{"id":"court_ctb_1521_0","court":"CTB","case_no":"22-50073","doc_number":1521,"sub_number":0,"doc_type":"ORDER","filed_date":"2022-12-02","title":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION | -------------------------------------------","summary_zh":"强迫执行动议 —— Ho Wan Kwok 破产案（郭文贵 / Guo Wengui / Miles Guo），CTB 22-50073 ECF #1521（2022-12-02立案）。第 11 章受托人 Luc A. Despins 提请法院下达命令，强迫道明银行（TD Bank, N.A.）遵守破产法第 2004 条传票，提供与债务人关联交易及核心关联人王雁平（Yvette Wang）相关的调取文件。","summary_en":"Motion to Compel — In re Ho Wan Kwok (Miles Guo / Guo Wengui), CTB 22-50073 ECF #1521 (filed 2022-12-02). Chapter 11 Trustee Luc A. Despins moves for an order compelling TD Bank, N.A. to comply with a Rule 2004 subpoena and produce requested documents concerning debtor-affiliated transactions and key associate Yvette Wang.","body_en":"# **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| -----------------------------------------------------------
x | | | |\n|------------------------------------------------------------------|-------------|-------------------------|--|\n| In re: | :
: | Chapter 11 | |\n| 1
HO WAN KWOK,
et al., | :
: | Case No. 22-50073 (JAM) | |\n| Debtors. | :
:
: | (Jointly Administered) | |\n| ----------------------------------------------------------- | x | | |\n\n# **MOTION OF CHAPTER 11 TRUSTEE FOR ENTRY OF ORDER COMPELLING TD BANK, N.A. TO COMPLY WITH RULE 2004 SUBPOENA**\n\nLuc A. Despins, in his capacity as the chapter 11 trustee (the \"Trustee\") appointed in the Ho Wan Kwok's (the \"Individual Debtor\") chapter 11 case (the \"Chapter 11 Case\"), hereby files this motion (the \"Motion to Compel\") for entry of an order, substantially in the form attached hereto as **Exhibit A** (the \"Proposed Order\"), pursuant to Rules 26 and 37 of the Federal Rules of Civil Procedure (the \"Federal Rules\"), and Rules 2004 and 9016 of the Federal Rules of Bankruptcy Procedure (the \"Bankruptcy Rules\") compelling TD Bank, N.A. (the \"Defaulting Respondent\") to comply with this Court's *Order Granting Second Supplemental Omnibus Motion for 2004 Examination* dated December 2, 2022 (ECF No. 1184, the \"Rule 2004 Order\") and with the Trustee's Subpoena of the Defaulting Respondent issued pursuant to such order (the \"TD Bank Subpoena\"). In support of the Motion to Compel, the Trustee respectfully states as follows:\n\n1 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## **FACTUAL BACKGROUND**\n\n## **I. Trustee's Rule 2004 Motions, Orders, and Subpoenas**\n\n1. On November 18, 2022, the Trustee filed his *Second Supplemental Omnibus Motion of Chapter 11 Trustee for Entry of Order Under Bankruptcy Rule 2004 and Local Rule 2004-1 Authorizing Discovery with Respect to Additional Legal and Financial Advisors to the Debtor, Entities and Individuals Affiliates with the Debtor, Entities, and Individuals Affiliated with Debtor, Relevant Banks and Entities Doing Business with Debtor and Affiliated Entities* (the \"Second Omnibus 2004 Motion\") seeking discovery with respect to various legal and financial advisors to the Individual Debtor, persons affiliated with the Individual Debtor, and, as relevant here, banks at which the Individual Debtor and persons and entities related to the Individual Debtor are believed to have deposited funds or conducted financial transactions.\n\n2. Among these banks was the Defaulting Respondent. In particular, the Trustee has reason to believe that one of the Individual Debtor's key associates, Yvette Wang (\"Ms. Wang\"), banked at the Defaulting Respondent. Ms. Wang has held a variety of corporate positions in businesses associated with the Individual Debtor and has conducted business for the Individual Debtor and his associates.\n\n3. In the Court's *Order Granting Motion to Hold Debtor in Contempt of Corporate Governance Order* (ECF No. 1372, the \"Contempt Order\") entered January 24, 2023, the Court found, among other things, that: \"The [Individual] Debtor has control over Ms. Wang. The [Individual] Debtor has employed Yvette Wang for several years, and has directed her to take actions on his behalf, including directing her to act on his behalf to purchase properties such as the Sherry-Netherland apartment.\" (Contempt Order at ¶ 4.)\n\n4. The Defaulting Respondent did not object to the Second Omnibus 2004 Motion. The Second Omnibus 2004 Motion was granted by entry of the Rule 2004 Order on September 21, 2022. Pursuant to the Rule 2004 Order, the Trustee served the Defaulting Respondent with a Subpoena for Rule 2004 Examination with appended Request for Production of Documents (collectively, the \"TD Bank Subpoena\") on December 16, 2022. A true and accurate copy of the TD Bank Subpoena is attached hereto as **Exhibit A**. The TD Bank Subpoena required compliance on or before January 17, 2023.\n\n5. The Defaulting Respondent did not serve responses and objections (\"R&O's) to compliance with the TD Bank Subpoena by its deadline to do so (*i.e.*, December 30, 2022). Instead, the Defaulting Respondent contacted the Trustee in early January 2023 to request information concerning the persons and entities relevant to discovery in the TD Bank Subpoena. To assist the Defaulting Respondent in complying with the Rule 2004 Order, the Trustee compiled such information and provided it to the Defaulting Respondent.\n\n6. On January 9, 2023, Trustee's counsel and in-house counsel for the Defaulting Respondent spoke by telephone. In-house counsel for the Defaulting Respondent stated that the bank was performing searches to respond to the TD Bank Subpoena and said the bank would be able to update the Trustee as to its search results within approximately one week and hoped to being production soon after that, potentially on a rolling basis.\n\n7. Instead, on January 20, 2023, Trustee's counsel was contacted by outside counsel for the Defaulting Respondent requesting a 30-day extension of time to respond to the TD Bank Subpoena, *i.e.*, to February 16, 2023. The Trustee consented to the requested extension but stated that the Defaulting Respondent should begin producing on a rolling basis during the 30-day\n\nextension. Thus the extended deadline for the Defaulting Respondent to comply with the TD Bank Subpoena was, at the latest, February 16, 2023.\n\n8. On January 24, 2023, the Trustee's counsel sent the Defaulting Respondent's counsel a copy of the Protective Order entered in these chapter 11 cases (ECF No. 923, the\n\n\"Protective Order\").\n\n9. After several weeks passed without further word from the Defaulting Respondent,\n\non February 7, 2023, the Trustee's counsel requested an update on the status of the bank's\n\nresponses. Three days later, on February 10, 2023, the Defaulting Respondent's counsel stated:\n\nI'm so sorry for the delayed response. I'm about half way through the documents that my client has been able to locate. If nothing else, I may be able to produce discovery on a rolling basis starting early next week, unless you'd prefer to receive everything in one package.\n\nHoping to get through the balance of what they've been able to locate over the weekend, or early Monday at the latest.\n\n10. Again, nothing came. On March 7, 2023, Trustee's counsel again requested the\n\nDefaulting Respondent's production. This time, the Defaulting Respondent's counsel stated the\n\nfollowing:\n\nThere was a lot more to the subpoena, and the identified targets, than I had originally anticipated. I have a few open items to tie up with my client, and we are hoping to have a call early next week (my client is tied up in trial all week this week and so our originally scheduled call had to be pushed off). But I do hope to have you a compiled response next week.\n\n11. Assuming this were to occur, it would push the Defaulting Respondent's production\n\nto approximately three months from the date of service of the TD Bank Subpoena, two months past the deadline for production, and one month after an extended deadline which was premised on rolling production that never came.\n\n12. Further, the Defaulting Respondent requested to redact responsive information from its production, stating:\n\n… I had an opportunity to speak with counsel for one of the targets – Yvette Wang. For security reasons, he's asking that we redact her address and phone number from any documentation that we may produce. Do you have any concerns with us doing that?\n\n13. Trustee's counsel advised counsel for the Defaulting Respondent that further delay was unacceptable and that if the Defaulting Respondent had concerns about the confidentiality of materials in production, such materials could be designated in a manner permitted under the Protective Order. In response, counsel for the Defaulting Respondent stated that the Trustee should \"kindly reconsider\" the Defaulting Respondent's request to redact responsive materials.\n\n14. Considering the Defaulting Respondent's persistent failure to comply with the TD Bank Subpoena, the Trustee has been forced to seek compliance by this Motion.\n\n#### **JURISDICTION AND VENUE**\n\n15. The Court has jurisdiction to consider this matter under 28 U.S.C. §§ 157 and 1334. Venue is proper in accordance with 28 U.S.C. §§ 1408 and 1409. This is a core proceeding pursuant to, *inter alia*, 28 U.S.C. § 157(b)(2) (A), (E), and (O).\n\n#### **RELIEF REQUESTED**\n\n16. The Trustee seeks entry of the Proposed Order compelling the Defaulting Respondent to comply with the TD Bank Subpoena holding the Defaulting Respondent in civil contempt for failing to do so to date.\n\n## **BASIS FOR RELIEF**\n\n#### **I. The Defaulting Respondent Must Comply with the TD Bank Subpoena**\n\n17. The Trustee is tasked with investigating the Individual Debtor's assets and affairs for the benefit of the Individual Debtor's creditors. \"The purpose of a Rule 2004 examination is\n\nto assist a party in interest in determining the nature and extent of the bankruptcy estate, revealing assets, examining transactions and assessing whether wrongdoing has occurred.\" *In re Transmar Commodity Grp. Ltd.*, Case No. 16-13625-JLG, 2018 WL 4006324, at \\*4 (Bankr. S.D.N.Y. Aug. 17, 2018) (internal quotation and citation omitted). This includes revealing the nature and extent of the estate and in discovering assets of the debtor that may have been intentionally or unintentionally concealed. *In re Bennett Funding Grp., Inc.*, 203 B.R. 24, 27-28 (Bankr. N.D.N.Y. 1996); *see also In re Millennium Lab Holdings II, LLC*, 562 B.R. 614, 626 (Bankr. D. Del. 2016) (\"Legitimate goals of Rule 2004 examinations include discovering assets, examining transactions, and determining whether wrongdoing has occurred.\") (internal quotation and citation omitted)); *id.* (noting that \"[u]nlike traditional discovery, which narrowly focuses on the issues germane to the dispute, the scope of Rule 2004 is broad and unfettered, and has been likened to a fishing expedition and an inquisition\") (internal citations and punctuation omitted); Fed. R. Bankr. P. 2004(b) (authorizing scope of 2004 examinations \"relat[ing] . . . to . . . property . . . and financial condition of the debtor, or to *any matter* which may affect the administration of the debtor's estate\") (emphasis added).\n\n18. The Trustee reasonably believes that the Defaulting Respondent has records relevant to the Trustee's investigation, including, among other things, with respect to accounts held by Ms. Wang that were used to conduct business for or related to the Individual Debtor. Accordingly, the Trustee obtained the Rule 2004 Order and served the Defaulting Respondent with the Rule 2004 Order. The Defaulting Respondent has no cause to delay or refuse compliance with the TD Bank Subpoena. The Court should thus compel the Defaulting Respondent's compliance with the TD Bank Subpoena.\n\n19. The Defaulting Respondent's insistence on redacting Ms. Wang's contact information is inappropriate and cannot excuse compliance. Ms. Wang has not appeared in these cases (through counsel or otherwise) or filed any motion to quash the TD Bank Subpoena. As the Trustee has previously advised the Court, the Trustee has attempted to locate and serve Ms. Wang with a subpoena. All attempts at service were unsuccessful, however, and Ms. Wang's counsel said he was not authorized to accept service on her behalf. The Individual Debtor testified that he has no idea where Ms. Wang lives despite having allegedly sent a letter to her by personal delivery. It now appears that Ms. Wang is seeking to further frustrate the Trustee's efforts to serve her with a subpoena by insisting on the redaction of her contact information. If the Defaulting Respondent believes it proper, it may designate confidential material under the Protective Order's confidentiality provisions, however, the Defaulting Respondent may not unilaterally redact responsive materials. The Court should compel TD Bank to make production without redactions.\n\n### **II. The Defaulting Respondent Should be Held in Civil Contempt**\n\n20. Rule 45(e) of the Federal Rules of Civil Procedure provides that \"[f]ailure by any person without adequate excuse to obey a subpoena served upon that person may be deemed a contempt of the court from which the subpoena issued.\" *In re Corso*, 328 B.R. 375, 385 (E.D.N.Y. 2005) (quoting FRCP 45(e)) (quotations omitted); *PaineWebber Inc. v. Acstar Ins. Co.*, 211 F.R.D. 247, 249 (S.D.N.Y. 2002) (\"Where a party fails to object to a subpoena and also fails to comply, it may be held in contempt, pursuant to Rule 45[(e)]\") (internal quotations omitted).\n\n21. To hold a party in civil contempt, \"the court need only (1) have entered a clear and unambiguous order, (2) find it established by clear and convincing evidence that the order was not complied with, and (3) find that the alleged contemnor has not clearly established his inability to\n\ncomply with the terms of the order.\" *Huber v. Marine Midland Bank*, 51 F.3d 5, 10 (2d Cir. 1995) (*citing N.A. Sales Co. v. Chapman Indus. Corp.*, 736 F.2d 854, 857 (2d Cir. 1984)).\n\n22. In a civil contempt proceeding, a finding of contempt will be upheld so long as the order violated \"is clear and unambiguous, the proof of non-compliance [with the order] is clear and convincing, and the contemnor was not reasonably diligent in attempting to comply.\" *Corso*, 328 B.R. at 385 (quoting *United States v. Local 1804–1, Int'l Longshoremen's Assn.*, 44 F.3d 1091, 1096 (2d Cir.1995) (quotations omitted) (alterations in original)).\n\n23. Additionally, a party that fails to timely respond or object to a subpoena within the mandated period is not permitted to raise objections at a later time. *See Corso*, 328 B.R. at 384-85 (\"Because [the subpoenaed party] did not raise any timely objections to the Trustee's subpoena, or move to quash it in a timely manner [it] waived its right to object to the Subpoena.\").\n\n24. Finally, courts have found that a party that fails to respond or object to a subpoena may be sanctioned for that failure. *See PaineWebber Inc.*, 211 F.R.D. at 249 (\"Where a party fails to object to a subpoena and also fails to comply, it may be held in contempt, pursuant to Rule 45[(e)], **and sanctions may therefore be imposed**.\") (internal quotations omitted and emphasis added); *Corso*, 328 B.R. at 385-86 (upholding bankruptcy court's sanction of a party which made \"no effort\" to comply with a Rule 2004 subpoena). Specifically, courts in the Second Circuit have awarded attorneys' fees where a party fails to comply with a subpoena. *See Gucci Am., Inc. v. Li*, No. 10-CV-4974 (RJS), 2015 WL 7758872, at \\*4 (S.D.N.Y. Nov. 30, 2015) (\"[C]ourts in this Circuit have awarded attorneys' fees where a party or a non-party willfully fails to comply with a subpoena.\").\n\n25. Here, service of the document request attached to the TD Bank Subpoena has occurred, and, despite its awareness of the TD Bank Subpoena, the Defaulting Respondent has not\n\nserved R&O's or complied with the TD Bank Subpoena and has persistently disregarded both the deadlines for compliance and its own promises that production would be forthcoming. *See id.* (affirming bankruptcy court's Contempt Order where service of subpoena was clear and unambiguous and no effort was made to comply).\n\n26. Accordingly, the Court should issue an order (i) holding the Defaulting Respondent in civil contempt of Court, (ii) preventing the Defaulting Respondent from raising any objections to the TD Bank Subpoena, and (iii) ordering the Defaulting Respondent to pay the Trustee's attorneys' fees related to this motion.\n\n## **NO PRIOR REQUEST**\n\n27. The Trustee has not previously sought the relief requested herein from this or any other court.\n\n## **CERTIFICATION OF COUNSEL**\n\n28. As set forth above, and in the Declaration of Patrick R. Linsey filed herewith, counsel for the Trustee has conferred with the Defaulting Respondent in good faith in an effort to obtain production without success.\n\n[*Remainder of Page Intentionally Left Blank*]\n\nWHEREFORE, for the foregoing reasons, the Trustee respectfully requests entry of the Proposed Order granting the relief requested in this Motion to Compel and such other relief as is just and proper.\n\nDated: March 8, 2023 LUC A. DESPINS,\n\nNew Haven, Connecticut CHAPTER 11 TRUSTEE\n\nBy: */s/ Patrick R. Linsey* Patrick R. Linsey (ct29437) NEUBERT, PEPE & MONTEITH, P.C. 195 Church Street, 13th Floor New Haven, Connecticut 06510 (203) 781-2847 plinsey@npmlaw.com\n\n# **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| -----------------------------------------------------------
x | | | |\n|------------------------------------------------------------------|-------------|-------------------------|--|\n| In re: | :
: | Chapter 11 | |\n| 2
HO WAN KWOK,
et al., | :
:
: | Case No. 22-50073 (JAM) | |\n| Debtors. | :
: | (Jointly Administered) | |\n| ----------------------------------------------------------- | x | | |\n\n# **DECLARATION OF PATRICK R. LINSEY IN SUPPORT OF MOTION OF CHAPTER 11 TRUSTEE FOR ENTRY OF ORDER COMPELLING JPMORGAN CHASE BANK N.A. TO COMPLY WITH RULE 2004 SUBPOENA**\n\nI, Patrick R. Linsey, declare:\n\n1. I am an attorney admitted to practice law in the State of Connecticut and an associate at the law firm of Neubert, Pepe & Monteith, P.C., and counsel for Luc A. Despins as Chapter 11 Trustee (the \"Trustee\"). I respectfully submit this declaration in support of the *Motion of Chapter 11 Trustee for Entry of Order Compelling JPMorgan Chase Bank N.A. to Comply with Rule 2004 Subpoenas* (the \"Motion\").\n\n2. Counsel for the Trustee has conferred with counsel for TD Bank, N.A. (the \"Defaulting Respondent\") by telephone, including on January 9, 2023 (with in-house counsel) and on January 23, 2023 (with outside counsel).\n\n2 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\n3. Counsel for the Trustee has also repeatedly requested by email that the Defaulting Respondent comply with the Trustee's subpoena. To date, the Defaulting Respondent has not complied with the Trustee's subpoena.\n\n4. Counsel for the Trustee called counsel for the Defaulting Respondent on March 7, 2023, which call was not immediately returned. Counsel for the Defaulting Respondent stated that she would not be available for a call prior to March 8, 2023, and stated by email that the Trustee should not expect production to be made this week.\n\n5. Counsel for the Trustee remains available to speak with counsel for the Defaulting Respondent at any time prior to a hearing on the Trustee's motion.\n\nPursuant to 28 U.S.C. § 1746, to the best of my knowledge, information and belief, and after reasonable inquiry, I declare under penalty of perjury that the foregoing is true and correct.\n\nDated: March 8, 2023\n\nNew Haven, Connecticut Respectfully submitted,\n\nBy:\n\nPatrick R. Linsey (ct29437) NEUBERT, PEPE & MONTEITH, P.C. 195 Church Street, 13th Floor New Haven, Connecticut 06510 (203) 781-2847 plinsey@npmlaw.com\n\n# **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| -----------------------------------------------------------
x | | |\n|------------------------------------------------------------------|-------------|-------------------------|\n| In re: | :
: | Chapter 11 |\n| 1
HO WAN KWOK,
et al., | :
:
: | Case No. 22-50073 (JAM) |\n| Debtors. | :
: | (Jointly Administered) |\n| ----------------------------------------------------------- | x | |\n\n# **[PROPOSED] ORDER COMPELLING TD BANK, N.A. TO COMPLY WITH RULE 2004 SUBPOENA AND AWARDING SANCTIONS**\n\nUpon consideration of the Motion seeking an order compelling JPMorgan Chase Bank N.A. (the \"Defaulting Respondent\") to comply with the Court's *Order Granting Second Supplemental Omnibus Motion for 2004 Examination* dated December 2, 2022 (ECF No. 1184, the \"Rule 2004 Order\") and with the subpoenas (the \"TD Bank Subpoena\") the Trustee issued to the Defaulting Respondent pursuant to the Rule 2004 Order, after notice and a hearing, *see* 11 U.S.C. § 102(1), it appearing that cause exists to grant the requested relief as conditioned hereafter; it is hereby\n\n**ORDERED**: The Motion is granted as set forth below.\n\n**ORDERED**: The Defaulting Respondent shall search for and produce all documents responsive to the TD Bank Subpoena within fourteen (14) days of the entry of this Order.\n\n**ORDERED**: Within fourteen (14) days of entry of this Order, in the event the Defaulting Respondent remains unresponsive to the TD Bank Subpoena, the Defaulting Respondent shall be in civil contempt of Court, shall be estopped from raising any objections to the Subpoenas, and shall be required to pay the Trustee's attorneys' fees related to this Motion.\n\nDated: \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_, 2023\n\nJulie A. Manning, United States Bankruptcy Judge\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n1 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# **Exhibit A**\n\nB2540 (Form 2540 – Subpoena for Rule 2004 Examination) (12/15) Case 22-50073 Doc 1521 Filed 03/08/23 Entered 03/08/23 11:52:26 Page 15 of 31\n\n# UNITED STATES BANKRUPTCY COURT\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ District of \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ Connecticut\n\nIn re \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\nCase No. \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ Ho Wan Kwok 22-50073\n\nDebtor\n\nChapter \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ 11\n\n# **SUBPOENA FOR RULE 2004 EXAMINATION**\n\nTo: **\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_** TD Bank, N.A.\n\n*(Name of person to whom the subpoena is directed)*\n\n *Testimony:* **YOU ARE COMMANDED** to appear at the time, date, and place set forth below to testify at an examination under Rule 2004, Federal Rules of Bankruptcy Procedure. A copy of the court order authorizing the examination is attached. ■\n\n| PLACE
Neubert, Pepe & Monteith, P.C. | DATE AND TIME | |\n|-----------------------------------------|---------------|-------------|\n| 195 Church Street | 01/17/23 | 10:00
am |\n| New Haven, Connecticut 06510 | | |\n\nThe examination will be recorded by this method: \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ court reporter/stenographer\n\n *Production:* You, or your representatives, must also bring with you to the examination the following documents, electronically stored information, or objects, and must permit inspection, copying, testing, or sampling of the material: ■\n\n## See Requests for Production of Documents, attached hereto.\n\nThe following provisions of Fed. R. Civ. P. 45, made applicable in bankruptcy cases by Fed. R. Bankr. P. 9016, are attached – Rule 45(c), relating to the place of compliance; Rule 45(d), relating to your protection as a person subject to a subpoena; and Rule 45(e) and 45(g), relating to your duty to respond to this subpoena and the potential consequences of not doing so.\n\nDate: \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ December 6, 2022\n\n| CLERK OF COURT | | |\n|----------------------------------------------------------------|----|--------------------------------------------------|\n| | OR | |\n| ________________________
Signature of Clerk or Deputy Clerk | | ________________________
Attorney's signature |\n\nThe name, address, email address, and telephone number of the attorney representing *(name of party)* \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ , who issues or requests this subpoena, are: Luc Despins, Ch. 11 Trustree Douglas S. Skalka, Esq.; Neubert, Pepe & Monteith, P.C.; 195 Church Street, New Haven, Connecticut 06510 dskalka@npmlaw.com; (203) 821-2000\n\n# **Notice to the person who issues or requests this subpoena**\n\nIf this subpoena commands the production of documents, electronically stored information, or tangible things, or the inspection of premises before trial, a notice and a copy of this subpoena must be served on each party before it is served on the person to whom it is directed. Fed. R. Civ. P. 45(a)(4).\n\n## **Request for Production of Documents**\n\n## **I. INSTRUCTIONS**\n\n1. Unless otherwise indicated, the requests for documents set forth below, (the \"Requests,\" and each, a \"Request\"), must be responded to separately and specifically. Each Request shall be answered fully unless it is in good faith objected to, in which event the reason for Your objection shall be stated in detail, as set forth below. If an objection pertains only to a portion of a Request, or a word, phrase or clause contained within it, You are required to state Your objection to that portion only and to respond to the remainder of the Requests.\n\n2. Electronically stored information must be produced in accordance with the following instructions:\n\n- a. Images. Black and white images must be 300 DPI Group IV single-page TIFF files. Color images must be produced in JPEG format. File names cannot contain embedded spaces or special characters (including the comma). Folder names cannot contain embedded spaces or special characters (including the comma). All TIFF image files must have a unique file name, i.e. Bates number. Images must be endorsed with sequential Bates numbers in the lower right corner of each image. The number of TIFF files per folder should not exceed 1000 files. Excel spreadsheets should have a placeholder image named by the Bates number of the file.\n- b. Image Load File\n\t- a. Concordance® Data File. The data file (.DAT) contains all of the fielded information that will be loaded into the Concordance® database. The first line of the .DAT file must be a header row identifying the field names. The .DAT file must use the following Concordance® default delimiters: Comma ASCII character (020) Quote þ ASCII character (254). Date fields should be provided in the format: mm/dd/yyyy. Date and time fields must be two separate fields. If documents includes imaged emails and attachments, the attachment fields must be included to preserve the parent/child relationship between an email and its attachments. An OCRPATH field must be included to provide the file path and name of the extracted text file on the produced storage media. The text file must be named after the FIRSTBATES. Do not include the text in the .DAT file. For Documents with native files, a LINK field must be included to provide the file path and\n\nname of the native file. The native file must be named after the FIRSTBATES.\n\n- b. Concordance Image® OR Opticon Cross-Reference File. The image crossreference file (.LOG or .OPT) links the images to the database records. It should be a comma-delimited file consisting of seven fields per line with a line in the cross-reference file for every image in the database with the following format: ImageID,VolumeLabel,ImageFilePath,DocumentBreak,FolderBreak,Box Break,PageCoun.\n- c. Document Text. Text must be produced as separate text files, not as fields within the .DAT file. The full path to the text file (OCRPATH) should be included in the .DAT file. It is recommended document level ANSI text files, named per the FIRSTBATES/Image Key. Extracted text files must be in a separate folder, and the number of text files per folder should not exceed 1,000 files. There should be no special characters (including commas in the folder names). Text files must be provided on a document level.\n- d. Native Production for Certain File Types. File types that reasonably require viewing in their native format for a full understanding of their content and meaning must be produced in native format. These include, but are not limited to, spreadsheets, spreadsheet-like files (Microsoft Excel, comma separated values, tab separated values, etc.), Microsoft PowerPoint or other special presentation files, database files, and audio/visual files. Provide an image of a Bates numbered slip sheet indicating the presence of a native file, and include the path to the native as a field in the .dat file. Name the produced native file with the Bates number corresponding to the slip sheet for the file. Group native files within incrementally named \"NATIVE\" directories, separate from images directories.\n- e. De-duplication. Produce a single copy of each electronic document for which exact duplicates exist. For email messages, consolidate duplicates based on MD5 hash generated from the BCC, Body, CC, From, IntMsgID, To, and Attach properties. For email attachments and standalone electronic files, consolidate duplicates based on MD5 hash of the entire file.\n- f. Metadata. Produce extracted metadata for each document in the form of a Concordance compliant load file (.dat). The first line of the .DAT file must be a header row identifying the field names. The .DAT file must use the following Concordance default delimiters: Comma , ASCII character (020) Quote þ ASCII character (254)\n\nDate fields should be provided in the format: mm/dd/yyyy. Date and time fields must be two separate fields. Required metadata listed below:\n\n| Field Name | Sample Data | Description |\n|--------------|---------------------------|-------------------------------------------------------------|\n| FIRSTBATES | EDC0000001 | First Bates number of native file document/email |\n| LASTBATES | EDC0000001 | Last Bates number of native file document/email |\n| | | **The LASTBATES field should be populated |\n| | | for single page |\n| ATTACHRANGE | EDC0000001
- | Bates number of the first page of the parent |\n| | EDC0000015 | document to the Bates number of the last page of |\n| | | the last attachment \"child\" document |\n| BEGATTACH | EDC0000001 | First Bates number of attachment range |\n| ENDATTACH | EDC0000015 | Last Bates number of attachment range |\n| CUSTODIAN | Smith, John | Email: Mailbox where the email resided |\n| | | Native: Name of the individual or department |\n| | | from whose files the document
originated |\n| FROM | John Smith | Email: Sender |\n| | | Native: Author(s) of document |\n| | | **semi-colon should be used to separate |\n| | | multiple entries |\n| TO | Coffman, Janice; LeeW | Recipient(s) |\n| | [mailto:LeeW@MSN.com] | **semi-colon should be used to separate multiple |\n| | | entries |\n| CC | Frank Thompson [mailto: | Carbon copy recipient(s) |\n| | frank_Thompson@cdt.com] | **semi-colon should be used to separate |\n| | | multiple entries |\n| BCC | John Cain | Blind carbon copy recipient(s) |\n| | | **semi-colon should be used to separate |\n| | | multiple entries |\n| SUBJECT | Board Meeting Minutes | Email: Subject line of the email Native: Title |\n| | | of document (if available) |\n| FILE_NAME | BoardMeetingMinutes.docx | Native: Name of the original native file, |\n| | | including extension |\n| DATE_SENT | 10/12/2010 | Email: Date the email was sent |\n| | | Native: (empty) |\n| TIME_SENT/ | 07:05 PM GMT | Email: Time the email was sent/ Time zone in |\n| TIME_ZONE | | which the emails were standardized |\n| TIME_ZONE | GMT | The
time
zone
in
which
the
emails
were |\n| | | standardized during conversion. |\n| LINK | >EDC0000001.msg | Hyperlink to the email or native file document |\n| | | **The linked file must be named per the |\n| | | FIRSTBATES number |\n| FILE_EXTEN | MSG | The file type extension |\n| | | representing |\n| | | the Email or |\n| AUTHOR | John Smith | Email: (empty) |\n| | | Native: Author of the document |\n| DATE_CREATED | 10/10/2010 | Email: (empty) |\n| | | Native: Date the document was created |\n\n| TIME_CREATED | 10:25 AM | Email: (empty) |\n|--------------|---------------------------|-------------------------------------------------|\n| | | Native: Time the document was created |\n| | | **This data must be a separate field and cannot |\n| | | be combined with the DATE_CREATED field |\n| DATE_MOD | 10/12/2010 | Email: (empty) |\n| | | Native: Date the document was last modified |\n| TIME_MOD | 07:00 PM | Email: (empty) |\n| | | Native: Time the document was last modified |\n| | | **This data must be a separate field and cannot |\n| | | be combined with the DATE_MOD field |\n| DATE_ACCESSD | 10/12/2010 | Email: (empty) |\n| | | Native: Date the document was last accessed |\n| TIME_ACCESSD | 07:00 PM | Email: (empty) |\n| | | Native: Time the document was last accessed |\n| | | **This data must be a separate field and cannot |\n| | | be combined with the DATE_ACCESSD field |\n| FILE_SIZE | 5,952 | Size of native file document/email in KB |\n| PGCOUNT | 1 | Number of pages in native file document/email |\n| PATH | | Email: (empty) |\n| | Agenda.doc | Native: Path where native file document was |\n| | | stored including original file name. |\n| INTFILEPATH | Personal Folders\\Deleted | Email: original location of email including |\n| | Items\\Board Meeting | original file name. |\n| | Minutes.msg | Native: (empty) |\n| INTMSGID | <000805c2c71b\\$75977050\\$ | Email: Unique Message ID Native: (empty) |\n| | cb8306d1@MSN> | |\n| MD5HASH | d131dd02c5e6eec4693d9a0 | MD5 Hash value of the document. |\n| | 698aff95c | |\n| | 2fcab58712467eab4004583e | |\n| | b8fb7f89 | |\n| OCRPATH | TEXT/001/EDC0000001.txt | Path to extracted text of the native file |\n\n3. Each Request operates and should be construed independently and, unless otherwise indicated, no Request limits the scope of any other Request.\n\n4. All Documents are to be produced as kept in the usual course of business or are to be organized and labeled to correspond with the categories in these Requests.\n\n5. Each Request contained herein extends to all Documents: (a) in Your possession, custody, or control; or (b) in the possession, custody, or control of anyone acting on Your behalf, including Your counsel or other representatives and advisors. Each Document shall be produced in its entirety.\n\n6. If You are requested to produce a Document that is no longer in Your possession, custody, or control, then Your response must (a) describe in detail the nature of the document and its contents; (b) identify the person(s) who prepared or authored the Document (and, if applicable, the Person(s) to whom the Document was sent); (c) identify the date on which the document was prepared or created; (d) state whether such Document (i) is missing or lost, (ii) has been destroyed, (iii) has been transferred, voluntarily or involuntarily, to others, or (iv) was otherwise disposed of; (e) state the reason for, and the facts and circumstances surrounding, such disposition; (f) identify the Persons who authorized such disposition; (g) identify the date or approximate date of such disposition; (h)state when the Document was most recently in Your possession, custody or control; and (i) identify the Person, if any, presently in possession, custody, or control of such Document.\n\n7. If You are requested to produce a Document that has been destroyed, then Your response must state, in addition to the information required by the preceding Instruction: (a) the reason for the Document's destruction; (b) the identity of the Person who destroyed the Document; and (c) the identity of the Person who directed that the Document be destroyed.\n\n8. If You claim that a requested Document is privileged or attorney work-product, then Your response must: (a) state (i) a description of the Document adequate to support Your contention that the Document is privileged, (ii) the title of the Document, (iii) the date of the Document, (iv) the author of the Document, (v) the addressee of the Document, (vi) the identity of each Person who received or saw the original or any draft, copy, or reproduction of the Document, (vii) whether the Document itself, or any information contained or referred to in the Document is in the possession, custody, or control of any other Persons, and if so, the identity of such Persons, as well as a statement addressing how the information came into their possession, (viii) the claim of privilege under which the Document is withheld, and (ix) all of the circumstances upon which You will rely to support such claim of privilege; and (b) produce a privilege log containing all of the information requested in Part (a) of this Instruction for each Document withheld on the basis of a claim of privilege in accordance with D. Conn. L. Civ. R. 26(e). For any part of a Document Request as to which a claim of privilege or work product is not made, responsive documents should be provided in full.\n\n9. If a portion of an otherwise responsive Document contains information subject to a claim of privilege, only that portion of the Document subject to the claim of privilege shall be deleted or redacted from the Document following the instructions above, and the rest shall be produced.\n\n10. The Requests are continuing in nature. You are hereby instructed to (a) supplement or correct any responses later learned to be incomplete or incorrect immediately upon learning that a prior response was incomplete or incorrect; and (b) produce any additional Documents that are called for under the\n\n11. If a Document is in a language other than English, You should provide that Document. If a Document is in a language other than English, and an English translation exists, You should provide both Documents.\n\n12. All references to Entities includes all affiliates thereof.\n\n13. All references to individual names include all alternative names, aliased, or nicknames.\n\n14. Unless otherwise expressly indicated, the period of time covered by the Document Requests is the period from February 5, 2012 to the date responses to the Document Requests are due.\n\n#### **II. RULES OF CONSTRUCTION**\n\n15. The use of (a) any singular noun shall be construed to include the plural, and vice versa, and (b) a verb in any tense shall be construed as the use of the verb in all other tenses.\n\n16. The terms (a) \"and\" and \"or\" shall be construed either conjunctively or disjunctively as necessary to bring within the scope of any request all responses that might otherwise be construed to be outside of its scope, and (b) \"each\" and \"any\" shall be deemed to include and encompass the words \"every\" and \"all.\"\n\n#### **III. DEFINITIONS**\n\nThe definitions supplied by D. Conn. L. Civ. R. 26(c) and the rules of construction supplied by D. Conn. L. Civ. R. 26(d), as incorporated by D. Conn. Bankr. L.R. 2004-1(a), shall apply to the Document Requests. In addition, the following terms used in these Document Requests shall have the following meanings:\n\n1. \"You\" or \"Your\" or \"Yourself\" means and refers to, TD Bank, N.A.\n\n2. \"Debtor\" means Ho Wan Kwok (a/k/a Miles Kwok, Miles Guo, Guo Wengui,\n\nGuo Haoyun, 郭文贵, or any other alias), together with his employees, agents, counsel, advisors, or anyone acting on his behalf.\n\n3. \"Debtor's Son\" means Qiang Guo (a/k/a Mileson Kwok, 郭强, or any other alias), together with his employees, agents, counsel, advisors, or anyone acting on his behalf.\n\n4. \"Debtor's Daughter\" means Mei Guo (a/k/a Mei Gui, 郭美, or any other alias),\n\ntogether with her employees, agents, counsel, advisors, or anyone acting on her behalf.\n\n5. \"Debtor's Purported Wife\" means Hing Chi Ngok (a/k/a Hing Chi Ng, Yue Qingzhi, 岳庆芝, or any other alias), together with her employees, agents, counsel, advisors, or anyone acting on her behalf.\n\n6. \"Debtor's Family\" means, individually and collectively, the Debtor, the Debtor's Son, the Debtor's Daughter, and the Debtor's Purported Wife, and any other familial relation to the Debtor.\n\n7. \"2004 Discovery Targets\" means, individually and collectively, the Debtor, the Debtor's Family, ACA Capital Group Limited, Himalaya International Financial Group Ltd., Himalaya International Clearing Ltd., Himalaya International Payments Ltd., Himalaya International Reserves Ltd., Jesse Brown, William Je, William Je, Eastern Profit Corporation Limited, HK International Funds Investments (USA) Limited LLC, Bravo Luck Limited, Golden Spring (New York) Ltd., Lamp Capital LLC, Greenwich Land LLC, Qu Guo Jiao, Daniel Thomas Podhaskie, Yvette Wang, Ace Decade Holdings Limited, Dawn State Limited, Rule of Law Society IV Inc., Rule of Law Foundation III, GTV Media Group, Inc., Voice of Guo Media, Inc., and Saraca Media Group Inc.\n\n8. \"Associated Individuals\" means, individually and collectively, all individuals that (1) hold, control, have custody over, or discretion over assets owned, controlled, or enjoyed by the Debtor or the Debtor's Family; or (2) have been employees, directors, or otherwise are affiliated with one or more Associated Entities, together with the respective employees, agents, counsel, advisors, or anyone acting on behalf of any of the foregoing. Such Associated Individuals shall include, but are not limited to: Daniel Podhaskie, Jason Miller, Jesse Brown, William Je, Steve\n\nBannon, Karin Maistrello, Melissa Francis, William Gertz, Arethusa Forsyth, Glenn Mellor, Jennifer Mercurio, Eduardo Eurnekian, Han Chunguang (a/k/a 韩春光), Qu Guojiao (a/k/a Qu Guo Jiao, 屈国姣), Guo Lijie (a/k/a 郭丽杰), Zhang Wei (a/k/a 张伟\\*), Lihong Wei Lafrenz (a/k/a Sara Wei, 魏丽红), Hao Haidong (a/k/a 郝海东), Ross Heinemeyer, Max Krasner, Kyle Bass, Melissa Mendez, Ya Li (a/k/a 李娅), Dinggang Wang (a/k/a 王定刚), An Hong (a/k/a 安红), Yvette Wang (a/k/a Yanping Wang, Yan Ping Wang, 王雁平), Fiona Yu, Je Kin Ming (a/k/a William Je, Yu Jianming, 余建明), Yaz Qingua, and Lao Jiang (a/k/a Jiang Yunfu, Jiang Yunfu Be, 姜云浮).\n\n9. \"Associated Entities\" means, individually and collectively, all organizations or Entities of any type that (1) have been owned, controlled, or invested in by the Debtor or the Debtor's Family; or (2) have an interest, whether directly or indirectly, in any assets owned, controlled, or enjoyed by the Debtor or the Debtor's Family, together with the respective employees, agents, counsel, advisors, or anyone acting on behalf of any of the foregoing. Such Associated Entities shall include, but are not limited to: 7 Nod Hill LLC, AAGV Limited, ACA Investment Management Limited, ACA Capital Group Limited, Ace Decade Holdings Limited, AI Group Holdings Inc., Alfa Global Ventures Limited, Alfonso Global Limited, Allied Capital Global Limited, Alpine Fiduciaries SA, Anton Development Limited, Assets Sino Limited, Auspicious Coast Limited, Beijing Pangu Investment Co., Beijing Pangu Investment Co. Ltd., Beijing Pangu Investment Inc., Beijing Zenith Holdings Company Limited, Bravo Luck Limited, BSA Strategic Fund I, China Golden Spring (Hong Kong) Limited, Chuang Xin Limited, Crane Advisory Group LLC, Creative Apex Investments Limited, Crystal Breeze Investments Limited, Dawn State Limited, Eastern Profit Corporation Limited, Elite Well Global Limited, Empire Growth Holdings, G Club Operations LLC, G Fashion LLC, G News LLC, GETTR USA, Genever Holdings Corporation, Genever Holdings LLC, GFASHION MEDIA GROUP INC., GFNY, Inc., Globalist International Limited, GNews Media Group Inc., Golden Spring (New York) Ltd., Greenwich Land LLC, Guo Media, GTV Media Group, Inc., Hamilton Capital Holdings Inc., Head Win Group Limited, Henan Yuda, Himalaya Embassy, Himalaya Exchange, Himalaya Federal Reserve, Himalaya International Financial Group Ltd., Himalaya International Clearing Ltd. , Himalaya International Payments Ltd., Himalaya International Reserves Ltd., Himalaya Supervisory Organization, HK International Funds Investments (USA) Limited LLC, Hong Kong International Funds Investments Limited, Hudson Diamond NY LLC, Infinite Increase Limited, Infinitum Developments Limited, Insight Phoenix Fund, Lamp Capital LLC, Leading Shine Limited, Leading Shine NY Limited, Long Gate Limited, Next Tycoon Investments Limited, New Federal State of China (a/k/a NFSC), Noble Fame Global Limited, Rosy Acme Ventures Limited, Rule of Law Foundation III, Inc., Rule of Law Foundation IV, Inc., Rule of Law Fund, Rule of Law Society, Rule of Law Society IV, Inc., G-Translators PTY LTD, Saraca Media Group, Inc., Shiny Ace Ltd., Shiny Times Holdings Ltd., Spirit Charter Investment Limited, Stevenson, Wong & Co., TM Primrose Limited, Voice of Guo Media, Inc., Well Origin Ltd., World Century Limited, Worldwide Opportunity Holdings Limited, Whitecroft Shore Limited, and ZIBA Limited.\n\n10. \"Including\" or any variant thereof means \"including without limitation.\"\n\n11. \"And\" and \"or\" mean \"and/or,\" and shall be construed both conjunctively as well as disjunctively in order to maximize their scope.\n\n12. \"Any\" and \"all\" and \"each\" mean \"each and every.\"\n\n- 13. \"Each\" and \"every\" mean \"each and every.\"\n- 14. \"Third Party\" means a Person or Entity other than Yourself.\n\n15. \"Transfer\" shall have the meaning given to it by section 101(54) of the Bankruptcy Code.\n\n16. \"Document\" means any information or thing within the scope of Fed. R. Civ. P. 34, and includes, without limitation, each and every written, recorded, or graphic matter of any kind, type, nature, or description that is or has been in Your Possession, Custody or Control, including all printed and electronic copies of electronic mail, computer files maintained in electronic form, correspondence, memoranda, tapes, stenographic or handwritten notes, written forms of any kind, charts, blueprints, drawings, sketches, graphs, plans, articles, specifications, diaries, letters, telegrams, photographs, minutes, contracts, agreements, surveys, computer printouts, data compilations of any kind, telexes, facsimiles, emails, text messages, instant messages, voice messages, invoices, order forms, checks, drafts, statements, credit memos, reports, position reports, summaries, indices, books, ledgers, notebooks, schedules, transparencies, recordings, catalogs, advertisements, promotional materials, films, video tapes, audio tapes, CDs, computer disks, brochures, pamphlets, punch-cards, time-slips, Tweets, social media posts, or any written or recorded materials of any other kind, and all meta-data thereof, however stored (whether in tangible or electronic form), recorded, produced, or reproduced, and also including but not limited to, drafts or copies of any of the foregoing that contain any notes, comments, or markings of any kind not found on the original documents or that are otherwise not identical to the original documents.\n\n17. \"Person(s)\" means an individual, corporation, proprietorship, partnership, association, or any other Entity. \"Person\" also includes any agent, representatives, or expert, including but not limiting to, attorneys or financial advisors.\n\n18. \"Entity\" means any natural Person, corporation, partnership, subsidiary, sole proprietorship, firm, board, joint venture, association, agency, authority, commission or other business entity or juristic Person, as well as any affiliate, agent, parent including but not limited to counsel, financial advisors, or any other representative.\n\n19. \"Regarding\" means concerning, describing, comprising, referring to, related to, supporting, favoring, opposing, bolstering, detracting from, located in, considered in connection with, bearing on, evidencing, indicating, reporting on, recording, alluding to, responding to, connected with, commenting on, in respect of, about, in relation to, discussing, showing, describing, reflecting, analyzing constituting, and being.\n\n20. \"Relating to,\" \"relate(s) to\" or \"related to,\" when referring to any given subject matter, means, without limitation, any document that constitutes, comprises, involves, contains, embodies, reflects, identifies, states, refers directly or indirectly to, or is in any way relevant to the particular subject matter identified.\n\n21. \"Communication(s)\" means, in the broadest possible sense, and without limitation, any transmittal of information or knowledge (in the form of facts, ideas, inquiries, or otherwise). Communication(s) further refers to all conversations, agreements, inquiries, or replies, whether in person, by telephone, in writing, or by means of electronic transmittal devices, and includes, but is not limited to, all correspondence, emails, recordings, transmittal slips, memoranda, telephone communications, voice messages, telegrams, telefaxes, telecopies, telexes, instant messages, chats, text messages, postings to a message board or group chat, social media posts, tweets, videos uploaded to any video platform, telephonic notes, or notes transmitted internally or with third parties.\n\n22. \"Asset(s)\" means any item of economic value that is subject to Possession, Custody, or Control. Asset includes all real and personal property, including but limited to, real estate, land, houses, apartments, condominiums, automobiles, yachts, boats, planes, jets, helicopters, cash, bank accounts, cryptocurrencies, securities, accounts receivables, inventory, and other tangible and intangible property.\n\n#### **IV. DOCUMENTS TO BE PRODUCED**\n\n1. All Documents related to any account held by, controlled by, on behalf of, or otherwise related to any of the 2004 Discovery Targets, including any and all account statements, authorizations, power of attorney, trusts, instructions or forms, copies of cancelled checks, correspondence, and wire transfers and related correspondence and instructions.\n\n2. All Documents related to any funds, securities, property, or assets belonging to, held by, controlled by, on behalf of, or otherwise related to any of the 2004 Discovery Targets, including any and all account statements, authorizations, powers of attorney, trusts, instructions or forms, copies of cancelled checks, correspondence, and wire transfers and related correspondence and instructions.\n\n3. All Documents related to any business, commerce or financial transactions, including but not limited to any loan, line of credit, bailment, deposit, swap, securities transactions, mortgage, or ISDA, with any of the 2004 Discovery Targets, including any and all account statements, authorizations, powers of attorney, trusts, instructions or forms, copies of cancelled checks, correspondence, and wire transfers and related correspondence and instructions.\n\n4. All Documents relating to any wire transfer activity relating to the 2004 Discovery Targets, regardless of the existence of any accounts, including but not limited to all wire transfer\n\nreceipts, account numbers, balances, authorizations, identification information related to the parties to the transfer, correspondence, instructions, or other records.\n\n5. All Documents related to any correspondence and communications between you and the 2004 Discovery Targets.\n\n6. All Documents related to any account with any 2004 Discovery Target relating to opening of the account, authorized users of the account and maintenance of the account.\n\n7. All Documents related to any anti-money laundering, know-your-customer, or other compliance activity relating to any of the 2004 Discovery Targets, including but not limited to any information provided by any of the 2004 Discovery Targets, or learned by You.\n\n8. All Documents relating to any communications with any regulator from any country, including but not limited to the Bank of England, the United States Federal Reserve, the S.E.C., the CFTC, FINRA, China Securities Regulatory Commission, People's Bank of China, Hong Kong Securities and Futures Commission, and the Hong Kong Monetary Authority relating to any of the 2004 Discovery Targets.\n\n| PROOF OF SERVICE
(This section should not be filed with the court unless required by Fed. R. Civ. P. 45.) | |\n|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------|\n| I received this subpoena for (name of individual and title, if any): ______________________________________________
on (date)
__________ . | |\n| ■
I served the subpoena by delivering a copy to the named person
___________________________________________________________________________________________________ | as follows: ____________________________________ |\n| __________________________________
on (date) ___________________ ; or | |\n| I returned the subpoena unexecuted because: ____________________________________________________________
___________________________________________________________________________________________________ | |\n| Unless the subpoena was issued on behalf of the United States, or one of its officers or agents, I have also tendered to the
witness the fees for one day's attendance, and the mileage allowed by law, in the amount of \\$ _______________________ . | |\n| My fees are \\$ _________
for travel and \\$_________ | for services, for a total of \\$_________ . |\n| I declare under penalty of perjury
that this information is true and correct. | |\n| Date: _______________ | |\n| | ________________________________________________
Server's signature |\n| | ________________________________________________
Printed name and title |\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ *Server's address*\n\nAdditional information concerning attempted service, etc.:\n\n#### **Federal Rule of Civil Procedure 45(c), (d), (e), and (g) (Effective 12/1/13) (made applicable in bankruptcy cases by Rule 9016, Federal Rules of Bankruptcy Procedure)**\n\n#### **(c) Place of compliance.**\n\n *(1) For a Trial, Hearing, or Deposition.* A subpoena may command a person to attend a trial, hearing, or deposition only as follows:\n\n (A) within 100 miles of where the person resides, is employed, or regularly transacts business in person; or\n\n (B) within the state where the person resides, is employed, or regularly transacts business in person, if the person\n\n(i) is a party or a party's officer; or\n\n (ii) is commanded to attend a trial and would not incur substantial expense.\n\n#### *(2) For Other Discovery.* A subpoena may command:\n\n (A) production of documents, or electronically stored information, or things at a place within 100 miles of where the person resides, is employed, or regularly transacts business in person; and\n\n(B) inspection of premises, at the premises to be inspected.\n\n#### **(d) Protecting a Person Subject to a Subpoena; Enforcement.**\n\n*(1) Avoiding Undue Burden or Expense; Sanctions.* A party or attorney responsible for issuing and serving a subpoena must take reasonable steps to avoid imposing undue burden or expense on a person subject to the subpoena. The court for the district where compliance is required must enforce this duty and impose an appropriate sanction which may include lost earnings and reasonable attorney's fees — on a party or attorney who fails to comply.\n\n#### *(2) Command to Produce Materials or Permit Inspection.*\n\n *(A) Appearance Not Required.* A person commanded to produce documents, electronically stored information, or tangible things, or to permit the inspection of premises, need not appear in person at the place of production or inspection unless also commanded to appear for a deposition, hearing, or trial.\n\n *(B) Objections*. A person commanded to produce documents or tangible things or to permit inspection may serve on the party or attorney designated in the subpoena a written objection to inspecting, copying, testing or sampling any or all of the materials or to inspecting the premises — or to producing electronically stored information in the form or forms requested. The objection must be served before the earlier of the time specified for compliance or 14 days after the subpoena is served. If an objection is made, the following rules apply:\n\n (i) At any time, on notice to the commanded person, the serving party may move the court for the district where compliance is required for an order compelling production or inspection.\n\n (ii) These acts may be required only as directed in the order, and the order must protect a person who is neither a party nor a party's officer from significant expense resulting from compliance.\n\n#### *(3) Quashing or Modifying a Subpoena.*\n\n *(A) When Required.* On timely motion, the court for the district where compliance is required must quash or modify a subpoena that:\n\n(i) fails to allow a reasonable time to comply;\n\n (ii) requires a person to comply beyond the geographical limits specified in Rule 45(c);\n\n(iii) requires disclosure of privileged or other protected matter, if no exception or waiver applies; or\n\n(iv) subjects a person to undue burden.\n\n *(B) When Permitted.* To protect a person subject to or affected by a subpoena, the court for the district where compliance is required may, on motion, quash or modify the subpoena if it requires:\n\n (i) disclosing a trade secret or other confidential research, development, or commercial information; or\n\n (ii) disclosing an unretained expert's opinion or information that does not describe specific occurrences in dispute and results from the expert's study that was not requested by a party.\n\n *(C) Specifying Conditions as an Alternative.* In the circumstances described in Rule 45(d)(3)(B), the court may, instead of quashing or modifying a subpoena, order appearance or production under specified conditions if the serving party:\n\n (i) shows a substantial need for the testimony or material that cannot be otherwise met without undue hardship; and\n\n (ii) ensures that the subpoenaed person will be reasonably compensated.\n\n#### **(e) Duties in Responding to a Subpoena.**\n\n *(1) Producing Documents or Electronically Stored Information.* These procedures apply to producing documents or electronically stored information:\n\n *(A) Documents.* A person responding to a subpoena to produce documents must produce them as they are kept in the ordinary course of business or must organize and label them to correspond to the categories in the demand.\n\n *(B) Form for Producing Electronically Stored Information Not Specified.* If a subpoena does not specify a form for producing electronically stored information, the person responding must produce it in a form or forms in which it is ordinarily maintained or in a reasonably usable form or forms.\n\n *(C) Electronically Stored Information Produced in Only One Form.* The person responding need not produce the same electronically stored information in more than one form.\n\n *(D) Inaccessible Electronically Stored Information.* The person responding need not provide discovery of electronically stored information from sources that the person identifies as not reasonably accessible because of undue burden or cost. On motion to compel discovery or for a protective order, the person responding must show that the information is not reasonably accessible because of undue burden or cost. If that showing is made, the court may nonetheless order discovery from such sources if the requesting party shows good cause, considering the limitations of Rule 26(b)(2)(C). The court may specify conditions for the discovery.\n\n#### *(2) Claiming Privilege or Protection.*\n\n *(A) Information Withheld.* A person withholding subpoenaed information under a claim that it is privileged or subject to protection as trial-preparation material must:\n\n(i) expressly make the claim; and\n\n (ii) describe the nature of the withheld documents, communications, or tangible things in a manner that, without revealing information itself privileged or protected, will enable the parties to assess the claim.\n\n *(B) Information Produced.* If information produced in response to a subpoena is subject to a claim of privilege or of protection as trialpreparation material, the person making the claim may notify any party that received the information of the claim and the basis for it. After being notified, a party must promptly return, sequester, or destroy the specified information and any copies it has; must not use or disclose the information until the claim is resolved; must take reasonable steps to retrieve the information if the party disclosed it before being notified; and may promptly present the information under seal to the court for the district where compliance is required for a determination of the claim. The person who produced the information must preserve the information until the claim is resolved.\n\n**(g) Contempt.** The court for the district where compliance is required – and also, after a motion is transferred, the issuing court – may hold in contempt a person who, having been served, fails without adequate excuse to obey the subpoena or an order related to it.\n\nFor access to subpoena materials, see Fed. R. Civ. P. 45(a) Committee Note (2013)\n\n…","body_zh":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION（美国康涅狄格联邦破产法院布里奇波特分院）\n\nx\n\n关于： :\n: 第11章\n\nHO WAN KWOK（郭文贵）,\n等， :\n: Case No. 22-50073 (JAM)\n债务人。 :\n:\n: （合并管理）\n----------------------------------------------------------- x\n第11章受托人请求作出命令，强制TD BANK, N.A.遵守Rule 2004传票的动议\n\nLuc A. Despins（卢克·A·德斯平斯）以其作为在Ho Wan Kwok（“个人债务人”）第11章案件（“第11章案件”）中获任命的第11章受托人（“受托人”）的身份，特此根据Federal Rules of Civil Procedure（“联邦民事诉讼规则”）Rules 26和37，以及Federal Rules of Bankruptcy Procedure（“破产程序联邦规则”）Rules 2004和9016，提交本动议（“强制动议”），请求作出实质上采用随附Exhibit A所载形式的命令（“拟议命令”），强制TD Bank, N.A.（“违约答复人”）遵守本院于December 2, 2022作出的准许第二份补充综合2004审查动议的命令（ECF No. 1184，“Rule 2004命令”），并遵守受托人依该命令向违约答复人发出的传票（“TD Bank传票”）。为支持强制动议，受托人谨陈述如下：\n\n1 本第11章案件中的债务人为Ho Wan Kwok（又名Guo Wengui、Miles Guo和Miles Kwok，以及众多其他化名）（税务识别号后四位：9595）、Genever Holdings LLC（税务识别号后四位：8202）及Genever Holdings Corporation。受托人、Genever Holdings LLC和Genever Holdings Corporation的邮寄地址为Paul Hastings LLP, 200 Park Avenue, New York, NY 10166，收件人为Luc A. Despins，作为Ho Wan Kwok遗产的受托人（仅用于通知和通信）。\n\n事实背景\n\nI. 受托人的Rule 2004动议、命令和传票\n\n1. 于November 18, 2022，受托人提交了《第11章受托人请求根据Bankruptcy Rule 2004和Local Rule 2004-1作出命令，授权就债务人的其他法律和财务顾问、与债务人有关联的实体和个人、相关银行以及与债务人和关联实体开展业务的实体进行取证的第二份补充综合动议》（“第二份综合2004动议”），请求就个人债务人的各类法律和财务顾问、与个人债务人有关联的人士，以及与本案相关的、据信个人债务人及与其有关联的人士和实体在其中存入资金或进行金融交易的银行进行取证。\n\n2. 这些银行包括违约答复人。具体而言，受托人有理由相信，个人债务人的主要关联人之一Yvette Wang（“Wang女士”）在违约答复人处办理银行业务。Wang女士曾在与个人债务人有关联的企业中担任多种公司职务，并曾为个人债务人及其关联人开展业务。\n\n3. 在本院于January 24, 2023作出的《准许动议以公司治理命令藐视法庭罪追究债务人责任的命令》（ECF No. 1372，“藐视法庭命令”）中，本院除其他外认定：“[个人]债务人控制Wang女士。[个人]债务人已雇用Yvette Wang数年，并指示其代表其采取行动，包括指示其代表其购买诸如Sherry-Netherland公寓等房产。”（藐视法庭命令第¶ 4段。）\n\n4. 违约答复人未对第二份综合2004动议提出异议。第二份综合2004动议通过于September 21, 2022作出Rule 2004命令而获准。根据Rule 2004命令，受托人于December 16, 2022向违约答复人送达了附有文件提交请求的Rule 2004审查传票（合称“TD Bank传票”）。TD Bank传票的真实准确副本作为Exhibit A随附于此。TD Bank传票要求不迟于January 17, 2023予以遵守。\n\n5. 违约答复人未在其提交期限内，即December 30, 2022之前，就遵守TD Bank传票送达答复和异议（“R&O’s”）。相反，违约答复人于January 2023初联系受托人，请求提供有关TD Bank传票中与取证相关的人士和实体的信息。为协助违约答复人遵守Rule 2004命令，受托人汇编了该等信息并提供给违约答复人。\n\n6. 于January 9, 2023，受托人的律师与违约答复人的内部法律顾问通过电话交谈。违约答复人的内部法律顾问表示，该银行正在进行检索以答复TD Bank传票，并称该银行将在约一周内能够向受托人更新其检索结果，且希望在此后不久开始提交文件，可能采取滚动提交方式。\n\n7. 然而，于January 20, 2023，违约答复人的外部律师联系受托人的律师，请求将答复TD Bank传票的期限延长30天，即延至February 16, 2023。受托人同意所请求的延期，但表示违约答复人应在该30天延期期间内开始滚动提交。因此，违约答复人遵守TD Bank传票的延长期限最迟为February 16, 2023。\n\n8. 于January 24, 2023，受托人的律师向违约答复人的律师发送了本第11章案件中作出的保护令副本（ECF No. 923，“保护令”）。\n\n9. 在数周过去而未收到违约答复人的进一步消息后，于February 7, 2023，受托人的律师请求更新该银行答复的状态。三天后，即February 10, 2023，违约答复人的律师表示：\n\n我非常抱歉延迟回复。我大约已审阅完我的客户能够找到的文件的一半。即使没有别的进展，我也许能够从下周初开始滚动提交取证材料，除非您更愿意一次性收到全部材料。\n\n希望在周末或最迟于周一早些时候审阅完他们能够找到的其余材料。\n\n10. 再次地，毫无下文。于March 7, 2023，受托人的律师再次请求违约答复人提交材料。此次，违约答复人的律师作出如下表示：\n\n该传票及所确定的对象所涉及的内容，远比我最初预期的多。我还有几项未决事项需要与我的客户敲定，我们希望于下周初通电话（我的客户本周整周都忙于审判，因此我们原定的通话不得不推迟）。但我确实希望于下周向您提供汇编完成的答复。\n\n11. 假如确实如此，违约答复人的提交时间将推迟至TD Bank传票送达之日起约三个月，即超过提交截止日期两个月，并超过一项以从未发生的滚动提交为前提的延长期限一个月。\n\n12. 此外，违约答复人请求从其提交材料中删节答复性信息，并表示：\n\n……我曾有机会与其中一名对象Yvette Wang的律师交谈。出于安全原因，他要求我们从可能提交的任何文件中删节她的地址和电话号码。您是否对我们这样做有任何疑虑？\n\n13. 受托人的律师告知违约答复人的律师，进一步拖延不可接受；如违约答复人对提交材料的保密性有疑虑，该等材料可按照保护令允许的方式予以指定。作为回应，违约答复人的律师表示，受托人应“请重新考虑”违约答复人删节答复性材料的请求。\n\n14. 鉴于违约答复人持续未遵守TD Bank传票，受托人被迫通过本动议寻求其遵守。\n\n管辖权和审判地\n\n15. 本院根据28 U.S.C. §§ 157 and 1334对审理本事项具有管辖权。根据28 U.S.C. §§ 1408 and 1409，审判地适当。根据包括28 U.S.C. § 157(b)(2) (A), (E), and (O)在内的规定，本案属于核心程序。\n\n请求的救济\n\n16. 受托人请求作出拟议命令，强制违约答复人遵守TD Bank传票，并因违约答复人迄今未予遵守而认定其构成民事藐视法庭。\n\n救济依据\n\nI. 违约答复人必须遵守TD Bank传票\n\n17. 受托人受托为个人债务人债权人的利益调查个人债务人的资产和事务。“Rule 2004审查的目的，是协助利害关系方确定破产财产的性质和范围、披露资产、审查交易，以及评估是否发生不当行为。”In re Transmar Commodity Grp. Ltd., Case No. 16-13625-JLG, 2018 WL 4006324, at *4 (Bankr. S.D.N.Y. Aug. 17, 2018)（省略内部引文和引证）。这包括披露遗产的性质和范围，并发现可能被故意或非故意隐瞒的债务人资产。In re Bennett Funding Grp., Inc., 203 B.R. 24, 27-28 (Bankr. N.D.N.Y. 1996); 另见In re Millennium Lab Holdings II, LLC, 562 B.R. 614, 626 (Bankr. D. Del. 2016)（“Rule 2004审查的正当目标包括发现资产、审查交易，以及确定是否发生不当行为。”）（省略内部引文和引证）；同上（指出，“与仅狭义聚焦于争议相关问题的传统取证不同，Rule 2004的范围广泛且不受限制，并被比作钓鱼式调查和审问”）（省略内部引证和标点）；Fed. R. Bankr. P. 2004(b)（授权2004审查的范围“涉及……债务人的……财产……和财务状况，或可能影响债务人遗产管理的任何事项”）（着重号为原文所加）。\n\n18. 受托人有合理理由相信，违约答复人持有与受托人调查相关的记录，包括但不限于与Wang女士持有的、用于为个人债务人或与个人债务人有关的业务开展活动的账户有关的记录。因此，受托人取得了Rule 2004命令，并向违约答复人送达了Rule 2004命令。违约答复人没有理由拖延或拒绝遵守TD Bank传票。因此，本院应强制违约答复人遵守TD Bank传票。\n\n19. 违约被申请人坚持删节王女士的联系信息并不适当，且不能成为不遵从的理由。王女士未在这些案件中出庭（无论通过律师或以其他方式），亦未提交撤销 TD Bank Subpoena 的动议。如受托人此前向法院所告知，受托人曾试图找到王女士并向其送达传票。然而，所有送达尝试均未成功，且王女士的律师表示其未获授权代表王女士接受送达。个人债务人作证称，尽管其据称曾通过亲自递送方式向王女士寄送信件，但其不知道王女士居住在何处。现看来，王女士正坚持删节其联系信息，以进一步阻挠受托人为向其送达传票所作的努力。如违约被申请人认为适当，其可根据保护令的保密条款指定保密材料；但是，违约被申请人不得单方面删节应提供材料。法院应命令 TD Bank 在不作删节的情况下提供材料。\n\nII. 应认定违约被申请人构成民事藐视法庭\n\n20. 《联邦民事诉讼规则》第 45(e) 条规定：“任何人在无充分理由的情况下未遵从向其送达的传票，可被视为藐视签发该传票的法院。”In re Corso, 328 B.R. 375, 385 (E.D.N.Y. 2005) (quoting FRCP 45(e)) (quotations omitted); PaineWebber Inc. v. Acstar Ins. Co., 211 F.R.D. 247, 249 (S.D.N.Y. 2002)（“在一方未对传票提出异议且亦未予遵从的情况下，其可依据第 45[(e)] 条被认定为藐视法庭”）（省略内部引文）。\n\n21. 为认定一方构成民事藐视法庭，“法院仅需（1）已作出明确且无歧义的命令，（2）根据清楚且令人信服的证据认定该命令未被遵从，以及（3）认定被指称的藐视者未能明确证明其无能力遵从该命令的条款。”Huber v. Marine Midland Bank, 51 F.3d 5, 10 (2d Cir. 1995) (citing N.A. Sales Co. v. Chapman Indus. Corp., 736 F.2d 854, 857 (2d Cir. 1984)).\n\n22. 在民事藐视法庭程序中，只要被违反的命令“明确且无歧义、未遵从[该命令]的证据清楚且令人信服，且藐视者未作出合理勤勉的遵从努力”，藐视法庭认定即应予维持。Corso, 328 B.R. at 385 (quoting United States v. Local 1804–1, Int'l Longshoremen's Assn., 44 F.3d 1091, 1096 (2d Cir.1995) (quotations omitted) (alterations in original)).\n\n23. 此外，未在规定期限内对传票作出答复或提出异议的一方，不得在此后提出异议。见 Corso, 328 B.R. at 384-85（“由于[被传唤方]未及时对受托人的传票提出任何异议，或及时提出撤销该传票的动议，[其]已放弃对该传票提出异议的权利。”）。\n\n24. 最后，法院已认定，未对传票作出答复或提出异议的一方可因该等未作为而受到制裁。见 PaineWebber Inc., 211 F.R.D. at 249（“在一方未对传票提出异议且亦未予遵从的情况下，其可依据第 45[(e)] 条被认定为藐视法庭，因此可施加制裁。”）（省略内部引文，且原文强调）；Corso, 328 B.R. at 385-86（维持破产法院对未作出“任何努力”遵从第 2004 条传票的一方所施加的制裁）。具体而言，在第二巡回区，法院在一方未遵从传票时已裁定支付律师费。见 Gucci Am., Inc. v. Li, No. 10-CV-4974 (RJS), 2015 WL 7758872, at \\*4 (S.D.N.Y. Nov. 30, 2015)（“本巡回区的法院已在一方当事人或非当事人故意未遵从传票时裁定支付律师费。”）。\n\n25. 本案中，已送达附于 TD Bank Subpoena 的文件请求；并且，尽管违约被申请人知悉 TD Bank Subpoena，其未送达 R&O，亦未遵从 TD Bank Subpoena，并持续无视遵从期限及其自身关于将提供材料的承诺。见 id.（在传票送达明确且无歧义且未作出任何遵从努力的情况下，维持破产法院的藐视法庭命令）。\n\n26. 因此，法院应作出命令：（i）认定违约被申请人构成民事藐视法庭；（ii）禁止违约被申请人就 TD Bank Subpoena 提出任何异议；以及（iii）命令违约被申请人支付与本动议有关的受托人律师费。\n\n此前未提出请求\n\n27. 受托人此前未向本法院或任何其他法院寻求本文件所请求的救济。\n\n律师证明\n\n28. 如上文及随附提交的 Patrick R. Linsey（帕特里克·R·林赛）声明所述，受托人的律师已本着诚信与违约被申请人进行了协商，试图获得材料，但未获成功。\n\n[本页其余部分特意留白]\n\n因此，基于上述理由，受托人谨请求法院作出拟议命令，准予本强制动议所请求的救济，以及法院认为公正和适当的其他救济。\n\n日期：March 8, 2023 LUC A. DESPINS（吕克·A·德斯潘），\n\nNew Haven, Connecticut CHAPTER 11 TRUSTEE（第 11 章受托人）\n\n签署人：/s/ Patrick R. Linsey\nPatrick R. Linsey（帕特里克·R·林赛）(ct29437)\nNEUBERT, PEPE & MONTEITH, P.C.（纽伯特、佩佩及蒙蒂思专业公司）\n195 Church Street, 13th Floor\nNew Haven, Connecticut 06510\n(203) 781-2847\nplinsey@npmlaw.com\n\nUNITED STATES BANKRUPTCY COURT（美国破产法院）\nDISTRICT OF CONNECTICUT（康涅狄格地区）\nBRIDGEPORT DIVISION（布里奇波特分院）\n\nx\n\n关于： :\n: 第 11 章\n\nHO WAN KWOK（郭文贵），\n等， :\n:\n: 案号：22-50073 (JAM)\n债务人。 :\n: （合并管理）\n----------------------------------------------------------- x\n\n支持第 11 章受托人提出命令 JPMORGAN CHASE BANK N.A.（摩根大通银行，全国协会）遵从第 2004 条传票之动议的 PATRICK R. LINSEY（帕特里克·R·林赛）声明\n\n本人，Patrick R. Linsey（帕特里克·R·林赛），声明：\n\n1. 本人是在 Connecticut（康涅狄格州）获准执业的律师，系 Neubert, Pepe & Monteith, P.C.（纽伯特、佩佩及蒙蒂思专业公司）律师事务所的助理律师，并担任 Luc A. Despins（吕克·A·德斯潘）作为第 11 章受托人（“受托人”）的律师。本人谨提交本声明，以支持第 11 章受托人提出命令 JPMorgan Chase Bank N.A.（摩根大通银行，全国协会）遵从第 2004 条传票之动议（“本动议”）。\n\n2. 受托人的律师已通过电话与 TD Bank, N.A.（道明银行，全国协会）（“违约被申请人”）的律师进行协商，包括于 January 9, 2023（与内部法律顾问）及于 January 23, 2023（与外部律师）进行协商。\n\n2 本第 11 章案件中的债务人为 Ho Wan Kwok（郭文贵）（又名 Guo Wengui、Miles Guo 和 Miles Kwok，以及众多其他别名）（税务识别号码后四位：9595）、Genever Holdings LLC（税务识别号码后四位：8202）及 Genever Holdings Corporation。受托人、Genever Holdings LLC 及 Genever Holdings Corporation 的邮寄地址为 Paul Hastings LLP（保尔·哈斯廷斯律师事务所），200 Park Avenue, New York, NY 10166，转交 Luc A. Despins（吕克·A·德斯潘），作为 Ho Wan Kwok（郭文贵）财产的受托人（仅为通知和通信之目的）。\n\n3. 受托人的律师亦多次通过电子邮件要求违约被申请人遵从受托人的传票。截至目前，违约被申请人尚未遵从受托人的传票。\n\n4. 受托人的律师于 March 7, 2023 致电违约被申请人的律师，但该电话未被立即回电。违约被申请人的律师表示，其在 March 8, 2023 之前无法通话，并通过电子邮件表示，受托人不应预期本周会提供材料。\n\n5. 在就受托人动议举行听证会之前，受托人的律师随时可以与违约被申请人的律师通话。\n\n根据 28 U.S.C. § 1746，基于本人所知、所获信息及相信，并经合理调查后，本人声明，如有伪证，愿受处罚；上述内容真实且正确。\n\n日期：March 8, 2023\n\nNew Haven, Connecticut 谨此提交，\n\n签署人：\n\nPatrick R. Linsey（帕特里克·R·林赛）(ct29437)\nNEUBERT, PEPE & MONTEITH, P.C.（纽伯特、佩佩及蒙蒂思专业公司）\n195 Church Street, 13th Floor\nNew Haven, Connecticut 06510\n(203) 781-2847\nplinsey@npmlaw.com\n\nUNITED STATES BANKRUPTCY COURT（美国破产法院）\nDISTRICT OF CONNECTICUT（康涅狄格地区）\nBRIDGEPORT DIVISION（布里奇波特分院）\n\nx\n\n关于： :\n: 第 11 章\n\nHO WAN KWOK（郭文贵），\n等， :\n:\n: 案号：22-50073 (JAM)\n债务人。 :\n: （合并管理）\n----------------------------------------------------------- x\n\n[拟议] 命令 TD BANK, N.A.（道明银行，全国协会）遵从第 2004 条传票并裁定制裁\n\n经审议本动议，该动议请求作出命令，强制 JPMorgan Chase Bank N.A.（摩根大通银行，全国协会）（“违约被申请人”）遵从法院于 December 2, 2022 作出的准许第二次补充综合第 2004 条审查动议的命令（ECF No. 1184，即“第 2004 条命令”），以及受托人依据第 2004 条命令向违约被申请人签发的传票（“TD Bank Subpoena”）；经通知及听证后，见 11 U.S.C. § 102(1)，现认定有理由按下文所载条件准予所请求的救济；特此\n\n命令：本动议按下文规定获准。\n\n命令：违约被申请人应于本命令作出后十四（14）日内检索并提供所有对 TD Bank Subpoena 有响应性的文件。\n\n命令：于本命令作出后十四（14）日内，如违约被申请人仍未对 TD Bank Subpoena 作出回应，则违约被申请人应构成民事藐视法庭，不得就该等传票提出任何异议，并应支付与本动议有关的受托人律师费。\n\n日期：\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_, 2023\n\nJulie A. Manning（朱莉·A·曼宁），美国破产法官\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n1 本第 11 章案件中的债务人为 Ho Wan Kwok（郭文贵）（又名 Guo Wengui、Miles Guo 和 Miles Kwok，以及众多其他别名）（税务识别号码后四位：9595）、Genever Holdings LLC（税务识别号码后四位：8202）及 Genever Holdings Corporation。受托人、Genever Holdings LLC 及 Genever Holdings Corporation 的邮寄地址为 Paul Hastings LLP（保尔·哈斯廷斯律师事务所），200 Park Avenue, New York, NY 10166，转交 Luc A. Despins（吕克·A·德斯潘），作为 Ho Wan Kwok（郭文贵）财产的受托人（仅为通知和通信之目的）。\n\n附件 A\n\nB2540（表格 2540－第 2004 条审查传票）（12/15）案号 22-50073 文件 1521 提交日期 03/08/23 登记日期 03/08/23 11:52:26 第 15 页，共 31 页\n\nUNITED STATES BANKRUPTCY COURT（美国破产法院）\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ Connecticut（康涅狄格州）地区 \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n关于 \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n案号 \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ Ho Wan Kwok（郭文贵）22-50073\n\n债务人\n\n第 \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ 11 章\n\n第 2004 条审查传票\n\n致：\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ TD Bank, N.A.（道明银行，全国协会）\n\n（传票指向的人员名称）\n\n证言：兹命令你于下列规定的时间、日期和地点出席，并依《联邦破产程序规则》第 2004 条在审查中作证。随附授权该审查的法院命令副本。■\n\n地点\nNeubert, Pepe & Monteith, P.C.（纽伯特、佩佩及蒙蒂思专业公司） 日期和时间\n\n195 Church Street 01/17/23 10:00\n上午\nNew Haven, Connecticut 06510\n\n本次审查将通过以下方式记录：_______________________________________________________________ 法庭记录员/速记员\n\n提交：您或您的代表还必须在审查时携带以下文件、电子存储信息或物品，并必须允许对该等材料进行查验、复制、测试或抽样：■\n见随附的文件提交请求。\n\n以下《联邦民事诉讼规则》（Fed. R. Civ. P. 45）的规定，根据《联邦破产程序规则》（Fed. R. Bankr. P. 9016）适用于破产案件，现随附于后——Rule 45(c)，关于履行地点；Rule 45(d)，关于作为受传票约束之人的保护；以及 Rule 45(e) 和 45(g)，关于您对本传票作出回应的义务及未作出回应的潜在后果。\n\n日期：__________________ December 6, 2022\n\n法院书记官\n\n或\n\n书记官或副书记官签名 ________________________\n律师签名\n\n代表（当事人姓名）____________________________并签发或请求本传票的律师姓名、地址、电子邮件地址及电话号码如下：Luc Despins（卢克·德斯潘），第 11 章受托人；Douglas S. Skalka, Esq.（道格拉斯·S·斯卡尔卡律师）；Neubert, Pepe & Monteith, P.C.（纽伯特、佩佩及蒙蒂斯专业公司）；195 Church Street, New Haven, Connecticut 06510；dskalka@npmlaw.com；(203) 821-2000\n\n向签发或请求本传票之人的通知\n\n如本传票命令在审判前提交文件、电子存储信息或有形物品，或者检查场所，则必须在向本传票指向之人送达之前，向各方送达通知及本传票副本。Fed. R. Civ. P. 45(a)(4)。\n\n文件提交请求\n\nI. 指示\n\n1. 除非另有说明，以下所列文件请求（以下简称“请求”，每项称为“一项请求”）必须分别且具体地作出回应。除非基于善意提出异议，否则必须完整答复每项请求；如提出异议，则应按照下文规定详细说明您异议的理由。如异议仅涉及某项请求的一部分，或其中所含的某一词语、短语或条款，您仅须说明对该部分的异议，并答复请求的其余部分。\n\n2. 电子存储信息必须按照以下指示提交：\n\na. 图像。黑白图像必须为 300 DPI Group IV 单页 TIFF 文件。彩色图像必须以 JPEG 格式提交。文件名不得包含嵌入空格或特殊字符（包括逗号）。文件夹名称不得包含嵌入空格或特殊字符（包括逗号）。所有 TIFF 图像文件必须具有唯一文件名，即 Bates 编号。每一图像的右下角必须标注连续的 Bates 编号。每个文件夹中的 TIFF 文件不得超过 1000 个。Excel 电子表格应具有以该文件的 Bates 编号命名的占位图像。\n\nb. 图像加载文件\n\na. Concordance® 数据文件。数据文件（.DAT）包含将被加载到 Concordance® 数据库的全部字段信息。.DAT 文件的第一行必须为标识字段名称的标题行。.DAT 文件必须使用以下 Concordance® 默认分隔符：逗号 ASCII 字符（020）；引号 þ ASCII 字符（254）。日期字段应采用以下格式：mm/dd/yyyy。日期和时间字段必须为两个独立字段。如文件包括已成像的电子邮件及附件，必须包括附件字段，以保留电子邮件与其附件之间的父/子关系。必须包括 OCRPATH 字段，以提供所提交存储介质上提取文本文件的文件路径和名称。文本文件必须以 FIRSTBATES 命名。不得在 .DAT 文件中包含文本。对于含有原生文件的文件，必须包括 LINK 字段，以提供原生文件的文件路径和\n\n名称。原生文件必须以 FIRSTBATES 命名。\n\nb. Concordance Image® 或 Opticon 交叉引用文件。图像交叉引用文件（.LOG 或 .OPT）将图像链接至数据库记录。其应为逗号分隔文件，每行由七个字段组成；数据库中的每个图像均应在交叉引用文件中有一行，格式如下：ImageID,VolumeLabel,ImageFilePath,DocumentBreak,FolderBreak,Box Break,PageCoun。\n\nc. 文件文本。文本必须作为独立文本文件提交，而非作为 .DAT 文件内的字段提交。至文本文件的完整路径（OCRPATH）应包含在 .DAT 文件中。建议使用文件级 ANSI 文本文件，并按 FIRSTBATES/Image Key 命名。提取的文本文件必须置于单独的文件夹中，每个文件夹中的文本文件不得超过 1,000 个。文件夹名称中不得有特殊字符（包括逗号）。文本文件必须按文件级别提供。\n\nd. 特定文件类型的原生提交。为全面理解其内容及含义而合理需要以原生格式查看的文件类型，必须以原生格式提交。这些包括但不限于电子表格、类电子表格文件（Microsoft Excel、逗号分隔值、制表符分隔值等）、Microsoft PowerPoint 或其他特殊演示文件、数据库文件以及音频/视频文件。应提供一张标有 Bates 编号的分隔页图像，注明原生文件的存在，并在 .dat 文件中作为字段包含原生文件的路径。提交的原生文件应以与该文件分隔页相对应的 Bates 编号命名。原生文件应归入以递增方式命名的“NATIVE”目录，并与图像目录分开。\n\ne. 去重。对于存在完全重复件的每份电子文件，仅提交一份副本。对于电子邮件，应根据由 BCC、Body、CC、From、IntMsgID、To 和 Attach 属性生成的 MD5 哈希值合并重复件。对于电子邮件附件和独立电子文件，应根据整个文件的 MD5 哈希值合并重复件。\n\nf. 元数据。应以符合 Concordance 要求的加载文件（.dat）形式提交每份文件的提取元数据。.DAT 文件的第一行必须为标识字段名称的标题行。.DAT 文件必须使用以下 Concordance 默认分隔符：逗号 , ASCII 字符（020）；引号 þ ASCII 字符（254）。\n\n日期字段应采用以下格式：mm/dd/yyyy。日期和时间字段必须为两个独立字段。所要求的元数据如下：\n\n字段名称 示例数据 说明\n\nFIRSTBATES EDC0000001 原生文件文件/电子邮件的第一个 Bates 编号\n\nLASTBATES EDC0000001 原生文件文件/电子邮件的最后一个 Bates 编号\nLASTBATES 字段应针对单页填写。\n\nATTACHRANGE EDC0000001\n- 父文件第一页的 Bates 编号至\nEDC0000015 最后一份附件“子”文件最后一页的 Bates 编号\n\nBEGATTACH EDC0000001 附件范围的第一个 Bates 编号\n\nENDATTACH EDC0000015 附件范围的最后一个 Bates 编号\n\nCUSTODIAN Smith, John 电子邮件：该电子邮件所在的邮箱\n原生文件：文件源自其文件的个人或部门名称\n\nFROM John Smith 电子邮件：发件人\n原生文件：文件作者\n多个条目应使用分号分隔。\n\nTO Coffman, Janice; LeeW 收件人\n[mailto:LeeW@MSN.com] 多个条目应使用分号分隔。\n\nCC Frank Thompson [mailto: 抄送收件人\nfrank_Thompson@cdt.com] 多个条目应使用分号分隔。\n\nBCC John Cain 密送收件人\n多个条目应使用分号分隔。\n\nSUBJECT Board Meeting Minutes 电子邮件：电子邮件的主题行；原生文件：文件标题\n（如有）\n\nFILE_NAME BoardMeetingMinutes.docx 原生文件：原始原生文件的名称，\n包括扩展名\n\nDATE_SENT 10/12/2010 电子邮件：电子邮件发送日期\n原生文件：（空）\n\nTIME_SENT/\nTIME_ZONE 07:05 PM GMT 电子邮件：电子邮件发送时间/电子邮件标准化所采用的时区\n\nTIME_ZONE GMT 在转换期间电子邮件被标准化所采用的\n时区。\n\nLINK >EDC0000001.msg 至电子邮件或原生文件文件的超链接\n所链接的文件必须按 FIRSTBATES 编号命名。\n\nFILE_EXTEN MSG 代表电子邮件或文件的文件类型\n扩展名\n\nAUTHOR John Smith 电子邮件：（空）\n原生文件：文件作者\n\nDATE_CREATED 10/10/2010 电子邮件：（空）\n原生文件：文件创建日期\n\nTIME_CREATED 10:25 AM 电子邮件：（空）\n原生文件：文件创建时间\n该数据必须为独立字段，不得与 DATE_CREATED 字段合并。\n\nDATE_MOD 10/12/2010 电子邮件：（空）\n原生文件：文件最后修改日期\n\nTIME_MOD 07:00 PM 电子邮件：（空）\n原生文件：文件最后修改时间\n该数据必须为独立字段，不得与 DATE_MOD 字段合并。\n\nDATE_ACCESSD 10/12/2010 电子邮件：（空）\n原生文件：文件最后访问日期\n\nTIME_ACCESSD 07:00 PM 电子邮件：（空）\n原生文件：文件最后访问时间\n该数据必须为独立字段，不得与 DATE_ACCESSD 字段合并。\n\nFILE_SIZE 5,952 原生文件文件/电子邮件的大小，以 KB 计\n\nPGCOUNT 1 原生文件文件/电子邮件的页数\n\nPATH 电子邮件：（空）\nAgenda.doc 原生文件：存储原生文件文件的路径，\n包括原始文件名。\n\nINTFILEPATH Personal Folders\\Deleted 电子邮件：电子邮件的原始位置，包括\nItems\\Board Meeting 原始文件名。\nMinutes.msg 原生文件：（空）\n\nINTMSGID <000805c2c71b\\$75977050\\$ 电子邮件：唯一消息 ID；原生文件：（空）\ncb8306d1@MSN>\n\nMD5HASH d131dd02c5e6eec4693d9a0 文件的 MD5 哈希值。\n698aff95c\n2fcab58712467eab4004583e\nb8fb7f89\n\nOCRPATH TEXT/001/EDC0000001.txt 原生文件提取文本的路径\n\n3. 每项请求均独立运作并应独立解释；除非另有说明，任何一项请求均不限制其他任何请求的范围。\n\n4. 所有文件均应按其在通常业务过程中的保管方式提交，或者应予组织和标识，以对应于这些请求中的类别。\n\n5. 本文所载每项请求均延及所有文件：(a) 由您占有、保管或控制的文件；或 (b) 由代表您行事的任何人占有、保管或控制的文件，包括您的律师或其他代表及顾问。每份文件均应完整提交。\n\n6. 如要求您提交一份已不再由您占有、保管或控制的文件，则您的答复必须：(a) 详细说明该文件的性质及其内容；(b) 指明制作或撰写该文件之人的身份（以及，如适用，向其发送该文件之人的身份）；(c) 指明该文件制作或创建的日期；(d) 说明该文件是否：(i) 缺失或遗失，(ii) 已被销毁，(iii) 已自愿或非自愿地转移给他人，或 (iv) 以其他方式被处置；(e) 说明该等处置的原因及相关事实和情况；(f) 指明授权该等处置之人的身份；(g) 指明该等处置的日期或大致日期；(h) 说明该文件最近一次由您占有、保管或控制的时间；以及 (i) 指明目前占有、保管或控制该文件之人的身份（如有）。\n\n7. 如要求您提交一份已被销毁的文件，则除前述指示所要求的信息外，您的答复还必须说明：(a) 销毁该文件的原因；(b) 销毁该文件之人的身份；以及 (c) 指示销毁该文件之人的身份。\n\n8. 如贵方主张某一被要求提供的文件享有特权或属于律师工作成果，则贵方的答复必须：(a) 陈述：(i) 对该文件作出足以支持贵方关于该文件享有特权之主张的说明，(ii) 该文件的标题，(iii) 该文件的日期，(iv) 该文件的作者，(v) 该文件的收件人，(vi) 收到或阅览该文件原件或任何草稿、副本或复制件的每一人员的身份，(vii) 该文件本身，或该文件所载或所提及的任何信息，是否由任何其他人员占有、保管或控制；如是，则该等人员的身份，以及说明该等信息如何进入其占有范围的陈述，(viii) 据以扣留该文件的特权主张，以及 (ix) 贵方将据以支持该等特权主张的所有情形；以及 (b) 就基于特权主张而被扣留的每一文件，依照 D. Conn. L. Civ. R. 26(e)，制作一份载有本指示第 (a) 部分所要求全部信息的特权清单。对于文件请求中未就其提出特权或工作成果主张的任何部分，应完整提供相应文件。\n\n9. 如一份原本应予提供的文件的一部分含有受特权主张约束的信息，则仅应依照上述指示从该文件中删除或涂黑受该特权主张约束的部分，其余部分应予提供。\n\n10. 该等请求具有持续性。兹指示贵方：(a) 在得知先前答复不完整或不正确后，立即补充或更正任何后来发现不完整或不正确的答复；以及 (b) 提供根据下列规定所要求的任何额外文件\n\n11. 如文件使用英语以外的语言，贵方应提供该文件。如文件使用英语以外的语言，且存在英文译文，贵方应同时提供两份文件。\n\n12. 对实体的所有提及均包括其所有关联方。\n\n13. 对个人姓名的所有提及均包括所有替代姓名、别名或昵称。\n\n14. 除非另有明确说明，文件请求所涵盖的期间为自 February 5, 2012 起至文件请求答复到期之日止。\nII. 解释规则\n\n15. (a) 任何单数名词的使用应解释为包括复数，反之亦然；以及 (b) 任何时态动词的使用应解释为包括该动词所有其他时态的使用。\n\n16. (a) “and”和“or”应视需要解释为连词关系或选择关系，以将原本可能被解释为不在任何请求范围内的所有答复纳入该请求范围内；以及 (b) “each”和“any”应视为包括并涵盖“every”和“all”二词。\nIII. 定义\n\n由 D. Conn. L. Civ. R. 26(c) 提供的定义及由 D. Conn. L. Civ. R. 26(d) 提供的解释规则，经 D. Conn. Bankr. L.R. 2004-1(a) 纳入后，适用于该等文件请求。此外，本文件请求中使用的下列术语具有下列含义：\n\n1. “You”或“Your”或“Yourself”系指 TD Bank, N.A.（道明银行，美国全国协会）。\n\n2. “Debtor”系指 Ho Wan Kwok（郭文贵）（又名 Miles Kwok（郭文贵）、Miles Guo（郭文贵）、Guo Wengui（郭文贵）、Guo Haoyun（郭浩云）、郭文贵或任何其他别名），以及其雇员、代理人、律师、顾问或任何代表其行事之人。\n\n3. “Debtor's Son”系指 Qiang Guo（郭强）（又名 Mileson Kwok（郭强）、郭强或任何其他别名），以及其雇员、代理人、律师、顾问或任何代表其行事之人。\n\n4. “Debtor's Daughter”系指 Mei Guo（郭美）（又名 Mei Gui（郭美）、郭美或任何其他别名），以及其雇员、代理人、律师、顾问或任何代表其行事之人。\n\n5. “Debtor's Purported Wife”系指 Hing Chi Ngok（岳庆芝）（又名 Hing Chi Ng（岳庆芝）、Yue Qingzhi（岳庆芝）、岳庆芝或任何其他别名），以及其雇员、代理人、律师、顾问或任何代表其行事之人。\n\n6. “Debtor's Family”系指，就个别及整体而言，债务人、债务人之子、债务人之女及债务人所谓的妻子，以及与债务人存在任何其他亲属关系之人。\n\n7. “2004 Discovery Targets”系指，就个别及整体而言，债务人、债务人家庭、ACA Capital Group Limited（ACA资本集团有限公司）、Himalaya International Financial Group Ltd.（喜马拉雅国际金融集团有限公司）、Himalaya International Clearing Ltd.（喜马拉雅国际清算有限公司）、Himalaya International Payments Ltd.（喜马拉雅国际支付有限公司）、Himalaya International Reserves Ltd.（喜马拉雅国际储备有限公司）、Jesse Brown（杰西·布朗）、William Je（余建明）、William Je（余建明）、Eastern Profit Corporation Limited（东方利润有限公司）、HK International Funds Investments (USA) Limited LLC（香港国际基金投资〈美国〉有限责任公司）、Bravo Luck Limited（好运有限公司）、Golden Spring (New York) Ltd.（金泉〈纽约〉有限公司）、Lamp Capital LLC（灯资本有限责任公司）、Greenwich Land LLC（格林威治地产有限责任公司）、Qu Guo Jiao（屈国姣）、Daniel Thomas Podhaskie（丹尼尔·托马斯·波德哈斯基）、Yvette Wang（王雁平）、Ace Decade Holdings Limited（王牌十年控股有限公司）、Dawn State Limited（曙光州有限公司）、Rule of Law Society IV Inc.（法治协会IV公司）、Rule of Law Foundation III（法治基金会III）、GTV Media Group, Inc.（GTV媒体集团公司）、Voice of Guo Media, Inc.（郭媒体之声公司）及 Saraca Media Group Inc.（萨拉卡媒体集团公司）。\n\n8. “Associated Individuals”系指，就个别及整体而言，所有以下个人：(1) 持有、控制、保管债务人或债务人家庭拥有、控制或享有的资产，或对该等资产拥有自由裁量权；或 (2) 曾为一个或多个关联实体的雇员、董事，或以其他方式与一个或多个关联实体有关联；以及前述任何人的各自雇员、代理人、律师、顾问或任何代表其行事之人。该等关联个人包括但不限于：Daniel Podhaskie（丹尼尔·波德哈斯基）、Jason Miller（杰森·米勒）、Jesse Brown（杰西·布朗）、William Je（余建明）、Steve Bannon（史蒂夫·班农）、Karin Maistrello（卡琳·迈斯特雷洛）、Melissa Francis（梅丽莎·弗朗西斯）、William Gertz（威廉·格茨）、Arethusa Forsyth（阿瑞修莎·福赛斯）、Glenn Mellor（格伦·梅勒）、Jennifer Mercurio（詹妮弗·默丘里奥）、Eduardo Eurnekian（爱德华多·欧尔内基安）、Han Chunguang（韩春光）（又名 韩春光）、Qu Guojiao（屈国姣）（又名 Qu Guo Jiao（屈国姣）、屈国姣）、Guo Lijie（郭丽杰）（又名 郭丽杰）、Zhang Wei（张伟）（又名 张伟*）、Lihong Wei Lafrenz（魏丽红）（又名 Sara Wei（魏丽红）、魏丽红）、Hao Haidong（郝海东）（又名 郝海东）、Ross Heinemeyer（罗斯·海内迈耶）、Max Krasner（马克斯·克拉斯纳）、Kyle Bass（凯尔·巴斯）、Melissa Mendez（梅丽莎·门德斯）、Ya Li（李娅）（又名 李娅）、Dinggang Wang（王定刚）（又名 王定刚）、An Hong（安红）（又名 安红）、Yvette Wang（王雁平）（又名 Yanping Wang（王雁平）、Yan Ping Wang（王雁平）、王雁平）、Fiona Yu（菲奥娜·余）、Je Kin Ming（余建明）（又名 William Je（余建明）、Yu Jianming（余建明）、余建明）、Yaz Qingua（亚兹·青瓜）及 Lao Jiang（姜云浮）（又名 Jiang Yunfu（姜云浮）、Jiang Yunfu Be（姜云浮）、姜云浮）。\n\n9. “Associated Entities”系指，就个别及整体而言，任何类型的所有组织或实体：(1) 曾由债务人或债务人家庭拥有、控制或投资；或 (2) 对债务人或债务人家庭拥有、控制或享有的任何资产直接或间接拥有权益；以及前述任何人的各自雇员、代理人、律师、顾问或任何代表其行事之人。该等关联实体包括但不限于：7 Nod Hill LLC（七诺德山有限责任公司）、AAGV Limited（AAGV有限公司）、ACA Investment Management Limited（ACA投资管理有限公司）、ACA Capital Group Limited（ACA资本集团有限公司）、Ace Decade Holdings Limited（王牌十年控股有限公司）、AI Group Holdings Inc.（AI集团控股公司）、Alfa Global Ventures Limited（阿尔法环球风险投资有限公司）、Alfonso Global Limited（阿方索环球有限公司）、Allied Capital Global Limited（联合资本环球有限公司）、Alpine Fiduciaries SA（阿尔卑斯信托股份公司）、Anton Development Limited（安东开发有限公司）、Assets Sino Limited（中资资产有限公司）、Auspicious Coast Limited（吉祥海岸有限公司）、Beijing Pangu Investment Co.（北京盘古投资公司）、Beijing Pangu Investment Co. Ltd.（北京盘古投资有限公司）、Beijing Pangu Investment Inc.（北京盘古投资股份公司）、Beijing Zenith Holdings Company Limited（北京泽尼思控股有限公司）、Bravo Luck Limited（好运有限公司）、BSA Strategic Fund I（BSA战略基金I）、China Golden Spring (Hong Kong) Limited（中国金泉〈香港〉有限公司）、Chuang Xin Limited（创新有限公司）、Crane Advisory Group LLC（克兰咨询集团有限责任公司）、Creative Apex Investments Limited（创意顶峰投资有限公司）、Crystal Breeze Investments Limited（水晶微风投资有限公司）、Dawn State Limited（曙光州有限公司）、Eastern Profit Corporation Limited（东方利润有限公司）、Elite Well Global Limited（精英环球有限公司）、Empire Growth Holdings（帝国增长控股）、G Club Operations LLC（G俱乐部运营有限责任公司）、G Fashion LLC（G时尚有限责任公司）、G News LLC（G新闻有限责任公司）、GETTR USA（GETTR美国）、Genever Holdings Corporation（吉尼弗控股公司）、Genever Holdings LLC（吉尼弗控股有限责任公司）、GFASHION MEDIA GROUP INC.（GFASHION媒体集团公司）、GFNY, Inc.（GFNY公司）、Globalist International Limited（环球主义者国际有限公司）、GNews Media Group Inc.（GNews媒体集团公司）、Golden Spring (New York) Ltd.（金泉〈纽约〉有限公司）、Greenwich Land LLC（格林威治地产有限责任公司）、Guo Media（郭媒体）、GTV Media Group, Inc.（GTV媒体集团公司）、Hamilton Capital Holdings Inc.（汉密尔顿资本控股公司）、Head Win Group Limited（领先胜利集团有限公司）、Henan Yuda（河南裕达）、Himalaya Embassy（喜马拉雅大使馆）、Himalaya Exchange（喜马拉雅交易所）、Himalaya Federal Reserve（喜马拉雅联邦储备）、Himalaya International Financial Group Ltd.（喜马拉雅国际金融集团有限公司）、Himalaya International Clearing Ltd.（喜马拉雅国际清算有限公司）、Himalaya International Payments Ltd.（喜马拉雅国际支付有限公司）、Himalaya International Reserves Ltd.（喜马拉雅国际储备有限公司）、Himalaya Supervisory Organization（喜马拉雅监督组织）、HK International Funds Investments (USA) Limited LLC（香港国际基金投资〈美国〉有限责任公司）、Hong Kong International Funds Investments Limited（香港国际基金投资有限公司）、Hudson Diamond NY LLC（哈德逊钻石纽约有限责任公司）、Infinite Increase Limited（无限增长有限公司）、Infinitum Developments Limited（无限开发有限公司）、Insight Phoenix Fund（洞察凤凰基金）、Lamp Capital LLC（灯资本有限责任公司）、Leading Shine Limited（领先光辉有限公司）、Leading Shine NY Limited（领先光辉纽约有限公司）、Long Gate Limited（长龙门有限公司）、Next Tycoon Investments Limited（下一大亨投资有限公司）、New Federal State of China（中国新联邦国）（又名 NFSC）、Noble Fame Global Limited（高贵名誉环球有限公司）、Rosy Acme Ventures Limited（玫瑰顶峰风险投资有限公司）、Rule of Law Foundation III, Inc.（法治基金会III公司）、Rule of Law Foundation IV, Inc.（法治基金会IV公司）、Rule of Law Fund（法治基金）、Rule of Law Society（法治协会）、Rule of Law Society IV, Inc.（法治协会IV公司）、G-Translators PTY LTD（G-译者有限公司）、Saraca Media Group, Inc.（萨拉卡媒体集团公司）、Shiny Ace Ltd.（闪耀王牌有限公司）、Shiny Times Holdings Ltd.（闪耀时代控股有限公司）、Spirit Charter Investment Limited（精神宪章投资有限公司）、Stevenson, Wong & Co.（史蒂文森、黄及公司）、TM Primrose Limited（TM报春花有限公司）、Voice of Guo Media, Inc.（郭媒体之声公司）、Well Origin Ltd.（良好起源有限公司）、World Century Limited（世界世纪有限公司）、Worldwide Opportunity Holdings Limited（全球机会控股有限公司）、Whitecroft Shore Limited（怀特克罗夫特海岸有限公司）及 ZIBA Limited（ZIBA有限公司）。\n\n10. “Including”或其任何变体意为“包括但不限于”。\n\n11. “And”和“or”意为“and/or”，并应同时解释为连词关系及选择关系，以最大限度扩大其范围。\n\n12. “Any”、“all”和“each”意为“每一及全部”。\n\n13. “Each”和“every”意为“每一及全部”。\n\n14. “Third Party”系指贵方以外的人员或实体。\n\n15. “Transfer”具有《破产法典》第 101(54) 条赋予该术语的含义。\n\n16. “Document”系指属于 Fed. R. Civ. P. 34 范围内的任何信息或物品，并包括但不限于，现由或曾由贵方占有、保管或控制的任何种类、类型、性质或描述的每一及全部书面、记录或图形资料，包括电子邮件的所有印刷和电子副本、以电子形式保存的计算机文件、通信函件、备忘录、磁带、速记或手写笔记、任何种类的书面表格、图表、蓝图、绘图、草图、曲线图、计划、文章、规格说明、日记、信函、电报、照片、会议记录、合同、协议、调查、计算机打印件、任何种类的数据汇编、电传、传真、电子邮件、短信、即时消息、语音留言、发票、订单表、支票、汇票、对账单、贷项通知单、报告、持仓报告、摘要、索引、书籍、分类账、笔记本、明细表、透明胶片、录音、目录、广告、宣传材料、电影、录像带、录音带、CD、计算机磁盘、宣传册、小册子、穿孔卡、工时单、推文、社交媒体帖子或任何其他种类的书面或记录材料，以及其所有元数据；无论以何种方式存储（无论为有形或电子形式）、记录、制作或复制；亦包括但不限于前述任何资料的草稿或副本，如其中载有原始文件中不存在的任何种类笔记、评论或标记，或以其他方式与原始文件不相同。\n\n17. “Person(s)”系指个人、公司、独资企业、合伙企业、协会或任何其他实体。“Person”亦包括任何代理人、代表或专家，包括但不限于律师或财务顾问。\n\n18. “Entity”系指任何自然人、公司、合伙企业、子公司、独资企业、商号、董事会、合资企业、协会、机构、主管机关、委员会或其他商业实体或法人，以及任何关联方、代理人、母公司，包括但不限于律师、财务顾问或任何其他代表。\n\n19. “关于”系指涉及、描述、包含、提及、与之相关、支持、倾向于、反对、加强、削弱、位于、结合考虑、影响、证明、表明、报告、记录、暗指、回应、与之连接、评论、就……而言、关于、与……有关、讨论、显示、描述、反映、分析、构成及是。\n\n20. “与……有关”、“涉及”或“相关”，在指称任何特定事项时，系指但不限于构成、包含、涉及、含有、体现、反映、识别、陈述、直接或间接提及，或以任何方式与所识别的特定事项相关的任何文件。\n\n21. “通信”系指，以最广义且不限于此，任何信息或知识的传递（以事实、观点、询问或其他形式）。通信还指所有谈话、协议、询问或答复，无论是当面、通过电话、书面形式，还是通过电子传输设备，并且包括但不限于所有信函、电子邮件、录音、传送单、备忘录、电话通信、语音留言、电报、传真、电传副本、电传、即时消息、聊天、短信、留言板或群聊中的帖子、社交媒体帖子、推文、上传至任何视频平台的视频、电话记录，或在内部或与第三方之间传送的记录。\n\n22. “资产”系指受占有、保管或控制的任何具有经济价值的项目。资产包括所有不动产和动产，包括但不限于房地产、土地、房屋、公寓、共管公寓、汽车、游艇、船舶、飞机、喷气机、直升机、现金、银行账户、加密货币、证券、应收账款、存货以及其他有形和无形财产。\n\nIV. 应提交的文件\n\n1. 与任何由任何 2004 年取证对象持有、控制、代表其持有或以其他方式与其相关的账户有关的所有文件，包括任何及所有账户对账单、授权书、委托书、信托文件、指令或表格、已注销支票副本、通信记录，以及电汇及相关通信和指令。\n\n2. 与任何属于任何 2004 年取证对象、由其持有、控制、代表其持有或以其他方式与其相关的资金、证券、财产或资产有关的所有文件，包括任何及所有账户对账单、授权书、委托书、信托文件、指令或表格、已注销支票副本、通信记录，以及电汇及相关通信和指令。\n\n3. 与同任何 2004 年取证对象进行的任何商业、贸易或金融交易有关的所有文件，包括但不限于任何贷款、信用额度、寄托、存款、掉期、证券交易、抵押贷款或 ISDA，以及任何及所有账户对账单、授权书、委托书、信托文件、指令或表格、已注销支票副本、通信记录，以及电汇及相关通信和指令。\n\n4. 与涉及 2004 年取证对象的任何电汇活动有关的所有文件，无论是否存在任何账户，包括但不限于所有电汇收据、账户号码、余额、授权书、与转账各方有关的身份识别信息、通信记录、指令或其他记录。\n\n5. 与您与 2004 年取证对象之间的任何信函和通信有关的所有文件。\n\n6. 与任何 2004 年取证对象开立账户、账户获授权使用人及账户维护有关的任何账户的所有文件。\n\n7. 与涉及任何 2004 年取证对象的任何反洗钱、了解你的客户或其他合规活动有关的所有文件，包括但不限于任何 2004 年取证对象提供的任何信息，或您获悉的任何信息。\n\n8. 与就任何 2004 年取证对象而与任何国家的任何监管机构进行的任何通信有关的所有文件，包括但不限于 Bank of England（英格兰银行）、United States Federal Reserve（美国联邦储备系统）、S.E.C.（美国证券交易委员会）、CFTC（美国商品期货交易委员会）、FINRA（美国金融业监管局）、China Securities Regulatory Commission（中国证券监督管理委员会）、People's Bank of China（中国人民银行）、Hong Kong Securities and Futures Commission（香港证券及期货事务监察委员会）及 Hong Kong Monetary Authority（香港金融管理局）。\n\n送达证明\n（除非 Fed. R. Civ. P. 45 要求，否则本节不应向法院提交。）\n\n本人于（日期）\n__________收到向以下个人（姓名及职务，如有）发出的本传票：______________________________________________\n\n■\n本人已按以下方式向被指名人送达传票副本\n___________________________________________________________________________________________________：____________________________________\n\n于（日期）___________________；或\n\n本人未执行送达并退回本传票，原因是：____________________________________________________________\n\n除非本传票系代表 United States（美国）或其官员或代理人签发，本人还已向证人支付一天出席费用及法律允许的里程费用，金额为 $ _______________________ 。\n\n本人的费用为旅行费用 $ _________，服务费用 $_________，合计 $_________ 。\n\n本人在伪证罪处罚的约束下声明\n\n上述信息真实且正确。\n\n日期：_______________\n\n送达人签名\n\n正楷姓名及职务\n\n___________________________________________________________________ 送达人地址\n\n有关尝试送达等的补充信息：\n\nFederal Rule of Civil Procedure 45(c)、(d)、(e) 和 (g)（Effective 12/1/13）（依 Federal Rules of Bankruptcy Procedure 9016 适用于破产案件）\n\n(c) 履行地点。\n\n(1) 审判、听证或证言录取。传票仅可按如下方式命令某人出席审判、听证或证言录取：\n\n(A) 在该人居住、受雇或经常亲自从事商业活动地点的 100 英里范围内；或\n\n(B) 在该人居住、受雇或经常亲自从事商业活动所在州内，若该人\n\n(i) 是当事人或当事人的高级职员；或\n\n(ii) 被命令出席审判且不会产生重大费用。\n\n(2) 其他取证。传票可命令：\n\n(A) 在该人居住、受雇或经常亲自从事商业活动地点的 100 英里范围内某一地点提交文件、电子存储信息或物品；以及\n\n(B) 在待检查处所对该处所进行检查。\n\n(d) 对受传票约束者的保护；执行。\n\n(1) 避免不当负担或费用；制裁。负责签发和送达传票的当事人或律师必须采取合理措施，避免对受传票约束者施加不当负担或费用。要求履行传票的地区法院必须执行此项义务，并对未遵守者的当事人或律师施加适当制裁，该制裁可包括损失的收入和合理的律师费。\n\n(2) 命令提交材料或准许检查。\n\n(A) 无须出席。被命令提交文件、电子存储信息或有形物品，或准许检查处所的人，无须亲自出席提交或检查地点，除非同时被命令出席证言录取、听证或审判。\n\n(B) 异议。被命令提交文件或有形物品，或准许检查的人，可向传票中指定的当事人或律师送达书面异议，反对检查、复制、测试或抽样任何或全部材料，或检查处所，或反对以所要求的一种或多种形式提交电子存储信息。异议必须在规定履行时间之前，或传票送达后 14 天内（以较早者为准）送达。如提出异议，适用下列规则：\n\n(i) 送达方可随时在通知被命令人的情况下，向要求履行传票的地区法院提出动议，申请作出强制提交或检查的命令。\n\n(ii) 仅可依照该命令的指示要求实施上述行为，并且该命令必须保护非当事人亦非当事人高级职员者免于承担因履行而产生的重大费用。\n\n(3) 撤销或修改传票。\n\n(A) 必须撤销或修改的情形。要求履行传票的地区法院必须根据及时提出的动议，撤销或修改有下列情形的传票：\n\n(i) 未给予合理的履行时间；\n\n(ii) 要求某人在 Rule 45(c) 规定的地理范围以外履行；\n\n(iii) 要求披露享有特权或受其他保护的事项，且不存在适用的例外或豁免；或\n\n(iv) 对某人施加不当负担。\n\n(B) 可以撤销或修改的情形。为保护受传票约束或受其影响者，若传票要求：\n\n(i) 披露商业秘密或其他机密研究、开发或商业信息；或\n\n(ii) 披露未经聘请的专家的意见或信息，而该意见或信息未描述争议中的具体事件，且源于任何当事人未要求该专家进行的研究，\n\n要求履行传票的地区法院可根据动议撤销或修改传票。\n\n(C) 以规定条件作为替代办法。在 Rule 45(d)(3)(B) 所述情形下，如送达方：\n\n(i) 证明对证言或材料具有重大需求，且不遭受不当困难即无法以其他方式满足该需求；并且\n\n(ii) 确保受传票人将获得合理补偿，\n\n法院可不撤销或修改传票，而是命令在规定条件下出席或提交。\n\n(e) 回应传票时的义务。\n\n(1) 提交文件或电子存储信息。下列程序适用于提交文件或电子存储信息：\n\n(A) 文件。回应提交文件传票的人必须按照其在日常业务过程中保存的方式提交文件，或必须将文件整理并标注，以对应请求中的类别。\n\n(B) 未指定电子存储信息的提交形式。如传票未指定电子存储信息的提交形式，回应人必须以其通常保存的一种或多种形式，或以合理可用的一种或多种形式提交。\n\n(C) 电子存储信息仅以一种形式提交。回应人无须以一种以上形式提交相同的电子存储信息。\n\n(D) 无法合理访问的电子存储信息。回应人无须就其认定因不当负担或费用而无法合理访问的来源中的电子存储信息提供取证。在提出强制取证动议或保护令动议时，回应人必须证明该信息因不当负担或费用而无法合理访问。如作出该证明，法院在考虑 Rule 26(b)(2)(C) 的限制后，如请求方证明存在正当理由，仍可命令从该等来源进行取证。法院可规定取证条件。\n\n(2) 主张特权或保护。\n\n(A) 被扣留的信息。以该信息享有特权或受审判准备材料保护为由扣留受传票要求的信息的人必须：\n\n(i) 明确提出该主张；并且\n\n(ii) 以一种在不披露本身享有特权或受保护的信息的情况下，能够使各当事人评估该主张的方式，描述被扣留的文件、通信或有形物品的性质。\n\n(B) 已出示的信息。如就响应传票而出示的信息提出特权主张，或主张该信息作为审判准备材料受到保护，提出该主张的人可以将该主张及其依据通知任何收到该信息的当事人。收到通知后，当事人必须立即返还、隔离或销毁所指明的信息及其持有的任何副本；在该主张得到解决前，不得使用或披露该信息；如该当事人在收到通知前已披露该信息，必须采取合理措施予以追回；并可立即将该信息密封提交至要求履行的地区的法院，以裁定该主张。出示该信息的人必须在该主张得到解决前保存该信息。\n\n(g) 藐视法庭。要求履行的地区的法院——以及在动议被移送后，签发法院——可以将已被送达但无充分理由不遵守传票或与之相关命令的人以藐视法庭论处。\n\n有关查阅传票材料，请参见 Fed. R. Civ. P. 45(a) Committee Note (2013)\n\n…","key_entities":["Je","Guo","Kwok","Ho Wan Kwok","Himalaya","Despins","Miles Guo","William Je","Paul Hastings","GTV","Saraca","Luc Despins","Yanping Wang","Himalaya Exchange","GETTR","CIPA"],"ecf_references":[{"doc_number":923,"court":"CTB"},{"doc_number":1184,"court":"CTB"},{"doc_number":1372,"court":"CTB"}],"word_count":9532,"status":"published","published_at":"2022-12-02 00:00:00","created_at":"2022-12-02","updated_at":"2026-08-23 21:14:16"}