{"id":"court_ctb_1532_1","court":"CTB","case_no":"22-50073","doc_number":1532,"sub_number":1,"doc_type":"ORDER","filed_date":null,"title":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION In re:","summary_zh":null,"summary_en":null,"body_en":"# **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\nIn re:\n\nChapter 11\n\nHO WAN KWOK, *et al.*\n\nDebtors.\n\nCase No: 22-50073 (JAM)\n\n## **APPELLANT'S DESIGNATION OF ITEMS TO BE INCLUDED IN THE RECORD ON APPEAL AND STATEMENT OF ISSUES TO BE PRESENTED**\n\nPursuant to Fed. R. Bankr. P. 8009(a), the appellant and debtor Ho Wan Kwok, (the \"Debtor\"), by his undersigned attorneys, Zeisler & Zeisler, P.C., respectfully submits his designation of items to be included in the record on appeal and his statement of issues to be presented in connection with his appeal of the United States Bankruptcy Court's January 24, 2023, *Order Granting Motion to Hold Debtor in Contempt of Corporate Governance Order,* (ECF No. 1372).\n\n## **I. Designation of Items to be Included in the Record on Appeal**\n\n- 1. January 24, 2023, *Order Granting Motion to Hold Debtor in Contempt of Corporate Governance Order,* (ECF No. 1372).\n- 2. November 16, 2022, Transcript of Motion for Joint Administration with 22-50073; Motion for Order (I) Setting Bar Dates of Filing Proofs of Claim; (ii) Approving Form of Notice of Bar Dates and (iii) Granting Related Relief; Motion of Chapter 11 Trustee for Entry of Order Holding Debtor in Civil Contempt for Failure to Comply with Corporate Governance Rights [Order]; Application to Employee Neubert, Pepe & Monteith and Motion for Joint Administration with 22-50592 Before the Honorable Julie A. Manning United States Bankruptcy Judge.\n- 3. November 17, 2022, Transcript of Motion for Entry of Order Holding Debtor in Civil Contempt for Failure to Comply with Corporate Governance Rights Order Before the Honorable Julie A. Manning United States Bankruptcy Judge.\n- 4. November 18, 2022, Transcript of Motion to Seal; Motion for Entry of Order Holding Debtor in Civil Contempt for Failure to Comply with Corporate Governance Rights Order and Motion of Chapter 11 Trustee for Entry of Order Compelling Individual Debtor, Mei Gui (sic), HK International Funds Investments (USA) Limited LLC, Hing Chi Ngok, Greenwich Land LLC, Lamp Capital LLC and Cold (sic) Spring (New York) LTR (sic) to Comply with Rule 2004 Subpoenas Before the Honorable Julie A. Manning United States Bankruptcy Judge.[1](#page-1-0)\n- *5.* July 23, 2022, *Motion of Chapter 11 Trustee for Entry of Order, Pursuant to Bankruptcy Code Sections 363, 521, 1108, and 1505, (A) Confirming That Chapter 11 Trustee Holds All of Debtor's Economic and Corporate Governance Rights in Debtor-Controlled Entities, (B) Authorizing Chapter 11 Trustee to Act in Any Foreign Country on Behalf of Estate, and (C) Granting Related Relief* (ECF No. 598) (Debtor's Hearing Exhibit G).\n- 6. August 10, 2022, *Order, Pursuant to Bankruptcy Code Sections 363, 521, 541, 1108, and 1505, (A) Confirming That Chapter 11 Trustee Holds All of Debtor's Economic and Corporate Governance Rights in Debtor-Controlled Entities, (B) Authorizing Chapter 11 Trustee to Act in Any Foreign Country on Behalf of Estate, and (C) Granting Related Relief* (ECF No. 717) (Debtor's Hearing Exhibit E).\n\n<span id=\"page-1-0\"></span><sup>1</sup> A portion of the November 18, 2022 hearing was conducted under seal. The Debtor previously ordered and received the November 18, 2022 transcript, but upon review has only received the public portion. The Debtor has ordered the transcript for the portion of the November 18, 2022 hearing conducted under seal.\n\n- 7. October 4, 2022, *Motion of Chapter 11 Trustee for Entry of Order Holding Debtor in Civil Contempt for Failure to Comply with Corporate Governance Rights Order* (ECF No. 913).\n- 8. October 25, 2022, *Objection to Motion of Chapter 11 Trustee for Entry of Order Holding Debtor in Civil Contempt for Failure to Comply with Corporate Governance Rights Order* (ECF No. 1026).\n- 9. Reply in Support of Chapter 11 Trustee's Motion for Contempt (ECF No. 1095) (filed under seal).\n- 10. November 17, 2022, *Order Regarding Partial Resolution of Trustee's Contempt Motion* (ECF No. 1110).\n- 11. Debtor's Hearing Exhibit B (*see* ECF No. 1268 for a description of the Debtor's Hearing Exhibits).\n- 12. Debtor's Hearing Exhibit C.\n- 13. Debtor's Hearing Exhibit D.\n- 14. Debtor's Hearing Exhibit E.\n- 15. Debtor's Hearing Exhibit G.\n- 16. Debtor's Hearing Exhibit H (page 118, line 13, and 121 lines 23-25).\n- 17. Debtor's Hearing Exhibit I (page 47, line 15-17, and 64 lines 14 and 19-22).\n- 18. Trustee's Hearing Exhibit 6 (*see* ECF No. 1269 for a description of the Trustee's Hearing Exhibits).\n- 19. Trustee's Hearing Exhibit 7.\n- 20. Trustee's Hearing Exhibit 13 (page 3 only).\n- 21. Trustee's Hearing Exhibit 15.\n- 22. Trustee's Hearing Exhibit 27 (under seal).\n- 23. Trustee's Hearing Exhibit 28 (under seal).\n- 24. Trustee's Hearing Exhibit 29 (under seal).\n- 25. Trustee's Hearing Exhibit 30 (under seal).\n- 26. Trustee's Hearing Exhibit 32.\n- 27. Trustee's Hearing Exhibit 33.\n- 28. Trustee's Hearing Exhibit 34 (under seal).\n- 29. Trustee's Hearing Exhibit 36 (under seal).\n- 30. Trustee's Hearing Exhibit 37 (under seal).\n- 31. Trustee's Hearing Exhibit 39 (page 55, lines 23-25).\n\n#### **II. Statement of Issues To Be Presented**\n\n1. Whether the Bankruptcy Court erred in finding that the order that the Debtor purportedly failed to comply with, defined in the *Order Granting Motion to Hold Debtor in Contempt of Corporate Governance Order,* (ECF No. 1372), as the Corporate Governance Order, as interpreted by the Chapter 11 Trustee and enforced by the Court, was clear and unambiguous.\n\n2. Whether the Bankruptcy Court erred in finding that Debtor has not diligently attempted to reasonably comply with the Corporate Governance Order.\n\n3. Whether the Bankruptcy Court erred in finding that the Trustee had proven the Debtor's noncompliance with the Corporate Governance Order by clear and convincing evidence.\n\n4. Whether the Bankruptcy Court erred by considering and relying upon evidence that was not before the Court and outside the record.\n\n5. Whether the Bankruptcy Court erred in finding that the Debtor acted in bad faith.\n\n6. Whether the Bankruptcy Court erred in finding that as a result of the Debtor's purported bad faith the Debtor was required to prove that the Corporate Governance Order was not clear and unambiguous.\n\n7. Whether the Bankruptcy Court erred in excluding evidence offered by the Debtor consisting of portions of the Debtor's deposition transcript which were offered by the Debtor pursuant to Fed. R. Civ. P. 32(a)(6) and Fed. R. Evid. 106 after the Trustee introduced only certain portions of the Debtor's deposition transcript.\n\nDated at Bridgeport, Connecticut, this 21st day of February 2023.\n\n# **THE DEBTOR, HO WAN KWOK**\n\n*/s/ James M. Moriarty* Eric Henzy (ct12849) James M. Moriarty (ct21876) 10 Middle Street, 15th Floor Bridgeport, Connecticut 06604 Telephone: (203) 368-4234 Facsimile: (203) 368-5485 Email: [ehenzy@zeislaw.com](mailto:ehenzy@zeislaw.com) [jmoriarty@zeislaw.com](mailto:jmoriarty@zeislaw.com)\n\n### **CERTIFICATE OF SERVICE**\n\nThe undersigned certifies that on the 21st day of February 2023 a copy of the foregoing Appellant's Designation of Items to Be Included in the Record on Appeal and Statement of Issues to be Presented was filed electronically. Notice of this filing will be sent by e-mail to all parties by operation of the Court's electronic filing system or by mail to anyone unable to accept electronic filing as indicated on the Notice of Electronic Filing. Parties may access this filing through the Court's CM/ECF System.\n\n> /s/ *James M. Moriarty*  James M. Moriarty","body_zh":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION（美国康涅狄格区破产法院布里奇波特分部）\n\n关于：\n\n第11章\n\nHO WAN KWOK（郭文贵）等\n\n债务人。\n\n案号：22-50073 (JAM)\n上诉人关于列入上诉记录的事项指定及拟提出之争议问题陈述书\n\n根据《联邦破产诉讼程序规则》（Fed. R. Bankr. P.）第 8009(a) 条，上诉人兼债务人 Ho Wan Kwok（郭文贵）（“债务人”）通过其下述署名律师事务所 Zeisler & Zeisler, P.C.，就其对美国破产法院 2023年1月24日 作出的《关于批准判定债务人违反公司治理命令构成藐视法庭的动议之裁定》（ECF No. 1372）提起上诉一事，谨此提交其关于列入上诉记录的事项指定及拟提出之争议问题陈述书。\n\n一、 关于列入上诉记录的事项指定\n\n- 1. 2023年1月24日，《关于批准判定债务人违反公司治理命令构成藐视法庭的动议之裁定》（ECF No. 1372）。\n- 2. 2022年11月16日，在联邦破产法官 Julie A. Manning（朱莉·A·曼宁）阁下面前进行的审讯笔录，涉及：与 22-50073 案合并审理的动议；请求作出(I)设定债权申报截止日期、(ii)批准债权申报截止日期通知形式以及(iii)准予相关救济的裁定的动议；第11章受托人关于作出因债务人未遵守公司治理权利[命令]而判定其构成民事藐视法庭的裁定的动议；聘用 Neubert, Pepe & Monteith 的申请，以及与 22-50592 案合并审理的动议。\n- 3. 2022年11月17日，在联邦破产法官 Julie A. Manning 阁下面前进行的审讯笔录，涉及：关于作出因债务人未遵守公司治理权利命令而判定其构成民事藐视法庭的裁定的动议。\n- 4. 2022年11月18日，在联邦破产法官 Julie A. Manning 阁下面前进行的审讯笔录，涉及：封存动议；关于作出因债务人未遵守公司治理权利命令而判定其构成民事藐视法庭的裁定的动议；以及第11章受托人关于作出强制个人债务人、Mei Gui（原文如此）、HK International Funds Investments (USA) Limited LLC、Hing Chi Ngok（岳庆芝）、Greenwich Land LLC、Lamp Capital LLC 和 Cold（原文如此，应为 Cloud）Spring (New York) LTR（原文如此，应为 LP）遵守第 2004 条传票的裁定的动议。[1]\n- 5. 2022年7月23日，《第11章受托人根据〈破产法典〉第 363、521、1108 及 1505 条关于作出(A)确认第11章受托人享有债务人在受债务人控制之实体中的全部经济与公司治理权利、(B)授权第11章受托人代表破产财产在任何外国行事、以及(C)准予相关救济之裁定的动议》（ECF No. 598）（债务人听证证据 G）。\n- 6. 2022年8月10日，《根据〈破产法典〉第 363、521、541、1108 及 1505 条(A)确认第11章受托人享有债务人在受债务人控制之实体中的全部经济与公司治理权利、(B)授权第11章受托人代表破产财产在任何外国行事、以及(C)准予相关救济之裁定》（ECF No. 717）（债务人听证证据 E）。\n\n1 2022年11月18日听证会的一部分系不公开（封存）进行的。债务人此前已订购并收到 2022年11月18日的听证笔录，但经审查后发现仅收到了公开部分。债务人已订购 2022年11月18日听证会封存部分的笔录。\n\n- 7. 2022年10月4日，《第11章受托人关于作出因债务人未遵守公司治理权利命令而判定其构成民事藐视法庭的裁定的动议》（ECF No. 913）。\n- 8. 2022年10月25日，《对第11章受托人关于作出因债务人未遵守公司治理权利命令而判定其构成民事藐视法庭的裁定的动议之异议》（ECF No. 1026）。\n- 9. 支持第11章受托人藐视法庭动议的答辩状（ECF No. 1095）（封存提交）。\n- 10. 2022年11月17日，《关于部分解决受托人藐视法庭动议的裁定》（ECF No. 1110）。\n- 11. 债务人听证证据 B（债务人听证证据的说明见 ECF No. 1268）。\n- 12. 债务人听证证据 C。\n- 13. 债务人听证证据 D。\n- 14. 债务人听证证据 E。\n- 15. 债务人听证证据 G。\n- 16. 债务人听证证据 H（第 118 页第 13 行，以及第 121 页第 23-25 行）。\n- 17. 债务人听证证据 I（第 47 页第 15-17 行，以及第 64 页第 14 行和第 19-22 行）。\n- 18. 受托人听证证据 6（受托人听证证据的说明见 ECF No. 1269）。\n- 19. 受托人听证证据 7。\n- 20. 受托人听证证据 13（仅第 3 页）。\n- 21. 受托人听证证据 15。\n- 22. 受托人听证证据 27（封存）。\n- 23. 受托人听证证据 28（封存）。\n- 24. 受托人听证证据 29（封存）。\n- 25. 受托人听证证据 30（封存）。\n- 26. 受托人听证证据 32。\n- 27. 受托人听证证据 33。\n- 28. 受托人听证证据 34（封存）。\n- 29. 受托人听证证据 36（封存）。\n- 30. 受托人听证证据 37（封存）。\n- 31. 受托人听证证据 39（第 55 页第 23-25 行）。\n\n二、 拟提出之争议问题陈述\n\n1. 破产法院在认定债务人据称未能遵守的、且在《关于批准判定债务人违反公司治理命令构成藐视法庭的动议之裁定》（ECF No. 1372）中被定义为《公司治理命令》的裁定（经第11章受托人解释并由法院执行）具有明确性且无歧义这一点上，是否存在错误。\n\n2. 破产法院在认定债务人未曾勤勉尝试合理遵守《公司治理命令》这一点上，是否存在错误。\n\n3. 破产法院在认定受托人已以清楚且有说服力的证据证明了债务人未遵守《公司治理命令》这一点上，是否存在错误。\n\n4. 破产法院在考量并依赖未提交给法院且在记录之外的证据这一点上，是否存在错误。\n\n5. 破产法院在认定债务人存在恶意这一点上，是否存在错误。\n\n6. 破产法院在认定由于债务人据称存在的恶意，债务人须证明《公司治理命令》并非明确且无歧义这一点上，是否存在错误。\n\n7. 在受托人仅引入债务人宣誓录供笔录的某些部分之后，破产法院在排除债务人根据《联邦民事诉讼程序规则》（Fed. R. Civ. P.）第 32(a)(6) 条和《联邦证据规则》（Fed. R. Evid.）第 106 条所提供的债务人宣誓录供笔录部分证据这一点上，是否存在错误。\n\n2023年2月21日订于康涅狄格州布里奇波特。\n\n债务人：HO WAN KWOK（郭文贵）\n\n/签名/ James M. Moriarty\nEric Henzy (ct12849)\nJames M. Moriarty (ct21876)\n10 Middle Street, 15th Floor\nBridgeport, Connecticut 06604\n电话：(203) 368-4234\n传真：(203) 368-5485\n电子邮件：[ehenzy@zeislaw.com] [jmoriarty@zeislaw.com]\n\n送达证明\n\n下述署名者证明，于 2023年2月21日，前述《上诉人关于列入上诉记录的事项指定及拟提出之争议问题陈述书》的一份副本已通过电子方式归档。此归档通知将通过法院电子归档系统的运行以电子邮件形式发送给所有当事人，或者如电子归档通知上所示，以邮寄方式发送给无法接受电子归档的任何人。各当事人可通过法院的 CM/ECF 系统查阅此归档文件。\n\n/签名/ James M. Moriarty\nJames M. Moriarty","key_entities":["Kwok","Ho Wan Kwok","Guo","Je"],"ecf_references":[{"doc_number":598,"court":"CTB"},{"doc_number":717,"court":"CTB"},{"doc_number":913,"court":"CTB"},{"doc_number":1026,"court":"CTB"},{"doc_number":1095,"court":"CTB"},{"doc_number":1110,"court":"CTB"},{"doc_number":1268,"court":"CTB"},{"doc_number":1269,"court":"CTB"},{"doc_number":1372,"court":"CTB"}],"word_count":1206,"status":"published","published_at":null,"created_at":null,"updated_at":"2026-08-23 12:46:24"}