner affirms that Petitioner was never a victim of any conduct by Defendant Wang alleged in the Superseding Information and does not believe that any of Petitioner's Property was ever used in any unlawful activity.\n\n33. Finally, there was no relevant testimony during Defendant Guo's trial concerning Account 2770. There was no testimony regarding whether any of the proceeds of the Fraud Scheme were ever deposited into Account 2770, nor, for that matter, whether Defendant Wang ever deposited any money into Account 2770. Simply put, there is nothing in the record that would indicate there is a nexus between Account 2770 and Defendant Wang's wire fraud charge, let alone sufficient evidence to determine that the Government met its burden of showing, and the Court properly adjudicated, that the appropriate nexus exists for forfeiture of Account 2770 to be proper.\n\n34. As to Count II, the Forfeiture Allegation states that, \"[a]s a result of committing the money laundering offense alleged in Count Two of this Information, YVETTE WANG, a/k/a \"Yanping\" a/k/a \"Y,\" the defendant, shall forfeit to the United States pursuant to Title 18, United States Code, Section 982(a)(1)<sup>2</sup> , any and all property, real and personal, involved in said offense, or any property traceable to such property, including but not limited to a sum of money in United States currency representing the amount of property involved in said offense.\" Superseding Information at 4. As to Count II, The Government \"must prove the elements of forfeiture under 18\n\n<sup>2</sup> 18 U.S.C. § 982(a)(1) provides that \"[t]he court, imposing sentence on a person convicted of an offense in violation of section 1956 [the money-laundering statute] of this title . . . shall order that the person forfeit to the United States any property, real or personal, *involved in such offense*, or any property *traceable to such property*.\" 18 U.S.C. § 982(a)(1) (emphasis added).\n\nU.S.C. § 982(a)(1) by a preponderance of the evidence.\" *U.S. v. Beltramea*, 785 F.3d 287, 290 (8th Cir. 2015).\n\n35. The Superseding Information alleges that Defendant Wang committed conspiracy to launder money because Defendant Wang \"knowing that the property involved in certain financial transactions represented the proceeds of some form of unlawful activity, would and did conduct and attempt to conduct such financial transactions. . .and which in fact involved the proceeds of specified unlawful activity, to wit, proceeds of the wire fraud scheme alleged in Count One of this Information.\" Superseding Information at 3.\n\n36. It is unclear how Account 2770 could be forfeited for the money laundering charge in Count II. From the allegations, the charge of money laundering arises from Defendant Wang engaging in financial transactions with the \"proceeds of the wire fraud scheme alleged in Count One.\" Superseding Information at 3. As argued above, there is no evidence that funds in Account 2770 had any relation to the Fraud Scheme alleged in Count I (*see* ¶¶ 31-33, above) – there is no evidence that such funds \"constitute[d] or [were] derived from proceeds traceable to the commission of\" wire fraud. *See e.g.* 18 U.S.C. § 981(a)(1)(C). Since funds in Account 2770 were not Fraud Scheme proceeds nor were they derived from Fraud Scheme proceeds, such funds could not serve as the basis for the money laundering charge in Count II and cannot be forfeited as part of Defendant Wang's conviction for Count II.\n\n37. The overt acts that the Government alleges to support the money laundering charge further fail to show how the funds in Account 2770 can be forfeitable. In the Superseding Information, the Government sets forth two acts evidencing money laundering. Superseding Information at 3. Although the Government states that these two overt acts were \"among others\" that Defendant Wang committed in furtherance of the alleged conspiracy to launder money\n\n(Superseding Information at 3), these other acts were never identified.\n\n38. First, per the Superseding Information, on May 20, 2020, Defendant Wang opened a bank account in the name of GTV, which, notably, Account 2770 was *not*. Superseding Information at 3. On June 2, 2020, Defendant Wang transferred approximately \\$200 million to that account. *Id.* The funds transferred into the GTV account were from a JP Morgan Chase Bank account held by Saraca Media Group, Inc. (\"Saraca\") (Guo Trial, 05/31/2024, 953:25-954:4; Guo Trial, 06/26/2024, 4359:1-14), *not* from Account 2770. There was never any testimony that any money from Account 2770 ever went into the Saraca JP Morgan Chase Bank account to then be transferred to the GTV account cited in the Superseding Information. Moreover, Account 2770 did not even exist in 2020.\n\n39. The second act the Government alleges is that \"on or about June 5, 2020,\" Defendant Wang \"authorized a wire transfer of \\$100 million from GTV's parent company, Saraca, to a high-risk hedge fund, for the benefit of Saraca and its ultimate beneficial owner, Defendant Guo's son.\" Superseding Information at 3-4. First, this plainly alleges that the money was transferred from a Saraca account, which Account 2770 was demonstrably not. Also, again, there was never any testimony that any money from Account 2770 ever went into a Saraca account. Moreover, once again, Account 2770 did not even exist in 2020.\n\n40. As seen from the above argument, there are no allegations or testimony regarding Account 2770 whatsoever. The *only* reference in the record to Account 2770 is Defendant Wang's consent to forfeit it. However, \"a defendant's consent to forfeiture [does not] abrogate the requirement that a nexus exist between the property sought for forfeiture and the conviction of offense.\" *Beltramea*, 785 F.3d at 291. As the Eighth Circuit stressed, \"[t]he district court had an independent duty to *ensure* that the required nexus exists.\" *Id.* (emphasis added).\n\n41. Here, there are no factual allegations in the Superseding Information, in the Original Forfeiture Order or the Forfeiture Order as to even an alleged nexus between Account 2770 and the offenses to which Defendant Wang pled guilty.\n\n42. The Government's continued retention of the funds in Account 2770, without showing that there is a nexus, is wrong and inequitable. Should the Government retain the funds in Account 2770, it will be unjustly enriched, since the funds belong to third parties, including Petitioner, who are (1) not Defendant Wang or Defendant Guo; and (2) not involved the Fraud Scheme, let alone victims of such a scheme. *See, e.g., U.S. v. Bajakajian*, 524 U.S. 321, 332 (1998) (explaining that a criminal \"forfeiture serves no remedial purpose, is designed to punish the offender, *and cannot be imposed upon innocent owners*.\") (emphasis added).\n\n# **B. Petitioner Has Interest in Petitioner's Property Because There Exists a Constructive Trust Over Such Property**\n\n43. Even putting aside the Government's failure to properly demonstrate that the funds in Account 2770 were part of any activity alleged in the Superseding Information, Petitioner's Property should be returned to Petitioner because Petitioner has a greater interest in it than does Defendant Wang, or, now, the Government.\n\n44. Under the doctrine of constructive trusts, Petitioner's Property is protected and remains the property of Petitioner regardless of any other ownership claims, including Defendant\n\nWang's or the Government, standing in her shoes. The Second Circuit<sup>3</sup> has held that \"a constructive trust qualifies as a 'legal right, title, or interest in the property' that 'may be a superior interest' to a defendant's interest for the purposes of a forfeiture statute analogous to 21 U.S.C. § 853(n)(6)(A).\" *Willis Mgmt. (Vermont), Ltd. v. United States*, 652 F.3d 236, 242 (2d Cir. 2011).\n\n45. \"A constructive trust is an equitable remedy, *necessarily flexible to accomplish its purpose*.\" *Counihan v. Allstate Ins. Co*., 194 F.3d 357, 361 (2d Cir. 1999) (emphasis added). \"Its purpose is to prevent unjust enrichment, although unjust enrichment does not necessarily implicate the performance of a wrongful act. . .What is necessary is that the court identify a party who is holding property *under such circumstances that in equity and good conscience he ought not to retain it*.\" *Id.* (internal citations omitted).\n\n46. \"Whether a party is unjustly enriched is a legal conclusion reached through the application of principles of equity. . . A court of equity in decreeing a constructive trust is bound by no unyielding formula. The equity of the transaction must shape the measure of relief. . . Unjust enrichment results when a person retains a benefit which, under the circumstances of the transfer and considering the relationship of the parties, it would be inequitable to retain.\" *Id.* (internal\n\n<sup>3</sup> \"The federal common law choice-of-law rule is to apply the law of the jurisdiction having the greatest interest in the litigation.\" *In re Koreag, Controle et Revision S.A.*, 961 F.2d 341, 350 (2d Cir. 1992), *aff'd in part sub nom. Refco F/X Assocs., Inc. v. Mebco Bank, S.A*., No. 89 CIV. 3071 (WK), 1992 WL 200748 (S.D.N.Y. July 31, 1992). Here, there are three competing jurisdictions whose laws could apply: New York, California, and Cayman Islands. Petitioner's payment of Petitioner's Property was pursuant to the Subscription Agreement, which is governed by Cayman Islands law. *See* **Exhibit B**, Subscription Agreement at 8, ¶ 2(s). Account 2770 *was* an account in a California bank when Petitioner deposited Petitioner's Property. Since Account 2770 was seized (pursuant to a search and seizure warrant issued by a court in New York state), the funds are now in possession of the Government in New York. New York is the forum state of this case. From these facts, New York has the greatest interest in this litigation, and its laws should apply to an imposition of a constructive trust. However, to the extent that the Government challenges this choice-of-law determination, Petitioner reserves all rights to request that this Court impose a constructive trust over Petitioner's Property under California and/or Cayman Islands law.\n\ncitations omitted).\n\n47. The New York Court of Appeals outlined several factors to be considered in determining whether a constructive trust should be imposed in certain circumstances, including \"(1) a confidential or fiduciary relation, (2) a promise, (3) a transfer in reliance thereon and (4) unjust enrichment.\" *Sharp v. Kosmalski*, 40 N.Y.2d 119, 121 (1976). However, New York courts have long held that \"these factors are merely useful guides and are not talismanic.\" *Counihan*, 194 F.3d at 362 (citing to a plethora of New York state cases that have stated this proposition).\n\n48. Here, there is a constructive trust for the benefit of Petitioner over Petitioner's Property as of the date that it was deposited into Account 2770.\n\n49. Petitioner entered into a confidential and/or fiduciary relationship<sup>4</sup> with Hamilton Opportunity Fund when Petitioner executed the Subscription Agreement in order to acquire certain Class B shares in Hamilton M&A Fund SP. Per the Subscription Agreement, Hamilton Opportunity Fund SPC made a promise to Petitioner that Petitioner's Property would be invested in the Digital Bank. In reliance on this promise, the Petitioner wired Petitioner's Property to Account 2770 as instructed in the Subscription Agreement. The Government's improper seizure of Account 2770 forced a breach of Hamilton Opportunity Fund SPC's promise to invest Petitioner's Property into the Digital Bank. Because of Government's seizure, Petitioner is not even able to exercise his Right of Redemption to obtain back Petitioner's Property. This would\n\n<sup>4</sup> Even if the Court determines that the relationship was not confidential and/or there was no fiduciary relationship between Hamilton Opportunity Fund and Petitioner, such would not be determinative, as the absence of a fiduciary relationship does not preclude the Court from finding a constructive trust exists. *See Koreag,* 961 F.2d at 353 (stating that \"[w]e do not believe, however, that the lack of a fiduciary relationship between [the parties] automatically defeats [a] claim of constructive trust. Although a fiduciary relationship is one of the factors cited by New York courts, the absence of any one factor will not itself defeat the imposition of a constructive trust when otherwise required by equity\").\n\nresult in unjust enrichment to the benefit of the Government since the Government is now retaining Petitioner's Property without any legal cause to do so. *See, e.g., U.S. v. Coluccio*, 51 F.3d 337, 340 (2nd Cir. 1995) (finding that imposition of a constructive trust was proper where, amongst other reasons, Government's forfeiture caused a breach of an implied promise); *Torres v. \\$36,256.80 U.S. Currency*, 25 F.3d 1154, 1159 (2d Cir. 1994) (finding a constructive trust appropriate where \"The government's forfeiture forced a breach of that promise that may result in a potentially unjust enrichment of the government (and commensurate unjust impoverishment of [the plaintiff]).\")\n\n50. Accordingly, Petitioner has shown that a constructive trust should be imposed over Petitioner's Property. Such a constructive trust \"qualifies as a 'legal right, title, or interest in the property' that 'may be a superior interest' to a defendant's interest for the purposes of a forfeiture statute analogous to 21 U.S.C. § 853(n)(6)(A).\" *Willis*, 652 F.3d at 242.\n\n51. The property upon which the constructive trust is sought – Petitioners Property - is easily traceable. *See* **Exhibit C***.*\n\n52. Moreover, the imposition of a constructive trust is fully available to Petitioner, even if the Government contends that others are owed restitution from any forfeited property. \"When a party can directly trace its assets, without resorting to fictions or presumptions, a constructive trust is available even in cases involving multiple fraud victims.\" *U.S. v. Ovid,* 2012 WL 2087084, \\*7 (E.D.N.Y., Jun. 8, 2012). \"[C]ourts are not free to disregard the law of constructive trusts when a claimant can directly trace its property, even if this leaves one innocent victim better off than another equally innocent victim.\" *Id.* The \"orthodox approach to multiple-fraud cases\" is to \"return[] identifiable assets to their owners, turning to pro rata distribution only when specific identification or transactional tracing is impossible.\" *Id.* at \\*8 (citing *Restatement (Third) of Restitution & Unjust Enrichment*, § 59 Reporter's Note G, at 437).\n\n#### **C. Petitioner Has a Superior Interest in the Petitioner's Property**\n\n53. Petitioner's interest in Petitioner's Property is absolutely superior to any interest that the Government or Defendant Wang may have in Petitioner's Property.\n\n54. 21 U.S.C. § 853(n) is clear that, in addition to Petitioner's interest in the forfeited property, that Petitioner must demonstrate, by a preponderance of the evidence, that Petitioner's interest \"renders the order of forfeiture invalid in whole or in part because the right, title, or interest was vested in the petitioner *rather than the defendant* or was superior to any right, title, or interest *of the defendant* at the time of the commission of the acts which give rise to the forfeiture of the property under this section.\" 21 U.S.C. § 853(n)(6)(A) (emphasis added).\n\n55. Here, as set forth above, Defendant Wang never had any interest in Petitioner's Property or Account 2770; indeed, the record is entirely silent as to what the relationship is between Defendant Wang, the Fraud Scheme, and Account 2770.\n\n56. It is axiomatic that neither the Government nor Defendant Wang can argue that they have a superior interest in a property in which they never had an interest. Likewise, Defendant Wang cannot forfeit her interest in a property in which she had no interest.\n\n#### **D. Petitioner is Entitled to Costs and Attorneys' Fees**\n\n57. The Petitioner has been required to retain legal counsel and has incurred costs to file this petition asserting Petitioner's right to Petitioner's Property and to challenge the forfeiture of Petitioner's Property. Upon prevailing in this proceeding, Petitioner reserves all rights to recover attorneys' fees and costs incurred in connection with this Petition and may recover Petitioner's costs and reasonable attorney's fees pursuant to the Equal Access to Justice Act (\"EAJA\"), 28 U.S.C. § 2412. Federal courts have consistently held that § 853(n) proceedings are civil for the purposes of allowing a successful claimant to collect attorney's fees under the EAJA. *See United States v. Cox*, 575 F.3d 352, 355 (4th Cir. 2009); *United States v. Douglas*, 55 F.3d 584, 588 (11th Cir. 1995); *U.S. v. Bailey*, 2015 WL 1893610 at \\*20 (W.D.N.C. Apr. 27, 2015).\n\n## **IV. CONCLUSION**\n\n58. For the reasons stated above, Petitioner has an interest in Petitioner's Property, which renders the Forfeiture Order invalid as to such property. *See e.g.* 21 U.S.C. § 853(n)(6)(A). Defendant Wang does not have any right, title, or interest in Petitioner's Property, and never did. Petitioner has proven, and can prove at any necessary hearing, by preponderance of evidence that the Forfeiture Order needs to be amended to exclude Petitioner's Property.\n\n59. Therefore, Petitioner respectfully requests that this Court: (1) grant this Petition; (2) amend the Forfeiture Order to exclude Petitioner's Property; (3) order the immediate return of Petitioner's Property to Petitioner; (4) order that Petitioner is entitled to recover Petitioner's attorneys' fees and costs incurred in connection with this Petition and grant Petitioner leave to submit an application for such attorneys' fees and costs; and (5) grant such and other relief that is necessary and just.\n\nDated: April 2, 2025\n\nDated: April 2, 2025 Respectfully submitted,\n\n/s/ Jeffrey S. Gavenman Jeffrey S. Gavenman, Esq. Jeremy W. Schulman, Esq. SCHULMAN BHATTACHARYA, LLC 6116 Executive Boulevard, Suite 425 North Bethesda, MD 20852 (240) 356-8550 jgavenman@schulmanbh.com jschulman@schulmanbh.com\n\n/s/ Paul W. Butler Paul W. Butler, Esq. BUTLER LEGAL STRATEGIES 1201 Connecticut Avenue, NW, Suite 531 Washington, D.C. 20036 paul@butlerlegalstrategies.com *Counsel for Petitioner*\n\n# **ATTESTATION AND OATH**\n\nPursuant to 21 U.S.C. § 853(n)(3), I, \\_\\_ \\_\\_\\_\\_, attest and declare under penalty of perjury that my claim to this property is not frivolous and that the information provided\n\nin support of this claim is true and correct, to the best of my knowledge and belief.\n\nExecuted on this **6th** day of April, 2025\n\n![](_page_19_Picture_5.jpeg)","body_zh":"UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK（美国纽约南区联邦地区法院）\nUNITED STATES OF AMERICA（美利坚合众国）\n\n- v. -（诉）\n\nYVETTE WANG（王雁平，又名“Yanping”，又名“Y”）\n\n被告。\n\n第三方请求裁定请愿人对被没收财产之权益及修改初步没收令之请愿书——核实权利主张书\n\nS4 23 Cr. 118 (AT)\n\n请愿人（“请愿人”）依据 21 U.S.C. § 853(n) 及《联邦刑事诉讼规则》（Federal Rule of Criminal Procedure）第 32.2(c) 条提起本《第三方请求裁定请愿人对被没收财产之权益及修改初步没收令之请愿书》（“本请愿书”）。请愿人请求归还请愿人拥有合法权利、所有权和/或权益之资金（“请愿人财产”）（其定义详见下文），该等资金系美国政府（“政府”）作为与被告 Yvette Wang（王雁平，下称“被告王”）达成的没收令之一部分而不当扣押的资金。具体而言，当政府扣押以 Hamilton Opportunity Fund SPC 名义在 Silvergate Bank（银门银行）开设的账号为 5090042770 的银行账户（“2770 账户”）内的全部资金时，请愿人财产被政府不当扣押。然而，涉及 2770 账户内资金（包括请愿人财产）的任何没收令均属非法且不当，因为被告王对 2770 账户或请愿人财产均不享有任何合法权利、所有权或权益。因此，就请愿人财产而言，没收令（定义详见下文）归于无效，因为在导致没收令（定义见下文）的行为发生之时，请愿人财产的权利、所有权或权益属于请愿人而非被告王，且优于被告王的任何权利、所有权或权益。因此，本法院应当修改没收令，将请愿人财产从没收令中剔除，并命令政府立即将请愿人财产归还给请愿人。为支持请愿人的主张，请愿人陈述如下：\n\n一、初步陈述\n\n在政府起诉被告王和 Miles Guo（郭文贵，下称“被告郭”）之前扣押资产的过程中，2770 账户内的资金（包括请愿人财产）显然纯属“附带损害”。自 2770 账户被扣押以来已有两年半以上的时间，在此期间，从未有任何解释说明 2770 账户（包括请愿人财产）与被告王认罪的任何罪行有何关联，而这是依法作出有效没收令的必要前提条件。从未有任何证据表明被告王认罪的任何非法活动的任何收益曾存入 2770 账户；没有证据表明此类活动的任何收益曾与请愿人财产发生混同；而且事实上，没有证据表明被告王曾与 2770 账户有任何关系，甚至不知道其存在。\n\n如下文所述，请愿人是对请愿人财产设立的推定信托的受益人，请愿人财产在本案中不得被政府没收。无论被告王，还是如今代位其地位的政府，都从未证明他们对 2770 账户中的请愿人财产或对一般的 2770 账户享有任何权益。虽然被告王在没收令（ECF No. 488 第 2-3 页）中同意没收其在 2770 账户（并进而包括请愿人财产）中的“全部权利、所有权和权益”，但她的同意对 2770 账户或请愿人财产不具有法律效力。被告王在 2770 账户中从未拥有过此类“权利、所有权和权益”——没有证据表明她是 2770 账户的签字人、曾向 2770 账户存入款项或以其他方式对 2770 账户拥有任何控制权，也没有证据表明被告王曾直接或间接指示任何人向 2770 账户存入任何款项。被告王不能没收其并不拥有且不享有任何权益的财产。事实上，本法院似乎在最初就从未依据 Fed.R.Crim.P. 32.2.(b)(1)(A) 的要求确认过请愿人财产是否属于可被没收的范围。\n\n基于所有前述理由以及下文阐明的理由，请愿人谨请求本法院：(1) 批准本请愿书；(2) 修改没收令以排除请愿人财产；(3) 命令立即将请愿人财产归还给请愿人；(4) 裁定请愿人有权追索因本请愿书而发生的请愿人律师费及诉讼费用，并准许请愿人提交关于该等律师费及诉讼费用的申请；以及 (5) 准予必要且公正的其他救济。\n\n二、背景事实\n\nA. 请愿人财产\n\n1. 开曼群岛独立投资组合公司 Hamilton Opportunity Fund SPC（“Hamilton Opportunity Fund”）向请愿人提供了一份日期为 2022 年 1 月 20 日的发售备忘录（“《发售备忘录》”）。《发售备忘录》的真实准确副本作为附件 A 附于本请愿书之后。\n\n2. Hamilton Opportunity Fund 是一家“专门从事由投资管理人[定义见《发售备忘录》]选定的以长期资本增值为目标的股权投资的基金”。附件 A，《发售备忘录》第 33 页。投资管理人（定义见《发售备忘录》）确定了一项投资于某家银行（“数字银行”）（详见《发售备忘录》第 33 页）的机会。为进行该项投资，Hamilton Opportunity Fund 试图通过发行各类别的股份来筹集资金。同上，第 34 页。\n\n3. 《发售备忘录》向请愿人提供了认购 Hamilton Opportunity Fund 旗下一个独立投资组合——Hamilton M&A Fund SP（“并购基金”）归属的 B 类股份的机会。\n\n4. 被告王不是并购基金或 Hamilton Opportunity Fund 的董事或成员，在其他方面亦不享有并购基金或 Hamilton Opportunity Fund 的任何公司或股权权益。证据记录中没有任何相反的证据。\n\n5. 被告王未在并购基金中进行任何投资；同样，证据记录中没有任何相反的证据。\n\n6. 2022 年 2 月 1 日，请愿人向 Hamilton Opportunity Fund 提交了一份认购并购基金价值 $1,000,000.00 的 B 类股份的申请（“《认购协议》”）。《认购协议》的真实准确副本作为附件 B 附于本请愿书之后。\n\n7. 2022 年 2 月 1 日，Hamilton Opportunity Fund 代表并购基金批准并接受了《认购协议》。见附件 B，《认购协议》第 15 页。\n\n8. 2022 年 2 月 1 日，根据《认购协议》的条款，请愿人将 $1,000,000.00（“请愿人财产”）电汇至 Silvergate Bank 账号为 5090042770 的账户。电汇确认单的真实准确副本作为附件 C 附于本请愿书之后。\n\n9. 请愿人将请愿人财产电汇至的账户即为 2770 账户。\n\n10. 根据《发售备忘录》的条款，请愿人有权选择赎回请愿人的股份。附件 A，《发售备忘录》第 17 页；另见同上第 53 页（声明在遵守特定限制的前提下，“B 类股份可在任何赎回日根据股东的选择予以赎回”）。\n\n11. Hamilton Opportunity Fund 的资产“与本基金任何其他独立投资组合的资产及本基金的任何普通资产保持隔离、分开并可单独识别”。附件 A，《发售备忘录》第 12 页。此外，根据开曼群岛法律，Hamilton Opportunity Fund 有义务“隔离并保持隔离每个独立投资组合的投资组合资产，使其与任何其他独立投资组合的投资组合资产分开并可单独识别”。附件 A，《发售备忘录》第 22-23 页（引用开曼群岛《公司法（修订版）》第 XIV 部分第 219(6)(b) 条）。\n\nB. 扣押 2770 账户\n\n12. 2022 年 9 月 18 日，政府扣押了 2770 账户内的全部资金余额。\n\n13. 迄今为止，没有任何公开可得的文件说明政府扣押 2770 账户内资金具有何种合理根据（probable cause）。\n\nC. 针对被告王与被告郭的刑事案件及没收令\n\n14. 2023 年 3 月 6 日，政府对被告王和被告郭，以及从未被提审的第三名被告 William Je 提起了起诉书。ECF No. 2。\n\n15. 2024 年 5 月 3 日，政府对被告王提起了替代追诉书（“《替代追诉书》”）。ECF No. 325。《替代追诉书》指控被告王犯有一项共谋电信欺诈罪（罪名项一）（《替代追诉书》第 1-2 页）以及一项共谋洗钱罪（罪名项二）（《替代追诉书》第 2-4 页）。《替代追诉书》还包含一项没收指控（“没收指控”）。《替代追诉书》第 4 页。\n\n16. 同日，即 2024 年 5 月 3 日，被告王就《替代追诉书》中指控的罪名项一和罪名项二作出了认罪答辩。\n\n17. 同样在 2024 年 5 月 3 日，本法院签署了《关于特定财产/金钱判决的同意初步没收令》（“《原没收令》”）。ECF No. 329。\n\n18. 在《原没收令》中，被告王同意没收其在某些资产（包括 2770 账户）中的“全部权利、所有权和权益”，因为该等财产“构成被告个人获取的第一项罪名所指控之罪行的收益，和/或涉及[《替代追诉书》]第二项罪名所指控之罪行的财产”。《原没收令》第 2-6 页（强调为后加）。\n\n19. 被告郭对其被指控的任何罪行均未作认罪答辩。因此，于 2024 年 5 月 22 日至 2024 年 7 月 16 日期间进行了陪审团审理（“郭案审理”）。2024 年 7 月 16 日，陪审团裁定被告郭犯有敲诈勒索共谋罪、共谋电信欺诈罪、共谋洗钱罪、共谋证券欺诈罪、证券欺诈罪、电信欺诈罪及洗钱罪。ECF No. 395。截至本请愿书出具之日，被告郭尚未被判刑。\n\n20. 2025 年 1 月 6 日，被告王被判刑。\n\n21. 2025 年 1 月 7 日，本法院签署了《关于特定财产/金钱判决的同意初步没收令》（“《没收令》”）ECF No. 488。在涉及请愿人的部分，《没收令》在所有实质方面与《原没收令》大体相同。在《没收令》中，被告王同意没收其在某些资产（包括 2770 账户）中的“全部权利、所有权和权益”，因为该等财产“构成被告个人获取的第一项罪名所指控之罪行的收益，和/或涉及[《替代追诉书》]第二项罪名所指控之罪行的财产”。《没收令》第 2-11 页（强调为后加）。\n\n22. 2770 账户内的资产在《原没收令》和《没收令》中均被描述如下：\n\n原存放在 Silvergate Bank 账号为 5090042770、以“Hamilton Opportunity Fund SPC”名义开设并在 2022 年 9 月 18 日前后被政府扣押的 $89,992,861.75 美元货币 (23-FBl-000074)。\n\n《原没收令》第 3 页；《没收令》第 3 页。\n\n三、论证理由\n\n23. 在依据 21 U.S.C. § 853(n) 和《联邦刑事诉讼规则》（Federal Rule of Criminal Procedure）第 32.2(c)(1) 条进行的附随刑事没收程序中，本法院必须依据优势证据标准判定，请愿人是否对拟没收的财产享有合法权利、所有权或权益，以及该等权利、所有权或权益是否使没收令全部或部分无效，理由是该等权益在该财产被处以没收的行为发生时即已归属于请愿人而非被告，或优于被告的任何权利、所有权或权益。见 21 U.S.C. § 853(n)(6)(A)。\n\n24. 在本案中，依据 21 U.S.C. § 853(n)(6)(A)，请愿人凭借对该财产设立的推定信托，对请愿人财产享有合法权利、所有权或权益。此外，请愿人在请愿人财产中的权益既已归属于请愿人，且优于被告 Wang（王）在请愿人财产中拥有的任何权利，因为被告王在请愿人财产或 2770 账户中均不享有任何合法权利、所有权或权益。换言之，被告王无法没收其在 2770 账户中的权益，因为她不拥有任何理应受到刑事没收的权益。因此，没收令应予以修改以剔除请愿人财产，且请愿人财产应当归还给请愿人。\n\nA. 政府未能证明 2770 账户中的资金（包括请愿人财产）在最初即理应受到没收，从而使得针对该等资金的没收令并不正当\n\n25. 政府没有扣留请愿人财产的法定事由，因为没有任何证据表明政府曾证明过请愿人财产以及整个 2770 账户实际上属于依法可没收的财产，而这是《联邦刑事诉讼规则》第 32.2(b)(1)(A) 条所要求的。\n\n26. “当政府寻求获取没收令时，‘《联邦刑事诉讼规则》第 32.2(b)(1) 条……要求量刑法院根据适用成文法确定哪些财产应予以没收。’”U.S. v. Watts, 786 F.3d 152, 172 (2d Cir. 2015)（引用 U.S. v. Capoccia, 503 F.3d 103, 109 (2d Cir. 2007)）。依据《联邦刑事诉讼规则》第 32.2 条，“如果政府寻求没收特定财产，法院必须确定政府是否已确立该财产与犯罪行为之间所必需的关联性。”《联邦刑事诉讼规则》第 32.2(b)(1)(A) 条（强调为后加）；Watts, 786 F.3d at 172。“在诉讼程序的不同节点，政府承担着以不同确定性程度证明此项法律结论的举证责任：在起诉后听证会上达到合理根据的标准……或在法官审判或陪审团审判中达到优势证据的标准。”同上（强调为后加）（内部引文省略）。“然而，唯有在政府达到相关法定门槛时，涉案财产在任何法律意义上才能被视为‘应予以没收’。在此之前，当政府仅通过起诉书宣布其寻求没收的意图时，该财产仅被视为‘潜在可没收的’……或‘潜在应予以没收的’。”同上（内部引文省略）。\n\n27. 这意味着，在法院触及请愿人是否有权依据 § 853(n) 获退还财产这一问题之前，有必要首先确定争议财产在最初是否实际上属于可没收财产。若非如此，政府便没有扣押该财产的成文法授权。如果财产系被不当扣押，则无论请愿人是否符合 § 853(n) 所规定的标准，政府都必须退还被扣押的账户。参见例如 United States v. Delco Wire & Cable Co., 772 F. Supp. 1511, 1518 (E.D.PA, 1991)。\n\n28. 展开充分且完整的《联邦刑事诉讼规则》第 32.2(b)(1)(A) 条审查对于司法的公正实施至关重要。整个没收制度均建立在法院已进行了审查并确定该财产应予以没收的假定之上。在制定附随程序成文法时，国会选择在附随程序期间将举证责任置于第三方，因为“美国在刑事案件中届时已排除合理怀疑地证明了其没收指控。”S. REP. 98-225, 209, 1984 U.S.C.C.A.N. 3182, 3392。\n\n29. 在本案中，从未就 2770 账户与被告王被指控（并已认罪）的任何罪行之间是否存在关联性作出过认定，因此，请愿人被迫提交本请愿书。基于被告王和被告 Guo（郭）刑事案件中公开可得文件所包含的全部信息，政府在涉及 2770 账户的问题上无法胜诉。\n\n30. 在本案中，在替代起诉书（Superseding Information）中，政府就罪名项一（Count I）和罪名项二（Count II）均纳入了没收指控，并寻求没收特定财产。替代起诉书第 4 页。记录中没有任何证据表明政府曾试图证明、更不用说达到其举证责任来证明 2770 账户与被告王认罪的罪行之间存在关联性。\n\n31. 就罪名项一而言，没收指控声明，“由于实施了本替代起诉书罪名项一中所指控的电信诈骗罪行，被告 YVETTE WANG（王艳萍，又名“Yanping”，又名“Y”）应依据《美国法典》第 18 编第 981(a)(1)(C) 条1……及《美国法典》第 28 编第 2461(c) 条向美国没收构成或源自可追溯至实施上述罪行之收益的任何及所有财产（不动产与动产）。”替代起诉书第 4 页。政府必须以优势证据标准证明 18 U.S.C. § 981(a)(1)(C) 项下的没收要件。18 U.S.C. § 983(c)(1)。此外，“如果政府的没收理论主张该财产被用于实施或便利实施刑事犯罪，或参与了刑事犯罪的实施，政府应确立该财产与该犯罪之间存在实质性联系。”18 U.S.C. § 983(c)(3)。\n\n32. 记录中没有任何关于 2770 账户中的资金如何构成或源自可追溯至被告王共谋电信诈骗之收益的指控。替代起诉书指控称，“自至少约 2018 年起直至至少约 2023 年 3 月 15 日止，共谋者向投资者作出虚假陈述，称其对 GTV、喜马拉雅农场联盟（Himalaya Farm Alliance）组织和 GClubs 的投资将换取股票，且其对喜马拉雅交易所（Himalaya Exchange）的投资将换取加密货币[（下称“诈骗计划”）]。通过[诈骗计划]，被告王艳萍（又名“Yanping”，又名“Y”）及其包括 Miles Guo（郭文贵）在内的共谋者诱使投资者向郭控制的实体投资了超过 10 亿美元。”替代起诉书第 2 页。替代起诉书中没有任何关于被告王将诈骗计划的任何收益存入 2770 账户的指控。同样，替代起诉书中也没有任何指控称由于诈骗计划有任何投资者将资金存入了 2770 账户。\n\n1 18 U.S.C. § 981(a)(1)(C) 规定，“构成或源自可追溯至违反”各项特定罪行之收益的“任何财产（不动产或动产）[均应予以没收]”，包括违反 18 U.S.C. § 1343 电信诈骗罪，即罪名项一中对被告王指控的罪名。\n\n也不可能存在任何此类指控，因为存入 2770 账户的唯一款项来自向数字银行（Digital Bank）投资的投资者——该投资与替代起诉书中所描述的“诈骗计划”没有任何关联。可以肯定的是，请愿人确认请愿人从未成为替代起诉书中所指控的被告王任何行为的受害者，并且不认为请愿人财产中的任何部分曾被用于任何非法活动。\n\n33. 最后，在被告郭的审判期间，没有任何涉及 2770 账户的相关证词。没有任何关于诈骗计划的任何收益是否曾存入 2770 账户的证词，就此而言，也没有关于被告王是否曾向 2770 账户存入过任何款项的证词。简而言之，记录中没有任何迹象表明 2770 账户与被告王的电信诈骗指控之间存在关联性，更不用说有充分证据判定政府达到了其举证责任、且法院作出了正当裁判认定存在使没收 2770 账户成立的正当关联性。\n\n34. 就罪名项二而言，没收指控声明，“由于实施了本起诉书罪名项二中所指控的洗钱罪行，被告 YVETTE WANG（王艳萍，又名“Yanping”，又名“Y”）应依据《美国法典》第 18 编第 982(a)(1) 条2 向美国没收参与上述罪行的任何及所有财产（不动产与动产），或可追溯至该等财产的任何财产，包括但不限于代表参与上述罪行之财产数额的以美元计价的款项总额。”替代起诉书第 4 页。就罪名项二而言，政府“必须以优势证据标准证明 18 U.S.C. § 982(a)(1) 项下的没收要件。”U.S. v. Beltramea, 785 F.3d 287, 290 (8th Cir. 2015)。\n\n2 18 U.S.C. § 982(a)(1) 规定，“对被判定犯有违反本编第 1956 条[洗钱成文法]之罪行的人判处刑罚的法院……应命令该人向美国没收参与该罪行的任何财产（不动产或动产），或可追溯至该等财产的任何财产。”18 U.S.C. § 982(a)(1)（强调为后加）。\n\n35. 替代起诉书指控被告王犯有共谋洗钱罪，因为被告王“明知涉及某些金融交易的财产代表某种形式非法活动的收益，仍愿意并确实进行及试图进行该等金融交易……且该等交易实际上涉及特定非法活动的收益，即本起诉书罪名项一中所指控的电信诈骗计划的收益。”替代起诉书第 3 页。\n\n36. 目前尚不清楚 2770 账户何以能因罪名项二的洗钱指控而被没收。从指控来看，洗钱指控源于被告王利用“罪名项一中所指控的电信诈骗计划的收益”进行金融交易。替代起诉书第 3 页。如上文所述，没有任何证据表明 2770 账户中的资金与罪名项一所指控的诈骗计划有任何关联（见上文第 31-33 段）——没有任何证据表明该等资金“构成或源自可追溯至实施”电信诈骗“的收益”。参见例如 18 U.S.C. § 981(a)(1)(C)。由于 2770 账户中的资金既非诈骗计划的收益，亦非源自诈骗计划的收益，因此该等资金不能作为罪名项二洗钱指控的依据，也不能作为被告王在罪名项二定罪的一部分予以没收。\n\n37. 政府为支持洗钱指控而指控的公开行为进一步未能表明 2770 账户中的资金何以属于可没收财产。在替代起诉书中，政府列出了证明洗钱的两项行为。替代起诉书第 3 页。尽管政府声称这两项公开行为是被告王为推进被指控的共谋洗钱而实施的“包括但不限于”的行为（替代起诉书第 3 页），但这些其他行为从未被明确指出。\n\n38. 首先，根据替代起诉书（Superseding Information），2020年5月20日，被告Wang（王）以GTV的名义开立了一个银行账户，而值得注意的是，2770账户「并非」该账户。《替代起诉书》第3页。2020年6月2日，被告Wang向该账户转账约2亿美元。同上。转入GTV账户的资金来自Saraca Media Group, Inc.（萨拉卡媒体集团股份有限公司，简称“Saraca”）持有的JP Morgan Chase Bank（摩根大通银行）账户（Guo Trial［郭案庭审］，2024年5月31日，953:25-954:4；Guo Trial，2024年6月26日，4359:1-14），而「并非」来自2770账户。从未有任何证词表明有任何资金曾从2770账户进入Saraca的摩根大通银行账户，进而再转入《替代起诉书》中提及的GTV账户。此外，2770账户在2020年甚至根本不存在。\n\n39. 政府指控的第二项行为是“在2020年6月5日或前后”，被告Wang“授权从GTV的母公司Saraca向一家高风险对冲基金电汇1亿美元，以使Saraca及其最终受益所有人——被告Guo（郭）的儿子受益。”《替代起诉书》第3-4页。首先，这明确指控资金是从Saraca账户转出的，而事实证明2770账户显然不是该账户。同样，也从未有任何证词表明有任何资金曾从2770账户进入Saraca账户。而且，再次强调，2770账户在2020年甚至根本不存在。\n\n40. 从上述论证可以看出，根本没有任何关于2770账户的指控或证词。记录中对2770账户的「唯一」提及，是被告Wang同意将其没收。然而，“被告对没收的同意［并未］废除在拟没收财产与被定罪罪行之间必须存在关联性的要求。”*Beltramea*, 785 F.3d at 291。正如Eighth Circuit（第八巡回法院）所强调的那样，“地区法院负有独立职责，以「确保」存在所要求的关联性。”同上（后加强调）。\n\n41. 在本案中，《替代起诉书》、原没收裁定或《没收裁定》中均没有任何事实指控，甚至没有指控2770账户与被告Wang认罪答辩的罪行之间存在哪怕是所谓的关联性。\n\n42. 政府在未证明存在关联性的情况下继续扣留2770账户中的资金，是错误的且不符合衡平原则的。如果政府保留2770账户中的资金，将构成不当得利，因为这些资金属于第三方，包括请愿人（Petitioner），而这些第三方（1）既不是被告Wang也不是被告Guo；并且（2）没有参与诈骗计划（Fraud Scheme），更不是该计划的受害者。参见，例如，*U.S. v. Bajakajian*, 524 U.S. 321, 332 (1998)（解释刑事“没收不具有补偿目的，旨在惩罚违法者，「且不能对无辜所有权人施加」。”）（后加强调）。\n\nB. 请愿人对请愿人财产享有权益，因为该等财产上存在拟制信托\n\n43. 即使抛开政府未能恰当证明2770账户中的资金属于《替代起诉书》中所指控的任何活动的一部分不谈，请愿人财产也应当归还给请愿人，因为请愿人对该财产享有的权益大于被告Wang或如今承继其地位的政府所享有的权益。\n\n44. 根据拟制信托法理，无论存在任何其他所有权主张，包括被告Wang或代表其地位的政府的主张，请愿人财产均受到保护并仍为请愿人的财产。Second Circuit（第二巡回法院）3裁定，“就类似于21 U.S.C. § 853(n)(6)(A)的没收法规而言，拟制信托符合‘对财产的合法权利、所有权或权益’，且‘可能优于’被告的权益。”*Willis Mgmt. (Vermont), Ltd. v. United States*, 652 F.3d 236, 242 (2d Cir. 2011)。\n\n45. “拟制信托是一种衡平法救济，「必须具备灵活性以实现其目的」。”*Counihan v. Allstate Ins. Co*., 194 F.3d 357, 361 (2d Cir. 1999)（后加强调）。“其目的是防止不当得利，尽管不当得利并不必然涉及实施不法行为……所必需的是，法院认定某一方持有财产的「情形，使得依照衡平法与良知其不应保留该财产」。”同上（内部引用省略）。\n\n46. “一方是否构成不当得利，是通过适用衡平法原则得出的法律结论……衡平法院在判定拟制信托时不受任何死板公式的束缚。交易的衡平性必须决定救济的限度……当一人保留了一项利益，而根据转让的情形并考虑到当事人之间的关系，保留该利益是不公平时，即构成不当得利。”同上（内部\n\n3 “联邦普通法冲突法规则是适用对诉讼具有最大重大利益的管辖区的法律。”*In re Koreag, Controle et Revision S.A.*, 961 F.2d 341, 350 (2d Cir. 1992), *aff'd in part sub nom. Refco F/X Assocs., Inc. v. Mebco Bank, S.A*., No. 89 CIV. 3071 (WK), 1992 WL 200748 (S.D.N.Y. July 31, 1992)。在本案中，有三个可能适用其法律的竞合管辖区：New York（纽约州）、California（加利福尼亚州）和Cayman Islands（开曼群岛）。请愿人支付请愿人财产是依据《认购协议》（Subscription Agreement）进行的，该协议受开曼群岛法律管辖。参见附件B（Exhibit B），《认购协议》第8页，第2(s)段。在请愿人存入请愿人财产时，2770账户「曾是」一家加利福尼亚州银行的账户。由于2770账户已被扣押（依据New York state［纽约州］法院签发的搜查与扣押令），该等资金现由位于纽约的政府占有。纽约是本案的法院地州。根据这些事实，纽约对本诉讼具有最大重大利益，设立拟制信托应当适用其法律。然而，在政府质疑此法律适用决定的范围内，请愿人保留请求本法院根据加利福尼亚州和/或开曼群岛法律在请愿人财产上设立拟制信托的一切权利。\n\n引用省略）。\n\n47. New York Court of Appeals（纽约州上诉法院）概述了在确定特定情形下是否应设立拟制信托时应考虑的若干因素，包括“(1) 保密或信义关系，(2) 承诺，(3) 基于对该承诺的信赖而进行的转让，以及 (4) 不当得利。”*Sharp v. Kosmalski*, 40 N.Y.2d 119, 121 (1976)。然而，纽约州各法院长期以来一直认为，“这些因素仅是有用的指引，而非绝对法则。”*Counihan*, 194 F.3d at 362（引用了大量阐明该观点的纽约州案件）。\n\n48. 在本案中，自请愿人财产存入2770账户之日起，即存在一项为请愿人利益而设立的覆盖该财产的拟制信托。\n\n49. 请愿人在签署《认购协议》以收购Hamilton M&A Fund SP的某些B类股份时，与Hamilton Opportunity Fund（汉密尔顿机遇基金）建立了保密和/或信义关系4。根据《认购协议》，Hamilton Opportunity Fund SPC向请愿人做出承诺，请愿人财产将被投资于数字银行（Digital Bank）。基于对该承诺的信赖，请愿人按照《认购协议》中的指示将请愿人财产电汇至2770账户。政府对2770账户的不当扣押，迫使Hamilton Opportunity Fund SPC违反了将请愿人财产投资于数字银行的承诺。由于政府的扣押，请愿人甚至无法行使其赎回权（Right of Redemption）以取回请愿人财产。这将\n\n4 即使法院认定Hamilton Opportunity Fund与请愿人之间不存在保密关系和/或不存在信义关系，该认定也不具有决定性，因为缺乏信义关系并不妨碍法院认定存在拟制信托。参见*Koreag*, 961 F.2d at 353（指出“然而，我们不认为［当事人之间］缺乏信义关系就会自动否定拟制信托的权利主张。尽管信义关系是纽约州法院列举的因素之一，但当衡平法另有要求时，缺少任何单一因素本身并不会阻碍拟制信托的设立”）。\n\n导致政府获得不当得利，因为政府目前在没有任何合法理由的情况下保留着请愿人财产。参见，例如，*U.S. v. Coluccio*, 51 F.3d 337, 340 (2nd Cir. 1995)（认定设立拟制信托是正当的，原因包括政府的没收导致了对默示承诺的违反）；*Torres v. $36,256.80 U.S. Currency*, 25 F.3d 1154, 1159 (2d Cir. 1994)（认定拟制信托是恰当的，其中指出“政府的没收迫使该承诺被违反，这可能导致政府潜在的不当得利（以及［原告］相应的不当受损）。”）\n\n50. 因此，请愿人已证明应当在请愿人财产上设立拟制信托。就类似于21 U.S.C. § 853(n)(6)(A)的没收法规而言，此种拟制信托“符合‘对财产的合法权利、所有权或权益’，且‘可能优于’被告的权益。”*Willis*, 652 F.3d at 242。\n\n51. 寻求设立拟制信托的财产——请愿人财产——是易于追溯的。参见附件C（Exhibit C）。\n\n52. 此外，即使政府主张其他主体有权从任何被没收财产中获得赔偿，请愿人也完全可以请求设立拟制信托。“当一方当事人无需借助虚构或推定即可直接追溯其资产时，即使在涉及多名诈骗受害人的案件中，亦可适用拟制信托。”*U.S. v. Ovid*, 2012 WL 2087084, *7 (E.D.N.Y., Jun. 8, 2012)。“当权利主张人能够直接追溯其财产时，即使这会使一名无辜受害人的处境优于另一名同样无辜的受害人，法院亦无权忽视拟制信托法。”同上。涉及多起诈骗案件的“传统处理方式”是“将可识别的资产返还给其所有权人，仅在无法进行具体识别或交易追溯时，才采用按比例分配。”同上，第*8页（引用《侵权法与不当得利法重述（第三版）》（Restatement (Third) of Restitution & Unjust Enrichment）第59条报告人注释G，第437页）。\n\nC. 请愿人对请愿人财产享有优先权益\n\n53. 请愿人对请愿人财产享有的权益，绝对优于政府或被告Wang在请愿人财产中可能享有的任何权益。\n\n54. 21 U.S.C. § 853(n)明确规定，除了请愿人对被没收财产享有的权益外，请愿人还必须以优势证据证明，请愿人的权益“使得没收命令全部或部分无效，因为在该等行为发生时（即根据本条引发财产没收的行为发生时），该权利、所有权或权益归属于请愿人「而非被告」，或优于「被告」的任何权利、所有权或权益。”21 U.S.C. § 853(n)(6)(A)（后加强调）。\n\n55. 在本案中，如上所述，被告Wang从未对请愿人财产或2770账户享有任何权益；事实上，记录中对于被告Wang、诈骗计划与2770账户之间存在何种关系完全未予提及。\n\n56. 显而易见的是，政府和被告Wang都不能主张他们对一项从未享有过权益的财产拥有优先权益。同样，被告Wang也不能没收她在其并无权益的财产中的权益。\n\nD. 请愿人有权获得诉讼费用和律师费\n\n57. 请愿人已被迫聘请法律顾问，并为提交本请愿书以主张请愿人对请愿人财产的权利及对请愿人财产的没收提出异议而产生了费用。在本程序中胜诉后，请愿人保留追索与本请愿书相关的一切律师费和费用的全部权利，并可根据《平等获取司法机会法》（Equal Access to Justice Act，简称“EAJA”），28 U.S.C. § 2412 追索请愿人的费用和合理的律师费。联邦法院一贯认定，出于允许胜诉权利人根据 EAJA 收取律师费之目的，§ 853(n) 程序属于民事性质。参见 United States v. Cox, 575 F.3d 352, 355 (4th Cir. 2009)；United States v. Douglas, 55 F.3d 584, 588 (11th Cir. 1995)；U.S. v. Bailey, 2015 WL 1893610 at *20 (W.D.N.C. Apr. 27, 2015)。\n\nIV. 结论\n\n58. 基于上述理由，请愿人对请愿人财产享有权益，这使得没收裁定就该等财产而言无效。参见例如 21 U.S.C. § 853(n)(6)(A)。被告 Wang（王）对请愿人财产不享有任何权利、所有权或权益，且从未享有过。请愿人已证明，并能在任何必要的听证会上以证据优势证明，没收裁定需要进行修正以排除请愿人财产。\n\n59. 因此，请愿人谨请求本法院：(1) 准许本请愿书；(2) 修正没收裁定以排除请愿人财产；(3) 裁定立即将请愿人财产归还给请愿人；(4) 裁定请愿人有权追索与本请愿书相关的请愿人律师费及费用，并准许请愿人提交关于该等律师费及费用的申请；以及 (5) 准予必要且公正的此类及其他救济。\n\n日期：April 2, 2025\n\n日期：April 2, 2025 谨此呈递，\n\n/s/ Jeffrey S. Gavenman\nJeffrey S. Gavenman（杰弗里·S·加文曼）律师\nJeremy W. Schulman（杰里米·W·舒尔曼）律师\nSCHULMAN BHATTACHARYA, LLC\n6116 Executive Boulevard, Suite 425\nNorth Bethesda, MD 20852\n(240) 356-8550\njgavenman@schulmanbh.com\njschulman@schulmanbh.com\n\n/s/ Paul W. Butler\nPaul W. Butler（保罗·W·巴特勒）律师\nBUTLER LEGAL STRATEGIES\n1201 Connecticut Avenue, NW, Suite 531\nWashington, D.C. 20036\npaul@butlerlegalstrategies.com\n请愿人律师\n\n宣誓及证明\n\n根据 21 U.S.C. § 853(n)(3)，本人______，在受伪证罪处罚的约束下证明并声明，本人对该财产的主张并非无理缠诉，且据本人所知所信，为支持该主张所提供的信息均属真实无误。\n\n签署于 2025年4月6日","key_entities":["forfeiture","Guo","Je","853(n)","Saraca","GTV","Gavenman","Miles Guo","Himalaya","William Je","Torres","Himalaya Exchange"],"ecf_references":[{"doc_number":2,"court":"SDNY"},{"doc_number":325,"court":"SDNY"},{"doc_number":329,"court":"SDNY"},{"doc_number":395,"court":"SDNY"},{"doc_number":488,"court":"SDNY"}],"word_count":5975,"status":"published","published_at":"2025-04-07 00:00:00","created_at":"2025-04-07","updated_at":"2026-08-23 07:47:30"}