{"id":"court_ctb_1703_1","court":"CTB","case_no":"22-50073","doc_number":1703,"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.*, [1](#page-0-0) Docket No. 22-50073 (JAM)\n\nDebtors.\n\n(Jointly Administered)\n\n## **APPELLANTS' DESIGNATION OF ITEMS TO BE INCLUDED IN THE RECORD ON APPEAL AND STATEMENT OF ISSUES TO BE PRESENTED**\n\nPursuant to Rule 8009(a) of the Federal Rules of Bankruptcy Procedure, the appellants, Mei Guo; HK International Funds Investments (USA) Limited, LLC (sometimes, \"HKI\"); Lee Vartan, Esq.; and Chiesa Shahinian & Giantomasi PC (sometimes, \"CSG Law\"); by their undersigned attorneys, CSG Law and Zeisler & Zeisler, P.C., respectfully submit their designation of items to be included in the record on appeal and their statement of issues to be presented in connection with their appeal of the United States Bankruptcy Court's March 10, 2023 *Order Holding HK Parties in Contempt of Court and Sanctioning HK Parties, Attorney Vartan and Chiesa Shahinian & Giantomasi PC* (ECF No. 1537).\n\n#### **I. Designation of Items to be Included in the Record on Appeal**\n\n1. March 10, 2023 Order Holding HK Parties in Contempt of Court and Sanctioning HK Parties, Attorney Vartan and Chiesa Shahinian & Giantomasi PC (ECF No. 1537).\n\n<span id=\"page-0-0\"></span><sup>1</sup> 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- 2. July 28, 2022 Omnibus Motion of Chapter 11 Trustee for Entry of Order Under Bankruptcy Rule 2004 and Local Rule 2004-1 Authorizing Discovery With Respect to Various Entities and Individuals Affiliated With Debtor (ECF No. 638).\n- 3. August 16, 2022 Order Granting Chapter 11 Trustee's Application for Rule 2004 Discovery With Respect to Various Entities and Individuals Affiliated With Debtor (ECF No. 758).\n- 4. October 28, 2022 Motion of Chapter 11 Trustee for Entry of Order Compelling Individual Debtor, Mei Guo, HK International Funds Investments (USA) Limited, LLC, Hing Chi Ngok, Greenwich Land LLC, Lamp Capital LLC, and Golden Spring (New York) Ltd. to Comply With Rule 2004 Subpoenas (ECF No. 1046).\n- 5. October 28, 2022 Declaration of Avram E. Luft in Support of Motion of Chapter 11 Trustee for Entry of Order Compelling Debtor, Mei Guo, HK International Funds Investments (USA) Limited, LLC, Hing Chi Ngok, Greenwich Land LLC, Lamp Capital LLC, and Golden Spring (New York) Ltd. to Comply With Rule 2004 Subpoenas (ECF No. 1047).\n- 6. November 14, 2022 Joint Objection of the Debtor, Mei Guo, and HK International Funds Investments (USA) Limited, LLC to Chapter 11 Trustee's Motion to Compel Compliance With Rule 2004 Subpoenas (ECF No. 1090).\n- 7. January 20, 2023 Order Granting in Part Motion to Compel Compliance With Rule 2004 Subpoenas (ECF No. 1353).\n- 8. January 24, 2023 Order Directing the Parties to Mediation (ECF No. 1373).\n- 9. February 1, 2023 Notice of Appearance and Request for Service of Papers filed by Lee Vartan, Esq. (ECF No. 1426).\n- 10. February 10, 2023 Motion of Chapter 11 Trustee for Order to Show Cause Why Debtor, Mei Guo, and HK (USA) Should Not be Held in Contempt of Court for Failure to Comply With Order Compelling Compliance With Rule 2004 Subpoenas and Sanctioned for Such Contempt (ECF No. 1453).\n- 11. February 10, 2023 Motion of Mei Guo and HK International Funds Investments (USA) Limited, LLC for an Extension of Time to Comply With the Court's Order Dated January 20, 2023 (ECF No. 1454).\n- 12. February 13, 2023 Order Granting in Part Motion for Order to Appear and Show Cause Why the Court Should Not Hold the HK Parties in Contempt of Court (ECF No. 1455).\n- 13. March 6, 2023 Opposition of Chapter 11 Trustee to Mei Guo and HK International Funds Investments (USA) Limited, LLC's Motion for an Extension of Time to Comply With the Court's Order Dated January 20, 2023 (ECF No. 1510).\n- 14. March 6, 2023 Declaration of Lee Vartan, Esq. in Opposition to Trustee's Order to Show Cause Regarding Compliance With Rule 2004 Subpoenas and January 20, 2023 Order (ECF No. 1512).\n- 15. March 7, 2023 Reply of Mei Guo and HK International Funds Investments (USA) Limited, LLC in Further Support of Motion for Extension of Time to Comply With the Court's Order Dated January 20, 2023 (ECF No. 1516).\n- 16. March 7, 2023 Response of Chapter 11 Trustee to Declaration of Lee Vartan, Esq. in Opposition to Trustee's Order to Show Cause Regarding Compliance With Rule 2004 Subpoenas and January 20, 2023 Order (ECF No. 1517).\n- 17. March 9, 2023 Order Requiring Filing of Transcript (ECF No. 1527).\n- 18. March 9, 2023 Transcript of Videotaped Deposition of Mei Guo taken on January 20, 2023 (ECF No. 1529).\n- 19. March 13, 2023 Declaration of Mei Guo (ECF No. 1543).\n- 20. March 13, 2023 Declaration of Mei Guo, in Her Capacity as the Sole Member of HK International Funds Investments (USA) Limited, LLC (ECF No. 1544).\n- 21. Transcript of Proceedings dated November 30, 2022, before the Honorable Julie A. Manning in connection with Motion of Chapter 11 Trustee for Entry of Order Compelling Mei Guo and HK International to Comply with Rule 2004 Subpoenas.\n- 22. Transcript of Proceedings dated March 7, 2023, before the Honorable Julie A. Manning in connection with Order to Appear and Show Cause Why the Court Should Not Hold the HK Parties in Contempt of Court; Motion to Extend Time to Comply with the Court's Order Dated 1/20/23.\n- 23. Transcript of Proceedings dated March 8, 2023, before the Honorable Julie A. Manning.\n\n#### II. **Statement of Issues to Be Presented**\n\n- 1. Whether the Bankruptcy Court erred in finding that the order that Mei Guo and HKI purportedly failed to comply with, defined in the *Order Holding HK Parties in Contempt of Court and Sanctioning HK Parties, Attorney Vartan and Chiesa Shahinian & Giantomasi PC* (ECF No. 1537) as the Order Compelling Production, as interpreted by the Chapter 11 Trustee and enforced by the Court, was clear and unambiguous.\n- 2. Whether the Bankruptcy Court erred in finding that Mei Guo and HKI did not comply with the Order Compelling Production.\n- 3. Whether the Bankruptcy Court erred in finding that Mei Guo and HKI did not diligently attempt to reasonably comply with the Order Compelling Production.\n- 4. Whether the Bankruptcy Court erred in finding that the Trustee had proven Mei Guo's and HKI's noncompliance by clear and convincing evidence.\n- 5. Whether the Bankruptcy Court erred in holding Mei Guo and HKI in contempt of court under the Court's inherent contempt power and pursuant to Rule 37(b)(1) and Rule 37(b)(2)(A)(vii) of the Federal Rules of Civil Procedure (the \"Federal Rules\").\n- 6. Whether the Bankruptcy Court erred in finding that Federal Rule 37(b)(2) sanctions were appropriate to enter against Mei Guo; HKI Lee Vartan, Esq.; and CSG Law.\n- 7. Whether the Bankruptcy Court erred in holding that Lee Vartan, Esq. and CSG Law materially misrepresented to the Court that it would proceed with production in its Cross-Motion for an Extension of Time to Comply with Order Compelling Production.\n- 8. Whether the Bankruptcy Court erred in holding that Lee Vartan, Esq. and CSG Law knowingly made false statements to the Court.\n- 9. Each and every issue raised by the Bankruptcy Court's March 10, 2023 Order Holding HK Parties in Contempt of Court and Sanctioning HK Parties, Attorney Vartan and Chiesa Shahinian & Giantomasi PC (ECF No. 1537).\n\nDated: April 10, 2023 */s/ Lee Vartan*\n\nRoseland, New Jersey Lee Vartan (admitted pro hac vice) [lvartan@csglaw.com](mailto:lvartan@csglaw.com) Sam Della Fera, Jr. (admitted pro hac vice) [sdellafera@csglaw.com](mailto:sdellafera@csglaw.com)  Melissa F. Wernick (admitted pro hac vice) [mwernick@csglaw.com](mailto:mwernick@csglaw.com) **CHIESA SHAHINIAN & GIANTOMASI PC** 105 Eisenhower Parkway Roseland, NJ 07068\n\nTelephone: (973) 325-1500 Facsimile: (973) 325-1501 *Attorneys for Mei Guo, HK International Funds Investments (USA) Limited, LLC, Lee Vartan, Esq., and Chiesa Shahinian & Giantomasi PC*\n\nAaron A. Romney (ct28144) [aromney@zeislaw.com](mailto:aromney@zeislaw.com)  James M. Moriarty (ct21876) [jmoriarty@zeislaw.com](mailto:jmoriarty@zeislaw.com)  **ZEISLER & ZEISLER PC** 10 Middle Street, 15th Floor Bridgeport, CT 06604 Telephone: (203) 368-4234 Facsimile: (203) 368-5485 *Local Counsel for Mei Guo, HK International Funds Investments (USA) Limited, LLC, Lee Vartan, Esq., and Chiesa Shahinian & Giantomasi PC*\n\n### **CERTIFICATION OF SERVICE**\n\nI hereby certify that on this 10th day of April 2023, a copy of foregoing Appellants' 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\nDated: April 10, 2023 */s/ Lee Vartan*\n\nRoseland, New Jersey Lee Vartan (admitted pro hac vice) [lvartan@csglaw.com](mailto:lvartan@csglaw.com) Sam Della Fera, Jr. (admitted pro hac vice) [sdellafera@csglaw.com](mailto:sdellafera@csglaw.com)  Melissa F. Wernick (admitted pro hac vice) [mwernick@csglaw.com](mailto:mwernick@csglaw.com) **CHIESA SHAHINIAN & GIANTOMASI PC** 105 Eisenhower Parkway Roseland, NJ 07068 Telephone: (973) 325-1500 Facsimile: (973) 325-1501 *Attorneys for Mei Guo, HK International Funds Investments (USA) Limited, LLC, Lee Vartan, Esq., and Chiesa Shahinian & Giantomasi PC*\n\nAaron A. Romney (ct28144) [aromney@zeislaw.com](mailto:aromney@zeislaw.com)  James M. Moriarty (ct21876) [jmoriarty@zeislaw.com](mailto:jmoriarty@zeislaw.com)  **ZEISLER & ZEISLER PC** 10 Middle Street, 15th Floor Bridgeport, CT 06604 Telephone: (203) 368-4234 Facsimile: (203) 368-5485 *Local Counsel for Mei Guo, HK International Funds Investments (USA) Limited, LLC, Lee Vartan, Esq., and Chiesa Shahinian & Giantomasi PC*","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关于：\n\n第 11 章\n\nHO WAN KWOK（郭文贵）等，[1] 案号：22-50073 (JAM)\n\n债务人。\n\n（合并审理）\n上诉人关于列入上诉记录之事项的指定及拟提出之争议问题的声明\n\n根据《Federal Rules of Bankruptcy Procedure（联邦破产诉讼程序规则）》第 8009(a) 条，上诉人 Mei Guo（郭美）；HK International Funds Investments (USA) Limited, LLC（香港国际基金投资（美国）有限公司，有时简称“HKI”）；Lee Vartan（李·瓦尔坦）律师；以及 Chiesa Shahinian & Giantomasi PC（有时简称“CSG 律所”），由其下述签字律师 CSG 律所及 Zeisler & Zeisler, P.C. 代表，就其针对美国破产法院 2023年3月10日作出的《认定香港各当事方藐视法庭并对香港各当事方、瓦尔坦律师及 Chiesa Shahinian & Giantomasi PC 实施制裁的裁定》（ECF No. 1537）提起的上诉，谨提交列入上诉记录之事项的指定及拟提出之争议问题的声明。\nI. 列入上诉记录之事项的指定\n\n1. 2023年3月10日《认定香港各当事方藐视法庭并对香港各当事方、瓦尔坦律师及 Chiesa Shahinian & Giantomasi PC 实施制裁的裁定》（ECF No. 1537）。\n\n1 这些第 11 章案件中的债务人为 Ho Wan Kwok（郭文贵，亦称郭文贵、Miles Guo 及 Miles Kwok，以及其他众多化名）（纳税人识别号后四位：9595）、Genever Holdings LLC（纳税人识别号后四位：8202）及 Genever Holdings Corporation。托管人、Genever Holdings LLC 及 Genever Holdings Corporation 的邮寄地址为 Paul Hastings LLP（普衡律师事务所）, 200 Park Avenue, New York, NY 10166 转交 Luc A. Despins（作为郭文贵破产财产的托管人）（仅用于接收通知和联络之目的）。\n\n- 2. 2022年7月28日《第 11 章托管人关于根据破产规则第 2004 条及本地规则第 2004-1 条作出批准对与债务人关联的各实体及个人进行证据开示之裁定的综合动议》（ECF No. 638）。\n- 3. 2022年8月16日《批准第 11 章托管人关于对与债务人关联的各实体及个人进行规则第 2004 条证据开示之申请的裁定》（ECF No. 758）。\n- 4. 2022年10月28日《第 11 章托管人关于作出强迫个人债务人、郭美、香港国际基金投资（美国）有限公司、Hing Chi Ngok（岳庆芝）、Greenwich Land LLC、Lamp Capital LLC 及 Golden Spring (New York) Ltd. 遵守规则第 2004 条传票之裁定的动议》（ECF No. 1046）。\n- 5. 2022年10月28日《Avram E. Luft 支持第 11 章托管人关于作出强迫债务人、郭美、香港国际基金投资（美国）有限公司、岳庆芝、Greenwich Land LLC、Lamp Capital LLC 及 Golden Spring (New York) Ltd. 遵守规则第 2004 条传票之裁定的动议的声明》（ECF No. 1047）。\n- 6. 2022年11月14日《债务人、郭美及香港国际基金投资（美国）有限公司对第 11 章托管人关于强迫遵守规则第 2004 条传票之动议的联合异议》（ECF No. 1090）。\n- 7. 2023年1月20日《部分批准强迫遵守规则第 2004 条传票之动议的裁定》（ECF No. 1353）。\n- 8. 2023年1月24日《责令各方进行调解的裁定》（ECF No. 1373）。\n- 9. 2023年2月1日《李·瓦尔坦律师提交的出庭通知及送达文书请求》（ECF No. 1426）。\n- 10. 2023年2月10日《第 11 章托管人关于要求债务人、郭美及香港（美国）公司说明为何不应因未遵守强迫遵守规则第 2004 条传票之裁定而被认定为藐视法庭并因该等藐视行为受到制裁的先决命令动议》（ECF No. 1453）。\n- 11. 2023年2月10日《郭美及香港国际基金投资（美国）有限公司关于延长遵守法院 2023年1月20日裁定之期限的动议》（ECF No. 1454）。\n- 12. 2023年2月13日《部分批准关于要求出庭并说明法院为何不应认定香港各当事方藐视法庭之先决命令动议的裁定》（ECF No. 1455）。\n- 13. 2023年3月6日《第 11 章托管人对郭美及香港国际基金投资（美国）有限公司关于延长遵守法院 2023年1月20日裁定之期限的动议的反对意见》（ECF No. 1510）。\n- 14. 2023年3月6日《李·瓦尔坦律师反对托管人关于遵守规则第 2004 条传票及 2023年1月20日裁定之先决命令的声明》（ECF No. 1512）。\n- 15. 2023年3月7日《郭美及香港国际基金投资（美国）有限公司进一步支持延长遵守法院 2023年1月20日裁定之期限的动议的答辩书》（ECF No. 1516）。\n- 16. 2023年3月7日《第 11 章托管人对李·瓦尔坦律师反对托管人关于遵守规则第 2004 条传票及 2023年1月20日裁定之先决命令的声明的答复》（ECF No. 1517）。\n- 17. 2023年3月9日《要求提交庭审笔录的裁定》（ECF No. 1527）。\n- 18. 2023年3月9日《2023年1月20日进行的郭美录像宣誓证言笔录》（ECF No. 1529）。\n- 19. 2023年3月13日《郭美的声明》（ECF No. 1543）。\n- 20. 2023年3月13日《郭美以香港国际基金投资（美国）有限公司唯一成员身份作出的声明》（ECF No. 1544）。\n- 21. 2022年11月30日就第 11 章托管人关于作出强迫郭美及香港国际公司遵守规则第 2004 条传票之裁定的动议在 Julie A. Manning（朱莉·A·曼宁）法官主持下进行的诉讼程序笔录。\n- 22. 2023年3月7日就关于出庭并说明法院为何不应认定香港各当事方藐视法庭之先决命令；延长遵守法院 2023年1月20日裁定之期限的动议在朱莉·A·曼宁法官主持下进行的诉讼程序笔录。\n- 23. 2023年3月8日在朱莉·A·曼宁法官主持下进行的诉讼程序笔录。\nII. 拟提出之争议问题的声明\n\n- 1. 破产法院在认定郭美与 HKI 据称未能遵守的裁定（在《认定香港各当事方藐视法庭并对香港各当事方、瓦尔坦律师及 Chiesa Shahinian & Giantomasi PC 实施制裁的裁定》（ECF No. 1537）中定义为“强迫提供材料裁定”）经第 11 章托管人解释并由法院执行后属于清晰且明确的裁定方面，是否存在错误。\n- 2. 破产法院在认定郭美与 HKI 未遵守强迫提供材料裁定方面，是否存在错误。\n- 3. 破产法院在认定郭美与 HKI 未曾勤勉努力合理遵守强迫提供材料裁定方面，是否存在错误。\n- 4. 破产法院在认定托管人已以清楚且有说服力的证据证明郭美与 HKI 的不遵守行为方面，是否存在错误。\n- 5. 破产法院根据法院固有的藐视法庭权力以及依据《Federal Rules of Civil Procedure（联邦民事诉讼程序规则）》（简称“联邦规则”）第 37(b)(1) 条和第 37(b)(2)(A)(vii) 条认定郭美与 HKI 藐视法庭，是否存在错误。\n- 6. 破产法院在认定对郭美；HKI；李·瓦尔坦律师；及 CSG 律所作出联邦规则第 37(b)(2) 条项下的制裁属于适当方面，是否存在错误。\n- 7. 破产法院在认定李·瓦尔坦律师及 CSG 律所在其《关于延长遵守强迫提供材料裁定之期限的交叉动议》中向法院作出了其将继续提供材料的重大不实陈述方面，是否存在错误。\n- 8. 破产法院在认定李·瓦尔坦律师及 CSG 律所明知而向法院作出虚假陈述方面，是否存在错误。\n- 9. 破产法院 2023年3月10日《认定香港各当事方藐视法庭并对香港各当事方、瓦尔坦律师及 Chiesa Shahinian & Giantomasi PC 实施制裁的裁定》（ECF No. 1537）所引发的每一项争议问题。\n\n日期：2023年4月10日 /签名/ Lee Vartan\n\n新泽西州罗斯兰 Lee Vartan（特别许可出庭）[lvartan@csglaw.com] Sam Della Fera, Jr.（特别许可出庭）[sdellafera@csglaw.com] Melissa F. Wernick（特别许可出庭）[mwernick@csglaw.com] CHIESA SHAHINIAN & GIANTOMASI PC 105 Eisenhower Parkway Roseland, NJ 07068\n\n电话：(973) 325-1500 传真：(973) 325-1501 郭美、香港国际基金投资（美国）有限公司、李·瓦尔坦律师及 Chiesa Shahinian & Giantomasi PC 之代理律师\n\nAaron A. Romney (ct28144) [aromney@zeislaw.com] James M. Moriarty (ct21876) [jmoriarty@zeislaw.com] ZEISLER & ZEISLER PC 10 Middle Street, 15th Floor Bridgeport, CT 06604 电话：(203) 368-4234 传真：(203) 368-5485 郭美、香港国际基金投资（美国）有限公司、李·瓦尔坦律师及 Chiesa Shahinian & Giantomasi PC 之本地代理律师\n送达证明\n\n本人特此证明，于 2023年4月10日，前述《上诉人关于列入上诉记录之事项的指定及拟提出之争议问题的声明》的副本已通过电子方式提交。本项提交的通知将通过法院电子提交系统的运行以电子邮件形式发送给所有当事方，或根据电子提交通知上的指示以邮寄方式发送给无法接收电子提交的任何人。各当事方可通过法院的 CM/ECF 系统查阅本文件。\n\n日期：2023年4月10日 /签名/ Lee Vartan\n\n新泽西州罗斯兰 Lee Vartan（特别许可出庭）[lvartan@csglaw.com] Sam Della Fera, Jr.（特别许可出庭）[sdellafera@csglaw.com] Melissa F. Wernick（特别许可出庭）[mwernick@csglaw.com] CHIESA SHAHINIAN & GIANTOMASI PC 105 Eisenhower Parkway Roseland, NJ 07068 电话：(973) 325-1500 传真：(973) 325-1501 郭美、香港国际基金投资（美国）有限公司、李·瓦尔坦律师及 Chiesa Shahinian & Giantomasi PC 之代理律师\n\nAaron A. Romney (ct28144) [aromney@zeislaw.com] James M. Moriarty (ct21876) [jmoriarty@zeislaw.com] ZEISLER & ZEISLER PC 10 Middle Street, 15th Floor Bridgeport, CT 06604 电话：(203) 368-4234 传真：(203) 368-5485 郭美、香港国际基金投资（美国）有限公司、李·瓦尔坦律师及 Chiesa Shahinian & Giantomasi PC 之本地代理律师","key_entities":["Guo","Kwok","Ho Wan Kwok","Je","Miles Guo","Despins","Paul Hastings"],"ecf_references":[{"doc_number":638,"court":"CTB"},{"doc_number":758,"court":"CTB"},{"doc_number":1046,"court":"CTB"},{"doc_number":1047,"court":"CTB"},{"doc_number":1090,"court":"CTB"},{"doc_number":1353,"court":"CTB"},{"doc_number":1373,"court":"CTB"},{"doc_number":1426,"court":"CTB"},{"doc_number":1453,"court":"CTB"},{"doc_number":1454,"court":"CTB"},{"doc_number":1455,"court":"CTB"},{"doc_number":1510,"court":"CTB"},{"doc_number":1512,"court":"CTB"},{"doc_number":1516,"court":"CTB"},{"doc_number":1517,"court":"CTB"},{"doc_number":1527,"court":"CTB"},{"doc_number":1529,"court":"CTB"},{"doc_number":1537,"court":"CTB"},{"doc_number":1543,"court":"CTB"},{"doc_number":1544,"court":"CTB"}],"word_count":1644,"status":"published","published_at":null,"created_at":null,"updated_at":"2026-08-23 12:57:01"}