{"id":"court_ctb_1353_0","court":"CTB","case_no":"22-50073","doc_number":1353,"sub_number":0,"doc_type":"ORDER","filed_date":"2014-06-01","title":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT HO WAN KWOK, *et al.*, ) (Jointly Administered)","summary_zh":null,"summary_en":null,"body_en":"## **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT**\n\nHO WAN KWOK, *et al.*, ) (Jointly Administered)\n\n)\n\n)\n\n)\n\nDebtors.1\n\nIn re: ) Chapter 11 ) Case No. 22-50073 (JAM)\n\n) Re: ECF No. 1046\n\n## **ORDER GRANTING IN PART MOTION TO COMPEL COMPLIANCE WITH RULE 2004 SUBPOENAS**\n\nOn October 28, 2022, Luc A. Despins, in his capacity as Chapter 11 Trustee (the \"Trustee\") for the estate (the \"Estate\") of Ho Wan Kwok (the \"Debtor\"), filed his Motion of Chapter 11 Trustee for Entry of Order Compelling Individual Debtor, Mei Guo, HK International Funds Investments (USA) Limited, LLC, Hing Chi Ngok, Greenwich Land LLC, Lamp Capital LLC, and Golden Spring (New York) Ltd. to Comply with Rule 2004 Subpoenas, ECF No. 1046 (the \"Motion\"), which subpoenas were authorized by orders the Court on August 16, 2022 (ECF Nos. 757 and 758).\n\nOn October 24, 2022, November 14, 2022, and December 9, 2022, the Trustee entered into consent orders potentially resolving the Motion as to Ms. Ngok and Greenwich Land LLC (the \"Consent Orders,\" ECF Nos. 1022, 1129, and 1215).\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\nOn November 14, 2022, the Debtor, Ms. Guo, and HK International Funds Investments (USA) Limited, LLC (\"HK (USA),\" and together with the Debtor and Ms. Guo, the \"Objectors\") filed their Joint Objection to the Motion (the \"Objection,\" ECF No. 1090).\n\nGolden Spring (New York) Ltd. (\"Golden Spring\") and Lamp Capital LLC (\"Lamp Capital,\" and together with Golden Spring, the \"Non-responding Parties\") filed no responsive pleadings.\n\nOn November 30, 2022, a hearing was held on the Motion and the Objection, at which the Trustee and the Objectors presented their respective arguments. The Non-responding Parties did not appear at the hearing.\n\nThe Court is not ruling on the Motion as it relates to Hing Chi Ngok and Greenwich Land LLC at this time because it appears that the Motion is potentially resolved as to those parties by the Consent Orders.\n\nUpon consideration of the pleadings and the arguments of the Trustee and the Objectors, and cognizant of the Debtor's duties under 11 U.S.C. §§ 521(a)(3) and (4), the Court finds the following:\n\n1. The Trustee's request for the Debtor's responsive documents to the extent they are dated June 1, 2014, or later, is reasonable.\n\n2. The Trustee's request for the Debtor's responsive documents relating to assets allegedly owned by other persons or entities, including without limitation his family members and associated entities, in addition to those he acknowledges he owns, is also reasonable given the Trustee is charged with investigating potential assets of the Estate.\n\n3. The Trustee's request for responsive documents within the Debtor's custody, possession, or control, including without limitation documents in the files of his current or\n\n2\n\nformer counsel and other agents and advisors, irrespective of potential future productions by said parties, is reasonable.\n\n4. The Trustee's request for the Debtor's passport(s) is not reasonable at this time.\n\n5. Ms. Guo and HK (USA) have not waived their objection that the pending proceeding doctrine precludes discovery through a Rule 2004 examination.\n\n6. The Trustee's request for Ms. Guo and HK (USA)'s responsive documents dated June 1, 2014, is reasonable.\n\n7. The Trustee's request for responsive documents within Ms. Guo's and HK (USA)'s custody, possession, or control, including without limitation documents in the files of their current or former counsel and other agents and advisors, irrespective of potential future productions by said parties, is reasonable.\n\n8. The Trustee's requests for information from Ms. Guo and HK (USA) about assets allegedly owned by Ms. Guo are reasonable, given allegations and previous court holdings that she is a nominee owner for the Debtor.\n\n9. Counsel to the Objectors has not established that they were sufficiently diligent under the circumstances.\n\n10. With respect to the Non-responding Parties, the Court will issue an Order to Show Cause why they should not be found to be in civil contempt for failure to respond to or comply with the subpoenas.\n\nAccordingly, it is hereby\n\n**ORDERED:** The Motion is **GRANTED** in part and **DENIED** in part as set forth below as it relates to the Objectors; and it is further\n\n3\n\n**ORDERED:** The Objection is **OVERRULED** as it relates to discovery requests directed to the Debtor except as to the requests that seek documents dated earlier than June 1, 2014, and to the requests that seek the Debtor's passport(s), to which extent the Objection is **SUSTAINED**, without prejudice to the Trustee to seek documents dated earlier than June 1, 2014, and the Debtor's passport(s) at a later date as the investigation proceeds upon cause shown. The Debtor shall, by 5:00 p.m. on January 31, 2023, search for and produce to the Trustee:\n\n(i) documents responsive to the Trustee's requests dated June 1, 2014, or later, unless a particular request specifies a different time period that does not begin before June 1, 2014;\n\n(ii) documents responsive to the Trustee's requests as to both assets he acknowledges he owns and assets allegedly belonging to persons or entities other than the Debtor, including without limitation his family members and associated entities; and\n\n(iii) documents responsive to the Trustee's requests that are within his custody, possession, or control, including without limitation documents in the files of his current or former counsel and other agents and advisors, unless such documents have already been produced by his current or former counsel and other agents and advisors but without consideration of any potential future production by his current or former counsel and other agents and advisors;\n\n## and it is further\n\n**ORDERED:** The Debtor shall, by 5:00 p.m. on February 7, 2023, file on the docket of this case a sworn declaration describing in detail the document collection, search, and review actions taken by him and his counsel in response to the subpoena, including without limitation a detailed description of the processes that he and his counsel performed to:\n\n4\n\n(i) identify all of the Debtor's electronic devices; all online document repositories to which he has access; all social media, email, and other accounts associated with electronic documents; all bank accounts and related account statements; and all other potential sources of responsive hard copy and electronic documents that may exist; and\n\n(ii) search the foregoing sources for responsive documents, including without limitation for documents responsive to the requests related to expenses or money transfers, to assets or financial or business transactions or records related to the Debtor's family or associated entities, and to business interests associated with the Debtor;\n\nand it is further\n\n**ORDERED:** The Objection is **OVERRULED** as it relates to discovery requests directed to Mei Guo and HK (USA) except as such requests concern specifically the Lady May, which is subject to a pending adversary proceeding – *HK Int'l Funds Invs. (USA) Ltd., LLC v. Despins ex rel. Kwok*, Adv. P. No. 22-05003 (JAM) (Bankr. D. Conn. 2022) (the \"Adversary Proceeding\") – or as such requests are for documents dated earlier than June 1, 2014, to which extent the Objection is **SUSTAINED**. The Court issues this Order without prejudice to the Trustee to seek discovery from Ms. Guo or HK USA regarding the Lady May in the Adversary Proceeding in accordance with the Fed. R. Civ. P. 26 *et al.* and Fed. R. Bankr. P. 7026 *et al.* and without prejudice to the Trustee to seek discovery of documents dated earlier than June 1, 2014, as the investigation proceeds upon cause shown. Furthermore, should either Mei Guo or HK (USA) no longer be a party to a pending proceeding involving the Trustee and relating to the Lady May, the Trustee may seek discovery regarding the Lady May in the Chapter 11 bankruptcy cases from such party upon cause shown. Mei Guo and HK (USA) shall, by 5:00 p.m. on January 31, 2023, search for and produce to the Trustee:\n\n(i) documents responsive to the Trustee's requests, except as to the documents that concern the Lady May, dated June 1, 2014, or later, unless a particular request specifies a different time period and such time period does not begin before June 1, 2014;\n\n(ii) documents responsive to the Trustee's requests, except as the documents concern the Lady May, as to both assets the Debtor acknowledges he owns and assets that allegedly belong to persons or entities other than the Debtor, including without limitation his family members, including Mei Guo herself, and associated entities, including HK (USA) itself; and\n\n(iii) documents responsive to the Trustee's requests that are within their custody, possession, or control, except as to the documents concern the Lady May, including without limitation documents in the files of their current or former counsel and other agents and advisors, unless such documents have already been produced by their current or former counsel and other agents and advisors but without consideration of any potential future production by their current or former counsel and other agents and advisors.\n\nDated at Bridgeport, Connecticut this 20th day of January, 2023.","body_zh":"United States Bankruptcy Court District of Connecticut（美国康涅狄格区联邦破产法院）\n\n关于：\nHO WAN KWOK（郭文贵）等，\n债务人。1\n第11章\n（合并审理）\n案件编号：22-50073 (JAM)\n涉及：ECF No. 1046\n\n关于部分准许强制作出符合破产程序第2004条传票之动议的裁定\n\n2022年10月28日，Luc A. Despins（卢克·A·德斯平斯）以Ho Wan Kwok（郭文贵）（下称“债务人”）破产财产（下称“破产财产”）之第11章受托人（下称“受托人”）身份，提交了《第11章受托人关于作出命令强制个人债务人、Mei Guo（郭美）、HK International Funds Investments (USA) Limited, LLC（香港国际基金投资（美国）有限公司）、Hing Chi Ngok（岳庆芝）、Greenwich Land LLC、Lamp Capital LLC及Golden Spring (New York) Ltd.（金泉（纽约）有限公司）遵守破产程序第2004条传票之动议》，ECF No. 1046（下称“动议”），该等传票系经本法院于2022年8月16日作出的命令（ECF Nos. 757及758）所授权。\n\n2022年10月24日、2022年11月14日及2022年12月9日，受托人签署了可能就岳女士及Greenwich Land LLC解决该动议的同意令（下称“同意令”，ECF Nos. 1022、1129及1215）。\n\n1 这些第11章案件中的债务人为Ho Wan Kwok（亦称郭文贵、Miles Guo及Miles Kwok，以及其他诸多化名）（纳税人识别号后四位：9595）、Genever Holdings LLC（纳税人识别号后四位：8202）及Genever Holdings Corporation。受托人、Genever Holdings LLC及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 c/o Luc A. Despins, as Trustee for the Estate of Ho Wan Kwok（仅用于通知与联络目的）。\n\n2022年11月14日，债务人、郭女士及HK International Funds Investments (USA) Limited, LLC（下称“HK (USA)”，并与债务人及郭女士合称“异议人”）就该动议提交了联合异议（下称“异议”，ECF No. 1090）。\n\nGolden Spring (New York) Ltd.（下称“Golden Spring”）及Lamp Capital LLC（下称“Lamp Capital”，并与Golden Spring合称“未答复方”）未提交任何答复答辩状。\n\n2022年11月30日，就该动议及异议举行了听证会，受托人与异议人在会上陈述了各自的主张。未答复方未出席听证会。\n\n本法院目前不对涉及Hing Chi Ngok及Greenwich Land LLC的动议部分作出裁定，因为该动议针对该等当事方的部分似乎已通过同意令得到潜在解决。\n\n经审议答辩状以及受托人和异议人的主张，并充分认识到债务人在11 U.S.C. §§ 521(a)(3)及(4)项下的义务，本法院认定如下：\n\n1. 受托人关于债务人提供日期为2014年6月1日或之后的相应答复文件的要求是合理的。\n\n2. 鉴于受托人负有调查破产财产潜在财产之责，受托人除要求债务人提供其承认拥有的资产相关文件外，还要求提供声称由其他个人或实体（包括但不限于其家庭成员及关联实体）拥有的资产相关的相应答复文件，也是合理的。\n\n3. 受托人要求提供债务人保管、占有或控制下的相应答复文件（包括但不限于其现任或前任律师以及其他代理人和顾问的案卷中的文件），无论上述各方未来可能作出何种出示，均属合理。\n\n4. 受托人要求债务人提供其护照的要求目前并不合理。\n\n5. 郭女士及HK (USA)未放弃其关于未决诉讼原则（pending proceeding doctrine）排除通过破产程序第2004条进行证据开示的异议。\n\n6. 受托人要求郭女士及HK (USA)提供日期为2014年6月1日之相应答复文件的要求是合理的。\n\n7. 受托人要求提供郭女士及HK (USA)保管、占有或控制下的相应答复文件（包括但不限于其现任或前任律师以及其他代理人和顾问的案卷中的文件），无论上述各方未来可能作出何种出示，均属合理。\n\n8. 鉴于有关指控及法院此前认定郭女士为债务人的名义所有人，受托人向郭女士及HK (USA)索取关于据称由郭女士拥有的资产的信息之要求是合理的。\n\n9. 异议人的代理律师未能证明其在当时情况下已尽到充分的勤勉。\n\n10. 对于未答复方，本法院将发出说明理由令（Order to Show Cause），要求其说明为何不应因未能答复或遵守传票而被判定构成民事藐视法庭。\n\n据此，特此\n\n裁定：涉及异议人的动议按以下所述部分准许、部分驳回；且进一步\n\n裁定：针对向债务人提出的证据开示请求，异议予以驳回，但对于索取早于2014年6月1日之文件的请求以及索取债务人护照的请求，异议在此范围内予以支持；且此裁定不妨碍受托人在调查进行过程中于日后证明有正当理由时索取早于2014年6月1日的文件及债务人的护照。债务人应在2023年1月31日下午5:00之前，向受托人检索并出示：\n\n(i) 针对受托人之请求的相应答复文件，其日期为2014年6月1日或之后，除非某项具体请求另行指定了不早于2014年6月1日开始的不同期限；\n\n(ii) 针对受托人之请求的相应答复文件，内容涵盖其承认拥有的资产以及据称属于债务人以外之个人或实体的资产（包括但不限于其家庭成员及关联实体）；以及\n\n(iii) 针对受托人之请求且在其保管、占有或控制下的相应答复文件，包括但不限于其现任或前任律师以及其他代理人和顾问的案卷中的文件，除非该等文件已由其现任或前任律师以及其他代理人和顾问出示，但不考虑其现任或前任律师以及其他代理人和顾问未来可能作出的任何出示；\n且进一步\n\n裁定：债务人应在2023年2月7日下午5:00之前，在本案卷宗中提交一份宣誓声明，详细描述其本人及律师为响应传票而采取的文件收集、检索与审查行动，包括但不限于详细描述其本人及律师为执行以下事项所进行的过程：\n\n(i) 查明债务人的所有电子设备；其有权访问的所有在线文件库；与电子文件相关的所有社交媒体、电子邮件及其他账户；所有银行账户及相关账户对账单；以及可能存在相应答复纸质及电子文件的所有其他潜在来源；以及\n\n(ii) 在上述来源中检索相应答复文件，包括但不限于针对与支出或资金转账相关、与债务人家庭或关联实体相关的资产或财务或商业交易或记录相关、以及与债务人关联之商业利益相关的请求所作出的相应答复文件；\n\n且进一步\n\n裁定：针对向Mei Guo及HK (USA)提出的证据开示请求，异议予以驳回，但具体涉及Lady May（梅月号）的请求（该事项受制于一起未决对抗性程序——HK Int'l Funds Invs. (USA) Ltd., LLC v. Despins ex rel. Kwok, Adv. P. No. 22-05003 (JAM) (Bankr. D. Conn. 2022)（下称“对抗性程序”））或索取早于2014年6月1日之文件的请求除外，异议在此范围内予以支持。本法院作出本裁定不妨碍受托人依据Fed. R. Civ. P.（《联邦民事诉讼规则》）第26条等以及Fed. R. Bankr. P.（《联邦破产诉讼规则》）第7026条等之规定，在对抗性程序中向郭女士或HK USA索取关于Lady May的证据开示，且不妨碍受托人在调查进行过程中于日后证明有正当理由时索取早于2014年6月1日的文件。此外，若Mei Guo或HK (USA)不再是涉及受托人且与Lady May相关的未决诉讼之当事人，受托人在证明有正当理由的情况下，可在第11章破产案中向该当事方索取关于Lady May的证据开示。Mei Guo及HK (USA)应在2023年1月31日下午5:00之前，向受托人检索并出示：\n\n(i) 针对受托人之请求的相应答复文件（但涉及Lady May的文件除外），其日期为2014年6月1日或之后，除非某项具体请求另行指定了不同期限且该期限不早于2014年6月1日开始；\n\n(ii) 针对受托人之请求的相应答复文件（但涉及Lady May的文件除外），内容涵盖债务人承认拥有的资产以及据称属于债务人以外之个人或实体的资产（包括但不限于其家庭成员，包括Mei Guo本人，以及关联实体，包括HK (USA)本身）；以及\n\n(iii) 针对受托人之请求且在其保管、占有或控制下的相应答复文件（但涉及Lady May的文件除外），包括但不限于其现任或前任律师以及其他代理人和顾问的案卷中的文件，除非该等文件已由其现任或前任律师以及其他代理人和顾问出示，但不考虑其现任或前任律师以及其他代理人和顾问未来可能作出的任何出示。\n\n2023年1月20日订于康涅狄格州布里奇波特（Bridgeport, Connecticut）。","key_entities":["Guo","Je","Kwok","Ho Wan Kwok","Despins","Miles Guo","Paul Hastings"],"ecf_references":[{"doc_number":1046,"court":"CTB"},{"doc_number":1090,"court":"CTB"}],"word_count":1580,"status":"published","published_at":"2014-06-01 00:00:00","created_at":"2014-06-01","updated_at":"2026-08-23 12:54:48"}