{"id":"court_ctb_169_0","court":"CTB","case_no":"22-50073","doc_number":169,"sub_number":0,"doc_type":"ORDER","filed_date":null,"title":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION In re:","summary_zh":null,"summary_en":null,"body_en":"## **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\nIn re:\n\nHo Wan Kwok,<sup>1</sup>\n\nChapter 11 Case No.\n\n22-50073 (JAM)\n\nDebtor.\n\n# **PACIFIC ALLIANCE ASIA OPPORTUNITY FUND L.P.'S LIMITED OBJECTION TO APPLICATION OF THE DEBTOR FOR ENTRY OF AN ORDER AUTHORIZING THE EMPLOYMENT AND RETENTION OF BROWN RUDNICK LLP AS COUNSEL FOR THE DEBTOR**\n\n### TO THE HONORABLE JULIE A. MANNING, UNITED STATES BANKRUPTCY JUDGE:\n\nPacific Alliance Asia Opportunity Fund L.P. (\"PAX\"), by and through its undersigned counsel, respectfully submits this limited objection (the \"Objection\") to the *Application of the Debtor for Entry of an Order Authorizing the Employment and Retention of Brown Rudnick LLP as Counsel for the Debtor* [ECF No. 86] (the \"Application\").<sup>2</sup> In support of this Objection, PAX respectfully states as follows:\n\n### **LIMITED OBJECTION<sup>3</sup>**\n\n1. Brown Rudnick received two payments of \\$500,000 shortly before the petition date from Lamp Capital LLC (\"Lamp\"), a non-debtor entity that is allegedly owned by the Debtor's son. *See Affidavit of William R. Baldiga in Support of Application of the Debtor for Entry of an Order Authorizing the Employment and Retention of Brown Rudnick LLP as Counsel for the*\n\n<sup>1</sup> The last four digits of the Debtor's taxpayer identification number are 9595.\n\n<sup>2</sup> Capitalized terms used but not defined in this reply shall have meanings given to such terms in the Application.\n\n<sup>3</sup> PAX reserves its rights to supplement this Objection based on information it learns in discovery from the Debtor and its advisors.\n\n*Debtor*, attached as Exhibit A to the Application (the \"Baldiga Affidavit\") at ¶ 7. The Baldiga Affidavit also discloses that in order to fund these payments \"Lamp Capital LLC made a US\\$1,000,000.00 loan to Mr. Kwok, and Mr. Kwok directed Lamp Capital LLC to remit the proceeds directly to Brown Rudnick.\" *Id.*<sup>4</sup> As further noted in the Application \"Lamp Capital LLC is an entity owned by Mr. Kwok's. son.\" Application at ¶ 17. The only information that the Debtor has disclosed regarding the alleged loan from insider Lamp is that the loan is unsecured. *See Declaration of Mr. Ho Wan Kwok in Support of the Chapter 11 Case and Certain Motions* [ECF No. 107] at ¶ 51.\n\n2. While Brown Rudnick identifies the source of funding for its retainer, the circumstances surrounding such funding remain opaque. Neither the Application nor any of the affidavits in support of the Application provide any detail regarding the timing, terms, and negotiation of the loan between Lamp and the Debtor. Based on the little information that was disclosed, it appears likely that Brown Rudnick received funds in violation of the restraining order granted by Justice Ostrager in the prepetition action commenced by PAX against the Debtor pending in the Supreme Court of the State of New York. After granting summary judgment in PAX's favor on its breach of contract claims against the Debtor, Justice Ostrager granted PAX's motion for a restraining order (the \"Restraining Order\") and restrained the Debtor \"from making or causing any sale, assignment, transfer, or interference with any property in which he has an interest, whether directly or indirectly, and from paying over or otherwise disposing of any debt now or thereafter coming due to him subject to the exceptions set forth in [N.Y. Civil Practice Law\n\n<sup>4</sup> *See also Global Notes and Statements of Limitations, Methodology, and Disclaimers Regarding the Debtor's Schedules of Assets and Liabilities and Statement of Financial Affairs* [ECF No. 77] at ¶ 9(i) (\"Prior to the Petition Date, on each of February 14, 2021, and February 15, 2021, Brown Rudnick was paid a retainer of \\$500,000. The source of \\$1 million in retainer payments (the \"BR Retainer\") was [Lamp]. Lamp loaned the Debtor \\$1 million, and the Debtor directed Lamp to remit the proceeds of the loan directly to Brown Rudnick.\").\n\nand Rules (\"CPLR\")] 5222 . . . .\"<sup>5</sup> The Restraining Order was in effect when the Debtor borrowed the money from Lamp (*making the proceeds of the loan the Debtor's property*) and then transferred those funds to Brown Rudnick. Thus, such transfer seemingly violated the Restraining Order unless one of the exceptions set forth in CPLR 5222 applies to the transfer of the funds. PAX does not believe any such exceptions apply, and neither the Debtor nor Brown Rudnick have suggested or demonstrated that one does.\n\n3. Because the Debtor may be entitled to the return of the funds used to pay the BR Retainer, Brown Rudnick should place the funds it currently holds in an escrow account for the benefit of the Debtor's estate as a condition to its retention in this matter. Then, to the extent Brown Rudnick's fees and expenses are allowed going forward, it should be permitted to apply for payment from such funds.<sup>6</sup>\n\n### *[Remainder of Page Intentionally Left Blank]*\n\n<sup>5</sup> *See Declaration of Peter Friedman in Support of Motion of Pacific Alliance Asia Opportunity Fund L.P. for a Declaration of Inapplicability of the Automatic Stay or Relief from the Automatic Stay Pursuant to Section 362(d)(2) of the Bankruptcy Code* [ECF No. 57-2]*,* Ex. 3, October 15, 2020 Decision + Order on Mot. at 1, *Pacific Alliance Asia Opportunity Fund L.P. v. Kwok Ho Wan*, Index No. 65077/2017 (N.Y. Sup. Ct.), NYSCEF Doc. No. 630.\n\n<sup>6</sup> If the Court grants the Debtor's motion for approval of debtor-in-possession financing, funds from such loan should be used to pay Brown Rudnick's fees before proceeds of the loan from Lamp. Proceeds from the Lamp loan should be preserved for the benefit of the Debtor's creditors rather than used to endorse the Debtor's apparent violation of the Restraining Order.\n\nDated: April 6, 2022 Hartford, Connecticut\n\n#### **Pacific Alliance Asia Opportunity Fund L.P.**\n\n*By*: */s/ Patrick M. Birney*\n\nPatrick M. Birney (CT No. 19875) Annecca H. Smith (CT No. 31148) **ROBINSON & COLE LLP**  280 Trumbull Street Hartford, CT 06103 Telephone: (860) 275-8275 Facsimile: (860) 275-8299 E-mail: pbirney@rc.com asmith@rc.com\n\n-and-\n\nPeter Friedman (admitted *pro hac vice*) Stuart M. Sarnoff (admitted *pro hac vice*) **O'MELVENY & MYERS LLP**  7 Times Square New York, NY 10036 Telephone: (212) 326-2000 Facsimile: (212) 326-2061 Email: pfriedman@omm.com ssarnoff@omm.com\n\n#### **CERTIFICATE OF SERVICE**\n\nI hereby certify that on April 6, 2022, a copy of the foregoing was filed electronically through the Court's CM/ECF System. Notice of this filing will be sent by e-mail to all parties by operation of the court's electronic filing system. Parties in interest may access this filing through the Court's CM/ECF System.\n\n> /s/ *Patrick M. Birney*  Patrick M. Birney","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院）\n\n案件涉及：\n\nHo Wan Kwok（郭文贵）1\n\n第 11 章破产案号\n\n22-50073 (JAM)\n\n债务人。\n\nPACIFIC ALLIANCE ASIA OPPORTUNITY FUND L.P. 对债务人申请作出授权聘用及留聘 BROWN RUDNICK LLP 担任债务人法律顾问的命令的有限异议\n\n致：尊敬的 JULIE A. MANNING（朱莉·A·曼宁），美国破产法官：\n\nPacific Alliance Asia Opportunity Fund L.P.（太平洋联盟亚洲机会基金有限合伙，简称「PAX」）通过其下述签字律师，谨此对《债务人申请作出授权聘用及留聘 Brown Rudnick LLP（布朗·鲁德尼克有限责任合伙）担任债务人法律顾问的命令的申请》[ECF No. 86]（简称「《申请》」）2 提交本有限异议（简称「《异议》」）。为支持本《异议》，PAX 谨陈述如下：\n\n有限异议 3\n\n1. Brown Rudnick 在申请日前不久收到了来自 Lamp Capital LLC（简称「Lamp」）的两笔各 $500,000 的款项，Lamp 是一家非债务人实体，据称由债务人之子所有。参见作为《申请》附件 A 附随的《William R. Baldiga（威廉·R·巴尔迪加）支持债务人申请作出授权聘用及留聘 Brown Rudnick LLP 担任债务人法律顾问的命令的宣誓书》（简称「《Baldiga 宣誓书》」）第 7 段。\n\n1 债务人纳税人识别号的后四位为 9595。\n\n2 本回复中使用但未予定义的首字母大写术语，应具有《申请》中赋予该等术语的含义。\n\n3 PAX 保留根据其在证据开示过程中从债务人及其顾问处获得的信息补充本《异议》的权利。\n\n《Baldiga 宣誓书》还披露，为支付这些款项，「Lamp Capital LLC 向郭先生提供了 US$1,000,000.00 的贷款，郭先生指示 Lamp Capital LLC 将该款项直接汇至 Brown Rudnick。」同上 4。如《申请》中进一步指出的，「Lamp Capital LLC 是郭先生之子所有的实体。」《申请》第 17 段。关于这笔来自内部人 Lamp 的所谓贷款，债务人披露的唯一信息是该贷款为无担保贷款。参见《Ho Wan Kwok（郭文贵）先生支持第 11 章破产案件及若干动议的声明》[ECF No. 107] 第 51 段。\n\n2. 尽管 Brown Rudnick 说明了其聘用定金的资金来源，但围绕该资金的相关情况仍不明确。《申请》及支持《申请》的任何宣誓书均未提供关于 Lamp 与债务人之间贷款的时间、条款和谈判的任何细节。根据所披露的极少信息来看，Brown Rudnick 收到的资金很可能违反了 Ostrager（奥斯特拉格）法官在 PAX 于破产申请前对债务人提起的、尚在 Supreme Court of the State of New York（纽约州最高法院）审理的诉讼中所作出的限制令。在裁定支持 PAX 对债务人违约主张的简易判决后，Ostrager 法官批准了 PAX 申请限制令的动议（简称「《限制令》」），并限制债务人「以直接或间接方式进行或导致任何出售、转让、让与或干预其享有权益的任何财产，并限制其支付或以其他方式处置现已到期或此后到期应付给他的任何债务，但 [N.Y. Civil Practice Law\n\n4 亦参见《关于债务人资产负债表和财务状况说明书的全局说明及限制、方法与免责声明声明》[ECF No. 77] 第 9(i) 段（「在申请日之前，于 2021 年 2 月 14 日和 2021 年 2 月 15 日，Brown Rudnick 各收到一笔 $500,000 的聘用定金。这笔总额 100 万美元的聘用定金（简称『BR 聘用定金』）的资金来源为 [Lamp]。Lamp 向债务人提供了 100 万美元贷款，债务人指示 Lamp 将贷款收益直接汇给 Brown Rudnick。」）。\n\nand Rules（《纽约州民事诉讼法与规则》，简称「CPLR」）] 5222 条规定的例外情形除外……」5 当债务人从 Lamp 借款（使贷款收益成为债务人的财产）并将这些资金转给 Brown Rudnick 时，《限制令》处于生效状态。因此，除非 CPLR 5222 条规定的某项例外情形适用于该资金转让，否则该转让看似违反了《限制令》。PAX 认为没有任何此类例外情形适用，且债务人和 Brown Rudnick 均未提出或证明存在适用的例外情形。\n\n3. 由于债务人可能有权要求退还用于支付 BR 聘用定金的资金，作为在本案中留聘的条件，Brown Rudnick 应将其目前持有的资金存入以债务人破产财团为受益人的托管账户。随后，在 Brown Rudnick 今后的费用和支出获得批准的范围内，应允许其申请从该等资金中获得支付。6\n\n[本页以下部分特意留白]\n\n5 参见《Peter Friedman（彼得·弗里德曼）支持 Pacific Alliance Asia Opportunity Fund L.P. 根据〈破产法典〉第 362(d)(2) 条确认自动中止不适用或解除自动中止的动议的声明》[ECF No. 57-2]，附件 3，2020 年 10 月 15 日关于动议的裁决及命令第 1 页，Pacific Alliance Asia Opportunity Fund L.P. 诉 Kwok Ho Wan，案件索引号 65077/2017 (N.Y. Sup. Ct.)，NYSCEF 档号 No. 630。\n\n6 如果法院批准债务人关于批准占有中债务人融资的动议，则该贷款资金应优先于来自 Lamp 的贷款收益用于支付 Brown Rudnick 的费用。来自 Lamp 贷款的收益应予以保留以维护债务人债权人的利益，而不是用于支持债务人对《限制令》的明显违反行为。\n\n日期：2022 年 4 月 6 日 康涅狄格州哈特福德\n\nPacific Alliance Asia Opportunity Fund L.P.\n\n签署人：/s/ Patrick M. Birney\n\nPatrick M. Birney (CT 执照号 19875)\nAnnecca H. Smith (CT 执照号 31148)\nROBINSON & COLE LLP\n280 Trumbull Street\nHartford, CT 06103\n电话：(860) 275-8275\n传真：(860) 275-8299\n电子邮件：pbirney@rc.com asmith@rc.com\n\n以及\n\nPeter Friedman (获准特许出庭)\nStuart M. Sarnoff (获准特许出庭)\nO'MELVENY & MYERS LLP\n7 Times Square\nNew York, NY 10036\n电话：(212) 326-2000\n传真：(212) 326-2061\n电子邮件：pfriedman@omm.com ssarnoff@omm.com\n\n送达证书\n\n我谨此证明，2022 年 4 月 6 日，上述文书的一份副本已通过法院的 CM/ECF 系统进行电子归档。通过法院电子归档系统的运行，本归档通知将通过电子邮件发送给所有当事人。利害关系人可通过法院的 CM/ECF 系统查阅本归档文件。\n\n/s/ Patrick M. Birney  Patrick M. Birney","key_entities":["Je","Kwok","Ho Wan Kwok"],"ecf_references":[{"doc_number":57,"court":"CTB"},{"doc_number":77,"court":"CTB"},{"doc_number":86,"court":"CTB"},{"doc_number":107,"court":"CTB"}],"word_count":1077,"status":"published","published_at":null,"created_at":null,"updated_at":"2026-08-23 12:42:42"}