{"id":"court_ctb_2112_0","court":"CTB","case_no":"22-50073","doc_number":2112,"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\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 July 26, 2023, Memorandum of Decision and Order Holding Individual Debtor in Contempt of Court and Denying Motion for Stay of Order Compelling Production (ECF No. 2035).\n\n## **I. Designation of Items to be Included in the Record on Appeal[1](#page-0-0)**\n\n- 1. July 26, 2023, Memorandum of Decision and Order Holding Individual Debtor in Contempt of Court and Denying Motion for Stay of Order Compelling Production (ECF No. 2035).\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 the Debtor [Doc. No. 636].\n\n<span id=\"page-0-0\"></span><sup>1</sup> The Debtor reserves the right to supplement this designation of items to include \"any order granting leave to appeal,\" Fed. R. Bankr. P. 8009(a)(4), as no such order has been issued to date.\n\n- 3. 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 Legal and Financial Advisors to the Debtor [Doc. No. 637].\n- 4. 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 the Debtor [Doc. No. 638].\n- 5. August 5, 2022, Debtor's Limited Objection to Rule 2004 Motions [Doc. No. 703].\n- 6. August 10, 2022, Chapter 11 Trustee's Reply in Support of Motions for Entry of Orders Under Bankruptcy Rule 2004 and Local Rule 2004-1 Authorizing Examinations of Debtor, Debtor's Legal and Financial Advisors, and Various Entities and Individuals Affiliated With Debtor, and for Production of Documents [Doc. No. 724].\n- 7. August 16, 2022, Order Granting Chapter 11 Trustee's Application For Rule 2004 Discovery With Respect to Various Legal and Financial Advisors to the Debtor [Doc. No. 756].\n- 8. October 28, 2022, Motion of Chapter 11 Trustee for Entry of Order Compelling Individual Debtor, [and Others] to Comply with Rule 2004 Subpoenas. [Doc. No. 1046].\n- 9. November 14, 2022 Joint Objection of the [Individual] Debtor, Mei Guo, and HK International Funds Investments (USA) Limited, LLC to Chapter 11 Trustee's Motion to Compel Compliance with Rule 2004 Subpoenas [Doc. No. 1090].\n- 10. Transcript of November 30, 2022, hearing before the Hon. Julie A. Manning [Doc. No. 1220].\n- 11. January 20, 2023 order Granting in Part Motion to Compel Compliance with Rule 2004 Subpoenas [Doc. No. 1353].\n- 12. February 7, 2023, Declaration of Mr. Ho Wan Kwok Concerning Invocation of Fifth Amendment Privilege in Regard to Rule 2004 Discovery [Exhibit A to Doc. No. 1444].\n- 13. February 10, 2023, Motion of Chapter 11 Trustee For Order to Show Cause Why Debtor … Should not be Held in Contempt of Court for Failure to Comply with Order Compelling Compliance with Rule 2004 Subpoenas and Sanctioned for Such Conduct [Doc. No. 1453].\n- 14. March 15, 2023, indictment in *United States v. Ho Wan Kwok et al.*, Southern District of New York Case Number S1 23 Cr. 118 (AT).\n- 15. March 29, 2023, superseding indictment in *United States v. Ho Wan Kwok et al.*, Southern District of New York Case Number S1 23 Cr. 118 (AT).\n- 16. April 10, 2023, Objection to the Chapter 11 Trustee's Motion for Order to Show Cause Why Debtor Should not be Held in Contempt [Doc. No. 1650].\n- 17. April 10, 2023, Motion for Limited Stay of Order Granting in Part Motion to Compel Compliance with Rule 2004 Subpoena [Doc. No.1649].\n- 18. April 17, 2023, Response to Debtor's Objection to Trustee's Motion for Order to Show Cause Why Debtor Should Not Be Held In Contempt [Doc. No. 1670].\n- 19. April 19, 2023, Objection to Debtor's Motion for Limited Stay of Order Granting in Part Motion to Compel Compliance with Rule 2004 Subpoena [Doc. No. 1680].\n- 20. Transcript of April 20, 2023, hearing before the Hon. Julie A. Manning [Doc. Nos. 1686, 1719].\n- 21. Transcript of April 27, 2023, hearing before the Hon. Julie A. Manning [Doc. Nos. 1715, 1754].\n- 22. Transcript of June 13, 2023, hearing before the Hon. Julie A. Manning [Doc. Nos. 1905, 1929].\n\n23. August 9, 2023, Notice of Appeal to District Court [Doc. No. 2072].\n\n24. August 9, 2023, Individual Debtor's Motion for Leave to File Appeal of Order Holding Individual Debtor in Contempt of Court and Denying Motion for Stay of Order Compelling Production [Doc. No. 2073].\n\n# **II. Statement of Issues To Be Presented**\n\n1. Whether the Bankruptcy Court erred in holding the Debtor in contempt because the\n\nRequired Records exception to the Act of Production Doctrine applies in this case.\n\nDated at Bridgeport, Connecticut, this 23rd day of August, 2023.\n\n# THE DEBTOR, HO WAN KWOK\n\nBy:*/s/ James M. Moriarty*  Eric Henzy (ct12849) James M. Moriarty (ct21876) Zeisler & Zeisler, P.C. 10 Middle Street, 15th Floor Bridgeport, Connecticut 06604 Telephone: (203) 368-4234 Facsimile: (203) 368-5487 Email: [ehenzy@zeislaw.com](mailto:ehenzy@zeislaw.com) [Jmoriarty@zeislaw.com](mailto:Jmoriarty@zeislaw.com) His Attorneys\n\n#### **CERTIFICATE OF SERVICE**\n\nI hereby certify that on August 23, 2023, 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 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 By: */s/ James M. Moriarty*  Eric Henzy (ct21876)","body_zh":"United States Bankruptcy Court District of Connecticut Bridgeport Division（美国康涅狄格区联邦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\n\n债务人。\n\n案号：22-50073 (JAM)\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焦点的声明\n\n依据《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）（以下简称“债务人”），由其下述签字律师事务所 Zeisler & Zeisler, P.C. 代表，就其对美国联邦破产法院 2023年7月26日 作出的《关于裁定个人债务人藐视法庭并驳回暂缓执行强制作出披露命令之动议的裁决备忘录与裁定》（ECF No. 2035）提起上诉一事，谨此提交关于列入上诉记录之事项的指定及拟提出之争议焦点的声明。\n\nI. 列入上诉记录之事项的指定[1]\n\n- 1. 2023年7月26日，《关于裁定个人债务人藐视法庭并驳回暂缓执行强制作出披露命令之动议的裁决备忘录与裁定》（ECF No. 2035）。\n- 2. 2022年7月28日，《第 11 章破产受托人关于依据〈破产规则〉第 2004 条及〈本地规则〉第 2004-1 条作出准予就债务人进行证据开示之裁定的综合动议》[Doc. No. 636]。\n\n1 鉴于迄今尚未签发准予上诉的裁定，债务人保留补充本指定事项以纳入“任何准予上诉许可之裁定”（《联邦破产诉讼程序规则》第 8009(a)(4) 条）的权利。\n\n- 3. 2022年7月28日，《第 11 章破产受托人关于依据〈破产规则〉第 2004 条及〈本地规则〉第 2004-1 条作出准予就债务人的多名法律和财务顾问进行证据开示之裁定的综合动议》[Doc. No. 637]。\n- 4. 2022年7月28日，《第 11 章破产受托人关于依据〈破产规则〉第 2004 条及〈本地规则〉第 2004-1 条作出准予就与债务人关联的多家实体及多名个人进行证据开示之裁定的综合动议》[Doc. No. 638]。\n- 5. 2022年8月5日，《债务人对第 2004 条动议的有限异议》[Doc. No. 703]。\n- 6. 2022年8月10日，《第 11 章破产受托人支持依据〈破产规则〉第 2004 条及〈本地规则〉第 2004-1 条作出准予对债务人、债务人的法律和财务顾问以及与债务人关联的多家实体及多名个人进行讯问并责令提交文件的裁定之动议的答辩状》[Doc. No. 724]。\n- 7. 2022年8月16日，《准予第 11 章破产受托人就债务人的多名法律和财务顾问进行第 2004 条证据开示之申请的裁定》[Doc. No. 756]。\n- 8. 2022年10月28日，《第 11 章破产受托人关于作出强令个人债务人[及其他人]遵守第 2004 条传票之裁定的动议》[Doc. No. 1046]。\n- 9. 2022年11月14日，《[个人]债务人、Mei Guo（郭美）及 HK International Funds Investments (USA) Limited, LLC（香港国际基金投资（美国）有限公司）对第 11 章破产受托人关于强令遵守第 2004 条传票之动议的联合异议》[Doc. No. 1090]。\n- 10. 2022年11月30日 Julie A. Manning 法官主持之听证会的庭审笔录 [Doc. No. 1220]。\n- 11. 2023年1月20日《部分准予关于强令遵守第 2004 条传票之动议的裁定》[Doc. No. 1353]。\n- 12. 2023年2月7日，《Ho Wan Kwok（郭文贵）先生关于在第 2004 条证据开示中援引第五修正案特权的声明》[Doc. No. 1444 附件 A]。\n- 13. 2023年2月10日，《第 11 章破产受托人关于要求债务人…说明因未遵守强令遵守第 2004 条传票之裁定而不应被裁定藐视法庭并受相应制裁之理由的命令的动议》[Doc. No. 1453]。\n- 14. 2023年3月15日，United States v. Ho Wan Kwok et al. 案（Southern District of New York（纽约南区），案号 S1 23 Cr. 118 (AT)）中的起诉书。\n- 15. 2023年3月29日，United States v. Ho Wan Kwok et al. 案（纽约南区，案号 S1 23 Cr. 118 (AT)）中的替代起诉书。\n- 16. 2023年4月10日，《对第 11 章破产受托人关于要求说明债务人不应被裁定藐视法庭之理由的命令的动议的异议》[Doc. No. 1650]。\n- 17. 2023年4月10日，《关于有限暂缓执行部分准予强令遵守第 2004 条传票之动议的裁定的动议》[Doc. No. 1649]。\n- 18. 2023年4月17日，《对债务人就受托人关于要求说明债务人不应被裁定藐视法庭之理由的命令的动议所提异议的回复》[Doc. No. 1670]。\n- 19. 2023年4月19日，《对债务人关于有限暂缓执行部分准予强令遵守第 2004 条传票之动议的裁定的动议的异议》[Doc. No. 1680]。\n- 20. 2023年4月20日 Julie A. Manning 法官主持之听证会的庭审笔录 [Doc. Nos. 1686, 1719]。\n- 21. 2023年4月27日 Julie A. Manning 法官主持之听证会的庭审笔录 [Doc. Nos. 1715, 1754]。\n- 22. 2023年6月13日 Julie A. Manning 法官主持之听证会的庭审笔录 [Doc. Nos. 1905, 1929]。\n\n23. 2023年8月9日，《向地方法院提起上诉的通知》[Doc. No. 2072]。\n\n24. 2023年8月9日，《个人债务人关于就裁定个人债务人藐视法庭并驳回暂缓执行强制作出披露命令之动议的裁定提出上诉许可的动议》[Doc. No. 2073]。\n\nII. 拟提出之争议焦点的声明\n\n1. 破产法院裁定债务人藐视法庭是否属于错误，因“提交行为原则”的“法定记录”例外规定适用于本案。\n\n2023年8月23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代表签署：/s/ James M. Moriarty  Eric Henzy (ct12849) James M. Moriarty (ct21876) Zeisler & Zeisler, P.C. 10 Middle Street, 15th Floor Bridgeport, Connecticut 06604 电话：(203) 368-4234 传真：(203) 368-5487 电子邮件：[ehenzy@zeislaw.com] [Jmoriarty@zeislaw.com] 其代理律师\n\n送达证书\n\n本人特此证明，于 2023年8月23日，前述文件之副本已通过法院的 CM/ECF 系统以电子方式归档。此归档通知将根据法院的电子归档系统运作，通过电子邮件发送给所有当事人，或按照《电子归档通知》所示，通过邮寄方式发送给任何无法接受电子归档的人员。各当事人可通过法院的 CM/ECF 系统查阅此归档文件。\n\n代表签署：/s/ James M. Moriarty  Eric Henzy (ct21876)","key_entities":["Kwok","Ho Wan Kwok","Je","Guo"],"ecf_references":[{"doc_number":2035,"court":"CTB"}],"word_count":1015,"status":"published","published_at":null,"created_at":null,"updated_at":"2026-08-23 12:39:21"}