{"id":"court_ctb_1466_0","court":"CTB","case_no":"22-50073","doc_number":1466,"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\nChapter 11\n\nHO WAN KWOK, *et al.*\n\nDebtors.\n\nCase No: 22-50073 (JAM)\n\n### **APPELLANT'S DESIGNATION OF ITEMS TO BE INCLUDED IN THE RECORD ON APPEAL AND STATEMENT OF ISSUES TO BE PRESENTED**\n\nPursuant to Fed. R. Bankr. P. 8009(a), the appellant and debtor Ho Wan Kwok, (the \"Debtor\"), by his undersigned attorneys, Zeisler & Zeisler, P.C., respectfully submits his designation of items to be included in the record on appeal and his statement of issues to be presented in connection with his appeal of the United States Bankruptcy Court's January 24, 2023, *Order Granting Motion to Hold Debtor in Contempt of Corporate Governance Order,* (ECF No. 1372).\n\n### **I. Designation of Items to be Included in the Record on Appeal**\n\n- 1. January 24, 2023, *Order Granting Motion to Hold Debtor in Contempt of Corporate Governance Order,* (ECF No. 1372).\n- 2. November 16, 2022, Transcript of Motion for Joint Administration with 22-50073; Motion for Order (I) Setting Bar Dates of Filing Proofs of Claim; (ii) Approving Form of Notice of Bar Dates and (iii) Granting Related Relief; Motion of Chapter 11 Trustee for Entry of Order Holding Debtor in Civil Contempt for Failure to Comply with Corporate Governance Rights [Order]; Application to Employee Neubert, Pepe & Monteith and Motion for Joint Administration with 22-50592 Before the Honorable Julie A. Manning United States Bankruptcy Judge.\n- 3. November 17, 2022, Transcript of Motion for Entry of Order Holding Debtor in Civil Contempt for Failure to Comply with Corporate Governance Rights Order Before the Honorable Julie A. Manning United States Bankruptcy Judge.\n- 4. November 18, 2022, Transcript of Motion to Seal; Motion for Entry of Order Holding Debtor in Civil Contempt for Failure to Comply with Corporate Governance Rights Order and Motion of Chapter 11 Trustee for Entry of Order Compelling Individual Debtor, Mei Gui (sic), HK International Funds Investments (USA) Limited LLC, Hing Chi Ngok, Greenwich Land LLC, Lamp Capital LLC and Cold (sic) Spring (New York) LTR (sic) to Comply with Rule 2004 Subpoenas Before the Honorable Julie A. Manning United States Bankruptcy Judge.[1](#page-1-0)\n- *5.* July 23, 2022, *Motion of Chapter 11 Trustee for Entry of Order, Pursuant to Bankruptcy Code Sections 363, 521, 1108, and 1505, (A) Confirming That Chapter 11 Trustee Holds All of Debtor's Economic and Corporate Governance Rights in Debtor-Controlled Entities, (B) Authorizing Chapter 11 Trustee to Act in Any Foreign Country on Behalf of Estate, and (C) Granting Related Relief* (ECF No. 598) (Debtor's Hearing Exhibit G).\n- 6. August 10, 2022, *Order, Pursuant to Bankruptcy Code Sections 363, 521, 541, 1108, and 1505, (A) Confirming That Chapter 11 Trustee Holds All of Debtor's Economic and Corporate Governance Rights in Debtor-Controlled Entities, (B) Authorizing Chapter 11 Trustee to Act in Any Foreign Country on Behalf of Estate, and (C) Granting Related Relief* (ECF No. 717) (Debtor's Hearing Exhibit E).\n\n<span id=\"page-1-0\"></span><sup>1</sup> A portion of the November 18, 2022 hearing was conducted under seal. The Debtor previously ordered and received the November 18, 2022 transcript, but upon review has only received the public portion. The Debtor has ordered the transcript for the portion of the November 18, 2022 hearing conducted under seal.\n\n- 7. October 4, 2022, *Motion of Chapter 11 Trustee for Entry of Order Holding Debtor in Civil Contempt for Failure to Comply with Corporate Governance Rights Order* (ECF No. 913).\n- 8. October 25, 2022, *Objection to Motion of Chapter 11 Trustee for Entry of Order Holding Debtor in Civil Contempt for Failure to Comply with Corporate Governance Rights Order* (ECF No. 1026).\n- 9. Reply in Support of Chapter 11 Trustee's Motion for Contempt (ECF No. 1095) (filed under seal).\n- 10. November 17, 2022, *Order Regarding Partial Resolution of Trustee's Contempt Motion* (ECF No. 1110).\n- 11. Debtor's Hearing Exhibit B (*see* ECF No. 1268 for a description of the Debtor's Hearing Exhibits).\n- 12. Debtor's Hearing Exhibit C.\n- 13. Debtor's Hearing Exhibit D.\n- 14. Debtor's Hearing Exhibit E.\n- 15. Debtor's Hearing Exhibit G.\n- 16. Debtor's Hearing Exhibit H (page 118, line 13, and 121 lines 23-25).\n- 17. Debtor's Hearing Exhibit I (page 47, line 15-17, and 64 lines 14 and 19-22).\n- 18. Trustee's Hearing Exhibit 6 (*see* ECF No. 1269 for a description of the Trustee's Hearing Exhibits).\n- 19. Trustee's Hearing Exhibit 7.\n- 20. Trustee's Hearing Exhibit 13 (page 3 only).\n- 21. Trustee's Hearing Exhibit 15.\n- 22. Trustee's Hearing Exhibit 27 (under seal).\n- 23. Trustee's Hearing Exhibit 28 (under seal).\n- 24. Trustee's Hearing Exhibit 29 (under seal).\n- 25. Trustee's Hearing Exhibit 30 (under seal).\n- 26. Trustee's Hearing Exhibit 32.\n- 27. Trustee's Hearing Exhibit 33.\n- 28. Trustee's Hearing Exhibit 34 (under seal).\n- 29. Trustee's Hearing Exhibit 36 (under seal).\n- 30. Trustee's Hearing Exhibit 37 (under seal).\n- 31. Trustee's Hearing Exhibit 39 (page 55, lines 23-25).\n\n#### **II. Statement of Issues To Be Presented**\n\n1. Whether the Bankruptcy Court erred in finding that the order that the Debtor purportedly failed to comply with, defined in the *Order Granting Motion to Hold Debtor in Contempt of Corporate Governance Order,* (ECF No. 1372), as the Corporate Governance Order, as interpreted by the Chapter 11 Trustee and enforced by the Court, was clear and unambiguous.\n\n2. Whether the Bankruptcy Court erred in finding that Debtor has not diligently attempted to reasonably comply with the Corporate Governance Order.\n\n3. Whether the Bankruptcy Court erred in finding that the Trustee had proven the Debtor's noncompliance with the Corporate Governance Order by clear and convincing evidence.\n\n4. Whether the Bankruptcy Court erred by considering and relying upon evidence that was not before the Court and outside the record.\n\n5. Whether the Bankruptcy Court erred in finding that the Debtor acted in bad faith.\n\n6. Whether the Bankruptcy Court erred in finding that as a result of the Debtor's purported bad faith the Debtor was required to prove that the Corporate Governance Order was not clear and unambiguous.\n\n7. Whether the Bankruptcy Court erred in excluding evidence offered by the Debtor consisting of portions of the Debtor's deposition transcript which were offered by the Debtor pursuant to Fed. R. Civ. P. 32(a)(6) and Fed. R. Evid. 106 after the Trustee introduced only certain portions of the Debtor's deposition transcript.\n\nDated at Bridgeport, Connecticut, this 21st day of February 2023.\n\n# **THE DEBTOR, HO WAN KWOK**\n\n*/s/ James M. Moriarty* Eric Henzy (ct12849) James M. Moriarty (ct21876) 10 Middle Street, 15th Floor Bridgeport, Connecticut 06604 Telephone: (203) 368-4234 Facsimile: (203) 368-5485 Email: [ehenzy@zeislaw.com](mailto:ehenzy@zeislaw.com) [jmoriarty@zeislaw.com](mailto:jmoriarty@zeislaw.com)\n\n### **CERTIFICATE OF SERVICE**\n\nThe undersigned certifies that on the 21st day of February 2023 a copy of the foregoing Appellant's Designation of Items to Be Included in the Record on Appeal and Statement of Issues to be Presented 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 of Electronic Filing. Parties may access this filing through the Court's CM/ECF System.\n\n> /s/ *James M. Moriarty*  James M. Moriarty","body_zh":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION（美国康涅狄格区联邦破产法院布里奇波特分部）\n\nIn re（关于）：\n\nChapter 11（第11章）\n\nHO WAN KWOK（郭文贵）等\n\nDebtors（债务人）。\n\nCase No: 22-50073 (JAM)（案号：22-50073 (JAM)）\nAPPELLANT'S DESIGNATION OF ITEMS TO BE INCLUDED IN THE RECORD ON APPEAL AND STATEMENT OF ISSUES TO BE PRESENTED（上诉人拟列入上诉卷宗之项目指定及拟提审争议问题陈述书）\n\n根据 Fed. R. Bankr. P. 8009(a)（《联邦破产诉讼程序规则》第 8009(a) 条），上诉人兼债务人 Ho Wan Kwok（郭文贵）（下称“债务人”），通过其下述署名律师 Zeisler & Zeisler, P.C.，就其针对美国破产法院 2023年1月24日作出的《准许认定债务人蔑视公司治理命令动议之裁定》（ECF No. 1372）提起上诉一事，谨呈交拟列入上诉卷宗之项目指定以及拟提审争议问题陈述书。\nI. Designation of Items to be Included in the Record on Appeal（一、拟列入上诉卷宗之项目指定）\n\n- 1. 2023年1月24日，《准许认定债务人蔑视公司治理命令动议之裁定》（ECF No. 1372）。\n- 2. 2022年11月16日，在联邦破产法官 Julie A. Manning 阁下面前进行的审理记录文本，内容涉及：与 22-50073 号案件合并审理动议；要求作出(I)设定提交债权证明截止日期、(ii)批准截止日期通知形式以及(iii)准予相关救济之命令的动议；第 11 章受托人要求作出因未遵守公司治理权利［命令］而认定债务人构成民事蔑视法庭之命令的动议；聘请 Neubert, Pepe & Monteith 的申请以及与 22-50592 号案件合并审理的动议。\n- 3. 2022年11月17日，在联邦破产法官 Julie A. Manning 阁下面前进行的审理记录文本，内容涉及：要求作出因未遵守公司治理权利命令而认定债务人构成民事蔑视法庭之命令的动议。\n- 4. 2022年11月18日，在联邦破产法官 Julie A. Manning 阁下面前进行的审理记录文本，内容涉及：封存动议；要求作出因未遵守公司治理权利命令而认定债务人构成民事蔑视法庭之命令的动议；以及第 11 章受托人要求作出强令个人债务人、Mei Gui（原文如此）、HK International Funds Investments (USA) Limited LLC、Hing Chi Ngok、Greenwich Land LLC、Lamp Capital LLC 和 Cold（原文如此）Spring (New York) LTR（原文如此）遵守第 2004 条传票之命令的动议。[1]\n- 5. 2022年7月23日，《第 11 章受托人根据〈破产法典〉第 363、521、1108 和 1505 条要求作出(A)确认第 11 章受托人拥有债务人在债务人控制实体中的所有经济和公司治理权利、(B)授权第 11 章受托人代表破产财产在任何外国行事、以及(C)准予相关救济之命令的动议》（ECF No. 598）（债务人听证物证 G）。\n- 6. 2022年8月10日，《根据〈破产法典〉第 363、521、541、1108 和 1505 条作出的(A)确认第 11 章受托人拥有债务人在债务人控制实体中的所有经济和公司治理权利、(B)授权第 11 章受托人代表破产财产在任何外国行事、以及(C)准予相关救济之命令》（ECF No. 717）（债务人听证物证 E）。\n\n1 2022年11月18日听证会的一部分系不公开（封存）进行。债务人此前已订购并收到 2022年11月18日的记录文本，但经审查仅收到公开部分。债务人已订购 2022年11月18日听证会不公开进行部分的记录文本。\n\n- 7. 2022年10月4日，《第 11 章受托人要求作出因未遵守公司治理权利命令而认定债务人构成民事蔑视法庭之命令的动议》（ECF No. 913）。\n- 8. 2022年10月25日，《对第 11 章受托人要求作出因未遵守公司治理权利命令而认定债务人构成民事蔑视法庭之命令的动议的异议》（ECF No. 1026）。\n- 9. 支持第 11 章受托人民事蔑视法庭动议的答辩状（ECF No. 1095）（封存提交）。\n- 10. 2022年11月17日，《关于受托人民事蔑视法庭动议部分解决的裁定》（ECF No. 1110）。\n- 11. 债务人听证物证 B（债务人听证物证的说明见 ECF No. 1268）。\n- 12. 债务人听证物证 C。\n- 13. 债务人听证物证 D。\n- 14. 债务人听证物证 E。\n- 15. 债务人听证物证 G。\n- 16. 债务人听证物证 H（第 118 页第 13 行，及第 121 页第 23-25 行）。\n- 17. 债务人听证物证 I（第 47 页第 15-17 行，及第 64 页第 14 行与 19-22 行）。\n- 18. 受托人听证物证 6（受托人听证物证的说明见 ECF No. 1269）。\n- 19. 受托人听证物证 7。\n- 20. 受托人听证物证 13（仅第 3 页）。\n- 21. 受托人听证物证 15。\n- 22. 受托人听证物证 27（封存）。\n- 23. 受托人听证物证 28（封存）。\n- 24. 受托人听证物证 29（封存）。\n- 25. 受托人听证物证 30（封存）。\n- 26. 受托人听证物证 32。\n- 27. 受托人听证物证 33。\n- 28. 受托人听证物证 34（封存）。\n- 29. 受托人听证物证 36（封存）。\n- 30. 受托人听证物证 37（封存）。\n- 31. 受托人听证物证 39（第 55 页第 23-25 行）。\nII. Statement of Issues To Be Presented（二、拟提审争议问题陈述书）\n\n1. 破产法院认定债务人据称未能遵守的命令——在《准许认定债务人蔑视公司治理命令动议之裁定》（ECF No. 1372）中定义为《公司治理命令》，且经第 11 章受托人解释并由法院强制执行——系明确且无歧义的，该认定是否存在错误。\n\n2. 破产法院认定债务人未曾勤勉地尝试合理遵守《公司治理命令》，该认定是否存在错误。\n\n3. 破产法院认定受托人已以清楚且有说服力的证据证明债务人未遵守《公司治理命令》，该认定是否存在错误。\n\n4. 破产法院考虑并采信未向法院呈交且在卷宗之外的证据，是否存在错误。\n\n5. 破产法院认定债务人存在恶意，该认定是否存在错误。\n\n6. 破产法院认定因债务人据称存在的恶意，债务人须证明《公司治理命令》并非明确且无歧义，该认定是否存在错误。\n\n7. 在受托人仅提交了债务人宣誓取证笔录的特定部分后，破产法院排除债务人根据 Fed. R. Civ. P. 32(a)(6)（《联邦民事诉讼程序规则》第 32(a)(6) 条）和 Fed. R. Evid. 106（《联邦证据规则》第 106 条）所提出的债务人宣誓取证笔录的部分证据，是否存在错误。\n\n日期：2023年2月21日，于康涅狄格州布里奇波特。\n债务人：HO WAN KWOK（郭文贵）\n\n/签名/ James M. Moriarty\nEric Henzy (ct12849)\nJames M. Moriarty (ct21876)\n10 Middle Street, 15th Floor\nBridgeport, Connecticut 06604\n电话：(203) 368-4234\n传真：(203) 368-5485\n电子邮箱：[ehenzy@zeislaw.com] [jmoriarty@zeislaw.com]\nCERTIFICATE OF SERVICE（送达证书）\n\n下述署名人证明，2023年2月21日，上述《上诉人拟列入上诉卷宗之项目指定及拟提审争议问题陈述书》的一份副本已通过电子方式归档提交。本提交之通知将通过法院电子归档系统的运行以电子邮件方式发送给所有当事人，或按照《电子归档通知》所示以邮寄方式发送给任何无法接受电子归档的人员。当事人可通过法院的 CM/ECF 系统查阅本次归档文件。\n\n/签名/ James M. Moriarty  James M. Moriarty","key_entities":["Kwok","Ho Wan Kwok","Guo","Je"],"ecf_references":[{"doc_number":598,"court":"CTB"},{"doc_number":717,"court":"CTB"},{"doc_number":913,"court":"CTB"},{"doc_number":1026,"court":"CTB"},{"doc_number":1095,"court":"CTB"},{"doc_number":1110,"court":"CTB"},{"doc_number":1268,"court":"CTB"},{"doc_number":1269,"court":"CTB"},{"doc_number":1372,"court":"CTB"}],"word_count":1206,"status":"published","published_at":null,"created_at":null,"updated_at":"2026-08-23 12:46:25"}