美国证券交易委员会诉郭文贵等人诉讼公告（第25668号，源文未载发布日期）中英对照全文

美国证券交易委员会今日指控，流亡海外的中国商人郭文贵及其财务顾问余建明参与了未经注册且具有欺诈性质的发行活动，募集资金逾8.5亿美元。

The Securities and Exchange Commission today charged exiled Chinese businessman Miles Guo and his financial advisor William Je for their involvement in unregistered and fraudulent offerings that raised more than $850 million.

根据美国证券交易委员会的起诉状，自2020年4月起，郭文贵（亦名 Ho Wan Kwok、Miles Kwok、Wengui Guo 和 Brother Seven）及其长期财务顾问余建明（亦名 Kin Ming Je）挪用所募投资者资金中的很大一部分，为自己及家人牟利；这些家庭成员被列为救济被告。

According to the SEC's complaint, since April 2020, Guo, also known as Ho Wan Kwok, Miles Kwok, Wengui Guo, and Brother Seven, and his longtime financial advisor, Je, also known as Kin Ming Je, misappropriated a large portion of the funds raised from investors to enrich themselves and their family members, who are named as relief defendants.

例如，据指控，在 GTV Media Group, Inc.（GTV）普通股的一项私募发行中，郭文贵和余建明将1亿美元投资者资金转入一家对冲基金，使郭文贵之子拥有的一家公司成为唯一受益方。

For example, in connection with a private placement offering of common stock in GTV Media Group, Inc. (GTV), Guo and Je allegedly diverted $100 million of investor funds to a hedge fund for the sole benefit of a company that is owned by Guo's son.

此外，据指控，郭文贵挪用另外两项发行中向投资者募集的资金，用于支付自己及家人的生活开支，包括挪用约4,000万美元在新泽西州购买并翻修一座豪宅，以及挪用350万美元为其子购买一辆法拉利汽车。

Additionally, Guo allegedly misappropriated investor proceeds in two other offerings to fund his and his family's lifestyle, including misappropriating approximately $40 million to purchase and renovate a mansion in New Jersey and $3.5 million to purchase a Ferrari for his son.

美国证券交易委员会还指控郭文贵、设于波多黎各及纽约的 G Club Operations LLC，以及设于纽约的 Mountains of Spices LLC 在上述发行活动中违反证券法的注册规定。

The SEC also charged Guo and Puerto Rico and New York-based G Club Operations LLC and New York-based Mountains of Spices LLC with violations of the registration provisions of the securities laws in connection with these offerings.

第四项发行涉及一种称为“H-Coin”“Himalaya Coin”或“HCN”的加密资产证券及一种相关的所谓稳定币，向投资者募集了数亿美元；就该项发行，只有郭文贵受到指控。

A fourth offering, for which Guo alone is charged, raised hundreds of millions of dollars from investors through a crypto asset security referred to as "H-Coin," "Himalaya Coin," or "HCN" and a related purported stablecoin.

此外，据指控，至少自2021年10月起，郭文贵向 H-Coin 的潜在投资者作出重大虚假陈述，谎称 H-Coin 价值的20%由黄金支持，并称其本人将赔偿投资者可能遭受的任何损失。

In addition, since at least October 2021, Guo allegedly has made material misrepresentations to prospective investors in H-Coin, falsely stating that 20 percent of H-Coin's value was backed by gold and that he would personally compensate investors for any potential losses.

美国证券交易委员会向曼哈顿联邦法院提交的起诉状指控，郭文贵和余建明违反《1933年证券法》第17(a)条、《1934年证券交易法》第10(b)条及依据该法制定的第10b-5条规则中的反欺诈规定。

The SEC's complaint, filed in federal court in Manhattan, charges Guo and Je with violating the antifraud provisions of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder.

起诉状还指控郭文贵、G Club Operations 及 Mountains of Spices 违反《1933年证券法》第5(a)及5(c)条的注册规定。

The complaint also charges Guo, G Club Operations, and Mountains of Spices with violating the registration provisions of Sections 5(a) and (c) of the Securities Act of 1933.

此外，起诉状指控余建明协助并教唆郭文贵违反证券法的反欺诈规定，并将郭文贵的家庭成员 Mei Guo、Qiang Guo、Hing Chi Ngok 及余建明的配偶 Sin Ting Rong 列为救济被告。

Additionally, the complaint charges Je with aiding and abetting Guo's violations of the antifraud provisions of the securities laws, and names as relief defendants Guo's family members, Mei Guo, Qiang Guo, Hing Chi Ngok, and Je's spouse, Sin Ting Rong.

美国证券交易委员会在起诉状中请求法院颁布永久禁令，责令吐出非法所得、支付民事罚款，并施加董事高管任职禁令。

The SEC's complaint seeks permanent injunctions, disgorgement of ill-gotten gains, civil penalties, and officer and director bars.

美国证券交易委员会还在起诉状中请求法院颁布针对特定行为的禁令，禁止郭文贵参与任何证券（包括加密资产证券）的发行、购买、要约或销售，但为其本人个人账户进行的交易除外。

The SEC's complaint also seeks a conduct-based injunction that prohibits Guo from participating in the issuance, purchase, offer, or sale of any securities, including crypto asset securities, other than for his own personal accounts.

在另行开展的执法行动中，美国纽约南区联邦检察官办公室今日宣布对郭文贵和余建明提出指控。

In a parallel action, the U.S. Attorney's Office for the Southern District of New York today announced charges against Guo and Je.

在一宗相关案件中，美国证券交易委员会于2021年9月指控 GTV 及另外两家实体非法发行未经注册的 GTV 普通股，并指控 GTV 及其母公司非法发行未经注册、称为 G-Coins 或 G-Dollars 的加密资产证券。

In a related matter, in September 2021, the SEC charged GTV and two other entities with conducting an illegal unregistered offering of the company's common stock and GTV and its parent company with an illegal unregistered offering of a crypto asset security referred to as either G-Coins or G-Dollars.

此后，美国证券交易委员会向 GTV 及另外两家被指控实体收取了逾4.54亿美元的吐出非法所得款项、判决前利息及罚款，其中包括此前转入上述对冲基金的约7,000万美元。

The SEC subsequently collected more than $454 million in disgorgement, prejudgment interest, and penalties, including approximately $70 million previously transferred to the hedge fund discussed above, from GTV and two other charged entities.

美国证券交易委员会正在将已收取的款项分配给受损投资者。

The SEC is distributing the funds collected to harmed investors.

美国证券交易委员会正在进行的调查由 William Conway、Amanda Rios、Kerri Palen、Daniel Loss 和 Sandeep Satwalekar 负责。

The SEC's continuing investigation is being conducted by William Conway, Amanda Rios, Kerri Palen, Daniel Loss, and Sandeep Satwalekar.

本案由 Thomas P. Smith, Jr. 督导。

The case is being supervised by Thomas P. Smith, Jr.

美国证券交易委员会的诉讼工作将由 Loss 先生、Conway 先生和 Rios 女士牵头。

The SEC's litigation will be led by Mr. Loss, Mr. Conway, and Ms. Rios.

美国证券交易委员会感谢美国纽约南区联邦检察官办公室、美国联邦调查局及多个国际监管机构提供的协助。

The SEC appreciates the assistance of the U.S. Attorney's Office for the Southern District of New York, the FBI, and multiple international regulators.