{"id":"court_ctb_166_0","court":"CTB","case_no":"22-50073","doc_number":166,"sub_number":0,"doc_type":"PETITION","filed_date":null,"title":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\","summary_zh":null,"summary_en":null,"body_en":"## **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ In re : Chapter 11 : Ho Wan Kwok, : Case No. 22-50073 : Debtor.<sup>1</sup> : : \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_:\n\n## **THE OFFICIAL COMMITTEE OF UNSECURED CREDITORS OBJECTION TO DEBTOR'S APPLICATION FOR AUTHORIZATION TO RETAIN AND EMPLOY STRETTO AS CLAIMS AND NOTICING AGENT**\n\nThe Official Committee of Unsecured Creditors (the \"Committee\") of Debtor and Debtor in Possession, Ho Wan Kwok (the \"Debtor\"), herby submits this Objection to the Debtor's Application for Authorization to Retain and Employ Stretto, Inc. (\"Stretto\") as Claims and Noticing Agent (ECF. No. 87, the \"Claims Agent Application\"). In support of the Objection, the Committee respectfully represents as follows:\n\n### **PRELIMINARY STATEMENT**\n\n1. While a claims and noticing agent can often be a useful appointment in a \"mega\" bankruptcy case, those cases typically involve claims in excess of 1,000 creditors. The Debtor's Schedules demonstrate there are less than 200 creditors, and the Claims Agent Application fails to demonstrate the need for the appointment of a claims and noticing agent in light of the limited universe of claimants. Additionally, given that the Debtor claims he has limited assets, it is hard to imagine the usefulness of the estate's resources to pay for Stretto's services as an additional administrative expense in this case. Finally, Stretto's Services Agreement provides for services\n\n<sup>1</sup> The Debtor is known by the following names: Guo Wengui; Miles Guo; Miles Kwok; and Ho Wan Kwok.\n\nto the Debtor in excess of those typically required for claims and noticing agents, and thus should not be approved.\n\n#### **RELEVANT PROCEDURAL HISTORY**\n\n2. On February 15, 2022 (the \"Petition Date\"), the Debtor filed a voluntary petition for relief under Chapter 11, Title 11 of the United States Code (the \"Bankruptcy Code\"). Since that time, the Debtor has remained a debtor-in-possession pursuant to §§1107 and 1108 of the Bankruptcy Code.\n\n3. No trustee or examiner has yet been appointed in the Debtor's bankruptcy case, although on March 19, 2022, the United States Trustee (\"UST\") filed a Motion for Order Directing Appointment of an Examiner, or in the alternative, Motion for Order Directing the Appointment of a Chapter 11 Trustee (the \"Examiner/Trustee Motion\"). The Examiner/Trustee Motion is scheduled for hearing on April 13, 2022, and according to the UST's Amended Proposed Order at n. 1 (ECF No. 116), the Debtor has agreed to the Court's directing the UST to appoint an examiner in this case.\n\n4. On March 21, 2022, the Committee was officially appointed by the United States Trustee and on March 28, 2022, selected Pullman & Comley, LLC (\"P&C\") as its counsel.<sup>2</sup>\n\n5. On March 16, 2022, the Debtor filed the Claims Agent Application, which seeks to appoint Stretto as Claims and Noticing Agent pursuant to the Services Agreement attached as Exhibit B to the Claims Agent Application. The Claims Agent Application identifies certain services that Stretto will provide to the Debtor. The Proposed Order seeks to have the fees and expenses of Stretto be treated as an administrative expense of Debtor's estate pursuant to section 503(b)(1)(A). The Proposed Order also references an advance, but there has been no disclosure\n\n<sup>2</sup> The Committee filed an application for authority to employ P&C on April 4, 2022.\n\nas to the nature of the advance. The Declaration of Mr. Ho Wan Kwok in Support of the Chapter 11 Case and Certain Motions simply states that Debtor \"need[s] a claims and noticing agent to help provide notice to the estate's creditors and parties-in-interest throughout the pendency of the Chapter 11 case.\" ECF. No. 107, ¶49.\n\n#### **JURISDICTION AND VENUE**\n\n6. This Court has jurisdiction over the Claims Agent Application and the contested matter initiated thereby pursuant to 28 U.S.C. §§ 157 and 1334. Venue is proper pursuant to 28 U.S.C. §§ 1408 and 1409.\n\n### **COMMITTEE POSITION**\n\n### **DEBTOR HAS NOT DEMONSTRATED THAT A CLAIMS AND NOTICING AGENT IS NECESSARY AND IN THE BEST INTERESTS OF THE ESTATE**\n\n7. 28 U.S.C. § 156(c) provides for the appointment of a claims and noticing agent. Specifically, the section provides that \"[a]ny court may utilize facilities or services, either on or off the court's premises, which pertain to the provision of notices, dockets, calendars, and other administrative information to parties in cases filed under the provisions of title 11, United States Code.\" The section provides that this appointment is permissible \"where the costs of such facilities or services are paid for out of the assets of the estate and are not charged to the United States.\" Finally, said appointment remains \"subject to such conditions and limitations as the pertinent circuit council may prescribe.\"\n\n8. Although the District of Connecticut does not maintain its own guidelines or procedures for the appointment of claims and noticing agents, other jurisdictions have enacted such guidelines, which the Court should consider in reviewing the Claims Agent Application. These guidelines often have a requirement for the number of creditors before the guidelines apply. For example, the District of Nevada provides that the guidelines are required when there are 1,000 or more creditors. http Similarly, the proposed order for retention of a claims and noticing agent in the Southern District of New York suggests a minimum of 1,000 creditors. *See*  http .doc (\"and the Debtors having estimated that there are in excess of [1,000] creditors in these chapter 11 cases\"). The Local Rules for the Bankruptcy Court for the District of Delaware only require a claims and noticing agent when there are in excess of 200 creditors. *See*  http\n\nrules?items\\_per\\_page=All#:~:text=Rule%201001-\n\n1%20Scope%20of%20Rules.%20Title%20and%20Citation.,Court%20for%20the%20District%2 0of%20Delaware%22%20%28the%20%22Court%22%29.\n\n9. Here, the Debtor's Schedules list one secured creditor and approximately 159 unsecured creditors.<sup>3</sup> See ECF. No. 78. This is well below the 1,000 creditors (or even 200 in Delaware) that is typically required for the appointment of a claims and noticing agent. Except for generalized statements as to the need for providing notice to creditors and parties-in-interest, (ECF No. 107,¶49), Debtor does not offer any detailed explanation for these services or why the estate should pay for these services. See Fed. R. Bank. P. 2014(a) (requiring specific facts showing the necessity for the employment).\n\n10. Debtor also failed to demonstrate how the Claims Agent Application is in the best interests of creditors, especially when the Debtor is seeking to afford administrative expense treatment to Stretto's fees and expenses. See 28 U.S.C. 156(c) (authorizing appoint \"where the\n\n<sup>3</sup> Some of the creditors are listed twice. For example, UBS AG and Samuel Nunberg are each listed twice.\n\ncosts of such facilities or services are paid for out of the assets of the estate\"). This is especially true where the Debtor's Schedules disclose meager assets and debts in excess of \\$373,000,000. This is not a complex business case with dozens of first-day motions and the prospect of more to come. This is an individual chapter 11 bankruptcy.\n\n11. The Claims Agent Application also identifies certain services that Stretto will provide to Debtor, but the Services Agreement identifies additional services that are not disclosed in the Claims Agent Application. For example, Paragraph 1(a)(ii) of the Services Agreement provides that Stretto will provide the following:\n\n\"Crisis communications, claims analysis and reconciliation, preference analysis and recovery, contract review and analysis, case research, public securities, depository management, treasury services, confidential online workspaces or data rooms (publication to which shall not violate the confidentiality provisions of this Agreement), and any other services agreed upon by the parties or otherwise required by applicable law, governmental regulations, or court rules or orders (all such services collectively, the \"Services\").\n\nECF No. 143. Debtor has not provided any basis for the need for such services.\n\n12. Finally, the Proposed Order references an advance but there has been no disclosure as to the nature or source of the advance.\n\n**WHEREFORE**, the Committee respectfully requests that the Court deny the Debtor's\n\nApplication for Authorization to Retain and Employ Stretto, Inc. as Claims and Noticing Agent and granting such other and further relief as may be deemed just and proper.\n\nDated: Bridgeport, Connecticut April 6, 2022\n\n# **OFFICIAL COMMITTEE OF UNSECURED CREDITORS OF HO WAN KWOK**\n\nBy: */s/Irve J. Goldman*  Irve J. Goldman Jonathan A. Kaplan Pullman & Comley, LLC 850 Main Street, 8th Floor PO Box 7006 Bridgeport, CT 06601-7006 (203) 330-2213 igoldman@pullcom.com\n\nIts Attorneys (Application Pending)\n\n## **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ In re : Chapter 11 : Ho Wan Kwok, : Case No. 22-50073 : Debtor.<sup>1</sup> : : April 6, 2022 \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_:\n\n## **CERTIFICATION OF SERVICE**\n\nI Irve J. Goldman, herby certify that on the 6th day of April, 2022, The Official Committee of Unsecured Creditors' (the \"Committee\") *Objection to Debtor's Application for Authorization to Retain and Employ Stretto as Claims and Noticing Agent* was filed via the Court's CM/ECF electronic filing system (\"CM/ECF\"), which sent notice to all parties receiving notification through CM/ECF.\n\n> */s/ Irve J. Goldman*  Irve J. Goldman\n\nThe last four digits of the Debtor's taxpayer identification number are 9595.","body_zh":"美国破产法院\n康涅狄格区\n布里奇波特分部\n\n__________________________________________\n关于：\n第 11 章\nHo Wan Kwok（郭文贵），\n案号：22-50073\n债务人。1\n__________________________________________:\n无担保债权人官方委员会对债务人申请授权聘用 Stretto 担任债权及通知代理人的异议\n\n债务人及占有中债务人 Ho Wan Kwok（郭文贵，下称“债务人”）的无担保债权人官方委员会（下称“委员会”），特此对债务人申请授权聘用 Stretto, Inc.（下称“Stretto”）担任债权及通知代理人的申请（ECF No. 87，下称“债权代理人申请”）提出异议。为支持本异议，委员会谨作如下陈述：\n\n前言\n\n1. 虽然在“特大型”破产案件中指定债权及通知代理人通常是一项有用的安排，但此类案件通常涉及超过 1,000 名债权人的债权。债务人的财产明细表显示债权人不足 200 名，鉴于债权人范围有限，债权代理人申请未能证明指定债权及通知代理人的必要性。此外，鉴于债务人自称其资产有限，很难想象将破产财产的资源用于支付 Stretto 的服务费用并将其作为本案的一项额外行政管理费用有何益处。最后，Stretto 的《服务协议》所规定的向债务人提供的服务，超出了债权及通知代理人通常所需的服务范围，因此不应予以批准。\n\n1 债务人以下列姓名/名称为人所知：Guo Wengui（郭文贵）；Miles Guo；Miles Kwok；以及 Ho Wan Kwok。\n\n相关程序历史\n\n2. 2022年2月15日（下称“申请日”），债务人根据《美国法典》第 11 编（下称《破产法典》）第 11 章自愿提交了破产救济申请。自那时起，根据《破产法典》§§ 1107 和 1108，债务人一直保持占有中债务人身份。\n\n3. 债务人的破产案件中尚未指定任何破产受托人或审查员，尽管在 2022年3月19日，美国联邦受托人（United States Trustee，下称“UST”）提交了《关于请求下达命令指定审查员的动议，或在备选方案下请求下达命令指定第 11 章受托人的动议》（下称“审查员/受托人动议”）。审查员/受托人动议预定于 2022年4月13日举行听证，且根据 UST 的《修改后拟定命令》第 1 条附注（ECF No. 116），债务人已同意法院指示 UST 在本案中指定一名审查员。\n\n4. 2022年3月21日，委员会由美国联邦受托人正式指定，并于 2022年3月28日选定 Pullman & Comley, LLC（下称“P&C”）作为其法律顾问。2\n\n5. 2022年3月16日，债务人提交了《债权代理人申请》，该申请请求根据作为《债权代理人申请》附件 B 的《服务协议》指定 Stretto 担任债权及通知代理人。《债权代理人申请》明确了 Stretto 将向债务人提供的若干服务。《拟定命令》请求根据第 503(b)(1)(A) 条将 Stretto 的费用和支出作为债务人破产财产的行政管理费用予以处理。《拟定命令》还提及了一笔预付款，但并未就\n\n2 委员会于 2022年4月4日提交了聘用 P&C 的授权申请。\n\n该预付款的性质进行任何披露。《Ho Wan Kwok 先生支持第 11 章案件及若干动议的声明》仅简要陈述称，债务人“需要一名债权及通知代理人，以协助在第 11 章案件审理期间向破产财产的债权人和利害关系方提供通知。”ECF No. 107, ¶49。\n\n管辖权及审判地\n\n6. 根据 28 U.S.C. §§ 157 和 1334，本法院对《债权代理人申请》及由此引发的争议事项具有管辖权。根据 28 U.S.C. §§ 1408 和 1409，审判地正当。\n\n委员会立场\n债务人未能证明债权及通知代理人系属必要且符合破产财产的最佳利益\n\n7. 28 U.S.C. § 156(c) 对指定债权及通知代理人作出了规定。具体而言，该条规定：“任何法院均可使用与向根据《美国法典》第 11 编规定提起的案件中的当事人提供通知、案卷表、日程表以及其他行政管理信息有关的设施或服务，无论是在法院内部还是在法院场所之外。”该条规定，在“此类设施或服务的费用由破产财产资产支付且不由美国承担”的情况下，此项指定是允许的。最后，上述指定仍“受相关巡回上诉法院司法委员会可能规定的条件和限制的约束”。\n\n8. 尽管康涅狄格区（District of Connecticut）没有维持其自身关于指定债权及通知代理人的指引或程序，但其他管辖区已制定了此类指引，法院在审查《债权代理人申请》时应当予以考虑。这些指引通常包含在指引适用前对债权人人数的要求。例如，内华达区（District of Nevada）规定，当存在 1,000 名或更多债权人时，必须适用该指引。http 同样，纽约南区（Southern District of New York）关于聘用债权及通知代理人的拟定命令表明，至少需要有 1,000 名债权人。参见 http .doc（“且债务人已估计在这些第 11 章案件中存在超过 [1,000] 名债权人”）。特拉华区破产法院（Bankruptcy Court for the District of Delaware）《本地规则》仅在存在超过 200 名债权人时才要求指定债权及通知代理人。参见 http rules?items_per_page=All#:~:text=Rule%201001-1%20Scope%20of%20Rules.%20Title%20and%20Citation.,Court%20for%20the%20District%2 0of%20Delaware%22%20%28the%20%22Court%22%29.\n\n9. 在本案中，债务人的财产明细表列出了一名有担保债权人和约 159 名无担保债权人。3 参见 ECF No. 78。这远低于指定债权及通知代理人通常所需的 1,000 名债权人（甚至低于特拉华州的 200 名）。除关于向债权人和利害关系方提供通知之必要性的概括性陈述外（ECF No. 107, ¶49），债务人并未就这些服务或破产财产为何应支付这些服务费用提供任何详细解释。参见《联邦破产诉讼规则》第 2014(a) 条（要求提供显示聘用必要性的具体事实）。\n\n10. 债务人亦未能证明《债权代理人申请》如何符合债权人的最佳利益，特别是当债务人正寻求将 Stretto 的费用和支出作为行政管理费用予以对待时。参见 28 U.S.C. 156(c)（授权在“此类设施或服务的费用由破产财产资产支付”的情况下进行指定）。在债务人的财产明细表披露了微薄的资产以及超过 $373,000,000 的债务的情况下尤其如此。这不是一个包含数十项首日动议且预计还将有更多动议的复杂商业案件。这是一起个人第 11 章破产案件。\n\n3 部分债权人被重复列出。例如，UBS AG 和 Samuel Nunberg 均被列出了两次。\n\n11. 《债权代理人申请》还指明了 Stretto 将向债务人提供的若干服务，但《服务协议》中列出了《债权代理人申请》中未予披露的额外服务。例如，《服务协议》第 1(a)(ii) 段规定 Stretto 将提供以下服务：\n\n“危机公关、债权分析与核对、偏颇清偿分析与追回、合同审查与分析、案件研究、公共证券、存管管理、财务司库服务、机密在线工作空间或数据室（向其发布信息不得违反本协议的保密条款），以及双方商定的或适用法律、政府法规、法院规则或命令另行要求的任何其他服务（所有此类服务统称为‘服务’）。”\n\nECF No. 143。债务人未就此类服务的必要性提供任何依据。\n\n12. 最后，《拟定命令》提及了一笔预付款，但并未就该预付款的性质或来源进行任何披露。\n\n为此，委员会谨请求法院驳回债务人关于授权聘用 Stretto, Inc. 担任债权及通知代理人的申请，并准予被视为正当且适当的其他及进一步救济。\n\n日期：康涅狄格州布里奇波特\n2022年4月6日\n\nHO WAN KWOK 无担保债权人官方委员会\n\n签署人：/s/ Irve J. Goldman\nIrve J. Goldman\nJonathan A. Kaplan\nPullman & Comley, LLC\n850 Main Street, 8th Floor\nPO Box 7006\nBridgeport, CT 06601-7006\n(203) 330-2213\nigoldman@pullcom.com\n\n其代理律师（申请待决）\n\n美国破产法院\n康涅狄格区\n布里奇波特分部\n\n__________________________________________\n关于：\n第 11 章\nHo Wan Kwok（郭文贵），\n案号：22-50073\n债务人。1\n2022年4月6日\n__________________________________________:\n送达证明\n\n我，Irve J. Goldman，特此证明：于 2022年4月6日，无担保债权人官方委员会（下称“委员会”）对债务人申请授权聘用 Stretto 担任债权及通知代理人的异议已通过法院的 CM/ECF 电子案卷归档系统（下称“CM/ECF”）归档提交，该系统已向所有通过 CM/ECF 接收通知的各方发送了通知。\n\n/s/ Irve J. Goldman\nIrve J. Goldman\n\n债务人纳税人识别号的后四位数字为 9595。","key_entities":["Kwok","Ho Wan Kwok","Je","Guo","Miles Guo"],"ecf_references":[{"doc_number":107,"court":"CTB"},{"doc_number":116,"court":"CTB"},{"doc_number":143,"court":"CTB"}],"word_count":1487,"status":"published","published_at":null,"created_at":null,"updated_at":"2026-08-23 12:55:38"}