{"id":"court_ctb_1067_0","court":"CTB","case_no":"22-50073","doc_number":1067,"sub_number":0,"doc_type":"ORDER","filed_date":null,"title":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION In re:","summary_zh":null,"summary_en":null,"body_en":"## **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\nIn re:\n\nHO WAN KWOK,\n\nChapter 11\n\nCase No: 22-50073 (JAM)\n\nDebtor.\n\n## **THE DEBTOR'S CLAWBACK NOTICE**\n\nPursuant to the Bankruptcy Court's October 13, 2022, Order Granting Motion for Entry of Order Authorizing Compliance with Rule 2004 Subpoenas and Enforcing Consent Order Regarding Control of Attorney-Client Privilege and Work Product Protection Related to Rule 2004 Subpoenaed Documents and Information [ECF 962] (the \"Order\"), the Debtor, Ho Wan Kwok, by and through his undersigned counsel, hereby gives notice that he is exercising his rights under the Order and Fed. R. Civ. P. 26(b)(5)(B), as incorporated into the Order, to clawback documents produced to the Trustee by Brown Rudnick as identified on the attached Clawback Log, Documents of Brown Rudnick.[1](#page-0-0) Pursuant to Fed. R. Civ. P. 26(b)(5)(B) upon receipt of this written notice the Trustee \"must promptly return, sequester, or destroy the specified information [on the Clawback Log] and any copies [he] has; must not use or disclose the information until the claim is resolved; [and] must take reasonable steps to retrieve the information if [he has] disclosed it before being notified; . . .\".\n\n<span id=\"page-0-0\"></span><sup>1</sup> The Debtor files his Debtor's Clawback Notice along with the attached Clawback Log to both provide notice to the Trustee of the Debtor's exercise of his clawback rights and in compliance with the Order's requirement that the Debtor file on the docket a log identifying clawed back documents within two (2) days of the Debtor providing the Trustee notice of clawback.\n\nThe Debtor gives further notice that he has provided the Trustee with a redacted copy of the document listed on the Clawback Log as Bates stamped BR\\_KWOK 00035993 to replace the non-redacted copy that has been clawed back. [2](#page-1-0)\n\n>\n\nDated at Bridgeport, Connecticut this 3rd day of November, 2022.\n\n# **THE DEBTOR, HO WAN KWOK**\n\n*/s/ James M. Moriarty* James M. Moriarty (ct21876) 10 Middle Street, 15th Floor Bridgeport, Connecticut 06604 Telephone: (203) 368-4234 Facsimile: (203) 368-5467 Email: [jmoriarty@zeislaw.com](mailto:jmoriarty@zeislaw.com)\n\n<span id=\"page-1-0\"></span><sup>2</sup> The Debtor's counsel's review of documents produced to the Trustee by Brown Rudnick pursuant to the Order is ongoing. The Debtor reserves his right to clawback additional documents should the ongoing review reveal additional documents that are subject to clawback in accordance with the terms of the Order.\n\n#### **CERTIFICATE OF SERVICE**\n\nI hereby certify that on this 3rd day of November, 2022, a copy of foregoing was filed electronically. Notice of this filing will be sent by e-mail to all parties by operation of the Court's electronic filing system or by mail to anyone unable to accept electronic filing as indicated on the Notice ofElectronic Filing. Parties may access this filing through the Court's CM/ECF System.\n\n> */s/ James M. Moriarty*  James M. Moriarty\n\n## <span id=\"page-3-0\"></span>**UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| __________________________________________  |         |   |                         |\n|---------------------------------------------|---------|---|-------------------------|\n|                                             |         | : |                         |\n| In re                                       |         | : | Chapter 11              |\n|                                             |         | : |                         |\n| HO WON KWOK,                                |         | : | Case No. 22-50073 (JAM) |\n|                                             |         | : |                         |\n|                                             | Debtor. | : | November 3, 2022        |\n| __________________________________________: |         |   |                         |\n\n## **CLAWBACK LOG, DOCUMENTS OF BROWN RUDNICK**\n\n| Bates                                               | Date     | Custodian        | Type of<br>Document | Parties                                                                                                                | Subject               | Claimed<br>Privilege           | Personal Harm                                                                                                                                                                                                                                                                             |\n|-----------------------------------------------------|----------|------------------|---------------------|------------------------------------------------------------------------------------------------------------------------|-----------------------|--------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| BR_<br>KWOK<br>00032126;<br>BR_<br>KWOK<br>00040982 | 10/19/21 | Brown<br>Rudnick | Agreement           | Golden Spring<br>(New York)<br>Ltd., Kwok Ho<br>Wan, Ace<br>Decade<br>Holdings<br>Limited and<br>Dawn State<br>Limited | Litigation<br>Funding | Attorney-Work<br>1<br>Product. | The withheld document<br>relates to an action<br>pending in the United<br>Kingdom styled Kwok<br>Ho Wan v. UBS AG,<br>Claim No. CL-2020-<br>000345 (High Court of<br>Justice Business and<br>Property Courts of<br>England and<br>Wales<br>Commercial Court)<br>(the<br>\"UK Action\"). The |\n\n<sup>1</sup> *See Cont'l Circuits LLC v. Intel Corp*, 435 F. Supp. 3d 1014, 1021 (D. AZ 2020) (concluding that litigation funding agreements were prepared because of litigation and therefore constitute attorney work product). *See also Lambeth Magnetic Structures, LLC v. Seagate Tech (US) Holdings, Inc.*, 2017 U.S. Dist. LEXIS 215773, \\*16-\\*17 (W.D. Pa, Jan. 18, 2018) (holding that communications with litigation funders and funding agreement are work product and denying motion to compel the production of same).\n\n|  |  |  | Bankruptcy Court's        |\n|--|--|--|---------------------------|\n|  |  |  | September 14, 2022,       |\n|  |  |  | Consent Order             |\n|  |  |  | Regarding Control of      |\n|  |  |  | Attorney-Client           |\n|  |  |  | Privilege and Work        |\n|  |  |  | Product Protection        |\n|  |  |  | Related to Rule 2004      |\n|  |  |  | Subpoenaed Documents      |\n|  |  |  | and Information (the      |\n|  |  |  | \"Privilege Order\")        |\n|  |  |  | specifically recognizes   |\n|  |  |  | that the Debtor may       |\n|  |  |  | have privileges under     |\n|  |  |  | the laws of the United    |\n|  |  |  | Kingdom that could be     |\n|  |  |  | asserted by the Debtor    |\n|  |  |  | in the UK Action. See     |\n|  |  |  | Privilege Order, at sec.  |\n|  |  |  | 9. The Debtor has thus    |\n|  |  |  | withheld this document    |\n|  |  |  | from production for the   |\n|  |  |  | express purpose of        |\n|  |  |  | ensuring<br>that he is    |\n|  |  |  | preserving, and not       |\n|  |  |  | waiving, any privilege    |\n|  |  |  | that he may have to       |\n|  |  |  | assert against production |\n|  |  |  | or disclosure<br>of the   |\n|  |  |  | same document in the      |\n|  |  |  | UK Action.                |\n|  |  |  |                           |\n\n| BR_      | 5/10/22 | Brown   | Email | William R.       | Advice      | Attorney-Client | The privileged advice in   |\n|----------|---------|---------|-------|------------------|-------------|-----------------|----------------------------|\n| KWOK     |         | Rudnick |       | Baldaga, Esq.,   | concerning  |                 | the redacted portion of    |\n| 00035993 |         |         |       | Melissa Francis, | effect of   |                 | the email does not relate  |\n|          |         |         |       | Esq., Bennett    | dismissal   |                 | to Investigation Topics    |\n|          |         |         |       | Silverberg,      | of          |                 | as that term is defined in |\n|          |         |         |       | Esq., Jeffrey    | bankruptcy  |                 | the Privilege Order and    |\n|          |         |         |       | Jonas, Esq.,     | case on     |                 | no showing of personal     |\n|          |         |         |       | taxelrod@        | future      |                 | harm is required to        |\n|          |         |         |       | brownrudnick.c   | bankruptcy  |                 | withhold the document      |\n|          |         |         |       | om (BCC),        | filings.    |                 | on the basis of attorney   |\n|          |         |         |       | kaulet@brownr    | (requires   |                 | client privilege.          |\n|          |         |         |       | udnick.com       | redaction). |                 |                            |\n|          |         |         |       | (BCC)            |             |                 |                            |","body_zh":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION（美国康涅狄格区破产法院布里奇波特分院）\n\nIn re（关于）:\n\nHO WAN KWOK（郭文贵）,\n\nChapter 11（第 11 章）\n\nCase No: 22-50073 (JAM)\n\nDebtor（债务人）.\n\nTHE DEBTOR'S CLAWBACK NOTICE（债务人索回通知）\n\n根据破产法院 2022年10月13日 作出的《关于批准准许依第 2004 条传票提供文件并执行关于第 2004 条传票所涉文件和信息的律师-委托人保密特权及工作成果保护控制权之同意令的动议的命令》[ECF 962]（以下简称“《命令》”），债务人 Ho Wan Kwok（郭文贵）通过其下述署名律师特此发出通知，其正在行使其依据《命令》以及并入《命令》中的 Fed. R. Civ. P. 26(b)(5)(B)（《联邦民事诉讼规则》第 26(b)(5)(B) 条）所享有的权利，索回由 Brown Rudnick（布朗·鲁德尼克律师事务所）向 Trustee（受托人）提供的、如所附《索回记录清单，Brown Rudnick 之文件》[1] 中所列明的文件。根据 Fed. R. Civ. P. 26(b)(5)(B)，在收到本书面通知后，受托人“必须立即归还、隔离或销毁指定信息[载于《索回记录清单》中]及其持有的任何副本；在主张解决之前不得使用或披露该信息；并且如果其在收到通知前已披露了该信息，必须采取合理措施予以追回；……”。\n\n1 债务人提交其《债务人索回通知》及所附《索回记录清单》，既是为了向受托人发出债务人行使其索回权的通知，也是为了遵守《命令》中关于债务人在向受托人提供索回通知后两（2）日内必须在案卷中提交一份列明被索回文件的清单的要求。\n\n债务人进一步通知，其已向受托人提供了在《索回记录清单》中列明且 Bates 编号为 BR_KWOK 00035993 的文件的涂改/遮盖版本，以替换已被索回的未涂改/未遮盖版本。[2]\n\n日期：2022年11月3日，于康涅狄格州布里奇波特。\n债务人：HO WAN KWOK\n\n/s/ James M. Moriarty  James M. Moriarty (ct21876) 10 Middle Street, 15th Floor Bridgeport, Connecticut 06604 Telephone: (203) 368-4234 Facsimile: (203) 368-5467 Email: [jmoriarty@zeislaw.com]\n\n2 债务人律师对 Brown Rudnick 根据《命令》向受托人提供之文件的审查仍在进行中。若后续审查发现依据《命令》条款应当被索回的更多文件，债务人保留索回额外文件的权利。\n\nCERTIFICATE OF SERVICE（送达证书）\n\n我特此证明，于 2022年11月3日，上述文书的一份副本已通过电子方式提交。本项提交的通知将通过法院电子提交系统的运行以电子邮件形式发送给所有当事方，或以邮寄方式发送给《电子提交通知》上指明的无法接收电子提交的任何人。当事方可通过法院的 CM/ECF 系统查阅本次提交的文件。\n\n/s/ James M. Moriarty  James M. Moriarty\n\nUNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION（美国康涅狄格区破产法院布里奇波特分院）\n\nIn re（关于）: Chapter 11（第 11 章）\n\nHO WON KWOK, : Case No. 22-50073 (JAM)\n\nDebtor（债务人）. : 2022年11月3日\n__________________________________________:\nCLAWBACK LOG, DOCUMENTS OF BROWN RUDNICK（索回记录清单，BROWN RUDNICK 之文件）\n\nBates 编号 / 日期 / 保管人 / 文件类型 / 当事各方 / 主题 / 主张的特权 / 个人损害\n\nBR_KWOK 00032126; BR_KWOK 00040982 / 10/19/21 / Brown Rudnick / 协议 / Golden Spring (New York) Ltd.、Kwok Ho Wan、Ace Decade Holdings Limited 与 Dawn State Limited / 诉讼资助 / 律师工作成果。 / 所扣留的文件与在 United Kingdom（英国）审理的一起名为 Kwok Ho Wan v. UBS AG, Claim No. CL-2020-000345 (High Court of Justice Business and Property Courts of England and Wales Commercial Court)（英格兰和威尔士高等法院商事与财产法院商事法庭）的未决诉讼（即“英国诉讼”）有关。破产法院 2022年9月14日 作出的《关于第 2004 条传票所涉文件和信息的律师-委托人保密特权及工作成果保护控制权之同意令》（以下简称“《特权令》”）明确承认，债务人可能依据英国法律享有特权，并可由债务人在英国诉讼中主张该等特权。参见《特权令》第 9 条。因此，债务人明确为了确保其保留而非放弃其可能在英国诉讼中就同一文件的提供或披露所主张的任何特权，而扣留了该文件未予提供。\n\n1 参见 Cont'l Circuits LLC v. Intel Corp, 435 F. Supp. 3d 1014, 1021 (D. AZ 2020)（得出结论认为诉讼资助协议系因诉讼而准备，因此构成律师工作成果）。亦见 Lambeth Magnetic Structures, LLC v. Seagate Tech (US) Holdings, Inc., 2017 U.S. Dist. LEXIS 215773, *16-*17 (W.D. Pa, Jan. 18, 2018)（裁定与诉讼资助方的往来沟通及资助协议属于工作成果，并驳回强制提供该等材料的动议）。\n\nBR_KWOK 00035993 / 5/10/22 / Brown Rudnick / 电子邮件 / William R. Baldaga, Esq.、Melissa Francis, Esq.、Bennett Silverberg, Esq.、Jeffrey Jonas, Esq.、taxelrod@brownrudnick.com (BCC)、kaulet@brownrudnick.com (BCC) / 关于驳回破产案件对未来破产申请之影响的法律咨询意见。（需要涂改/遮盖）。 / 律师-委托人保密特权 / 电子邮件中被涂改/遮盖部分的特权咨询意见与《特权令》中所定义的“调查主题”无关，且无需以证明个人损害为前提即可基于律师-委托人保密特权扣留该文件。","key_entities":["Kwok","Ho Wan Kwok","Je"],"ecf_references":[{"doc_number":962,"court":"CTB"}],"word_count":1157,"status":"published","published_at":null,"created_at":null,"updated_at":"2026-08-23 12:52:48"}