{"id":"court_ctb_119_0","court":"CTB","case_no":"22-50073","doc_number":119,"sub_number":0,"doc_type":"ORDER","filed_date":"2022-03-22","title":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION MOTION OF DEBTOR FOR ENTRY OF AN ORDER AUTHOR","summary_zh":null,"summary_en":null,"body_en":"# **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n--------------------------------------------------------------------X In re: Ho Wan Kwok, Debtor.<sup>1</sup> : : : : : : : : Chapter 11 Case No. 22-50073 (JAM) Hearing Date: Hearing Time: --------------------------------------------------------------------X\n\n## **MOTION OF DEBTOR FOR ENTRY OF AN ORDER AUTHORIZING (I) EMPLOYMENT AND PAYMENT OF PROFESSIONALS UTILIZED IN THE ORDINARY COURSE, (II) PAYMENT OF PREPETITION CLAIMS, AND (III) GRANTING RELATED RELIEF**\n\n Mr. Ho Wan Kwok, as the debtor and debtor-in-possession (\"Mr. Kwok\" or the \"Debtor\") in the above-captioned chapter 11 case, by and through his undersigned counsel, hereby submits this motion (this \"Motion\") for entry of an order, substantially in the form attached hereto as Exhibit A (the \"Order\"), granting the relief described below, and in support of this Motion, the Debtor submits and incorporates the *Declaration of Mr. Ho Wan Kwok in Support of the Chapter 11 Case and Certain Motions* (the \"Kwok Declaration\") [Docket No. 107], and in further support, respectfully states as follows:\n\n### **RELIEF REQUESTED**\n\n1. By this Motion, pursuant to sections 105(a), 327, 328, 330, and 363 of title 11 of the United States Code (the \"Bankruptcy Code\"), Mr. Kwok seeks entry of the Order: (i) authorizing him to (a) establish certain procedures to retain professionals rendering accounting, legal, and advisory services to Mr. Kwok in the ordinary course (each, an \"Ordinary Course Professional,\" and collectively, the \"Ordinary Course Professionals\") without the submission of\n\n<sup>1</sup>\n\nThe Debtor is known by the following names: Guo Wengui; Miles Guo; Miles Kwok; and Ho Wan Kwok.\n\nseparate retention applications and the issuance of separate retention orders for each Ordinary Course Professional, and (b) compensate and reimburse such professionals without individual fee applications; (ii) to pay prepetition claims of certain Ordinary Course Professionals necessary to preserve his estate (the \"OCP Prepetition Claims\"); and (iii) granting related relief.\n\n2. For the reasons set forth herein, Mr. Kwok submits that the relief requested is in the best interests of his Chapter 11 estate, his creditors, and other parties in interest, and therefore should be granted.\n\n#### **JURISDICTION**\n\n3. This Court has jurisdiction to consider this Motion under 28 U.S.C. §§ 157 and 1334 and the *Standing Order of Reference* from the United States District Court for the Connecticut (as amended). This is a core proceeding under 28 U.S.C. § 157(b). Venue of this Chapter 11 case and this Motion is proper in this District under 28 U.S.C. §§ 1408 and 1409.\n\n4. The predicates for the relief requested by this Motion are Sections 105(a), 327, 328, and 330 of the Bankruptcy Code and Rules 2014 and 2016 of the Federal Rules of Bankruptcy Procedure (the \"Bankruptcy Rules\"), and Rules 2014-2 and 2016-1 of the Local Rules of the United States Bankruptcy Court for the District of Connecticut (the \"Local Rules\").\n\n#### **THE ORDINARY COURSE PROFESSIONALS**\n\n5. On February 15, 2022 (the \"Petition Date\"), Mr. Kwok filed a voluntary petition for relief under Chapter 11 of Title 11 of the Bankruptcy Code.\n\n6. As more fully set forth in the Kwok Declaration, as of the Petition Date, the Debtor is a named party as a plaintiff, defendant or co-defendant in over 30 active cases pending nationally and internationally, including in the United States, the United Kingdom, Switzerland, the British Virgin Islands, and Canada – the majority of these suits remain active in the United\n\n2\n\nStates (subject to the imposition of the Bankruptcy Code's automatic stay) (collectively, the \"Pending Litigation). *See* Statement of Financial Affairs for Individuals Filing for Bankruptcy, Response to Part 4, Question 9 [ECF No. 77].\n\n7. Prior to the Petition Date, Mr. Kwok had already retained his Ordinary Course Professionals, consisting of various law firms, accountants, and interpreters/translators, which rendered services in connection with the Pending Litigation and provided other services in a variety of matters unrelated to this Chapter 11 case.\n\n8. The Ordinary Course Professionals have a great deal of knowledge, expertise, and familiarity with Mr. Kwok and the Pending Litigation, much of which has been ongoing for years. Prepetition, the Debtor was actively prosecuting as a named plaintiff two (2) litigations, two of which now comprise some of the estate's more significant assets:\n\n- a. **The UBS Claim**: Before the Royal Courts of Justice in the United Kingdom, the Debtor (along with certain co-plaintiffs) asserted a claim against UBS AG (London Branch) (\"UBS\"). In this action, the claimants assert more than \\$500 million of damages related to negligent misrepresentation and advice by UBS in connection with the Debtor's attempt to cause the acquisition of, and acquire certain shares issued by, a Chinese financial institution, Haitong, in 2015. As recently as February 9, 2022, the Debtor prevailed on a jurisdictional challenge and the claim remains before the courts of the United Kingdom.\n- b. **The Clark Hill Claim**: The Debtor asserted claims against the law firm Clark Hill PLC and one of its members, Thomas K. Ragland (together, \"Clark Hill\"). This lawsuit is currently pending in the United States District Court for the District of Columbia. The Debtor is seeking \\$50 million in compensatory damages, and additional punitive damages, against Clark Hill for breach of duties of legal representation.\n\n*See* Kwok Declaration at Section III, ¶ 32.\n\n9. Although Mr. Kwok anticipates that his Ordinary Course Professionals will\n\ncontinue to render services on an ongoing basis, a number of them will not be in a position to do\n\nso if he cannot assure them of prompt payment on their post-petition fees and expenses on a\n\nregular basis and in more limited instances, payment on their prepetition claims for services rendered in connection with the Pending Litigation.2 Filed concurrently herewith is the Debtor's motion for approval of debtor-in-possession financing, which represents the Debtor's sole means to fund this Chapter 11 case and funding source to continue to employ such Ordinary Course Professionals in the same manner and for the same purposes as they were retained before the Petition Date. An initial list of Mr. Kwok's Ordinary Course Professionals is attached to the proposed form of Order as Annex 1 (the \"OCP List\").3\n\n10. Without the Ordinary Course Professionals' knowledge, expertise, and familiarity in connection with their pre-petition work, including in connection with the Pending Litigation, Mr. Kwok will incur substantial additional and unnecessary expenses in educating and retaining replacement professionals. Accordingly, the continued retention of the Ordinary Course Professionals is in the best interests of Mr. Kwok's estate, his creditors, and other parties in interest.\n\n#### **PROPOSED RETENTION AND PAYMENT PROCEDURES**\n\n11. Mr. Kwok intends to continue receiving services from his Ordinary Course Professionals in the same manner and for the same purposes as such professionals were retained prior to the Petition Date.\n\n12. Accordingly, Mr. Kwok requests that the Court relieve him and his estate of the burden and attendant costs of filing individual retention and fee applications for his Ordinary\n\n<sup>2</sup> Mr. Kwok recognizes that certain cases pending against him are currently stayed. However, given the possibility that the stay may be lifted on certain matters, Mr. Kwok is instructing certain counsel and other professionals to continue preparing his defense. Defense counsel is likely to insist on payment of at least a portion of their prepetition invoices as a condition to perform such services.\n\n<sup>3</sup> Mr. Kwok reserves the right to supplement the OCP List and file additional exhibits in the future.\n\nCourse Professionals and authorize the below procedures for the retention and payment of his\n\nOrdinary Course Professionals (the \"OCP Procedures\"):\n\n- a. Within thirty (30) calendar days of the later of (i) the entry of an order granting this Motion and (ii) the date on which the Ordinary Course Professional commences services, each Ordinary Course Professional on the OCP List will provide to Mr. Kwok and his counsel, Brown Rudnick, a verified statement (each, a \"Verified Statement\"), substantially in the form attached to the Order as Annex 2, certifying, among other things, (i) that the Ordinary Course Professional does not represent or hold any interest adverse to the Debtor or his Chapter 11 estate with respect to the matter(s) on which such professional is to be employed and (ii) disclosing the amount and nature of any prepetition claims held against the Debtor's Chapter 11 estate.\n- b. If Mr. Kwok seeks to retain an additional Ordinary Course Professional not already listed on the OCP List, then Mr. Kwok will file with the Court a supplement to the OCP List (the \"OCP List Supplement\"), providing the name, address, and type of service of the additional Ordinary Course Professional. Within thirty (30) calendar days of the later of (i) the filing of the OCP List Supplement and (ii) the date on which the additional Ordinary Course Professional commences services, the additional Ordinary Course Professional will provide to Mr. Kwok and his counsel, Brown Rudnick, a Verified Statement, substantially in the form attached to the Order as Annex 2, certifying, among other things, that the additional Ordinary Course Professional does not represent or hold any interest adverse to Mr. Kwok or his Chapter 11 estate with respect to the matter(s) on which such professional is to be employed.\n- c. Upon receipt of a Verified Statement, Mr. Kwok will file the same with the Court and serve a copy on (i) the Office of the U.S. Trustee, (ii) the official committee of unsecured creditors appointed in this Chapter 11 case, and (iii) and any such other party entitled to receive notice pursuant to Local Rule 2002 (collectively, the \"OCP Notice Parties\"). If an Ordinary Course Professional fails to timely provide a Verified Statement to Mr. Kwok, then the Ordinary Course Professional will automatically be deemed to be stricken from the OCP List or OCP List Supplement on which the Ordinary Course Professional was listed.\n- d. The OCP Notice Parties will have fourteen (14) calendar days following the date of service of a Verified Statement to file with the Court and notify Mr. Kwok's counsel, Brown Rudnick, in writing, of any objection to the retention of an Ordinary Course Professional based on the contents of the Verified Statement (the \"Objection Deadline\").\n- e. If no objection is filed before the Objection Deadline, or if any objection submitted is timely withdrawn or resolved, then Mr. Kwok will be authorized to retain and employ the Ordinary Course Professional as a final matter without further order of the Court, effective as of the latest of (i) the Petition Date, (ii) if applicable, the date of the filing of the OCP List Supplement, or (iii) the date of engagement.\n- f. If an objection is filed with the Court and served by the Objection Deadline, and such objection cannot be resolved twenty-one (21) calendar days after the Objection Deadline, then the matter will be scheduled for hearing before the Court on the next regularly scheduled hearing date or such other date that may be agreeable to the Ordinary Course Professional, Mr. Kwok, and the objecting party.\n- g. No Ordinary Course Professional may be paid any amount for prepetition or postpetition fees or expenses until such Ordinary Course Professional has been retained in accordance with these OCP Procedures.\n- h. After Mr. Kwok retains an Ordinary Course Professional in accordance with these OCP Procedures, Mr. Kwok may pay such Ordinary Course Professional 100% of the post-petition fees and expenses incurred (collectively, \"Compensation\") upon submission to, and approval by, Mr. Kwok of an appropriate invoice setting forth in reasonable detail the nature of the services rendered and expenses actually incurred (without prejudice to Mr. Kwok's right to dispute any such invoices); provided, however, Mr. Kwok may not pay Compensation to an Ordinary Course Professional in any amount in excess of (a) \\$125,000 per month for Ordinary Course Professionals assisting with his pursuit of claims or (b) \\$90,000 per month for Ordinary Course Professionals assisting on all other matters, on average over any three-month period on a rolling basis (the \"OCP Monthly Fee Cap\").4\n- i. To the extent an Ordinary Course Professional incurs Compensation in an amount that exceeds the OCP Monthly Fee Cap (the full amount being the \"Excess Compensation\"): (i) Mr. Kwok may pay such Excess Compensation upon agreement by the OCP Notice Parties, such agreement to be evidenced by the filing of a notice of increased cap amount, which will be deemed approved upon the filing of such notice, without further action by the Court, or (ii) absent such agreement, the Ordinary Course Professional may file a fee application (a \"Fee Application\") in accordance with Sections 330 and 331 of the Bankruptcy Code and the applicable provisions of the Bankruptcy Rules, the Local Rules, the\n\n<sup>4</sup> Mr. Kwok anticipates paying Compensation of up to \\$200,000 per month to Ordinary Course Professionals assisting with his pursuit of claims (depending on, among other things, whether the underlying litigation proceeds to trial during the course of this Chapter 11 case) and up to \\$175,000 per month to Ordinary Course Professionals assisting with all other matters.\n\nGuidelines for Allowance of Compensation and Expense Reimbursement of Professionals per Local Rule 2016-1, and any other procedures and orders of the Court in this Chapter 11 case. Each Fee Application shall be served upon the OCP Notice Parties. The OCP Notice Parties shall then have twenty-one (21) calendar days to object to the Fee Application. If no objection is timely filed, then the fees and expenses requested in the Fee Application shall be deemed approved without further order of the Court, and the Ordinary Course Professional may be paid one hundred percent (100%) of its fees and one hundred percent (100%) of its expenses.\n\nj. At three (3) month intervals (each, a \"Quarter\") during the pendency of the Chapter 11 case, Mr. Kwok shall file with the Court and serve on the OCP Notice Parties, no later than thirty (30) calendar days after the end of such Quarter (the first end of the Quarter occurring June 14, 2022), a statement that shall include the following information for each Ordinary Course Professional: (i) the name of the Ordinary Course Professional; (ii) the amounts paid as compensation for services rendered and reimbursement of expenses incurred by the Ordinary Course Professional during the reported Quarter broken down by month; and (iii) the cumulative amounts paid as compensation for services rendered and reimbursement of expenses incurred by the Ordinary Course Professional from the Petition Date through the end of the reported Quarter.\n\n13. Although Mr. Kwok anticipates that his Ordinary Course Professionals will continue to render services on an ongoing basis, certain of the Ordinary Course Professionals may not be in a position to do so without receiving payment on at least a portion of their respective prepetition claims for services rendered in connection with the Pending Litigation. To avoid the potential disruption in services rendered by the Ordinary Course Professionals, Mr. Kwok requests authority to pay a portion of certain of the Ordinary Course Professionals' prepetition claims, subject to the Court's approval, as follows: (i) any Verified Statement submitted by an Ordinary Course Professional must disclose the amount and nature of any prepetition claim held by such Ordinary Course Professional (*i.e.*, the OCP Prepetition Claims) and (ii) Mr. Kwok may exercise his discretion to pay the OCP Prepetition Claims, provided that such payments do not exceed \\$275,000 in the aggregate. In addition, certain Ordinary Course Professionals may hold an \"advance-payment\" or \"security retainer.\" In those instances, Mr. Kwok may direct the Ordinary Course Professional to apply any retainer they are holding against the prepetition balance.\n\n## **BASIS FOR RELIEF**\n\n# **A. RETENTION AND COMPENSATION OF THE ORDINARY COURSE PROFESSIONALS PROMOTES THE EFFICIENT ADMINISTRATION OF MR. KWOK'S ESTATE.**\n\n14. The relief requested in this Motion will economize the administration of this Chapter 11 case by saving Mr. Kwok and his estate the expense of applying separately for the employment of each Ordinary Course Professional and preparing and seeking approval of interim and final fee applications for his Ordinary Course Professionals. Moreover, while the Ordinary Course Professionals wish to continue representing Mr. Kwok on an ongoing basis, they might be unwilling to do so if they may only be paid through a formal application process requiring monthly, interim, and final fee applications.\n\n15. If Mr. Kwok were to lose the expertise and background knowledge of his Ordinary Course Professionals with respect to the particular matters for which they were responsible prior to the Petition Date, then Mr. Kwok's estate will incur additional and unnecessary expense because he will be forced to retain other professionals that would not have such background and expertise, which in turn, impacts his estate.\n\n16. Further, the procedures outlined herein will relieve this Court, the U.S. Trustee, and other parties in interest of the burden of reviewing the Ordinary Course Professionals' fee applications.\n\n### **B. MR. KWOK'S PRE-PETITION ATTORNEYS ARE BEING RETAINED FOR A SPECIFIED SPECIAL PURPOSE.**\n\n17. Section 327(e) of the Bankruptcy Code permits Mr. Kwok to retain his prepetition attorneys and their respective law firms for a \"specified special purpose,\" as denoted in the OCP List:\n\nThe trustee, with the court's approval, may employ, for a specified special purpose, other than to represent the trustee in conducting the case, an attorney that has represented the debtor, if in the best interest of the estate, and if such attorney does not represent or hold any interest adverse to the debtor or to the estate with respect to the matter on which such attorney is to be employed.\n\n11 U.S.C. § 327(e); *In re JMK Constr. Group, Ltd.*, 441 B.R. 222, 230 (Bankr. S.D.N.Y. 2010)\n\n(\"Debtors may also retain attorneys for a \"specified special purpose\" under section 327(e) of the Bankruptcy Code) (*citing In re Quality Beverage Co.*, 216 B.R. 592, 594 (Bankr.S.D.Tex.1995) (noting that \"the plain language of the statute limits its application to attorneys\")). \"The requirements for retention under section 327(a) that a professional not hold or represent an interest adverse to the estate apply equally to retention under section 327(e).\" *In re JMK Constr. Group, Ltd.*, 441 B.R. at 230–31 (*citing In re Homesteads Cmty. at Newtown, LLC*, 390 B.R. 32, 47–48 (Bankr. D. Conn. 2008).\n\n18. Thus, retention under section 327(e) is proper and should be authorized so long as special counsel does not represent an adverse interest relating to the services which are to be performed by that attorney. *In re AroChem Corp.*, 176 F.3d 610, 622 (2d Cir. 1999) (applying section 327(a) standard to a \"special counsel\" scenario and noting that \"where the interest of the special counsel and the interest of the estate are identical with respect to the matter for which special counsel is retained, there is no conflict and the representation can stand\" and that the issue is whether—*with respect to the special representation it has been hired to undertake*—[the special counsel] (1) holds or represents an interest that is adverse to the estate, and (2) is a \"disinterested person\") (emphasis in original).\n\n19. Here, each of the identified attorneys (and their respective law firms) being retained for a \"specified special purpose,\" as denoted and identified in the OCP List, does not hold an adverse interest to Mr. Kwok or his Chapter 11 estate and is a \"disinterested person.\"\n\n### **C. THE ORDINARY COURSE PROFESSIONALS ARE RENDERING SERVICES UNRELATED TO THE ADMINISTRATION OF THIS CHAPTER 11 CASE.**\n\n20. Although certain of the Ordinary Course Professionals will neither assist in administering, nor play a central role in, this Chapter 11 case, Mr. Kwok seeks the relief requested in this Motion out of an abundance of caution. *See, e.g.*, *Comm. of Asbestos-Related Litigants and/or Creditors v. Johns-Manville Corp. (In re Johns-Manville Corp.)*, 60 B.R. 612, 619 (Bankr. S.D.N.Y. 1986) (finding that \"professional persons\" as used in Bankruptcy Code section 327(a) \"is a term of art reserved for those persons who play an intimate role in the reorganization of a debtor's estate\"); *In re SageCrest II, LLC*, 08-50754 (LEAD), 2010 WL 1981041, at \\*7 (Bankr. D. Conn. May 18, 2010) (\"[I]n determining whether persons sought to be retained by the debtor were professionals under § 327(a), the *Johns–Mansville* court focused on whether the retention was to represent or assist the debtor in carrying out its bankruptcy duties, to wit: whether those sought to be retained played a part in negotiating the debtor's reorganization plan, adjusting the debtor/creditor relationships, or disposing or acquiring assets of the debtor.\"), *aff'd*, 3:10CV978 SRU, 2011 WL 134893 (D. Conn. Jan. 14, 2011); *In re Smith*, 524 B.R. 689, 694–95 (Bankr. S.D. Tex. 2015) (\"Section 327(a) requires the professional \"to represent or assist the trustee in carrying out the trustee's duties under this title.\" Therefore, courts have required that the professional person's employment must specifically relate to the administration of the bankruptcy case, as opposed to the ordinary course operation of the debtor's business.\") (citing *Matter of Seatrain Lines, Inc.*, 13 B.R. 980, 981 (Bankr.S.D.N.Y.1981)).\n\n# **D. PAYMENT OF PREPETITION CLAIMS HELD BY ORDINARY COURSE PROFESSIONALS IS NECESSARY TO PRESERVE THE ESTATE.**\n\n21. Courts have recognized that it is appropriate to authorize the payment of prepetition obligations where necessary to protect and preserve the estate. *See, e.g.*, *In re Ionosphere Clubs, Inc.*, 98 B.R. 174, 175 (Bankr. S.D.N.Y. 1989) (authority to pay prepetition wages); *Armstrong World Indus., Inc. v. James A. Phillips, Inc.* (*In re James A. Phillips, Inc.*), 29 B.R. 391, 398 (Bankr. S.D.N.Y. 1983) (authority to pay prepetition claims of suppliers).\n\n22. Pursuant to section 363(b) of the Bankruptcy Code, courts may authorize payment of prepetition obligations where a sound business purpose exists for doing so. *See Ionosphere Clubs Inc.*, 98 B.R. at 175 (noting that section 363(b) provides \"broad flexibility\" to authorize a debtor to honor prepetition claims where supported by an appropriate business justification); *see also James A. Phillips, Inc.*, 29 B.R. at 397 (relying upon section 363 as a basis to allow a contractor to pay the prepetition claims of suppliers who were potential lien claimants). Additionally, under section 105(a), courts may authorize pre-plan payments of prepetition obligations when essential to the existence of the Debtor. *See In re C.A.F. Bindery, Inc*., 199 B.R. 828, 835 (Bankr. S.D.N.Y. 1996); *see also In re Fin. News Network Inc.*, 134 B.R. 732, 735–36 (Bankr. S.D.N.Y. 1991) (holding that the \"doctrine of necessity\" stands for the principle that a bankruptcy court may allow pre-plan payments of prepetition obligations where such payments are critical to the debtor's reorganization).\n\n23. As indicated above, although Mr. Kwok anticipates that his Ordinary Course Professionals will continue to render services on an ongoing basis, the Ordinary Course Professionals identified in Annex 2 may not be in a position to continue to render services without payment on their respective prepetition claims for services rendered in connection with the Pending Litigation. If Mr. Kwok were to lose the expertise and background knowledge of his Ordinary Course Professionals with respect to the particular matters for which they were responsible prior to the Petition Date, the estate will incur additional and unnecessary expense because Mr. Kwok will be forced to retain other professionals that would not have such background and expertise, which in turn, impacts this estate, and its creditors. Thus, payment of the Ordinary Course Professionals' prepetition claims is necessary to avoid a disruption of services rendered by his Ordinary Course Professionals and constitutes a sound business purpose, which is necessary under the circumstances.\n\n#### **NOTICE**\n\n24. Notice of this Motion has been provided to the following parties, or, in lieu thereof, their counsel: (i) the U.S. Trustee; (ii) each of the Debtor's 20 largest unsecured creditors; (iii) the Internal Revenue Service; (iv) the United States Attorney's Office for the District of Connecticut; (v) the official committee of unsecured creditors; and (vi) any such other party entitled to receive notice pursuant to Local Rule 2002. The Debtor submits that, in view of the facts and circumstances, such notice is sufficient and no other or further notice need be provided.\n\n#### **NO PRIOR REQUEST**\n\n25. No previous request for the relief sought herein has been made by the Debtor to this or any other court.\n\n12\n\n#### **CONCLUSION**\n\n**WHEREFORE**, for the reasons set forth herein, Mr. Kwok respectfully requests that the\n\nCourt grant the relief requested in this Motion, the Order, and such other and further relief as is\n\njust and proper.\n\nDated: March 22, 2022\n\n### **BROWN RUDNICK LLP**\n\nBy: /s/ *William R. Baldiga*  BROWN RUDNICK LLP 185 Asylum Street Hartford, CT 06103 Attn: Dylan Kletter, Esq. Telephone: (860) 509-6500 Facsimile: (860) 509-6653 Email: dkletter@brownrudnick.com\n\nSeven Times Square New York, NY 10036 Attn: William R. Baldiga, Esq. (*pro hac* pending) Attn: Bennett S. Silverberg, Esq. (*pro hac* pending) Attn: Uriel Pinelo, Esq. (*pro hac* pending) Telephone: (212) 209-4800 Facsimile: (212) 209-4801 Email: wbaldiga@brownrudnick.com bsilverberg@brownrudnick.com upinelo@brownrudnick.com\n\nCase 22-50073 Doc 119 Filed 03/22/22 Entered 03/22/22 12:38:09 Page 14 of 26\n\n# **EXHIBIT A**\n\n**Proposed Order**\n\n# **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\nIn re:\n\nHo Wan Kwok,\n\nChapter 11\n\n: : : : : : :\n\nCase No. 22-50073 (JAM)\n\nDebtor.<sup>1</sup>\n\n: --------------------------------------------------------------------X\n\n--------------------------------------------------------------------X\n\n## **[PROPOSED] ORDER GRANTING MOTION OF DEBTOR FOR ENTRY OF AN ORDER (I) AUTHORIZING EMPLOYMENT AND PAYMENT OF PROFESSIONALS UTILIZED IN THE ORDINARY COURSE, (II) PAYMENT OF PREPETITION CLAIMS, AND (III) GRANTING RELATED RELIEF**\n\n Upon the motion (the \"Motion\") 2 of Mr. Kwok for entry of an order (this \"Order\") pursuant to sections 105(a), 327, 328, 330, and 363 of the Bankruptcy Code, and Rule 2014 of the Bankruptcy Rules, and Rule 2014-2 of the Local Rules, authorizing, but not directing, Mr. Kwok to (i) retain the Ordinary Course Professionals, without the submission of separate retention applications and the issuance of separate retention orders for each professional, (ii) compensate and reimburse the Ordinary Course Professionals without the submission of individual fee applications, in accordance with the procedures set forth herein, and (iii) pay prepetition claims of certain Ordinary Course Professionals necessary to preserve the Debtor's estate; and the Court having found that it has jurisdiction to consider the Motion and the relief requested therein in accordance with 28 U.S.C. §§ 157 and 1334; and consideration of the Motion and the relief requested therein being a core proceeding pursuant to 28 U.S.C. § 157(b); and venue being proper before this Court pursuant to 28 U.S.C. §§ 1408 and 1409; and due,\n\n<sup>1</sup> The Debtor is known by the following names: Guo Wengui; Miles Guo; Miles Kwok; and Ho Wan Kwok.\n\n<sup>2</sup> Capitalized terms used but not otherwise defined herein shall have the meanings ascribed to them in the Motion.\n\nsufficient, and proper notice of the Motion having been provided under the circumstances and in accordance with the Bankruptcy Rules and the Local Rules, and it appearing that no other or further notice need be provided; and a hearing, if any, having been held to consider the relief requested in the Motion (the \"Hearing\"); and upon all of the proceedings had before the Court; and after due deliberation and sufficient cause appearing therefor, **IT IS HEREBY ORDERED**,\n\n### **ADJUDGED**, and **DECREED** that:\n\n- 1. The Motion is GRANTED to the extent set forth herein.\n- 2. Mr. Kwok is authorized, but not directed, to retain, compensate, and reimburse\n\nthe Ordinary Course Professionals in accordance with the following procedures (the \"OCP\n\n### Procedures\"):\n\n- a. Within thirty (30) calendar days of the later of (i) the entry of an order granting this Motion and (ii) the date on which the Ordinary Course Professional commences services, each Ordinary Course Professional on the OCP List attached hereto as Annex 1 will provide to Mr. Kwok and his counsel, Brown Rudnick, a verified statement (each, a \"Verified Statement\"), substantially in the form attached to the Order as Annex 2, certifying, among other things, (i) that the Ordinary Course Professional does not represent or hold any interest adverse to the Debtor or his Chapter 11 estate with respect to the matter(s) on which such professional is to be employed and (ii) disclosing the amount and nature of any prepetition claims held against the Debtor's Chapter 11 estate.\n- b. If Mr. Kwok seeks to retain an additional Ordinary Course Professional not already listed on the OCP List, then Mr. Kwok will file with the Court a supplement to the OCP List (the \"OCP List Supplement\"), providing the name, address, and type of service of the additional Ordinary Course Professional. Within thirty (30) calendar days of the later of (i) the filing of the OCP List Supplement and (ii) the date on which the additional Ordinary Course Professional commences services, the additional Ordinary Course Professional will provide to Mr. Kwok and his counsel, Brown Rudnick, a Verified Statement, substantially in the form attached to the Order as Annex 2, certifying, among other things, that the additional Ordinary Course Professional does not represent or hold any interest adverse to Mr. Kwok or his Chapter 11 estate with respect to the matter(s) on which such professional is to be employed.\n- c. Upon receipt of a Verified Statement, Mr. Kwok will file the same with the Court and serve a copy on (i) the Office of the U.S. Trustee, (ii) the official committee of unsecured creditors appointed in this Chapter 11 case, and (iii) and any such other party entitled to receive notice pursuant to Local Rule 2002 (collectively, the \"OCP Notice Parties\"). If an Ordinary Course Professional fails to timely provide a Verified Statement to Mr. Kwok, then the Ordinary Course Professional will automatically be deemed to be stricken from the OCP List or OCP List Supplement on which the Ordinary Course Professional was listed.\n- d. The OCP Notice Parties will have fourteen (14) calendar days following the date of service of a Verified Statement to file with the Court and notify Mr. Kwok's counsel, Brown Rudnick, in writing, of any objection to the retention of an Ordinary Course Professional based on the contents of the Verified Statement (the \"Objection Deadline\").\n- e. If no objection is filed before the Objection Deadline, or if any objection submitted is timely withdrawn or resolved, then Mr. Kwok will be authorized to retain and employ the Ordinary Course Professional as a final matter without further order of the Court, effective as of the latest of (i) the Petition Date, (ii) if applicable, the date of the filing of the OCP List Supplement, or (iii) the date of engagement.\n- f. If an objection is filed with the Court and served by the Objection Deadline, and such objection cannot be resolved twenty-one (21) calendar days after the Objection Deadline, then the matter will be scheduled for hearing before the Court on the next regularly scheduled hearing date or such other date that may be agreeable to the Ordinary Course Professional, Mr. Kwok, and the objecting party.\n- g. No Ordinary Course Professional may be paid any amount for prepetition or postpetition fees or expenses until such Ordinary Course Professional has been retained in accordance with these OCP Procedures.\n- h. After Mr. Kwok retains an Ordinary Course Professional in accordance with these OCP Procedures, Mr. Kwok may pay such Ordinary Course Professional 100% of the post-petition fees and expenses incurred (collectively, \"Compensation\") upon submission to, and approval by, Mr. Kwok of an appropriate invoice setting forth in reasonable detail the nature of the services rendered and expenses actually incurred (without prejudice to Mr. Kwok's right to dispute any such invoices); provided, however, Mr. Kwok may not pay Compensation to an Ordinary Course Professional in any amount in excess of (a) \\$125,000 per month for Ordinary Course Professionals assisting with his pursuit of claims or (b) \\$90,000 per month for Ordinary Course Professionals assisting on all\n\nother matters, on average over any three-month period on a rolling basis (the \"OCP Monthly Fee Cap\").\n\n- i. To the extent an Ordinary Course Professional incurs Compensation in an amount that exceeds the OCP Monthly Fee Cap (the full amount being the \"Excess Compensation\"): (i) Mr. Kwok may pay such Excess Compensation upon agreement by the OCP Notice Parties, such agreement to be evidenced by the filing of a notice of increased cap amount, which will be deemed approved upon the filing of such notice, without further action by the Court, or (ii) absent such agreement, the Ordinary Course Professional may file a fee application (a \"Fee Application\") in accordance with Sections 330 and 331 of the Bankruptcy Code and the applicable provisions of the Bankruptcy Rules, the Local Rules, the Guidelines for Allowance of Compensation and Expense Reimbursement of Professionals per Local Rule 2016-1, and any other procedures and orders of the Court in this Chapter 11 case. Each Fee Application shall be served upon the OCP Notice Parties. The OCP Notice Parties shall then have twenty-one (21) calendar days to object to the Fee Application. If no objection is timely filed, then the fees and expenses requested in the Fee Application shall be deemed approved without further order of the Court, and the Ordinary Course Professional may be paid one hundred percent (100%) of its fees and one hundred percent (100%) of its expenses.\n- j. At three (3) month intervals (each, a \"Quarter\") during the pendency of the Chapter 11 case, Mr. Kwok shall file with the Court and serve on the OCP Notice Parties, no later than thirty (30) calendar days after the end of such Quarter (the first end of the Quarter occurring June 14, 2022), a statement that shall include the following information for each Ordinary Course Professional: (i) the name of the Ordinary Course Professional; (ii) the amounts paid as compensation for services rendered and reimbursement of expenses incurred by the Ordinary Course Professional during the reported Quarter broken down by month; and (iii) the cumulative amounts paid as compensation for services rendered and reimbursement of expenses incurred by the Ordinary Course Professional from the Petition Date through the end of the reported Quarter.\n- 3. Mr. Kwok is authorized, but not directed, to pay in his discretion the OCP\n\nPrepetition Claims, provided such payments do not exceed US\\$275,000 in the aggregate. To the extent any Ordinary Course Professional may hold an \"advance-payment\" or \"security retainer,\" Mr. Kwok is authorized to direct such Ordinary Course Professionals to apply any retainer held against the OCP Prepetition Claims.\n\n4. Mr. Kwok is authorized and empowered to execute and deliver such documents and to take and perform all actions necessary to implement and effectuate the relief granted in this Order.\n\n5. This Court retains jurisdiction with respect to all matters arising from or related to the implementation, interpretation, and/or enforcement of this Order.\n\nDated:\n\nBridgeport, Connecticut\n\nUNITED STATES BANKRUPTCY JUDGE\n\nCase 22-50073 Doc 119 Filed 03/22/22 Entered 03/22/22 12:38:09 Page 20 of 26\n\n#### **Annex 1**\n\n**OCP List**\n\n| Ordinary Course Professional                                    | Address                                                                               | Type of Service            |\n|-----------------------------------------------------------------|---------------------------------------------------------------------------------------|----------------------------|\n| Aaron Mitchell<br>Lawall & Mitchell, LLC                        | 55 Madison Avenue<br>Morristown, NJ 07960                                             | Legal                      |\n| Ari Casper<br>The Casper Firm, LLC                              | 400 E. Pratt Street<br>Suite 903<br>Baltimore, MD 21202                               | Legal                      |\n| Damon Parker<br>Harcus Parker Ltd.                              | 7th Floor, Melbourne House<br>44-46 Aldwych<br>London, WC2B 4LL                       | Legal                      |\n| Guy Petrillo<br>Petrillo Klein & Boxer LLP                      | 655 Third Avenue<br>22nd Floor<br>New York, NY 10017                                  | Legal                      |\n| Isabelle Kirshner<br>Clayman Rosenberg Kirshner &<br>Linder LLP | 305 Madison Avenue<br>Suite 650<br>New York, New York 10165                           | Legal                      |\n| Jeffrey Gavenman<br>Schulman Bhattacharya, LLC                  | 6116 Executive Boulevard<br>Suite 425<br>Bethesda, MD 20852                           | Legal                      |\n| John Lau                                                        | 53 Cody Avenue<br>Glen Head, NY 11545                                                 | Interpretation/Translation |\n| John Siegal<br>Baker Hostetler LLP                              | 45 Rockefeller Plaza<br>New York, NY 10111-0100                                       | Legal                      |\n| Mark Zauderer<br>Ganfer Shore Leeds & Zauderer<br>LLP           | 360 Lexington Avenue<br>New York, NY 10017                                            | Legal                      |\n| Matthew Hoyle                                                   | One Essex Court<br>Temple, London, EC4Y 9AR<br>DX 430                                 | Legal                      |\n| Melissa Francis<br>The Francis Firm PLLC                        | 33 W 60th Street<br>Floor 2<br>New York, NY 10069                                     | Legal                      |\n| Mindy Kamen<br>Janover LLC                                      | 485 Madison Avenue<br>New York, NY 10022                                              | Accounting                 |\n| Robert Nader<br>Forbes Hare                                     | Qwomar Building<br>PO Box 4649, Road Town<br>Tortola VG1110<br>British Virgin Islands | Legal                      |\n| Sa'ad Hossain Q.C.                                              | One Essex Court<br>Temple, London, EC4Y 9AR<br>DX 430                                 | Legal                      |\n\n| Ordinary Course Professional          | Address                                                | Type of Service            |\n|---------------------------------------|--------------------------------------------------------|----------------------------|\n| Sandrine Giroud<br>LALIVE SA          | Rue de Law Mairie 35<br>1207 Geneva<br>Switzerland     | Legal                      |\n| Sebastian Isaac                       | One Essex Court<br>Temple, London, EC4Y 9AR.<br>DX 430 | Legal                      |\n| Una Wilkinson                         | 68-18 Juno Street<br>Forest Hills, New York 11375      | Interpretation/Translation |\n| Victor Cerda<br>VX Cerda & Associates | 601 Brickell Key Drive<br>Suite 700<br>Miami, FL 33131 | Legal                      |\n\n# **Annex 2**\n\n**Verified Statement**\n\n# **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n|        |              | --------------------------------------------------------------------X |   |                         |\n|--------|--------------|-----------------------------------------------------------------------|---|-------------------------|\n|        |              |                                                                       | : |                         |\n| In re: |              |                                                                       | : | Chapter 11              |\n|        |              |                                                                       | : |                         |\n|        | Ho Wan Kwok, |                                                                       | : | Case No. 22-50073 (JAM) |\n|        |              |                                                                       | : |                         |\n|        |              |                                                                       | : |                         |\n|        |              | Debtor.                                                               | : |                         |\n|        |              |                                                                       | : |                         |\n|        |              | --------------------------------------------------------------------X |   |                         |\n\n### **VERIFIED STATEMENT OF [Insert Full Name Of Professional]**\n\nI, [name of affiant], being duly sworn, depose and say:\n\n1. I am the [Title] of [Insert Full Name of Ordinary Course Professional] (\"[Insert Abbreviation for Professional]\"), which maintains offices at [Insert Address of Ordinary Course Professional].\n\n2. Except as otherwise provided herein, neither I, [Insert Abbreviation for Professional], nor any employee thereof, insofar as I have been able to ascertain, has any connection with the above-captioned debtor and debtor in possession (the \"Debtor\"), Debtor's creditors, any other party in interest, their respective attorneys and accountants, the United States Trustee, or any person employed in the office of the United States Trustee, except as set forth in this verified statement.\n\n3. [Insert Abbreviation for Professional], through myself and other employees of [Insert Abbreviation for Professional], has provided certain [Insert General Description of Services] to Debtor with respect to [Fill in Description of Aspects] of Debtor.\n\n4. Debtor has requested, and [Insert Abbreviation for Professional] has agreed, to continue to provide services to Debtor pursuant to section 327 of title 11 of the United States Code (the \"Bankruptcy Code\") with respect to such matters. Additionally, Debtor has requested, and [Insert Abbreviation for Professional] proposes, to render the following services to Debtor:\n\n[Insert Specific Services]\n\n5. [Insert Abbreviation for Professional]'s current customary rates are [Insert Fee/Rate Scale]. In the normal course of business, [Insert Abbreviation for Professional] revises its regular rates on [Insert Date] of each year and requests that, effective [Insert Date] of each year, the aforementioned rates be revised to the regular rates which will be in effect at that time.\n\n6. In the past year, [Insert Abbreviation for Professional] has rendered services to Debtor for which Debtor has been invoiced in the amount of \\$[Insert Amount]. [Insert Abbreviation for Professional] was owed \\$[Insert Amount] by Debtor as of the Petition Date.\n\n7. Additionally, since the commencement of this case, [Insert Abbreviation for Professional] has provided services to Debtor that have not yet been billed or that have been billed but for which payment has not been received. The value of such services does not exceed \\$[Insert Amount].\n\n8. Except as set forth herein, no promises have been received by [Insert Abbreviation for Professional] as to compensation in connection with this chapter 11 case other than in accordance with the provisions of the Bankruptcy Code, the Federal Rules of Bankruptcy Procedure (the \"Bankruptcy Rules\"), the Local Bankruptcy Rules for the District of Connecticut (the \"Local Bankruptcy Rules\"), and orders of this Court.\n\n9. [Insert Abbreviation for Professional] has no agreement with any entity to share any compensation received from Debtor.\n\n10. [Insert Abbreviation for Professional] and its employees may have in the past, currently, and may in the future provide services to entities that are creditors of Debtor in matters\n\n2\n\ntotally unrelated to the matters with respect to which [Insert Abbreviation for Professional] is to be engaged by Debtor. However, neither I, [Insert Abbreviation for Professional], nor any employee thereof, insofar as I have been able to ascertain, holds or represents any interest adverse to Debtor or the chapter 11 estate in the matters upon which [Insert Abbreviation for Professional] is to be engaged.\n\n11. The foregoing constitutes the verified statement of [Insert Abbreviation for Professional] pursuant to Bankruptcy Code sections 329 and 504, Bankruptcy Rule 2014, and Local Bankruptcy Rule 2014-1.\n\n I declare upon penalty of perjury under the laws of the United States of America that the foregoing is true and correct.\n\nDated at [Insert City], [Insert State], this [Insert day] day of [month], [year].\n\n[Insert Signature of Affiant]\n\n[Insert Name of Affiant]","body_zh":"美国康涅狄格州联邦破产法院（United States Bankruptcy Court District of Connecticut）布里奇波特分院（Bridgeport Division）\n\n--------------------------------------------------------------------X 关于：Ho Wan Kwok（郭文贵），债务人。1\n：\n：\n：\n：\n：\n：\n：\n第11章\n案件编号：22-50073 (JAM)\n听证日期：\n听证时间：\n--------------------------------------------------------------------X\n债务人就请求作出一项裁定以授权：(I) 聘用并支付在正常经营过程中使用的专业人士；(II) 支付申请日前债权；以及 (III) 给予相关救济，所提出的动议\n\nHo Wan Kwok（郭文贵）先生，作为上述标题第11章案件中的债务人及占有财产债务人（“Kwok先生”或“债务人”），通过其下列签署的律师，特此提交本动议（“本动议”），请求作出一项裁定，其形式大致如作为附件A附于本动议的裁定（“该裁定”）所示，准予下文所述救济；为支持本动议，债务人提交并援引Ho Wan Kwok（郭文贵）先生支持第11章案件及若干动议的声明（“Kwok声明”）[案卷编号107]；并进一步恭敬陈述如下：\n\n请求的救济\n\n1. 通过本动议，依据《美国法典》第11编（“《破产法》”）第105(a)、327、328、330及363条，Kwok先生请求作出该裁定：(i) 授权其(a) 制定若干程序，以便在无需就每一名正常经营过程专业人士分别提交聘用申请及作出分别聘用裁定的情况下，聘用在正常经营过程中向Kwok先生提供会计、法律及咨询服务的专业人士（各称“一名正常经营过程专业人士”，合称“正常经营过程专业人士”），以及(b) 在无需提交个别费用申请的情况下向该等专业人士支付报酬并偿还费用；(ii) 支付为维护其财产所必需的若干正常经营过程专业人士的申请日前债权（“正常经营过程专业人士申请日前债权”）；以及(iii) 给予相关救济。\n\n债务人亦以如下名称为人所知：Guo Wengui；Miles Guo；Miles Kwok；及Ho Wan Kwok。\n\n2. 基于本文所述理由，Kwok先生主张，请求的救济符合其第11章财产、其债权人及其他利害关系方的最佳利益，因此应予准许。\n\n管辖权\n\n3. 本院依据28 U.S.C. §§ 157和1334以及美国康涅狄格州联邦地区法院（United States District Court for the District of Connecticut）作出的移送常设命令（经修订），对审理本动议具有管辖权。根据28 U.S.C. § 157(b)，本案属于核心程序。根据28 U.S.C. §§ 1408和1409，本第11章案件及本动议的审理地点在本区适当。\n\n4. 本动议所请求救济的依据为《破产法》第105(a)、327、328及330条，以及《联邦破产程序规则》（“《破产程序规则》”）第2014和2016条，及《美国康涅狄格州联邦破产法院地方规则》（“《地方规则》”）第2014-2和2016-1条。\n\n正常经营过程专业人士\n\n5. 于2022年2月15日（“申请日”），Kwok先生根据《破产法》第11编第11章自愿提交了救济申请。\n\n6. 如Kwok声明中更详细阐述，截至申请日，债务人作为原告、被告或共同被告的具名当事方，涉及在美国、英国、瑞士、英属维尔京群岛和加拿大等国家和地区国内及国际范围内待决的30余起活跃案件——其中大多数诉讼仍在美国进行中（但受《破产法》自动中止规定的约束）（统称“待决诉讼”）。参见《个人破产申请人财务状况说明书》第4部分第9问之答复[ECF No. 77]。\n\n7. 在申请日前，Kwok先生已聘用其正常经营过程专业人士，包括多家律师事务所、会计师及口译员/笔译员，其就待决诉讼提供服务，并就与本第11章案件无关的各种事项提供其他服务。\n\n8. 正常经营过程专业人士对Kwok先生及待决诉讼具有大量知识、专业技能及熟悉程度，其中许多事项已持续多年。在申请日前，债务人作为具名原告积极推进两（2）项诉讼，其中两项现构成财产中较为重要的资产：\n\n- a. UBS债权：在英国皇家法院（Royal Courts of Justice）审理的案件中，债务人（连同若干共同原告）向UBS AG（London Branch）（“UBS”）提出债权。在该诉讼中，权利主张人就UBS在债务人试图促成收购并收购一家中国金融机构Haitong于2015年发行的若干股份时所作的疏忽失实陈述及建议，主张逾$500 million的损害赔偿。就在2022年2月9日，债务人在一项管辖权异议中胜诉，该项债权仍在英国法院审理中。\n\n- b. Clark Hill债权：债务人向律师事务所Clark Hill PLC及其一名成员Thomas K. Ragland（合称“Clark Hill”）提出债权。该诉讼目前在美国哥伦比亚特区联邦地区法院（United States District Court for the District of Columbia）待决。债务人正就违反法律代理义务向Clark Hill请求$50 million的补偿性损害赔偿及额外的惩罚性损害赔偿。\n\n参见Kwok声明第III节，第32段。\n\n9. 尽管Kwok先生预计其正常经营过程专业人士将持续提供服务，但若其不能向该等人士保证定期及时支付其申请日后的费用及开支，并且在较为有限的情形下支付其就待决诉讼所提供服务的申请日前债权，2 其中若干人士将无法继续提供服务。债务人同时提交了请求批准债务人占有期间融资的动议，该融资是债务人为本第11章案件提供资金的唯一方式，也是为继续以申请日前聘用该等正常经营过程专业人士的相同方式和相同目的聘用其等提供资金的来源。Kwok先生正常经营过程专业人士的初步名单作为附件1附于拟议裁定格式（“正常经营过程专业人士名单”）。3\n\n10. 如无正常经营过程专业人士就其申请日前工作所具备的知识、专业技能及熟悉程度，包括就待决诉讼所具备的此类知识、专业技能及熟悉程度，Kwok先生将为培训和聘用替代专业人士产生大量额外且不必要的费用。因此，继续聘用正常经营过程专业人士符合Kwok先生财产、其债权人及其他利害关系方的最佳利益。\n\n拟议的聘用及支付程序\n\n11. Kwok先生拟继续以该等专业人士在申请日前受聘时的相同方式及相同目的，接受其正常经营过程专业人士提供的服务。\n\n12. 因此，Kwok先生请求本院免除其及其财产提交其正常经营过程专业人士个别聘用及费用申请的负担及相关费用，并授权采用下列程序聘用及支付其正常经营过程专业人士（“正常经营过程专业人士程序”）：\n\na. 自下列较晚发生者起三十（30）个日历日内：(i) 准许本动议的命令登记之日；及 (ii) 日常业务专业人士开始提供服务之日，OCP清单上的每名日常业务专业人士均应向Kwok先生（郭文贵）及其律师Brown Rudnick（布朗·拉德尼克律师事务所）提交一份经核实的声明（各称为“一份经核实的声明”），其格式应与作为命令附件2所附的格式大致相同，并证明（除其他事项外）：(i) 就聘用该专业人士所涉事项而言，该日常业务专业人士不代表或持有与负债人或其第11章破产财产相对立的任何利益；及 (ii) 披露其对负债人第11章破产财产持有的任何申请前债权的金额和性质。\n\nb. 如Kwok先生拟聘用一名未列于OCP清单的额外日常业务专业人士，则Kwok先生应向法院提交OCP清单的补充文件（“OCP清单补充文件”），载明该额外日常业务专业人士的姓名、地址和服务类型。自下列较晚发生者起三十（30）个日历日内：(i) 提交OCP清单补充文件之日；及 (ii) 该额外日常业务专业人士开始提供服务之日，该额外日常业务专业人士应向Kwok先生及其律师Brown Rudnick提交一份经核实的声明，其格式应与作为命令附件2所附的格式大致相同，并证明（除其他事项外），就聘用该专业人士所涉事项而言，该额外日常业务专业人士不代表或持有与Kwok先生或其第11章破产财产相对立的任何利益。\n\nc. 收到经核实的声明后，Kwok先生应向法院提交该声明，并向以下各方送达副本：(i) 美国受托人办公室；(ii) 在本第11章案件中指定的无担保债权人正式委员会；及 (iii) 根据地方法规则2002有权接收通知的任何其他此类当事方（统称为“OCP通知当事方”）。如任何日常业务专业人士未能及时向Kwok先生提交经核实的声明，则该日常业务专业人士应自动视为已从列有该日常业务专业人士的OCP清单或OCP清单补充文件中删除。\n\nd. OCP通知当事方应自送达经核实的声明之日起十四（14）个日历日内，就基于该经核实的声明内容而反对聘用某日常业务专业人士的任何异议，向法院提交并以书面形式通知Kwok先生的律师Brown Rudnick（“异议期限”）。\n\ne. 如在异议期限届满前未提出异议，或所提交的任何异议被及时撤回或解决，则Kwok先生应获授权最终聘用和雇用该日常业务专业人士，无需法院进一步命令，并自下列最晚日期起生效：(i) 申请日；(ii) 如适用，提交OCP清单补充文件之日；或 (iii) 聘用之日。\n\nf. 如在异议期限届满前向法院提交并送达异议，且该异议在异议期限届满后二十一（21）个日历日内无法解决，则该事项将安排在法院下一个定期排定的听证日期，或日常业务专业人士、Kwok先生及提出异议的当事方可能同意的其他日期进行听证。\n\ng. 在日常业务专业人士依照本OCP程序获聘之前，不得向该日常业务专业人士支付任何申请前或申请后费用或开支。\n\nh. 在Kwok先生依照本OCP程序聘用一名日常业务专业人士后，Kwok先生可在向其提交并经其批准适当发票后，向该日常业务专业人士支付其所发生的申请后费用和开支的100%（统称为“报酬”）；该发票应以合理详细程度列明已提供服务的性质和实际发生的开支（但不影响Kwok先生对任何该等发票提出争议的权利）；但前提是，Kwok先生不得向日常业务专业人士支付超过以下金额的报酬：(a) 对协助其追索债权的日常业务专业人士，每月\\$125,000；或 (b) 对协助处理所有其他事项的日常业务专业人士，每月\\$90,000，以任何滚动三个月期间的平均数计算（“OCP月度费用上限”）。4\n\ni. 如日常业务专业人士发生的报酬金额超过OCP月度费用上限（全部该等金额称为“超额报酬”）：(i) 经OCP通知当事方同意，Kwok先生可支付该等超额报酬；该等同意应通过提交增加上限金额的通知予以证明，该通知一经提交即视为获批准，无需法院进一步行动；或 (ii) 如无该等同意，日常业务专业人士可依照《破产法典》第330和331条以及《破产规则》、地方法规则、\n\n4 Kwok先生预计，向协助其追索债权的日常业务专业人士每月支付最高\\$200,000的报酬（取决于包括相关诉讼是否在本第11章案件过程中进入审判在内的因素），并向协助处理所有其他事项的日常业务专业人士每月支付最高\\$175,000的报酬。\n\n根据地方法规则2016-1制定的《专业人士报酬及开支偿还准许指引》，以及本第11章案件中法院的任何其他程序和命令，提交费用申请（“费用申请”）。每项费用申请均应向OCP通知当事方送达。OCP通知当事方其后应有二十一（21）个日历日对费用申请提出异议。如未及时提出异议，则费用申请中请求的费用和开支应视为已获批准，无需法院进一步命令，且可向该日常业务专业人士支付其费用的百分之一百（100%）和其开支的百分之一百（100%）。\n\nj. 在第11章案件未决期间，每隔三（3）个月（各称为“一季度”），Kwok先生应在该季度结束后不迟于三十（30）个日历日内（首个季度结束日为June 14, 2022）向法院提交并向OCP通知当事方送达一份声明，该声明应就每名日常业务专业人士包括以下信息：(i) 该日常业务专业人士的名称；(ii) 在所报告季度内，按月细分的向该日常业务专业人士支付的已提供服务报酬和所发生开支偿还金额；及 (iii) 自申请日起至所报告季度结束期间，向该日常业务专业人士支付的已提供服务报酬和所发生开支偿还的累计金额。\n\n13. 尽管Kwok先生预计其日常业务专业人士将持续提供服务，但某些日常业务专业人士如未收到至少一部分其各自在就悬而未决诉讼提供服务方面所持申请前债权的付款，可能无法继续如此行事。为避免日常业务专业人士所提供服务可能受到干扰，Kwok先生请求授权其在法院批准的前提下，按如下方式支付某些日常业务专业人士的部分申请前债权：(i) 日常业务专业人士提交的任何经核实的声明必须披露该日常业务专业人士所持任何申请前债权的金额和性质（即OCP申请前债权）；及 (ii) Kwok先生可自行决定支付OCP申请前债权，但该等付款的总额不得超过\\$275,000。此外，某些日常业务专业人士可能持有“预付款”或“担保性预付费”。在该等情形下，Kwok先生可指示日常业务专业人士将其持有的任何预付费抵扣申请前余额。\n\n救济依据\n\nA. 聘用和支付日常业务专业人士的报酬有助于高效管理KWOK先生的破产财产。\n\n14. 本动议所请求的救济将通过节省Kwok先生及其破产财产为分别申请聘用每名日常业务专业人士，以及为其日常业务专业人士编制并寻求批准临时和最终费用申请所需的开支，从而使本第11章案件的管理更为经济。此外，尽管日常业务专业人士希望持续代表Kwok先生，但如其只能通过要求按月提交、临时和最终费用申请的正式申请程序获得付款，其可能不愿继续如此行事。\n\n15. 如Kwok先生丧失其日常业务专业人士就其在申请日前负责的特定事项所具备的专业知识和背景知识，则Kwok先生的破产财产将产生额外且不必要的开支，因为他将被迫聘用不具备该等背景和专业知识的其他专业人士，进而影响其破产财产。\n\n16. 此外，本文所概述的程序将减轻本法院、美国受托人和其他利害关系方审查日常业务专业人士费用申请的负担。\n\nB. KWOK先生的申请前律师正为特定特别目的而获聘。\n\n17. 《破产法典》第327(e)条允许Kwok先生为OCP清单中所列明的“特定特别目的”聘用其申请前律师及其各自的律师事务所：\n\n经法院批准，受托人可为特定特别目的而非为代表受托人办理案件，聘用曾代表负债人的律师，前提是此举符合破产财产的最佳利益，且该律师就其受聘事项而言，不代表或持有与负债人或破产财产相对立的任何利益。\n\n11 U.S.C. § 327(e); In re JMK Constr. Group, Ltd., 441 B.R. 222, 230 (Bankr. S.D.N.Y. 2010)\n\n（“负债人亦可根据《破产法典》第327(e)条为‘特定特别目的’聘用律师”）（引自In re Quality Beverage Co., 216 B.R. 592, 594 (Bankr.S.D.Tex.1995)（指出“该法条的明确语言将其适用范围限于律师”））。“第327(a)条规定的、专业人士不得持有或代表与破产财产相对立利益的聘用要求，同样适用于第327(e)条下的聘用。”In re JMK Constr. Group, Ltd., 441 B.R. at 230–31（引自In re Homesteads Cmty. at Newtown, LLC, 390 B.R. 32, 47–48 (Bankr. D. Conn. 2008)）。\n\n18. 因此，只要特别律师不代表与该律师拟提供服务有关的相对立利益，根据第327(e)条聘用即属适当且应获授权。In re AroChem Corp., 176 F.3d 610, 622 (2d Cir. 1999)（将第327(a)条标准适用于“特别律师”情形，并指出“如特别律师的利益与破产财产就聘用特别律师所涉事项的利益一致，则不存在冲突，且该代理关系可以成立”，且问题在于——就其受聘承担的特别代理事项而言——[该特别律师]是否：(1) 持有或代表与破产财产相对立的利益；以及 (2) 是否为“无利害关系人”）（原文强调）。\n\n19. 在此，如 OCP 清单中所标明并确认的，为“特定特别目的”而受聘的每一名律师（及其各自的律师事务所），均不具有对 Kwok 先生或其第 11 章破产财产不利的利益，且均为“无利害关系人”。\n\nC. 日常业务专业人士所提供的服务与本第 11 章案件的管理无关。\n\n20. 尽管部分日常业务专业人士既不会协助管理本第 11 章案件，也不会在其中发挥核心作用，Kwok 先生仍出于审慎考虑而寻求本动议所请求的救济。参见，例如，Comm. of Asbestos-Related Litigants and/or Creditors v. Johns-Manville Corp. (In re Johns-Manville Corp.), 60 B.R. 612, 619 (Bankr. S.D.N.Y. 1986)（认定《破产法典》第 327(a) 条所称的“专业人员”是一个专门术语，仅适用于在债务人财产重整中发挥密切作用的人员）；In re SageCrest II, LLC, 08-50754 (LEAD), 2010 WL 1981041, at *7 (Bankr. D. Conn. May 18, 2010)（“[I]n determining whether persons sought to be retained by the debtor were professionals under § 327(a), the Johns–Mansville court focused on whether the retention was to represent or assist the debtor in carrying out its bankruptcy duties, to wit: whether those sought to be retained played a part in negotiating the debtor's reorganization plan, adjusting the debtor/creditor relationships, or disposing or acquiring assets of the debtor.”），aff'd, 3:10CV978 SRU, 2011 WL 134893 (D. Conn. Jan. 14, 2011)；In re Smith, 524 B.R. 689, 694–95 (Bankr. S.D. Tex. 2015)（“第 327(a) 条要求专业人员‘代表或协助受托人履行受托人根据本法典所承担的职责。’因此，法院要求专业人员的聘用必须与破产案件的管理具有特定关联，而非与债务人业务的日常经营有关。”）（援引 Matter of Seatrain Lines, Inc., 13 B.R. 980, 981 (Bankr.S.D.N.Y.1981)）。\n\nD. 支付日常业务专业人士持有的申请日前债权对于保全破产财产是必要的。\n\n21. 法院已认可，在为保护和保全破产财产所必需的情况下，授权支付申请日前债务是适当的。参见，例如，In re Ionosphere Clubs, Inc., 98 B.R. 174, 175 (Bankr. S.D.N.Y. 1989)（支付申请日前工资的授权）；Armstrong World Indus., Inc. v. James A. Phillips, Inc. (In re James A. Phillips, Inc.), 29 B.R. 391, 398 (Bankr. S.D.N.Y. 1983)（支付供应商申请日前债权的授权）。\n\n22. 根据《破产法典》第 363(b) 条，如存在合理的商业目的，法院可授权支付申请日前债务。参见 Ionosphere Clubs Inc., 98 B.R. at 175（指出，第 363(b) 条在有适当商业理由支持的情况下，为授权债务人履行申请日前债权提供了“广泛的灵活性”）；另参见 James A. Phillips, Inc., 29 B.R. at 397（依赖第 363 条作为允许承包商支付可能提出留置权请求的供应商之申请日前债权的依据）。此外，根据第 105(a) 条，在对债务人的存续至关重要时，法院可以授权在计划确认前支付申请日前债务。参见 In re C.A.F. Bindery, Inc., 199 B.R. 828, 835 (Bankr. S.D.N.Y. 1996)；另参见 In re Fin. News Network Inc., 134 B.R. 732, 735–36 (Bankr. S.D.N.Y. 1991)（裁定“必要性原则”意味着，在该等支付对债务人的重整至关重要时，破产法院可准许在计划确认前支付申请日前债务）。\n\n23. 如上所述，尽管 Kwok 先生预计其日常业务专业人士将持续提供服务，但附件 2 所列的日常业务专业人士如未就其与未决诉讼相关的已提供服务之各自申请日前债权获得付款，可能无法继续提供服务。如果 Kwok 先生就其日常业务专业人士在申请日前负责的特定事项失去其专业知识和背景知识，破产财产将产生额外且不必要的费用，因为 Kwok 先生将被迫聘请不具备该等背景和专业知识的其他专业人士，这将进而影响本破产财产及其债权人。因此，支付日常业务专业人士的申请日前债权，对于避免其日常业务专业人士所提供服务中断是必要的，并构成合理的商业目的，且在此情形下属必要。\n\n通知\n\n24. 本动议的通知已向下列各方或其律师（如适用）送达：(i) 美国受托人；(ii) 债务人的 20 名最大无担保债权人中的每一名；(iii) 美国国税局；(iv) 康涅狄格地区美国检察官办公室；(v) 无担保债权人正式委员会；以及 (vi) 根据地方法则 2002 有权接收通知的任何其他方。债务人主张，鉴于相关事实和情况，该等通知已属充分，无需提供其他或进一步通知。\n\n此前未提出请求\n\n25. 债务人此前未曾向本院或任何其他法院提出本文件所寻求救济的请求。\n\n结论\n\n因此，基于本文件所载理由，Kwok 先生恭请法院准许本动议、本裁定所请求的救济，以及其他公正和适当的救济。\n\n日期：March 22, 2022\n\nBROWN RUDNICK LLP（布朗·拉德尼克律师事务所）\n\n签署人：/s/ William R. Baldiga\n\nBROWN RUDNICK LLP\n\n185 Asylum Street\n\nHartford, CT 06103\n\n收件人：Dylan Kletter, Esq.\n\n电话：(860) 509-6500\n\n传真：(860) 509-6653\n\n电子邮件：dkletter@brownrudnick.com\n\nSeven Times Square\n\nNew York, NY 10036\n\n收件人：William R. Baldiga, Esq.（pro hac pending）\n\n收件人：Bennett S. Silverberg, Esq.（pro hac pending）\n\n收件人：Uriel Pinelo, Esq.（pro hac pending）\n\n电话：(212) 209-4800\n\n传真：(212) 209-4801\n\n电子邮件：wbaldiga@brownrudnick.com\n\nbsilverberg@brownrudnick.com\n\nupinelo@brownrudnick.com\n\n案件 22-50073，文件 119，于 03/22/22 提交，于 03/22/22 12:38:09 登记，第 14 页，共 26 页\n\n附件 A\n\n拟议裁定\n\nUNITED STATES BANKRUPTCY COURT（美国破产法院）\n\nDISTRICT OF CONNECTICUT（康涅狄格地区）\n\nBRIDGEPORT DIVISION（布里奇波特分庭）\n\n关于：\n\nHo Wan Kwok（郭文贵），\n\n第 11 章\n\n案件编号：22-50073 (JAM)\n\n债务人。1\n\n: --------------------------------------------------------------------X\n\n【拟议】准许债务人提出的动议的裁定，该动议请求作出裁定：(I) 授权聘用并支付日常业务中使用的专业人士，(II) 支付申请日前债权，以及 (III) 准予相关救济\n\n兹就 Kwok 先生提出的动议（以下简称“本动议”）2 作出裁定，该动议请求根据《破产法典》第 105(a)、327、328、330 和 363 条、《破产规则》第 2014 条及地方法则第 2014-2 条作出裁定（以下简称“本裁定”），授权但不指示 Kwok 先生：(i) 聘用日常业务专业人士，而无需就每名专业人士分别提交聘用申请并分别作出聘用裁定；(ii) 按照本文件规定的程序，对日常业务专业人士进行报酬支付及费用偿还，而无需分别提交费用申请；以及 (iii) 支付对保全债务人破产财产所必需的某些日常业务专业人士的申请日前债权；并且本院已认定，其根据 28 U.S.C. §§ 157 and 1334 对审理本动议及其中所请求的救济具有管辖权；并且，根据 28 U.S.C. § 157(b)，审理本动议及其中所请求的救济属于核心程序；并且，根据 28 U.S.C. §§ 1408 and 1409，本院为适当审理地点；并且，\n\n1 债务人还以下列名称为人所知：Guo Wengui；Miles Guo；Miles Kwok；以及 Ho Wan Kwok。\n\n2 本文件中使用但未另行定义的首字母大写术语，具有本动议中赋予该等术语的含义。\n\n在相关情形下，已根据《破产规则》和地方法则就本动议提供适当、充分且适当的通知，且看来无需提供其他或进一步通知；并且，已举行听证（如有），以审议本动议中所请求的救济（以下简称“听证”）；并且，基于本院前进行的一切程序；且经适当审议并显示存在充分理由，特此命令、裁定并判决如下：\n\n1. 在本裁定规定的范围内，准许本动议。\n\n2. 授权但不指示 Kwok 先生按照下列程序（以下简称“日常业务专业人士程序”）聘用、支付报酬并偿还日常业务专业人士的费用：\n\na. 在以下两者中较晚者起三十（30）个日历日内：(i) 准予本动议的命令录入之日；及 (ii) 日常业务专业人士开始提供服务之日，随附于本文件作为附件1的 OCP 名单上的每名日常业务专业人士，均应向郭文贵先生及其律师 Brown Rudnick（布朗·拉德尼克）提供一份经核实陈述（各称“经核实陈述”），其格式应与随附于该命令作为附件2的格式基本一致，证明包括但不限于：(i) 就该专业人士受聘处理的事项而言，该日常业务专业人士并不代表或持有任何与债务人或其 Chapter 11 财产利益相冲突的利益；以及 (ii) 披露其对债务人 Chapter 11 财产持有的任何申请前债权的金额及性质。\n\nb. 如郭先生寻求聘用一名尚未列入 OCP 名单的额外日常业务专业人士，则郭先生应向法院提交 OCP 名单的补充文件（“OCP 名单补充文件”），列明该额外日常业务专业人士的姓名、地址及服务类型。在以下两者中较晚者起三十（30）个日历日内：(i) 提交 OCP 名单补充文件之日；及 (ii) 该额外日常业务专业人士开始提供服务之日，该额外日常业务专业人士应向郭先生及其律师 Brown Rudnick 提供一份经核实陈述，其格式应与随附于该命令作为附件2的格式基本一致，证明包括但不限于，就该专业人士受聘处理的事项而言，该额外日常业务专业人士并不代表或持有任何与郭先生或其 Chapter 11 财产利益相冲突的利益。\n\nc. 郭先生收到经核实陈述后，应将其提交法院，并向以下各方送达副本：(i) U.S. Trustee Office（美国受托人办公室）；(ii) 在本 Chapter 11 案件中指定的无担保债权人正式委员会；以及 (iii) 根据 Local Rule 2002（地方法规2002）有权接收通知的任何其他此类当事人（统称“OCP 通知方”）。如任何日常业务专业人士未能及时向郭先生提供经核实陈述，则该日常业务专业人士应自动被视为已从列有该日常业务专业人士的 OCP 名单或 OCP 名单补充文件中删除。\n\nd. OCP 通知方应自经核实陈述送达之日起十四（14）个日历日内，向法院提交并书面通知郭先生的律师 Brown Rudnick，提出任何基于经核实陈述内容而反对聘用某一日常业务专业人士的异议（“异议期限”）。\n\ne. 如在异议期限届满前未提交异议，或所提交的任何异议被及时撤回或解决，则郭先生应获授权最终聘用及雇用该日常业务专业人士，无需法院进一步命令，自以下各日期中最晚者起生效：(i) 申请日；(ii) 如适用，提交 OCP 名单补充文件之日；或 (iii) 聘用之日。\n\nf. 如在异议期限届满前向法院提交并送达异议，且该异议在异议期限届满后二十一（21）个日历日内无法解决，则该事项应排期于下一个法院常规排定的听证日，或日常业务专业人士、郭先生及提出异议的当事人可能同意的其他日期，由法院举行听证。\n\ng. 在该日常业务专业人士依照本 OCP 程序获聘用之前，不得向其支付任何申请前或申请后费用或开支。\n\nh. 郭先生依照本 OCP 程序聘用日常业务专业人士后，在向郭先生提交并经其批准适当发票后，可向该日常业务专业人士支付其所发生申请后费用及开支的100%（统称“报酬”）；该发票须以合理详细程度列明所提供服务的性质及实际发生的开支（不影响郭先生对任何此类发票提出争议的权利）；但前提是，郭先生不得向日常业务专业人士支付超过以下金额的报酬：(a) 对协助其追索债权的日常业务专业人士，每月 \\$125,000；或 (b) 对协助处理所有其他事项的日常业务专业人士，每月 \\$90,000，按任何连续三个月期间的滚动平均计算（“OCP 月度费用上限”）。\n\ni. 如日常业务专业人士发生的报酬金额超过 OCP 月度费用上限（全部该等金额称为“超额报酬”）：(i) 经 OCP 通知方同意，郭先生可支付该等超额报酬；该等同意应以提交增加上限金额的通知为证，而该通知一经提交即视为获批准，无需法院进一步行动；或 (ii) 如无该等同意，日常业务专业人士可根据 Bankruptcy Code（破产法）第330和331条、适用的 Bankruptcy Rules（破产程序规则）、Local Rules（地方法规）、根据 Local Rule 2016-1（地方法规2016-1）制定的《专业人士报酬及费用偿还准予指引》，以及本 Chapter 11 案件中法院的任何其他程序和命令，提交费用申请（“费用申请”）。每份费用申请均应送达 OCP 通知方。OCP 通知方随后应有二十一（21）个日历日对该费用申请提出异议。如未及时提交异议，则费用申请中请求的费用和开支应视为获批准，无需法院进一步命令，且日常业务专业人士可获得其费用的百分之一百（100%）及其开支的百分之一百（100%）支付。\n\nj. 在 Chapter 11 案件审理期间，每三（3）个月（各称“一季度”），郭先生应在该季度结束后不迟于三十（30）个日历日内（首个季度结束日为 June 14, 2022），向法院提交并向 OCP 通知方送达一份陈述，其中应就每名日常业务专业人士包括下列信息：(i) 日常业务专业人士的名称；(ii) 在所报告季度内，就该日常业务专业人士提供的服务支付的报酬和偿还的已发生开支的金额，按月细分；以及 (iii) 自申请日起至所报告季度结束时，就该日常业务专业人士提供的服务支付的报酬和偿还的已发生开支的累计金额。\n\n3. 郭先生获授权但无义务自行酌情支付 OCP 申请前债权，但该等付款的总额不得超过 US\\$275,000。如任何日常业务专业人士可能持有“预付款”或“担保预留金”，郭先生获授权指示该等日常业务专业人士将其持有的任何预留金用于抵销 OCP 申请前债权。\n\n4. 郭先生获授权并有权签署和交付该等文件，并采取和实施一切必要行动，以执行并实现本命令所准予的救济。\n\n5. 本法院保留对因执行、解释和/或强制执行本命令而产生或与之相关的一切事项的管辖权。\n\n日期：\n\n康涅狄格州布里奇波特\n\n美国破产法院法官\n\nCase 22-50073 Doc 119 Filed 03/22/22 Entered 03/22/22 12:38:09 Page 20 of 26\n\n附件1\n\nOCP 名单\n\n日常业务专业人士　地址　服务类型\n\nAaron Mitchell（阿伦·米切尔）\nLawall & Mitchell, LLC（拉沃尔与米切尔有限责任公司）　55 Madison Avenue\nMorristown, NJ 07960　法律\n\nAri Casper（阿里·卡斯珀）\nThe Casper Firm, LLC（卡斯珀律师事务所有限责任公司）　400 E. Pratt Street\nSuite 903\nBaltimore, MD 21202　法律\n\nDamon Parker（达蒙·帕克）\nHarcus Parker Ltd.（哈克斯·帕克有限公司）　7th Floor, Melbourne House\n44-46 Aldwych\nLondon, WC2B 4LL　法律\n\nGuy Petrillo（盖伊·彼得里洛）\nPetrillo Klein & Boxer LLP（彼得里洛、克莱因与博克瑟律师事务所）　655 Third Avenue\n22nd Floor\nNew York, NY 10017　法律\n\nIsabelle Kirshner（伊莎贝尔·基什纳）\nClayman Rosenberg Kirshner &\nLinder LLP（克莱曼、罗森伯格、基什纳与林德律师事务所）　305 Madison Avenue\nSuite 650\nNew York, New York 10165　法律\n\nJeffrey Gavenman（杰弗里·加文曼）\nSchulman Bhattacharya, LLC（舒尔曼·巴塔查里亚有限责任公司）　6116 Executive Boulevard\nSuite 425\nBethesda, MD 20852　法律\n\nJohn Lau（刘约翰）　53 Cody Avenue\nGlen Head, NY 11545　口译/笔译\n\nJohn Siegal（约翰·西格尔）\nBaker Hostetler LLP（贝克·霍斯特勒律师事务所）　45 Rockefeller Plaza\nNew York, NY 10111-0100　法律\n\nMark Zauderer（马克·佐德勒）\nGanfer Shore Leeds & Zauderer\nLLP（甘弗、肖尔、利兹与佐德勒律师事务所）　360 Lexington Avenue\nNew York, NY 10017　法律\n\nMatthew Hoyle（马修·霍伊尔）　One Essex Court\nTemple, London, EC4Y 9AR\nDX 430　法律\n\nMelissa Francis（梅丽莎·弗朗西斯）\nThe Francis Firm PLLC（弗朗西斯律师事务所专业有限责任公司）　33 W 60th Street\nFloor 2\nNew York, NY 10069　法律\n\nMindy Kamen（明迪·卡门）\nJanover LLC（贾诺弗有限责任公司）　485 Madison Avenue\nNew York, NY 10022　会计\n\nRobert Nader（罗伯特·纳德）\nForbes Hare（福布斯·黑尔）　Qwomar Building\nPO Box 4649, Road Town\nTortola VG1110\nBritish Virgin Islands　法律\n\nSa'ad Hossain Q.C.（萨阿德·侯赛因御用大律师）　One Essex Court\nTemple, London, EC4Y 9AR\nDX 430　法律\n\n日常业务专业人士　地址　服务类型\n\nSandrine Giroud（桑德琳·吉鲁）\nLALIVE SA（拉利夫股份公司）　Rue de Law Mairie 35\n1207 Geneva\nSwitzerland　法律\n\nSebastian Isaac（塞巴斯蒂安·艾萨克）　One Essex Court\nTemple, London, EC4Y 9AR.\nDX 430　法律\n\nUna Wilkinson（尤娜·威尔金森）　68-18 Juno Street\nForest Hills, New York 11375　口译/笔译\n\nVictor Cerda（维克托·塞尔达）\nVX Cerda & Associates（VX 塞尔达与联合事务所）　601 Brickell Key Drive\nSuite 700\nMiami, FL 33131　法律\n\n附件2\n\n经核实陈述\n\nUNITED STATES BANKRUPTCY COURT（美国破产法院） DISTRICT OF CONNECTICUT（康涅狄格区） BRIDGEPORT DIVISION（布里奇波特分部）\n\n关于：　：　Chapter 11\n\nHo Wan Kwok（郭文贵），　：　Case No. 22-50073 (JAM)\n\n债务人。　：\n\n[填写专业人士全名]的经核实陈述\n\n本人，[宣誓人姓名]，经正式宣誓后，声明如下：\n\n1. 本人系[填写日常业务专业人士全名]（“[填写专业人士简称]”）的[职务]，该机构的办公地点位于[填写日常业务专业人士地址]。\n\n2. 除本文件另有规定外，据本人所能查明，本人、[填写专业人士简称]及其任何雇员，均与上述标题所列债务人及占有中的债务人（“债务人”）、债务人的债权人、任何其他利害关系方、其各自的律师和会计师、美国受托人，或受雇于美国受托人办公室的任何人士不存在任何关联，但本经核实陈述所列者除外。\n\n3. [填写专业人士简称]通过本人及[填写专业人士简称]的其他雇员，就债务人的[填写事项说明]，已向债务人提供某些[填写服务的一般说明]。\n\n4. 债务人已请求，[填写专业人士简称]亦已同意，根据 United States Code（美国法典）title 11（第11编）第327条（“Bankruptcy Code（破产法）”），继续就该等事项向债务人提供服务。此外，债务人已请求，[填写专业人士简称]拟向债务人提供以下服务：\n\n[填写具体服务]\n\n5. [填写专业人士简称]现行惯常费率为[填写费用/费率表]。在正常营业过程中，[填写专业人士简称]于每年[填写日期]调整其常规费率，并请求自每年[填写日期]起，将上述费率调整为届时生效的常规费率。\n\n6. 在过去一年中，[填写专业人士简称]已向债务人提供服务，债务人就该等服务已被开具金额为 \\$[填写金额] 的发票。截至申请日，债务人尚欠[填写专业人士简称] \\$[填写金额]。\n\n7. 此外，自本案开始以来，[填写专业人士简称]已向债务人提供尚未计费的服务，或已计费但尚未收到付款的服务。该等服务的价值不超过 \\$[填写金额]。\n\n8. 除本文件另有规定外，[Insert Abbreviation for Professional] 未就与本第11章案件有关的报酬收到任何承诺，但依照《破产法典》、《联邦破产程序规则》（“破产规则”）、《康涅狄格地区地方法院破产规则》（“地方法院破产规则”）及本院命令作出的承诺除外。\n\n9. [Insert Abbreviation for Professional] 未与任何实体达成协议，以分享从债务人处获得的任何报酬。\n\n10. [Insert Abbreviation for Professional] 及其员工过去可能曾、目前可能正在、并且未来可能会向作为债务人债权人的实体提供服务，但该等服务事项与债务人拟聘用 [Insert Abbreviation for Professional] 所处理的事项完全无关。然而，据我所能查明，我、[Insert Abbreviation for Professional] 及其任何员工，均不持有或代表与债务人或第11章破产财产利益相冲突的任何利益，且该等利益冲突涉及 [Insert Abbreviation for Professional] 拟受聘处理的事项。\n\n11. 上述内容构成 [Insert Abbreviation for Professional] 根据《破产法典》第329条和第504条、破产规则第2014条以及地方法院破产规则第2014-1条作出的经核实声明。\n\n本人依照美利坚合众国法律，在伪证罪处罚的约束下声明：上述内容真实、正确。\n\n本文件于[year]年[month]月[Insert day]日签署于[Insert State]州[Insert City]市。\n\n[Insert Signature of Affiant]\n\n[Insert Name of Affiant]","key_entities":["Kwok","Je","Ho Wan Kwok","Guo","CIPA","Miles Guo","Gavenman"],"ecf_references":[{"doc_number":77,"court":"CTB"}],"word_count":6794,"status":"published","published_at":"2022-03-22 00:00:00","created_at":"2022-03-22","updated_at":"2026-08-23 20:02:54"}