博文
周华康（又名：David Zhou）和华纳技术投资公司
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美利坚合众国
美国证券交易委员会
1934年证券交易法
2013年10月23日 新闻发布第70749号
行政程序第3-15586号
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关于
周华康（又名：David Zhou）和
华纳技术投资公司
作为被告人
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依据1934年美国证券交易法的15（b）条款
事实调查和实施补救措施
颁布行政命令
1,
美国证券交易委员会（委员会）认为：依据1934年美国证券交易法的15（b）条款， 针对周华康（又名：David Zhou）（周）和华纳技术投资公司（华纳投资），颁布行政命令， 是恰当的，是符合公众的利益的，是符合公众司法程序的。
2，
为了完成这些程序的执行， 被告人，已经提交了和解协议书（主动协议）。对此，本委员会决定接受。 本委员会， 处于这些行政程序提出和执行的目的， 本委员会，成了原告一方。即没有接受也没有否认这里的事实， 除了本委员会对被告的管辖权和 本文第三部分的事实和行政程序的问题， 被告都接受了， 被告现在同意本委员会依据1934年美国证券交易法的15（b）条款、事实调查和实施补救措施， 颁布行政命令， 细节在下文里。
3， 根据本次命令和被告人的主动协议，本委员会，找到下列事实：
1） 周是华纳投资的总裁。 周没有任何从事证券买卖的执照，然而， 在周所从事的下列指控的行为当中， 周作为没有登记的经纪人而行动。 另外，周参与了 中国英霞国际公司的股票发行和买卖。 中国英霞股票 （China Yingxia）， 是一美分，一股的仙股。 周，62岁，是新泽西州的居民。
2） 华纳投资，是在新泽西州注册的顾问公司， 为中国的私营企业服务， 帮助他们反向并购，募集资本， 和上市运作， 比如，聘请独立的审计师、行政官员和主任， 律师，和向证券会提交材料。通过周，华纳投资， 作为一个顾问公司， 对众多的中国公司， 实施了反向并购。华纳投资，从来没有在本委员会注册登记过，然而， 至少在很长的一段时间内，尤其是在在下面被指控的行为当中，华纳投资， 作为没有登记的经纪人而行动。 另外，华纳投资，参与了 中国英霞国际公司的股票发行和买卖， 而该公司的股票是 一美分，一股的仙股。
3） 2013年 10月18日， 针对周和华纳投资的法庭最后的民事判决生效了。 “美国证券会指控周华康（又名：David Zhou）和华纳技术投资公司”的民事案件号码是 No-12-Civ-8987。美国地方法院-纽约南区法庭的判决如下：该判决书判决周华康和华纳投资公司，永久性不再违反美国1933年证券交易法的第5章17（a）条款， 和1934年证券交易法的第10章10（b）条款、13（d）条款、15（a）条款、16（a）条款, 以及规章10b-5条款、13d-1条款、 13d-2条款和16a-3条款。 法庭同时判决，周和华纳投资， 必须支付罚款$983，375美金, 支付判决前的罚款利息$82，449美金， 周必须个人支付罚款40万美金（$400, 000）。
4） 美国证券会指控：周和华纳投资， 作为众多中国公司来美反向并购的金融顾问， 从2007开始，至少到2010期间，联系到很多的客户， 阴谋从事上市：通过操纵交易和制造出股东数量，来满足上市的要求， 让客户公司登陆一家美国证券交易所。 美国证券会进一步指控： 周和华纳投资，张罗材料，制造虚假声明，故意省略信息， 使用一家客户公司的非法所得，用于另外一家公司的上市。 另外，美国证券会，也指控周和华纳投资， 没有披露持股的数量和交易细节、出售没有登记的证券、不是注册的经纪人、帮助和教唆其他的没有注册登记的经纪人从事非法的活动。
4，
基于上述事实， 本委员会认为：接受被告人周和华纳投资的主动协议，是恰当的， 颁布此禁令，是符合大众利益的。
因此， 本委员会，依据美国证券交易法的15（b）（6）条款， 针对被告人周和华纳投资， 颁布命令如下：
禁止周和华纳投资，不再同下列人员有任何的联系 ， 如， 投资顾问、经纪人、交易员、城市股票交易员、城市顾问、股票转让代理人、全国公认的数据统计和评估机构 ; 禁止周和华纳投资不再参与一美分股票的任何形式的交易， 包括作为股票的推销人员、介绍人、顾问、代理人、或是同经纪人或股票交易员有关的任何其他的人员， 或者是股票的发行人， 或者是一美分一股的仙股， 包括买卖一美分一股仙股的任何企图，都是禁止的。此禁令有效期5年。 5年之后， 被告人有权， 向有关自律的机构申请， 或者，没有如此的机构，可以直接向本委员会申请。
被告人任何的重新申请， 必须符合有关的法律法规，重新申请进入的程序， 取决于很多的因素， 包括， 但不局限于， 要满足下列的条件： 1）处罚的款项是否都交清了，不管证券会是否 完全或部分豁免了此项处罚罚款； 2） 同证券会命令的有关行为的任何的裁决报答； 3）任何自律机构对一个客户的裁决报答， 不管此报答是否针对证券会的行政命令； 4）任何自律机构的重新的命令， 不管是否针对本委员会命令的行为。
本委员会， 特此公告！
秘书
伊丽莎白. M. 穆菲
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本文是本人依据下列英语原文翻译而成的。
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附英文原文如下：
Huakang Zhou (a/k/a David Zhou) and Warner
UNITED STATES OF AMERICA
Before the
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 70749 / October 23, 2013
ADMINISTRATIVE PROCEEDING
File No. 3-15586
In the Matter of
HUAKANG ZHOU
(A/K/A DAVID ZHOU) and
WARNER TECHNOLOGY
AND INVESTMENT
CORPORATION,
Respondents.
ORDER INSTITUTING
ADMINISTRATIVE
PROCEEDINGS PURSUANT TO
SECTION 15(b) OF THE
SECURITIES EXCHANGE ACT OF
1934, MAKING FINDINGS, AND
IMPOSING REMEDIAL
SANCTIONS
I.
The Securities and Exchange Commission (“Commission”) deems it appropriate and in the public interest that public administrative proceedings be, and hereby are, instituted pursuant to Section 15(b) of the Securities Exchange Act of 1934 (“ExchangeAct”) against Huakang Zhou (a/k/a David Zhou) (“Zhou”) and Warner Technology and Investment Corporation (“Warner Investment” or together with Zhou, “Respondents”).
II.
In anticipation of the institution of these proceedings, Respondents have
submitted an Offer of Settlement (the “Offer”), which the Commission has determined to
accept. Solely for the purpose of these proceedings and any other proceedings brought
by or on behalf of the Commission, or to which the Commission is a party, and without
admitting or denying the findings herein, except as to the Commission’s jurisdiction over
Respondents and the subject matter of these proceedings and the findings contained in
Section III.3. below, which are admitted, Respondents consent to the entry of this Order
Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities
Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (“Order”), as
set forth below.
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III.
On the basis of this Order and Respondents’ Offer, the Commission finds that:
1. Zhou is the president of Warner Investment. Zhou does not have
any securities licenses; however, for at least a portion of the time in which Zhou engaged
in the conduct underlying the complaint described further below, Zhou acted as an
unregistered broker. Further, Zhou participated in an offering of China Yingxia
International, Inc. (“China Yingxia”) stock, which was a penny stock. Zhou, 62 years
old, is a resident of the state of New Jersey.
2. Warner Investment is a New Jersey-based consulting firm that
works with private Chinese companies, assisting them in their reverse mergers, capital
raises, and operations as publicly-traded companies, such as retaining independent
auditors, officers and directors, and counsel, and filing reports with the Commission.
Through Zhou, Warner Investment acted as a consultant to, and facilitated the reverse
merger of, numerous Chinese companies. Warner Investment has never been registered
with the Commission in any capacity; however, for at least a portion of the time in which
Warner Investment engaged in the conduct underlying the complaint described further
below, Warner Investment acted as an unregistered broker. Further, Warner Investment
participated in an offering of China Yingxia stock, which was a penny stock.
3. On October 18, 2013 a final judgment was entered by consent
against Zhou and Warner Investment in the civil action entitled Securities and Exchange
Commission v. Huakang Zhou (a/k/a David Zhou) and Warner Technology and
Investment Corporation, Civil Action Number 12-Civ-8987, in the United States District
Court for the Southern District of New York, permanently enjoining Zhou and Warner
Investment from violating Sections 5 and 17(a) of the Securities Act of 1933 (“Securities
Act”), Sections 10(b), 13(d), 15(a), and 16(a) of the Exchange Act and Rules 10b-5, 13d-
1, 13d-2, and 16a-3 thereunder. Under the final judgment, Zhou and Warner Investment
are liable to pay disgorgement in the amount of $983,375, plus prejudgment interest thereon
in the amount of $82,449, and Zhou is liable to pay civil penalties in the amount of
$400,000.
4. The Commission’s complaint alleged that Zhou and Warner
Investment, consultants to numerous Chinese reverse merger companies, in connection
with such work for various clients from 2007 through at least 2010, engaged in a scheme
to list one client on a national securities exchange through manipulative trading and by
facilitating in effect an artificial shareholder base sufficient for listing. Further, the
complaint alleged that Zhou and Warner Investment made material misstatements and
omissions in connection with an offering for another client through the misuse of
proceeds. The complaint also alleged that Zhou and Warner Investment did not disclose
certain holdings and transactions; sold unregistered securities; and acted as unregistered
brokers and aided and abetted others’ unregistered broker activity.
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IV.
In view of the foregoing, the Commission deems it appropriate and in the public
interest to impose the sanctions agreed to in Respondents Zhou and Warner Investment’s
Offer.
Accordingly, it is hereby ORDERED pursuant to Section 15(b)(6) of the Exchange
Act that Respondents Zhou and Warner Investment be, and hereby are:
barred from association with any broker, dealer, investment adviser, municipal
securities dealer, municipal advisor, transfer agent, or nationally recognized
statistical rating organization; barred from participating in any offering of a penny
stock, including: acting as a promoter, finder, consultant, agent or other person
who engages in activities with a broker, dealer or issuer for purposes of the
issuance or trading in any penny stock, or inducing or attempting to induce the
purchase or sale of any penny stock, with the right to apply for reentry after five
years to the appropriate self-regulatory organization, or if there is none, to the
Commission.
Any reapplication for association by the Respondents will be subject to the
applicable laws and regulations governing the reentry process, and reentry may be
conditioned upon a number of factors, including, but not limited to, the satisfaction of
any or all of the following: (a) any disgorgement ordered against the Respondents,
whether or not the Commission has fully or partially waived payment of such
disgorgement; (b) any arbitration award related to the conduct that served as the basis for
the Commission order; (c) any self-regulatory organization arbitration award to a
customer, whether or not related to the conduct that served as the basis for the
Commission order; and (d) any restitution order by a self-regulatory organization,
whether or not related to the conduct that served as the basis for the Commission order.
By the Commission.
Elizabeth M. Murphy
Secretary
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