{"id":"court_ctb_1184_0","court":"CTB","case_no":"22-50073","doc_number":1184,"sub_number":0,"doc_type":"ORDER","filed_date":null,"title":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT HO WAN KWOK, *et al.*,","summary_zh":null,"summary_en":null,"body_en":"## **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT**\n\nHO WAN KWOK, *et al.*,\n\n)\n\n)\n\n)\n\n1\n\nIn re: ) Chapter 11 ) Case No. 22-50073 (JAM) ) (Jointly Administered)\n\nDebtors. ) Re: ECF No. 1116\n\n## **ORDER GRANTING CHAPTER 11 TRUSTEE'S SECOND SUPPLEMENTAL OMNIBUS MOTION FOR 2004 EXAMINATION**\n\nOn November 18, 2022, Luc A. Despins, in his capacity as the Chapter 11 Trustee (the \"Trustee\") of the estate (the \"Estate\") of Ho Wan Kwok (the \"Debtor\"), filed his Second Supplemental Omnibus Motion for 2004 Examination, ECF No. 1116 (the \"Motion). On November 22, 2022, Mei Guo and HK International Funds Investment (USA) Ltd., LLC (\"HK (USA),\" and together with Ms. Guo, the \"Objectors\") filed their Joint Limited Objection, ECF No. 1149 (the \"Objection\"), relating only to the requests to examine Apsley Yachts Ltd. and DWF LLP. On November 30, 2022, a hearing was held on the Motion and Objection.\n\nUpon consideration of the pleadings, the arguments advanced at the hearing, the facts and circumstances of this case, and the applicable law, the Court finds the pending proceeding doctrine is not a bar to the examinations of Apsley Yachts Ltd. and DWF LLP because they are not parties to the pending adversary *HK Int'l Funds Invs. (USA) Ltd., LLC v. Despins ex rel.*\n\n<sup>1</sup> The Debtors in these chapter 11 cases are Ho Wan Kwok (also known as Guo Wengui, Miles Guo, and Miles Kwok, as well as numerous other aliases) (last four digits of tax identification number: 9595), Genever Holdings LLC (last four digits of tax identification number: 8202) and Genever Holdings Corporation. The mailing address for the Trustee, Genever Holdings LLC, and the Genever Holdings Corporation is Paul Hastings LLP, 200 Park Avenue, New York, NY 10166 c/o Luc A. Despins, as Trustee for the Estate of Ho Wan Kwok (solely for purposes of notices and communications).\n\n*Kwok*, Case No. 22-05003 (JAM) (Bankr. D. Conn. 2022). *Compare In re SunEdison*, 572 B.R. 482, 490 (Bankr. S.D.N.Y. 2017) (\"The Debtors are not parties to the State Court Action, and hence, the rule does not apply to them.\"); *In re Washington Mutual, Inc.*, 408 B.R. 45, 53 (Bankr. D. Del. 2009) (\"The possibility that JPM may intervene in the DC Action is not a sufficient reason to deny the Debtors' Motion at this time. The 'pending proceeding' rule is predicated on there actually being a pending action involving the two parties. JPM has not cited any authority for the proposition that a Rule 2004 examination of an entity is improper when a proceeding is pending in another venue against a third party and there is a 'substantial likelihood' that the examinee may intervene.\") (internal citations omitted); *In re Ecam Publications, Inc.*, 131 B.R. 556, 560–61 (Bankr. S.D.N.Y 1991) (allowing 2004 examination by trustee of parties, against whom the trustee had bought but not yet brought claims) *with In re Martelli*, Nos. 16-20983- PRW, 16-20316-PRW, 16-20968-PRW, 2017 Bankr. LEXIS 2015, at \\*12-13 (Bankr. W.D.N.Y. July 20, 2017) (applying pending proceeding rule to non-parties to that proceeding because the material was sought by a party to the proceeding and was related to the proceeding); *In re Enron Corp.*, 281 B.R. 836, 838 (Bankr. S.D.N.Y. 2002) (applying pending proceeding rule to a nonparty to that proceeding because \"no party disputes that the automatic discovery stay of the [Private Securities Litigation Reform Act of 1995, 15 U.S.C. § 78u–4(b)(3)(B)] applies to McKinsey.\"); *cf. In re Cambridge Analytica, LLC*, 600 B.R. 750 (Bankr. S.D.N.Y. 2019) (unclear who was the target of the 2004 examination); *In re Bennett Funding Grp., Inc.*, 203 B.R. 24, 30 (Bankr. N.D.N.Y. 1996) (applying pending proceeding rule where discovery was sought by a party to the proceeding against a third-party defendant to that proceeding); *Sweetland v. Szadkowski (In re Szadkowski)*, 198 B.R. 140 (Bankr. D. Md. 1996) (applying pending\n\nproceeding doctrine a party to the proceeding was seeking discovery against another party to that proceeding.) Therefore, it is hereby\n\nORDERED: The Objection is OVERULED. The Motion is GRANTED; it is further\n\nORDERED: Neubert, Pepe & Monteith, P.C., as counsel for the Trustee, is hereby authorized to sign subpoenas in a form substantially similar to the Subpoenas attached to the Motion as Exhibits C-1 to C-53 and to serve the subpoenas, along with a copy of this Order, in accordance with Bankruptcy Rule 2004 requiring examination and the production of documents by the examinees listed on Exhibit B to the Motion; it is further\n\nORDERED: Subject to any rights under the Federal Rules of Bankruptcy Procedure, the Federal Rules of Civil Procedure, and applicable Local Rules, and unless otherwise ordered by the Court, the examinees are hereby directed to produce all documents within 30 days of the service of the subpoena, or such other time as agreed upon by the Trustee. To the extent an examinee does not produce any documents requested in the Subpoena on the basis of some privilege, the examinee is hereby directed to produce to the Trustee a privilege log that comports with Fed. R. Civ. P. 45(e)(2), made applicable by Fed. R. Bankr. P. 9016, and D. Conn. L. Civ. R. 26(e), within 30 days of service of the Subpoena, or such other time as agreed upon by the Trustee; and it is further\n\nORDERED: The examinees are hereby directed to ensure that all documents and other information, including without limitation in any electronic format, requested in the Subpoenas or otherwise relevant to the Debtor, his business, assets, liabilities, financial condition, or these Chapter 11 cases, are properly maintained, are available for production, inspection and copying, and are not destroyed; it is further\n\n3\n\nORDERED: Neubert, Pepe & Monteith, P.C., as counsel for the Trustee, is hereby authorized, without further order of this Court, to take the testimony of one or more representatives of any examinee listed on Exhibit B to the Motion by examination under Bankruptcy Rule 2004 either at the offices of Neubert, Pepe & Montheith, 195 Church Street, 13th Floor, New Haven, CT 06510, at the offices of Paul Hastings LLP, 200 Park Avenue, New York, NY 10166, or at such other place that is mutually acceptable to the parties, on a date acceptable to the Trustee, which, at the election of the Trustee, shall be not less than 14 calendar days after the production of documents by the proposed examinee in compliance with the subpoena and this Order pursuant to Bankruptcy Rule 2004, and such examination shall continue from day to day until completed.\n\nDated at Bridgeport, Connecticut this 2nd day of December, 2022.","body_zh":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT（美国康涅狄格区破产法院）\n\nHO WAN KWOK（郭文贵）等，\n\n)\n\n)\n\n)\n案由： ) 第 11 章 ) 案号：22-50073 (JAM) ) （合并审理）\n\n债务人。 ) 涉及：ECF No. 1116\n准予第 11 章受托人关于依据第 2004 条进行调查的第二次补充综合动议的裁定\n\n2022年11月18日，Luc A. Despins 以 Ho Wan Kwok（郭文贵）（“债务人”）破产财产（“破产财产”）的第 11 章受托人（“受托人”）身份，提交了其《关于依据第 2004 条进行调查的第二次补充综合动议》，ECF No. 1116（“动议”）。2022年11月22日，Mei Guo（郭美）与 HK International Funds Investment (USA) Ltd., LLC（“HK (USA)”，与郭美合称“异议人”）提交了其《联合有限异议》，ECF No. 1149（“异议”），该异议仅涉及对 Apsley Yachts Ltd. 和 DWF LLP 进行调查的请求。2022年11月30日，法院就该动议和异议举行了听证会。\n\n经审议诉状、听证会上提出的辩论意见、本案的事实与情况以及适用法律，本院认定“未决诉讼原则”（pending proceeding doctrine）并不阻碍对 Apsley Yachts Ltd. 和 DWF LLP 进行调查，因为它们不是未决对抗性诉讼 HK Int'l Funds Invs. (USA) Ltd., LLC v. Despins ex rel.\n\n1 这些第 11 章案件中的债务人为 Ho Wan Kwok（郭文贵，亦称 Guo Wengui、Miles Guo 和 Miles Kwok，以及其他众多化名）（纳税人识别号后四位：9595）、Genever Holdings LLC（纳税人识别号后四位：8202）和 Genever Holdings Corporation。受托人、Genever Holdings LLC 和 Genever Holdings Corporation 的邮寄地址为 Paul Hastings LLP（普衡律师事务所），200 Park Avenue, New York, NY 10166 转交 Luc A. Despins，以 Ho Wan Kwok 破产财产受托人身份（仅用于接收通知和联络之目的）。\n\nKwok, Case No. 22-05003 (JAM) (Bankr. D. Conn. 2022) 的当事方。比较 In re SunEdison, 572 B.R. 482, 490 (Bankr. S.D.N.Y. 2017)（“债务人并非州法院诉讼的当事人，因此该规则不适用于他们”）；In re Washington Mutual, Inc., 408 B.R. 45, 53 (Bankr. D. Del. 2009)（“JPM 可能介入华盛顿特区诉讼的可能性不足以构成此时驳回债务人动议的理由。‘未决诉讼’原则的前提是两方当事人之间确实存在未决诉讼。JPM 未能引用任何法律依据证明当另一管辖地存在针对第三方的未决诉讼且被调查人‘极有可能’介入时，对其实体进行第 2004 条调查是不当的。”）（引文省略）；In re Ecam Publications, Inc., 131 B.R. 556, 560–61 (Bankr. S.D.N.Y 1991)（允许受托人对受托人已购买诉权但尚未提起诉讼的当事方进行 2004 条调查）；与以下判例对比：In re Martelli, Nos. 16-20983- PRW, 16-20316-PRW, 16-20968-PRW, 2017 Bankr. LEXIS 2015, at *12-13 (Bankr. W.D.N.Y. July 20, 2017)（将未决诉讼规则适用于该诉讼的非当事方，因为该材料是由诉讼当事方索取且与诉讼相关）；In re Enron Corp., 281 B.R. 836, 838 (Bankr. S.D.N.Y. 2002)（将未决诉讼规则适用于该诉讼的非当事方，因为“各方均不争议 [1995年私人证券诉讼改革法案, 15 U.S.C. § 78u–4(b)(3)(B)] 的证据开示自动中止适用于麦肯锡”）；参见 In re Cambridge Analytica, LLC, 600 B.R. 750 (Bankr. S.D.N.Y. 2019)（尚不清楚谁是 2004 条调查的目标）；In re Bennett Funding Grp., Inc., 203 B.R. 24, 30 (Bankr. N.D.N.Y. 1996)（在诉讼当事方向该诉讼的第三方被告寻求证据开示时适用未决诉讼规则）；Sweetland v. Szadkowski (In re Szadkowski), 198 B.R. 140 (Bankr. D. Md. 1996)（在诉讼当事方向该诉讼的另一方当事人寻求证据开示时适用未决\n\n诉讼原则）。因此，特此\n\n裁定：异议被驳回。动议获准；并进一步\n\n裁定：特此授权作为受托人律师的 Neubert, Pepe & Monteith, P.C. 签署格式与动议附件附件 C-1 至 C-53 所附传票实质相似的传票，并依照《联邦破产程序规则》第 2004 条的规定送达该等传票连同本裁定副本，要求动议附件 B 中所列的被调查人接受调查并出示文件；并进一步\n\n裁定：在受制于《联邦破产程序规则》、《联邦民事诉讼规则》及适用的《本地规则》项下任何权利的前提下，且除非法院另有命令，特此责令被调查人在传票送达后 30 日内，或在受托人同意的其他时间内出示所有文件。若被调查人基于某种特权未出示传票中要求的任何文件，特此责令该被调查人在传票送达后 30 日内，或在受托人同意的其他时间内，向受托人出示一份符合 Fed. R. Civ. P. 45(e)(2)（经 Fed. R. Bankr. P. 9016 适用）以及 D. Conn. L. Civ. R. 26(e) 规定的特权清单；并进一步\n\n裁定：特此责令各被调查人确保传票所要求的或与债务人、其业务、资产、负债、财务状况或这些第 11 章案件相关的全部文件及其他信息（包括但不限于任何电子格式）均得到妥善保存，可供出示、检查和复制，且不被销毁；并进一步\n\n裁定：特此授权作为受托人律师的 Neubert, Pepe & Monteith, P.C.，无须本院进一步命令，即可在 Neubert, Pepe & Monteith 办公室（地址：195 Church Street, 13th Floor, New Haven, CT 06510）、在 Paul Hastings LLP 办公室（地址：200 Park Avenue, New York, NY 10166）或在各方均可接受的其他地点，在受托人可接受的日期，通过《联邦破产程序规则》第 2004 条项下的调查，提取动议附件 B 所列任何被调查人的一名或多名代表的证词；该日期依受托人的选择，应不少于拟被调查人依照传票及本裁定根据《联邦破产程序规则》第 2004 条出示文件后的 14 个日历日，且该调查应逐日连续进行直至完成。\n\n2022年12月2日订于康涅狄格州布里奇波特。","key_entities":["Kwok","Je","Guo","Ho Wan Kwok","Despins","Paul Hastings","Miles Guo"],"ecf_references":[{"doc_number":1116,"court":"CTB"},{"doc_number":1149,"court":"CTB"}],"word_count":1091,"status":"published","published_at":null,"created_at":null,"updated_at":"2026-08-23 12:42:01"}