{"id":"court_ctb_1756_0","court":"CTB","case_no":"22-50073","doc_number":1756,"sub_number":0,"doc_type":"ORDER","filed_date":"2023-04-28","title":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION | -------------------------------------------","summary_zh":"批准和解协议的裁定 —— Ho Wan Kwok 破产案（郭文贵 / Guo Wengui / Miles Guo），CTB 22-50073 ECF #1756（2023-04-28立案，2023-05-04签署）。破产法院根据破产规则第 9019 条批准了第 11 章受托人与 Clark Hill PLC 及 Thomas K. Ragland 之间的和解协议与相互免责条款，以解决有关既往法律服务及诉讼争议。","summary_en":"Order Approving Settlement Agreement — In re Ho Wan Kwok (Miles Guo / Guo Wengui), CTB 22-50073 ECF #1756 (filed 2023-04-28, entered 2023-05-04). The Bankruptcy Court granted the Chapter 11 Trustee's Rule 9019 motion approving a settlement agreement and mutual release with Clark Hill PLC and Thomas K. Ragland concerning prior legal representation and litigation.","body_en":"## **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| --------------------------------------------------------x |                                   |\n|-----------------------------------------------------------|-----------------------------------|\n|                                                           | Chapter 11<br>:                   |\n| In re:                                                    | :<br>Case No. 22-50073 (JAM)<br>: |\n| et al.,1<br>HO WAN KWOK,                                  | :<br>(Jointly Administered)<br>:  |\n| Debtors.                                                  | :<br>Re: ECF No. 1724<br>:        |\n| ------------------------------------------------------x   |                                   |\n\n## **ORDER PURSUANT TO BANKRUPTCY RULE 9019 APPROVING SETTLEMENT AGREEMENT WITH CLARK HILL PLC**\n\nUpon the Motion, dated April 28, 2023 (the \"Motion\"),<sup>2</sup> of Luc A. Despins, in his capacity as the Chapter 11 Trustee (the \"Trustee\") appointed in the above-captioned chapter 11 case (the \"Chapter 11 Case\") of Ho Wan Kwok (the \"Debtor\"), for entry of an order, approving a settlement agreement between the Trustee and Clark Hill PLC (\"Clark Hill\"), as more fully described in the Motion; and the Court having jurisdiction to consider the Motion and the relief requested therein in accordance with 28 U.S.C. §§ 157 and 1334; and the Trustee having stepped into the Debtor's shoes with respect to the Action; and the Court having granted the Corporate Governance Rights Order, which specifically confirms the Trustee's ownership of and authority over the Debtor's economic rights; and the Trustee having the sole and exclusive right to bring and control claims belonging to the Debtor's estate, including all claims asserted in the Action;\n\n<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<sup>2</sup> Capitalized terms used herein and not otherwise defined herein shall have the meanings ascribed to such terms in the Motion.\n\nand the Court having found and determined that (i) the relief sought in the Motion is in the best interests of the Trustee, the Debtor's estates, creditors, and all parties in interest, (ii) the settlement reflected in the Settlement Agreement is fair and equitable and reasonable under the circumstances, and (iii) that the legal and factual bases set forth in the Motion establish just cause for the relief granted herein; and after due deliberation and sufficient cause appearing therefor, after the hearing held on May 4, 2023, it is **ORDERED THAT**:\n\n1. The Motion is GRANTED.\n\n2. All objections to the Motion, if any, that have not been withdrawn, waived or settled, and all reservations of rights included therein, are overruled.\n\n3. The settlement agreement, attached hereto as **Exhibit A** (the \"Settlement Agreement\"), is approved pursuant to Bankruptcy Rule 9019.\n\n4. The Trustee is authorized, pursuant to Bankruptcy Rule 9019, to execute, deliver, implement, and fully perform any and all obligations, instruments, documents and papers and to take any and all actions reasonably necessary or appropriate to consummate the settlement reflected in the Settlement Agreement and to perform any and all obligations contemplated therein immediately upon entry of this Order.\n\n5. This Order shall be effective and enforceable immediately upon entry pursuant to Bankruptcy Rule 6004(h), and the Trustee shall have unfettered use of the Settlement Payment when received.\n\n6. This Court shall retain jurisdiction to hear and determine all matters arising from or related to this Order and to the Settlement Agreement.\n\nDated at Bridgeport, Connecticut this 4th day of May, 2023.\n\n![](_page_1_Picture_9.jpeg)\n\n# **EXHIBIT A**\n\n## **SETTLEMENT AGREEMENT**\n\n### **SETTLEMENT AGREEMENT AND MUTUAL RELEASE**\n\nThis Settlement Agreement and Mutual Release (\"**Agreement**\"), dated and effective as of April 28, 2023, is made between (a) Luc A. Despins, not individually, but solely in his capacity as the chapter 11 trustee (the \"**Trustee**\") for the estate of Guo Wengui a/k/a Miles Kwok a/k/a Ho Wan Kwok (\"**Kwok**\" or \"**Debtor**\"), and (b) Clark Hill PLC and Thomas K. Ragland (collectively, \"**Clark Hill**\"), on the other hand. The Trustee and Clark Hill are each sometimes individually referred to herein as a \"**Party**\" and collectively as \"**Parties**.\" The Agreement shall become effective on the first day upon which it is executed by all Parties (\"**Effective Date**\").\n\n### **RECITALS**\n\nA. WHEREAS, on February 15, 2022 (\"**Petition Date**\"), Kwok filed a voluntary petition for relief under chapter 11 of title 11 of the U.S. Code (the \"**Bankruptcy Code**\") in the United States Bankruptcy Court for the District of Connecticut (the \"**Bankruptcy Court**\") administered as *In re: Ho Wan Kwok*, No. 22-50073 (JAM) (Bankr. D. Conn.);\n\nB. WHEREAS, the Trustee is the duly appointed chapter 11 trustee for the Debtor's estate;\n\nC. WHEREAS, prior to the Petition Date, Clark Hill provided legal services to Kwok;\n\nD. WHEREAS, on or about September 19, 2019, Kwok filed a lawsuit against Clark Hill in Washington D.C. court, and, on October 24, 2019, the lawsuit was removed to United States District Court for the District of Columbia in an action captioned *Wengui v. Clark Hill PLC et al* (Case No. 1:2019-cv-03195) (hereinafter, the \"**Lawsuit**\"). The Lawsuit alleges claims arising out of Clark Hill's prior representation of Kwok, including: (1) breach of fiduciary duty, (2) breach of contract, (3) legal malpractice, and (4) punitive damage;\n\nE. WHEREAS, on or about November 25, 2019, Clark Hill filed a Motion to Dismiss pursuant to Federal Rule of Civil Procedure 12(b)(6), which was fully briefed on January 14, 2020;\n\nF. WHEREAS, on or about February 20, 2020, Clark Hill's Motion to Dismiss was granted in part (dismissing Kwok's claims for punitive damages or claims for any injury resulting from Clark Hill's withdrawal of representation) and denied in part;\n\nG. WHEREAS, discovery occurred in the Lawsuit from February 2020 until December 2021;\n\nH. WHEREAS, on February 15, 2022, Clark Hill filed (1) a Rule 56 Motion for Summary Judgment and (2) Rule 702 Motion *in Limine* to Exclude Portions of Plaintiff's Proffered Expert Testimony under seal;\n\nI. WHEREAS, Clark Hill disputes and denies the claims that have been brought against them, and intends to defend vigorously and raise defenses at every stage;\n\nJ. WHEREAS, the claims asserted in the Lawsuit are now property of the Debtor's bankruptcy estate;\n\nK. WHEREAS, Clark Hill has produced to the Trustee pleadings and discovery from the Lawsuit;\n\nL. WHEREAS, the Parties recognize the significant cost and risk associated with the continuation of ligation; and\n\nM. WHEREAS, the Parties have engaged in extensive arm's-length good faith negotiations and have each separately concluded that the execution and performance by them of this Agreement will avoid protracted and expensive litigation, while according them each a substantial and valuable benefit if the settlement embodied herein is consummated:\n\n**NOW, THEREFORE**, for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the Parties agree as follows:\n\n### **AGREEMENT**\n\n**1. Recitals.** The recitals set forth above constitute an integral part of this Agreement and are incorporated into this Agreement, evidencing the intent of the Parties in executing this Agreement, and describing the circumstances surrounding its execution. Accordingly, this Agreement shall be construed in the light thereof.\n\n**2. Definitions.** In addition to the defined terms above and hereafter, the following capitalized terms used in this Agreement shall have the meanings specified below:\n\n(a) \"**Claims**\" means any and all manner of claims, counterclaims, complaints, disputes, demands, rights, actions, potential actions, causes of action, liabilities, duties, obligations, damages, losses, diminutions in value, obligations, judgments, decrees, request for attorneys' fees or costs, matters, issues, suits, proceedings, and controversies of any kind or nature whatsoever, including without limitation all claims related to any legal\n\n- 2 -\n\nservices by Clark Hill provided to Kwok, all claims for professional malpractice, all claims for breach of contract, all claims for breach of fiduciary duty, all claims for indemnification or contribution, and all other obligations or claims of any and all kinds of torts, fraud, negligence, errors and omissions, bad faith, defamation, accounts, expenses, attorney fees, economic losses, bodily injury or injury to property, reputation, Kwok's asylum application, privacy, breach of security, humiliation, mental anguish, emotional distress, and actual, compensatory, incidental, consequential, or indirect damages, lost profits, punitive or exemplary damages, whether known or unknown, asserted or unasserted, contingent or absolute, liquidated or not liquidated, accrued or unaccrued, suspected or unsuspected, disclosed or undisclosed, claimed or unclaimed, apparent or not apparent, foreseen or unforeseen, matured or not matured, secured or unsecured, which now exist, or heretofore or previously existed, or may hereafter exist, whether or not any such matter or claim was asserted or could have been asserted on or before the Effective Date including, but not limited to, any claims arising under federal, state or foreign law, common law, bankruptcy law, statute, equity, rule or regulation, or agreement, whether individual, class, direct, derivative, representative, on behalf of others, legal, equitable, regulatory, governmental or of any other type or in any other capacity.\n\n(b) **\"Estate Releasees**\" means, (i) the Debtor's estate; (ii) the Trustee; and (iii) any and all of the Trustee's attorneys, accountants, advisors, representatives or agents, in their respective capacities as such.\n\n(c) **\"Clark Hill Releasees**\" means, (i) in any capacity, Clark Hill; and (ii) with respect to any Claims arising from or related to the Lawsuit, any and all of Clark Hill's past or present, direct or indirect, parent entities, subsidiaries, divisions, member firms, affiliates, predecessors and successors of each and all such entities, and each and all of their respective past or present partners, members, directors, principals, officers, board members, executives, shareholders, employees, subsidiaries, affiliates, divisions, predecessors, successors, assigns, heirs, attorneys, stockholders, boards, accountants, auditors, advisors, trustees, administrators, fiduciaries, consultants, representatives, insurers, co-insurers, reinsurers and agents, in their respective capacities as such.\n\n(d) \"**Settlement**\" means the settlement contemplated by this Agreement.\n\n(e) \"**Settlement Motion\"** means a motion made by the Trustee pursuant to Rule 9019 of the Federal Rules of Bankruptcy Procedure for entry of a Settlement Order.\n\n(f) \"**Settlement Order\"** means an order entered by the Bankruptcy Court approving the Settlement and the Trustee's entry into this Agreement.\n\n## **3. Consideration**.\n\nIn consideration for the releases and other terms set forth in this Agreement, Clark Hill shall pay Debtor's estate a total of four-hundred-and-ninety-nine thousand (499,000) USD (the \"**Settlement Payment**\"). The Settlement Payment shall be made to the Trustee by wire transfer pursuant to instructions to be provided by the Trustee within 15 days after the date on which the Settlement Order is entered by the Bankruptcy Court; provided, however, that if a notice of appeal of the Settlement Order is filed, the Settlement Payment shall be made to the Trustee by wire transfer pursuant to instructions to be provided by the Trustee no later than 15 days after the date that the Settlement Order is no longer subject to appeal or *certiorari*  proceedings and no such proceedings are pending.\n\n# **4. Court Approval.**\n\nPromptly following execution of this Agreement, the Trustee shall submit to the Bankruptcy Court the Settlement Motion requesting entry of a Settlement Order, in a form that is mutually agreeable to the Parties, which shall include findings that the Claims being released are owned by the Debtor's estate and that the Trustee has the sole ability to assert these Claims, and further providing that the Bankruptcy Court retains jurisdiction to enforce the Agreement and Settlement Order and to address any violations thereof. The Trustee will use good faith efforts to secure approval of the Settlement Order. If this agreement is not approved by the Bankruptcy Court, Clark Hill is not required to make the Settlement Payment.\n\n# **5. Releases.**\n\n(a) **Debtor Releases.** Subject to the Trustee's receipt of the Settlement Payment and the Bankruptcy Court's approval of this Agreement, the Trustee, the Debtor's estate and the Estate Releasees hereby unconditionally, absolutely and irrevocably release and discharge the Clark Hill Releasees of all Claims which they now have or ever had against the Clark Hill Releasees upon or by reason of any manner, cause or thing whatsoever\n\non or at any time prior to the date of this Agreement, including but not limited to Claims concerning, arising out of, or relating to the facts, circumstances, events, transactions or transfers alleged or which could have been alleged in the Lawsuit or arising out of the subject matter of the Lawsuit, it being the intention of the Trustee to reserve nothing whatsoever hereunder and to assure the Clark Hill Releasees peace and freedom from each and every of the released Claims of whatever character and description and including any Claims that may be asserted derivatively by any creditor; provided, however, that nothing in this paragraph shall be deemed or construed to be a release, waiver or discharge of the terms and conditions of this Agreement. The Trustee acknowledges that he may discover facts after the Effective Date different from, or in addition to, those which the Trustee now knows or believes to be true. The Trustee agrees that the releases contained in this paragraph shall be and remain effective in all respects notwithstanding the future discovery of such different or additional facts.\n\n(b) **Clark Hill Releases**. Subject to the Trustee's receipt of the Settlement Payment and the Bankruptcy Court's approval of this Agreement, the Clark Hill Releasees hereby unconditionally, absolutely, and irrevocably release and discharge the Estate Releasees of all Claims which they now have or ever had against any of the Estate Releasees based upon or by reason of any manner, cause or thing whatsoever on or at any time prior to the date of this Agreement, it being the intention of the Clark Hill Releasees to reserve nothing whatsoever hereunder and to assure the Estate Releasees, and each of them, their peace and freedom from each and every of the released claims of whatever character and description; provided, however, nothing in this paragraph shall be deemed or construed to be a release, waiver or discharge of the terms and conditions of this Agreement. Clark Hill Releasees acknowledge that they may discover facts after the Effective Date different from, or in addition to, those which they now know or believe to be true. Clark Hill agrees that the releases contained in this paragraph shall be and remain effective in all respects notwithstanding the future discovery of such different or additional facts.\n\n(c) The Trustee represents and warrants that he is not aware of any claims they may have against any of Clark Hill Releasees other than the Claims asserted in the Lawsuit.\n\n- 5 -\n\n(d) Clark Hill represents and warrants that they are not aware of any claims they may have against the Trustee or Debtor's estate other than Claims related to the Lawsuit.\n\n### **6. Dismissal of the Trustee Action.**\n\nWithin five (5) days following the Trustee's receipt of the Settlement Payment, the Trustee and Clark Hill shall file in the Lawsuit a notice of dismissal pursuant to Federal Rule of Civil Procedure 41(a)(1)(ii) dismissing the Lawsuit with prejudice, and shall take such other and further actions as may be reasonably necessary to cause the Lawsuit to be dismissed with prejudice.\n\n## **7. General Representations and Warranties.**\n\n(a) **Authority.** Each of the undersigned covenants warrants that they have the power and authority to enter into and execute this Agreement and all releases, representations and warranties contained in this Agreement, on behalf of the Party on whose behalf this Agreement is so executed, subject in the case of the Trustee to Bankruptcy Court approval of this Agreement.\n\n(b) **Advice of Counsel.** Each of the Parties acknowledges and warrants that they have consulted with its attorneys regarding the terms of this Agreement, and that the terms of the Agreement have been completely read and are fully understood and voluntarily accepted for the purpose of making a full and final compromise, settlement and waiver of any and all claims as set forth herein.\n\n(c) **Due Diligence.** Each of the Parties has investigated the matters set forth in this Agreement, and all other matters pertaining to this Agreement. Each of the Parties represents and warrants that they have not relied upon any promises, agreements, representations, statements or warranties in entering into this Agreement that are not otherwise expressly provided for in this Agreement.\n\n(d) **No Assignment.** The Trustee warrants and represents that, as of the Effective Date, he has not transferred or assigned, and will not transfer or assign, all or any part of the Claims released in this Agreement**.**\n\n(e) **No Admission of Liability**. Nothing contained in this Agreement shall be deemed as an admission of any liability or lack of merit in any claim, by any party of any matter, claim or defense previously in dispute.\n\n(f) **Costs.** The Parties shall bear their respective costs, fees, and expenses in connection with this Agreement and all other matters relating to or arising from the Debtor's bankruptcy case and the Lawsuit. The Parties each waive any rights that any of them may have against the other to seek or recover any costs, fees, or expenses, including without limitation attorneys' fees related to or in connection with the Claims, this Agreement or the Lawsuit.\n\n(g) **Integration.** This Agreement represents the full and complete agreement between the Parties. Any representations, warranties, promises, or conditions, whether written or oral, not specifically incorporated into this Agreement, or in any other agreements, instruments, certificates, or documents delivered as required or contemplated under this Agreement, shall not be binding upon the Parties. All other discussions, negotiations, and writings have been and are merged into this Agreement.\n\n(h) **Governing Law and Consent to Jurisdiction**. This Agreement and all other documents required or contemplated hereby shall be governed by and construed in accordance with the laws of the state of New York applicable to contracts made and to be performed wholly within the laws of the state of New York but irrespective of its choice-of-law rules. As specific inducement for the Parties to enter into this Agreement, each of the Parties hereby consents to the exclusive jurisdiction of the Bankruptcy Court for resolution of any disputes arising under or related to this Agreement, and waives any objection it may have to the laying of venue in any such court and any claim that such suit has been brought in an inconvenient forum.\n\n## (i) **Notice to Parties.**\n\nAll notices given pursuant to this Agreement shall be delivered by hand delivery; overnight delivery by reputable overnight delivery service; or email with a copy by U.S. Mail, at the following addresses (or, if applicable, the most current address available for such Party):\n\nSuch notice must be sent to the following persons:\n\nIf to Trustee: Paul Hastings LLP Attn: Avram E. Luft 200 Park Ave New York, NY 10166 + 212 318 6079\n\n#### aviluft@paulhastings.com\n\nIf to Clark Hill: Jenner & Block LLP Attn: John Storino 353 N Clark Street Chicago, IL 60654 + 1 312 840 8683 JStorino@jenner.com\n\n### **8. Further Necessary Actions.**\n\nEach Party agrees, without further consideration, to sign or cause to be signed, and to deliver to the other Party or its counsel any other documents and to take any other action as may be necessary to fulfill their respective obligations under this Agreement. The Trustee served Clark Hill with a subpoena pursuant to the Trustee's Rule 2004 investigation in the Bankruptcy Case. The Trustee acknowledges that Clark Hill produced documents responsive to the subpoena and the Trustee agrees to not seek further discovery from Clark Hill in the Bankruptcy Case.\n\n#### **9. Proper Construction.**\n\n(a) The language of all parts of this Agreement shall in all cases be construed as a whole according to its fair meaning, and not strictly for or against any Party.\n\n(b) As used in this Agreement, the term \"or\" shall be deemed to include the term \"and/or\" and the singular or plural number shall be deemed to include the other whenever the context so indicates or requires.\n\n(c) The section headings used in this Agreement are intended solely for convenience of reference and shall not in any manner amplify, limit, modify, or otherwise be used in the interpretation of any of the provisions hereof.\n\n(d) If a deadline under this Agreement falls on a weekend or court holiday, the deadline shall be extended to the next weekday that is not a court holiday.\n\n#### **10. Survival of Representations and Warranties.**\n\nAll representations and warranties set forth in this Agreement shall be deemed continuing and shall survive the consummation of this Agreement.\n\n### **11. Waiver or Modification.**\n\n(a) No waiver shall be binding unless executed in writing by the Party making the waiver. No waiver of any of the provisions of this Agreement shall be\n\n- 8 -\n\ndeemed, or shall constitute, a waiver of any other provision, whether or not similar, nor shall any waiver constitute a continuing waiver.\n\n(b) Neither this Agreement nor any term or provision may be changed, waived, discharged, or terminated except by an instrument in writing duly signed by both Parties. No supplement, modification, or amendment to this Agreement shall be binding unless in writing and executed by both Parties. This Agreement cannot be modified by oral or implied promises or representations.\n\n## **12. Execution in Counterparts.**\n\nThis Agreement may be executed in counterparts, and the sum of each counterpart will constitute a single agreement. Copies of the signatures of each Party's duly authorized signatory provided to the other Party via electronic means, including email and facsimile, shall be treated as original signatures. A signature on a copy of this Agreement sent by facsimile or by email shall be accepted as binding on the Parties.\n\n| By:  |  |\n|------|--|\n| Its: |  |","body_zh":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION（美国康涅狄格州破产法院布里奇波特分院）\n\n第 11 章\n\n关于：\n案件编号：22-50073 (JAM)\n等，1\nHO WAN KWOK（郭文贵），\n（合并审理）\n债务人。\n关于：ECF No. 1724\n\n根据《破产程序规则》第 9019 条批准与 CLARK HILL PLC 和解协议的裁定\n\n鉴于 Luc A. Despins（卢克·A·德斯平斯）以在上述 Ho Wan Kwok（郭文贵，下称“债务人”）的第 11 章案件（下称“第 11 章案件”）中被任命的第 11 章受托人（下称“受托人”）身份于 2023 年 4 月 28 日提出的动议（下称“该动议”）2，请求作出一项裁定，批准受托人与 Clark Hill PLC（克拉克希尔律师事务所，下称“Clark Hill”）之间的和解协议（如该动议中更详尽所述）；且本法院根据 28 U.S.C. §§ 157 及 1334 对审理该动议及其中所请求的救济拥有管辖权；且受托人就该诉讼已承继债务人的法律地位；且本法院已准予《公司治理权利裁定》，该裁定明确确认了受托人对债务人经济权利的所有权和处置权；且受托人拥有提起和控制归属于债务人破产财产的索赔主张的唯一且排他的权利，包括在该诉讼中所主张的一切索赔；\n\n1 这些第 11 章案件中的债务人为 Ho Wan Kwok（亦称 Guo Wengui、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）以及 Genever Holdings Corporation。受托人、Genever Holdings LLC 及 Genever Holdings Corporation 的邮寄地址为 Paul Hastings LLP, 200 Park Avenue, New York, NY 10166 转交 Ho Wan Kwok 破产财产受托人 Luc A. Despins（仅用于接收通知和通信之目的）。\n\n2 本文中使用但未另行定义的首字母大写术语，应具有该动议中赋予该等术语的含义。\n\n且本法院认定并裁决：(i) 该动议中所寻求的救济符合受托人、债务人破产财产、债权人及所有利害关系方的最大利益，(ii) 和解协议中所体现的和解在当时情况下是公平、合理且公正的，以及 (iii) 该动议中所陈述的法律和事实依据构成本文所准予救济的正当理由；经审慎审议且具有充分理由，并在 2023 年 5 月 4 日举行听证会后，现裁定如下：\n\n1. 准予该动议。\n\n2. 对该动议的所有异议（如有），凡未被撤回、放弃或解决者，以及其中所包含的所有权利保留，均予以驳回。\n\n3. 根据《破产程序规则》第 9019 条，批准本裁定所附附件 A 的和解协议（下称“《和解协议》”）。\n\n4. 授权受托人根据《破产程序规则》第 9019 条，在签署本裁定后立即签署、交付、执行并完全履行任何及所有义务、文书、文件和材料，并采取为完成《和解协议》中所体现的和解及履行其中所设想的任何及所有义务所合理必要或适当的任何及一切行动。\n\n5. 根据《破产程序规则》第 6004(h) 条，本裁定自签署后立即生效并具有可执行力，且受托人收到和解款项后有权不受限制地使用该款项。\n\n6. 本法院应保留管辖权，以审理并决定因本裁定及《和解协议》而引起的或与之相关的所有事项。\n\n签署于康涅狄格州布里奇波特，2023 年 5 月 4 日。\n附件 A\n和解协议\n和解协议及相互免责声明\n\n本《和解协议及相互免责声明》（下称“本协议”）由以下各方于 2023 年 4 月 28 日订立并自该日起生效：一方为 Luc A. Despins（卢克·A·德斯平斯），非以个人身份，而仅以 Guo Wengui（郭文贵，又名 Miles Kwok，又名 Ho Wan Kwok，下称“Kwok”或“债务人”）破产财产的第 11 章受托人（下称“受托人”）身份；另一方为 Clark Hill PLC（克拉克希尔律师事务所）及 Thomas K. Ragland（托马斯·K·拉格兰）（统称“Clark Hill”）。受托人与 Clark Hill 在本文中有时单称为“一方”，统称为“各方”。本协议应在所有各方均签署的第一天起生效（下称“生效日”）。\n鉴于条款\n\nA. 鉴于，2022 年 2 月 15 日（下称“申请日”），Kwok 在 United States Bankruptcy Court for the District of Connecticut（美国康涅狄格州破产法院，下称“破产法院”）根据《美国法典》第 11 编（下称“《破产法典》”）第 11 章提交了自愿救济申请，案件审理名称为 In re: Ho Wan Kwok, No. 22-50073 (JAM) (Bankr. D. Conn.)；\n\nB. 鉴于，受托人是债务人破产财产的正式任命的第 11 章受托人；\n\nC. 鉴于，在申请日之前，Clark Hill 曾向 Kwok 提供法律服务；\n\nD. 鉴于，约于 2019 年 9 月 19 日，Kwok 在华盛顿特区法院对 Clark Hill 提起诉讼，并于 2019 年 10 月 24 日，该诉讼被移送至 United States District Court for the District of Columbia（美国哥伦比亚特区联邦地区法院），案号为 Wengui v. Clark Hill PLC et al（案件编号：1:2019-cv-03195）（以下简称“该诉讼”）。该诉讼主张因 Clark Hill 此前代表 Kwok 而引起的索赔，包括：(1) 违反信义义务，(2) 违约，(3) 律师执业过错，以及 (4) 惩罚性赔偿；\n\nE. 鉴于，约于 2019 年 11 月 25 日，Clark Hill 根据《联邦民事诉讼规则》第 12(b)(6) 条提出了驳回起诉动议，该动议于 2020 年 1 月 14 日完成了全部诉答文件的提交；\n\nF. 鉴于，约于 2020 年 2 月 20 日，Clark Hill 的驳回起诉动议获得部分准予（驳回了 Kwok 关于惩罚性赔偿的索赔，或因 Clark Hill 撤销代理而导致任何损害的索赔），并被部分驳回；\n\nG. 鉴于，该诉讼的证据开示程序于 2020 年 2 月至 2021 年 12 月期间进行；\n\nH. 鉴于，2022 年 2 月 15 日，Clark Hill 秘密提交了 (1) 根据第 56 条提出的简易判决动议，以及 (2) 根据第 702 条提出的排除原告所提供专家证言部分内容的审前排除动议；\n\nI. 鉴于，Clark Hill 对针对他们提出的索赔主张存有争议并予以否认，并打算在每个阶段进行积极抗辩并提出抗辩理由；\n\nJ. 鉴于，在该诉讼中所主张的权利请求现属于债务人破产财产；\n\nK. 鉴于，Clark Hill 已向受托人提交了该诉讼的诉状及证据开示材料；\n\nL. 鉴于，各方认识到继续进行诉讼所伴随的巨大成本和风险；且\n\nM. 鉴于，各方进行了广泛的、公平独立的、出于善意的谈判，并各自独立得出结论，如果本协议所体现的和解得以完成，各方签署和履行本协议将避免旷日持久且耗资巨大的诉讼，同时为各方带来实质且有价值的利益：\n\n因此，现在，基于良好且有价值的对价（特此确认已收到该对价且对价充分），各方达成如下协议：\n协议内容\n\n1. 鉴于条款。上述鉴于条款构成协议不可分割的组成部分，并纳入协议之中，证明各方签署协议的意图，并描述与协议签署相关的背景情况。因此，协议应参照鉴于条款进行解释。\n\n2. 定义。除上述及下文定义的术语外，协议中使用的下列首字母大写术语应具有以下指定的含义：\n\n(a) “索赔”指任何及所有形式的索赔、反请求、申诉、争议、要求、权利、诉讼、潜在诉讼、诉因、法律责任、责任、义务、损害赔偿金、损失、价值减损、债务、判决、法令、律师费或诉讼费用请求、事项、争议点、诉讼案、程序以及任何性质或种类的争议，包括但不限于与 Clark Hill 向 Kwok 提供的任何法律\n\n- 2 -\n\n服务相关的所有索赔、因专业执业过错引起的所有索赔、因违约引起的所有索赔、因违反信义义务引起的所有索赔、因弥偿或分担责任引起的所有索赔，以及因任何及所有类型的侵权、欺诈、过失、疏忽与遗漏、不诚信、诽谤、账目、开支、律师费、经济损失、人身伤害或财产损害、名誉、Kwok 的庇护申请、隐私、安全违规、屈辱、精神痛苦、情绪困扰，以及实际、补偿性、附带性、后果性或间接损害赔偿、利润损失、惩罚性或惩戒性赔偿而产生的所有其他义务或索赔，无论已知或未知、已主张或未主张、附条件的或绝对的、已清算的或未清算的、已产生的或未产生的、怀疑或未怀疑的、已披露或未披露的、已索要或未索要的、明显的或不明显的、可预见的或不可预见的、已到期的或未到期的、有担保的或无担保的，无论是目前存在的、或是迄今或此前存在的、或是此后可能存在的，无论任何此类事项或索赔是否在生效日当日或之前已经主张或本可以主张，包括但不限于根据联邦法、州法或外国法、普通法、破产法、制定法、衡平法、规则或规章、或协议所产生的任何索赔，无论是个人、集体、直接、派生、代表性、代表他人提起的、法律上的、衡平法上的、监管性的、政府性的，或是任何其他类型或以任何其他身份提起的。\n\n(b) “破产财产免责方”指：(i) 债务人的破产财产；(ii) 受托人；以及 (iii) 受托人的任何及所有律师、会计师、顾问、代表或代理人（分别以其各自对应的身份）。\n\n(c) “Clark Hill 免责方”指：(i) 以任何身份代表的 Clark Hill；以及 (ii) 就因该诉讼引起或与之相关的任何索赔而言，Clark Hill 过去或现在、直接或间接的任何及所有母体机构、子公司、分支机构、成员所、关联方、前身机构以及上述各个和所有机构的继承者，以及他们各自过去或现在的各个和所有合伙人、成员、董事、负责人、高级职员、董事会成员、主管、股东、雇员、子公司、关联方、分支机构、前身机构、继承者、受让人、继承人、律师、股东、董事会、会计师、审计师、顾问、受托人、管理人、受托管理人、咨询顾问、代表、保险人、共同保险人、再保险人及代理人（分别以其各自对应的身份）。\n\n(d) “和解”指协议所设想的和解。\n\n(e) “和解动议”指受托人根据《联邦破产诉讼规则》第 9019 条提出的请求签署和解裁定的动议。\n\n(f) “和解裁定”指破产法院批准和解及受托人加入协议所作出的裁定。\n3. 对价。\n\n作为协议中所规定的免责声明及其他条款的对价，Clark Hill 应向债务人破产财产总计支付四十九万九千（499,000）美元（下称“和解款项”）。和解款项应在破产法院签署和解裁定之日起 15 天内，根据受托人提供的指示，通过电汇方式支付给受托人；但前提是，如果提交了针对和解裁定的上诉通知，则和解款项应在和解裁定不再受制于上诉或调卷审查程序且不存在任何未决的此类程序之日起 15 天内，根据受托人提供的指示，通过电汇方式支付给受托人。\n4. 法院批准。\n\n签署本协议后，受托人（Trustee）应立即向破产法院（Bankruptcy Court）提交和解动议（Settlement Motion），请求作出各方均可接受的形式的和解裁定（Settlement Order），该裁定应包括确认所免除的权利主张归属于债务人破产财产（Debtor's estate），受托人享有主张该等权利主张的排他性权利，并进一步规定破产法院保留对执行本协议及和解裁定以及处理任何违反行为的管辖权。受托人将尽善意努力以确保和解裁定获得批准。若本协议未获得破产法院批准，Clark Hill（克拉克希尔律师事务所）无需支付和解金（Settlement Payment）。\n\n5. 免责。\n\n(a) 债务人免责。在受托人收到和解金且破产法院批准本协议的前提下，受托人、债务人破产财产及破产财产受免责方（Estate Releasees）在此无条件、绝对且不可撤销地免除和解除Clark Hill受免责方（Clark Hill Releasees）在本协议签署之日或之前的任何时间，因任何方式、起因或事由而享有或曾享有的所有权利主张，包括但不限于涉及、因之产生或与诉讼（Lawsuit）中所指控或本可在诉讼中指控的事实、情况、事件、交易或转让相关，或因诉讼标的而产生的主张，受托人的意图为不保留本协议项下的任何权利，并确保Clark Hill受免责方免受任何性质及描述的每一项被免除权利主张的追究，包括任何债权人可能代位提出的任何权利主张；但是，本段中的任何内容均不得被视为或解释为对本协议条款和条件的免除、放弃或解除。受托人确认，在生效日期（Effective Date）之后，其所发现的事实可能与受托人目前所知或认为真实的事实不同或有所补充。受托人同意，即使未来发现此类不同或补充的事实，本段所载的免责条款在各方面均应持续有效。\n\n(b) Clark Hill免责。在受托人收到和解金且破产法院批准本协议的前提下，Clark Hill受免责方在此无条件、绝对且不可撤销地免除和解除破产财产受免责方在本协议签署之日或之前的任何时间，因任何方式、起因或事由而对任何破产财产受免责方享有或曾享有的所有权利主张，Clark Hill受免责方的意图为不保留本协议项下的任何权利，并确保破产财产受免责方及其每一方免受任何性质及描述的每一项被免除权利主张的追究；但是，本段中的任何内容均不得被视为或解释为对本协议条款和条件的免除、放弃或解除。Clark Hill受免责方确认，在生效日期之后，其所发现的事实可能与其目前所知或认为真实的事实不同或有所补充。Clark Hill同意，即使未来发现此类不同或补充的事实，本段所载的免责条款在各方面均应持续有效。\n\n(c) 受托人陈述并保证，除在诉讼中提出的权利主张外，其不知晓其对任何Clark Hill受免责方可能享有的任何主张。\n\n- 5 -\n\n(d) Clark Hill陈述并保证，除与诉讼相关的权利主张外，其不知晓其对受托人或债务人破产财产可能享有的任何主张。\n\n6. 驳回受托人诉讼。\n\n在受托人收到和解金后五（5）日内，受托人和Clark Hill应根据《联邦民事诉讼规则》第41(a)(1)(ii)条在诉讼中提交驳回通知，以不可再诉（with prejudice）方式驳回诉讼，并应采取合理必要的其他及进一步行动，以使诉讼得以不可再诉方式被驳回。\n\n7. 一般陈述与保证。\n\n(a) 权限。下列签字各方保证，其有权代表本协议据此签署的一方订立并签署本协议以及本协议中包含的所有免责、陈述与保证，但受托人须以破产法院批准本协议为前提。\n\n(b) 律师建议。各方确认并保证，其已就本协议的条款咨询了各自的律师，且已完整阅读、完全理解并自愿接受本协议的条款，以实现对本协议所载的任何及所有主张进行全面和最终的妥协、和解及放弃。\n\n(c) 尽职调查。各方均已调查了本协议所载的事项，以及与本协议相关的所有其他事项。各方陈述并保证，其在订立本协议时未依赖本协议未作明文规定的任何承诺、协议、陈述、声明或保证。\n\n(d) 禁止转让。受托人保证并陈述，截至生效日期，其尚未且不会转让或让与本协议中免除的权利主张的全部或任何部分。\n\n(e) 不构成责任承认。本协议所载的任何内容均不得被任何一方视为对先前存在争议的任何事项、权利主张或抗辩的任何责任承认或缺乏事实依据的承认。\n\n(f) 费用。各方应自行承担与本协议以及与债务人破产案及诉讼相关或由此产生的所有其他事项有关的各自成本、收费和支出。各方均放弃其可能对另一方享有的寻求或索回与权利主张、本协议或诉讼相关或连带的任何成本、收费或支出（包括但不限于律师费）的任何权利。\n\n(g) 完整协议。本协议代表各方之间完整且全部的协议。任何未特别载入本协议或未载入根据本协议要求或预期交付的任何其他协议、文书、证明书或文件中的陈述、保证、承诺或条件（无论是书面还是口头形式），均不对各方具有约束力。所有其他讨论、谈判和书面材料均已并入且合并至本协议中。\n\n(h) 管辖法律及管辖权同意。本协议及本协议要求或预期的所有其他文件均应受纽约州（state of New York）法律管辖并据其解释，适用于完全在纽约州法律范围内订立和履行的合同，但不考虑其法律冲突规则。作为各方订立本协议的具体诱因，各方特此同意破产法院享有解决因本协议引起或与本协议相关的任何争议的专属管辖权，并放弃对在此类法院确定审理地点可能提出的任何异议，以及放弃提出此类诉讼系在不便法院提起的任何主张。\n\n(i) 送达各方的通知。\n\n根据本协议发出的所有通知均应通过专人送达；由信誉良好的隔夜快递服务进行隔夜送达；或通过电子邮件发送并附一份通过美国邮政（U.S. Mail）寄送的副本，送至以下地址（或若适用，该方可获得的最新地址）：\n\n此类通知必须发送至以下人员：\n\n若送至受托人：Paul Hastings LLP（普衡律师事务所） 收件人：Avram E. Luft 200 Park Ave New York, NY 10166 + 212 318 6079\naviluft@paulhastings.com\n\n若送至Clark Hill：Jenner & Block LLP（詹纳和布洛克律师事务所） 收件人：John Storino 353 N Clark Street Chicago, IL 60654 + 1 312 840 8683 JStorino@jenner.com\n\n8. 进一步必要行动。\n\n各方同意，在无需进一步对价的情况下，签署或促使签署并向另一方或其法律顾问交付任何其他文件，并采取可能必要的任何其他行动，以履行其各自在本协议项下的义务。受托人根据破产案中的受托人第2004条规则调查向Clark Hill送达了传票。受托人确认Clark Hill已提供了响应传票的文件，且受托人同意在破产案中不再向Clark Hill寻求进一步的证据开示。\n\n9. 适当解释。\n\n(a) 本协议所有部分的文字在所有情况下均应根据其公允含义作为一个整体进行解释，而不得严格作有利于或不利于任何一方的解释。\n\n(b) 本协议中使用的术语“或”应视为包括“和/或”一词，在上下文表明或要求时，单数或复数应视为包括另一方。\n\n(c) 本协议中使用的各节标题仅为参考方便而设，不得以任何方式扩展、限制、修改或以其他方式用于对本协议任何条款的解释。\n\n(d) 若本协议项下的截止日期适逢周末或法定法院假日，则截止日期应顺延至下一个非法定法院假日的平日。\n\n10. 陈述与保证的存续。\n\n本协议所载的所有陈述和保证应被视为持续有效，并在本协议履行完成后继续存续。\n\n11. 放弃或修改。\n\n(a) 除非由作出放弃的一方以书面形式签署，否则任何放弃均不具有约束力。对本协议任何条款的放弃均不得\n\n- 8 -\n\n被视为或构成对任何其他条款（无论是否相似）的放弃，任何放弃也不得构成持续的放弃。\n\n(b) 除非经双方正式签署书面文书，否则本协议或任何条款或规定均不得被更改、放弃、解除或终止。除非以书面形式并由双方签署，否则对本协议的任何补充、修改或修正均不具有约束力。本协议不能通过口头或默示的承诺或陈述予以修改。\n\n12. 副本签署。\n\n本协议可签署多份副本，所有副本的总和将构成一份单一协议。通过电子方式（包括电子邮件和传真）向另一方提供的各方正式授权签字人的签名副本，应视为原始签名。通过传真或电子邮件发送的本协议副本上的签名应被接受为对各方具有约束力。\n\n签署人：\n\n职务：","key_entities":["Kwok","Je","Ho Wan Kwok","Guo","Despins","Paul Hastings","Miles Guo","CIPA"],"ecf_references":[{"doc_number":1724,"court":"CTB"}],"word_count":3615,"status":"published","published_at":"2023-04-28 00:00:00","created_at":"2023-04-28","updated_at":"2026-08-23 13:47:24"}