{"id":"court_ctb_2342_0","court":"CTB","case_no":"22-50073","doc_number":2342,"sub_number":0,"doc_type":"ORDER","filed_date":"2023-01-18","title":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION | -------------------------------------------","summary_zh":"强制执行动议 —— Ho Wan Kwok 破产案（郭文贵 / Guo Wengui / Miles Guo），CTB 22-50073 ECF #2342（2023-01-18立案）。第 11 章破产受托人 Luc A. Despins 动议请求法院强制 Seacoast National Bank 遵守 Rule 2004 传票及调查命令。受托人指出该行仅提供了关联实体 HCHK 6 个账户中 4 个的对账单，且拒不交付反洗钱与了解客户（AML/KYC）合规记录，并以要求受托人支付律师费为由拖延履约。","summary_en":"Motion to Compel — In re Ho Wan Kwok (Miles Guo / Guo Wengui), CTB 22-50073 ECF #2342 (filed 2023-01-18). Chapter 11 Trustee Luc A. Despins moved for an order compelling Seacoast National Bank to comply with a Rule 2004 subpoena. The Trustee stated that Seacoast produced bank statements for only four of six accounts held by debtor-affiliated HCHK entities, failed to produce required AML/KYC compliance records, and improperly conditioned further compliance on payment of legal fees.","body_en":"# **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| ----------------------------------------------------------- | x           |                         |\n|-------------------------------------------------------------|-------------|-------------------------|\n| In re:                                                      | :<br>:      | Chapter 11              |\n| 1<br>HO WAN KWOK,<br>et al.,                                | :<br>:      | Case No. 22-50073 (JAM) |\n| Debtors.                                                    | :<br>:<br>: | (Jointly Administered)  |\n| ----------------------------------------------------------- | x           |                         |\n\n# **MOTION OF CHAPTER 11 TRUSTEE FOR ENTRY OF ORDER COMPELLING SEACOAST NATIONAL BANK. TO COMPLY WITH RULE 2004 SUBPOENA**\n\nLuc A. Despins, in his capacity as the chapter 11 trustee (the \"Trustee\") appointed in the Ho Wan Kwok's (the \"Debtor\") chapter 11 case (the \"Chapter 11 Case\"), hereby files this motion (the \"Motion to Compel\") for entry of an order, substantially in the form attached hereto as **Exhibit A** (the \"Proposed Order\"), pursuant to Rules 26 and 37 of the Federal Rules of Civil Procedure (the \"Federal Rules\"), and Rules 2004 and 9016 of the Federal Rules of Bankruptcy Procedure (the \"Bankruptcy Rules\") compelling Seacoast National Bank (\"Seacoast\") to comply with this Court's *Order Granting Third Supplemental Omnibus Motion for 2004 Examination* dated January 18, 2023 (ECF No. 1339, the \"Rule 2004 Order\") and with the Trustee's Subpoena of Seacoast issued pursuant to such order (the \"Seacoast Subpoena\"). A true and accurate copy of the Seacoast Subpoena is attached hereto as **Exhibit B**. In support of the Motion to Compel, the Trustee respectfully states as follows:\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## **FACTUAL BACKGROUND**\n\n### **I. Trustee's Rule 2004 Motions, Orders, and Subpoenas**\n\n1. On December 21, 2022, the Trustee filed his *Third Supplemental Omnibus Motion of Chapter 11 Trustee for Entry of Order Under Bankruptcy Rule 2004 and Local Rule 2004-1 Authorizing Discovery with Respect to Additional Entities and Individuals Affiliated with Debtor, Relevant Banks and Entities Doing Business with Debtor and Affiliated Entities* (the \"Third Omnibus 2004 Motion\") seeking discovery with respect to various individuals and entities doing business with the Debtor, and, as relevant here, banks at which the Debtor and persons and entities related to the Debtor are believed to have deposited funds or conducted financial transactions.\n\n2. Among these banks was the Seacoast. Seacoast held bank accounts in the name of entities affiliated with the Debtor, including HCHK Technologies Inc. and HCHK Property Management Inc. (collectively, the \"HCHK Entities\"). The HCHK Entities are (through a holding company) nominally owned by Yvette Wang, the Debtor's close associate and codefendant in the U.S. Government's billion-dollar criminal fraud and money-laundering case. Ms. Wang takes and has taken direction from the Debtor, and the HCHK Entities, just like numerous of the Debtor's other shell companies, are mere extensions of the Debtor himself, designed to conduct his business and keep his valuable assets from creditors. In the Court's *Order Granting Motion to Hold Debtor in Contempt of Corporate Governance Order* (ECF No. 1372, the \"Contempt Order\") entered January 24, 2023, the Court found, among other things, that: \"The Debtor has control over Ms. Wang. The [Individual] Debtor has employed Yvette Wang for several years, and has directed her to take actions on his behalf, including directing her to act on his behalf to purchase properties such as the Sherry-Netherland apartment.\" (Contempt Order at ¶ 4.)\n\n3. Seacoast did not object to the Third Omnibus 2004 Motion. The Third Omnibus 2004 Motion was granted by entry of the Rule 2004 Order on January 18, 2023. Pursuant to the Rule 2004 Order, the Trustee served Seacoast with the Seacoast Subpoena (which included a Request for Production of Documents) on January 30, 2023. 2 The Seacoast Subpoena required compliance on or before February 27, 2023.\n\n4. Following discussions between Trustee's counsel and Seacoast's counsel about the scope and timing of compliance, Seacoast produced certain documents responsive to the Seacoast Subpoena. The Trustee's review of the documents produced by Seacoast established that the HCHK Entities maintained at least six accounts with Seacoast. Of those six accounts, Seacoast produced bank statements from only four of the accounts.\n\n5. On November 9, 2023, the Trustee contacted Seacoast's counsel and requested full compliance with the Seacoast Subpoena, including the production of bank statements for the two HCHK Entity accounts for which no bank statements were produced.\n\n6. Seacoast has also failed to produce know-your-customer or anti-money-laundering compliance documents typically prepared and maintained by banks with accounts such as those maintained by the HCHK Entities. The Trustee requires production of these documents, as well, to the extent they exist.\n\n7. In emails on November 11, 2023, Seacoast's counsel demanded payment of legal fees purportedly incurred by Seacoast in connection with subpoena compliance as a condition for any further compliance. Seacoast has not provided any articulable basis for the proposition that obtaining documents responsive to the Seacoast Subpoena (*i.e.*, records with respect to accounts maintained at Seacoast by the HCHK Entities) constitutes legal work for which legal fees would\n\n<sup>2</sup> In an email dated January 26, 2023, counsel for Seacoast consented to receive service of the Seacoast Subpoena via email.\n\nbe incurred at all. Nor has Seacoast provided any authority for the proposition that the Trustee should be required to fund Seacoast's outside counsel under these circumstances.\n\n8. Trustee's counsel thus declined Seacoast's demand and reiterated that Seacoast must comply with the Seacoast Subpoena.\n\n9. The Trustee has issued subpoenas to more than 40 financial institutions that did business with entities and individuals associated with the Debtor. *None of those subpoenaed institutions has required the Trustee to pay its legal fees as a condition to compliance with the Trustee's subpoenas.*\n\n10. The vast majority of these more than 40 financial institutions complied with the subpoena without utilizing outside counsel at all. Indeed, some financial institutions did not (to the Trustee's knowledge) involve counsel (whether outside or internal) whatsoever but simply had records clerks obtain the responsive materials and provide them to the Trustee.\n\n11. On Friday, November 10, counsel for the Trustee and counsel for Seacoast conferred by telephone to discuss the parties' respective positions and determine whether their differences could be resolved by agreement or narrowed for the Court's consideration. Flynn Decl. ¶ 3. Seacoast maintained its position that it would comply with the Seacoast Subpoena only if its legal fees were reimbursed.\n\n12. None of the more than 40 other financial institutions from which the Trustee has sought discovery has taken the position that locating accountholder records constitutes legal research. Nor is it.\n\n13. Considering Seacoast's position with respect to compliance, the Trustee is compelled to seek compliance by this Motion.\n\n4\n\n### **JURISDICTION AND VENUE**\n\n14. The Court has jurisdiction to consider this matter under 28 U.S.C. §§ 157 and 1334. Venue is proper in accordance with 28 U.S.C. §§ 1408 and 1409. This is a core proceeding pursuant to, *inter alia*, 28 U.S.C. § 157(b)(2) (A), (E), and (O).\n\n## **RELIEF REQUESTED**\n\n15. The Trustee seeks entry of the Proposed Order compelling Seacoast to comply with the Seacoast Subpoena within seven (7) days.\n\n### **BASIS FOR RELIEF**\n\n### **I. Seacoast Must Comply Fully with the Seacoast Subpoena.**\n\n16. The Trustee is tasked with investigating the Debtor's assets and affairs for the benefit of the Debtor's creditors. \"The purpose of a Rule 2004 examination is to assist a party in interest in determining the nature and extent of the bankruptcy estate, revealing assets, examining transactions and assessing whether wrongdoing has occurred.\" *In re Transmar Commodity Grp. Ltd.*, Case No. 16-13625-JLG, 2018 WL 4006324, at \\*4 (Bankr. S.D.N.Y. Aug. 17, 2018) (internal quotation and citation omitted). This includes revealing the nature and extent of the estate and in discovering assets of the debtor that may have been intentionally or unintentionally concealed. *In re Bennett Funding Grp., Inc.*, 203 B.R. 24, 27-28 (Bankr. N.D.N.Y. 1996); *see also In re Millennium Lab Holdings II, LLC*, 562 B.R. 614, 626 (Bankr. D. Del. 2016) (\"Legitimate goals of Rule 2004 examinations include discovering assets, examining transactions, and determining whether wrongdoing has occurred.\") (internal quotation and citation omitted)); *id.* (noting that \"[u]nlike traditional discovery, which narrowly focuses on the issues germane to the dispute, the scope of Rule 2004 is broad and unfettered, and has been likened to a fishing expedition and an inquisition\") (internal citations and punctuation omitted); Fed. R. Bankr. P. 2004(b) (authorizing\n\nscope of 2004 examinations \"relat[ing] . . . to . . . property . . . and financial condition of the debtor, or to *any matter* which may affect the administration of the debtor's estate\") (emphasis added).\n\n17. Seacoast has documents relevant to the Trustee's investigation, including, among other things, documents associated with accounts held by the HCHK Entities that were used to conduct business for or related to the Individual Debtor. Accordingly, the Trustee obtained the Rule 2004 Order and served Seacoast with the Seacoast Subpoena. Seacoast has no cause to delay or refuse complete compliance with the Seacoast Subpoena. The Court should thus compel Seacoast's full compliance therewith.\n\n18. None of the more than 40 other financial institutions that the Trustee has subpoenaed have insisted that the Trustee fund the costs of their outside counsel as a condition of compliance with the Trustee's subpoenas served under Bankruptcy Rule 2004. Nor is the act of obtaining accountholder records in compliance with a validly issued subpoena legal work.<sup>3</sup>\n\n19. Trustee's counsel also explained to counsel for Seacoast that the Trustee—as a court-appointed fiduciary to the estate in a chapter 11 case—is not permitted to simply fund the legal fees of third parties without Court approval, even if such requests were reasonable—much less here, where Seacoast's demand is plainly unreasonable.\n\n### **NO PRIOR REQUEST**\n\n20. The Trustee has not previously sought the relief requested herein from this or any other court.\n\n<sup>3</sup> Seacoast is, of course, free to retain outside counsel to provide whatever services it wishes—including to assist it in compliance with the Seacoast Subpoena. The issue here is whether Seacoast may insist that the Trustee pay its outside counsel as a condition of its compliance with the Seacoast Subpoena. Seacoast may not.\n\n## **CERTIFICATION OF COUNSEL**\n\n21. As set forth above, and in the Declaration of Robert B. Flynn filed herewith, counsel for the Trustee has conferred with Seacoast in good faith in an effort to resolve the dispute at issue in this Motion without success.\n\n[*Remainder of Page Intentionally Left Blank*]\n\nWHEREFORE, for the foregoing reasons, the Trustee respectfully requests entry of the Proposed Order granting the relief requested in this Motion to Compel and such other relief as is just and proper.\n\nDated: November 15, 2023 LUC A. DESPINS,\n\nNew Haven, Connecticut CHAPTER 11 TRUSTEE\n\nBy: */s/ Patrick R. Linsey* Patrick R. Linsey (ct29437) NEUBERT, PEPE & MONTEITH, P.C. 195 Church Street, 13th Floor New Haven, Connecticut 06510 (203) 781-2847 plinsey@npmlaw.com\n\n# **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| ----------------------------------------------------------- | x           |                         |\n|-------------------------------------------------------------|-------------|-------------------------|\n| In re:                                                      | :<br>:      | Chapter 11              |\n| 4<br>HO WAN KWOK,<br>et al.,                                | :<br>:      | Case No. 22-50073 (JAM) |\n| Debtors.                                                    | :<br>:<br>: | (Jointly Administered)  |\n| ----------------------------------------------------------- | x           |                         |\n\n# **DECLARATION OF ROBERT B. FLYNN IN SUPPORT OF MOTION OF CHAPTER 11 TRUSTEE FOR ENTRY OF ORDER COMPELLING SEACOAST NATIONAL BANK TO COMPLY WITH RULE 2004 SUBPOENA**\n\nI, Robert B. Flynn, declare:\n\n1. I am an attorney admitted to practice law in the State of Connecticut and an principal of the law firm of Neubert, Pepe & Monteith, P.C., and counsel for Luc A. Despins as Chapter 11 Trustee (the \"Trustee\"). I respectfully submit this declaration in support of the *Motion of Chapter 11 Trustee for Entry of Order Compelling Seacoast National Bank to Comply with Rule 2004 Subpoenas* (the \"Motion\").\n\n2. Pursuant to the Rule 2004 Order, the Trustee served Seacoast National Bank (\"Seacoast\") with a Subpoena for Rule 2004 Examination with appended Request for Production of Documents (collectively, the \"Seacoast Subpoena\").\n\n<sup>4</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\n3. On Friday, November 10, 2023, counsel for the Trustee and counsel for Seacoast conferred by telephone to discuss the parties' respective positions and determine whether the dispute at issue in the Motion could be resolved by agreement or narrowed for the Court's consideration. Seacoast maintained its position that it would complete compliance with the Seacoast Subponea only if its legal fees were reimbursed. The parties neither resolved nor narrowed the issues in dispute during their conference.\n\nPursuant to 28 U.S.C. § 1746, to the best of my knowledge, information and belief, and after reasonable inquiry, I declare under penalty of perjury that the foregoing is true and correct.\n\nDated: November 15, 2023 New Haven, Connecticut Respectfully submitted,\n\nB */s/ Robert B. Flynn* Robert B. Flynn (ct15803) NEUBERT, PEPE & MONTEITH, P.C. 195 Church Street, 13th Floor New Haven, Connecticut 06510 (203) 781-2847 rflynn@npmlaw.com\n\n# **EXHIBIT A**\n\n# **PROPOSED ORDER**\n\n# **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| ----------------------------------------------------------- | x           |                         |\n|-------------------------------------------------------------|-------------|-------------------------|\n| In re:                                                      | :<br>:      | Chapter 11              |\n| 1<br>HO WAN KWOK,<br>et al.,                                | :<br>:<br>: | Case No. 22-50073 (JAM) |\n| Debtors.                                                    | :<br>:      | (Jointly Administered)  |\n| ----------------------------------------------------------- | x           |                         |\n\n# **[PROPOSED] ORDER COMPELLING SEACOAST NATIONAL BANK TO COMPLY WITH RULE 2004 SUBPOENA AND AWARDING SANCTIONS**\n\nUpon consideration of the Motion seeking an order compelling Seacoast National Bank (\"Seacoast\") to comply with the Court's *Order Granting Third Supplemental Omnibus Motion for 2004 Examination* dated January 18, 2023 (ECF No. 1339, the \"Rule 2004 Order\") and with the subpoena (the \"Seacoast Subpoena\") the Trustee issued to Seacoast pursuant to the Rule 2004 Order, after notice and a hearing, *see* 11 U.S.C. § 102(1), it appearing that cause exists to grant the requested relief as conditioned hereafter; it is hereby\n\n**ORDERED**: The Motion is granted as set forth below.\n\n**ORDERED**: Seacoast shall fully comply with the Seacoast Subpoena within seven (7) days of the entry of this Order.\n\n**ORDERED**: Seacoast shall be responsible for its own costs with respect to compliance with the Seacoast Subpoena, including, without limitation, with respect to any counsel fees incurred.\n\nDated: \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_, 2023\n\nJulie A. Manning, United States Bankruptcy Judge\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\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# **EXHIBIT B**\n\n# **SEACOAST SUBOPENA**\n\n#### B2540 (Form 2540 – Subpoena for Rule 2004 Examination) (12/15) Case 22-50073 Doc 2342 Filed 11/15/23 Entered 11/15/23 23:37:09 Page 14 of 31\n\nUNITED STATES BANKRUPTCY COURT\n\n**District of Connecticut**\n\nIn re HO WAN KWOK, *et al*.,\n\n<sup>1</sup> Case No. 22-50073 (JAM)\n\nDebtor Chapter 11\n\n(Jointly Administered)\n\n# **SUBPOENA FOR RULE 2004 EXAMINATION**\n\n### To: **Seacoast National Bank**\n\n(*Name of person to whom the subpoena is directed*)\n\n*Testimony:* **YOU ARE COMMANDED** to appear at the time, date, and place set forth below to testify at an examination under Rule 2004, Federal Rules of Bankruptcy Procedure. A copy of the court order authorizing the examination is attached.\n\n| PLACE                          | DATE AND TIME |\n|--------------------------------|---------------|\n| Neubert, Pepe & Monteith, P.C. |               |\n| 195 Church Street              | [TBD]         |\n| New Haven, Connecticut 06510   |               |\n|                                |               |\n\nThe examination will be recorded by this method: **Court reporter/stenographer**\n\n*Production:* You, or your representatives, must also bring with you to the examination the following documents, electronically stored information, or objects, and must permit inspection, copying, testing, or sampling of the material:\n\n#### **See Requests for Production of Documents, attached hereto.**\n\nThe following provisions of Fed. R. Civ. P. 45, made applicable in bankruptcy cases by Fed. R. Bankr. P. 9016, are attached – Rule 45(c), relating to the place of compliance; Rule 45(d), relating to your protection as a person subject to a subpoena; and Rule 45(e) and 45(g), relating to your duty to respond to this subpoena and the potential consequences of not doing so.\n\nDate: **December , 2022** January 24, 2023\n\nCLERK OF COURT\n\nOR\n\n*Signature of Clerk or Deputy Clerk Attorney's signature*\n\nThe name, address, email address, and telephone number of the attorney representing Luc A. Despins, Chapter 11 Trustee, who issues or requests this subpoena, are:\n\n**Douglas S. Skalka, Esq.; Neubert, Pepe & Monteith, P.C.; 195 Church Street, New Haven, Connecticut 06510 dskalka@npmlaw.com; (203) 821-2000** Patrick R. Linsey, Esq.; Neubert, Pepe & Monteith, P.C.; 195 Church Street, 13th Floor, New Haven, CT 06510; plinsey@npmlaw.com; (203) 781-2847\n\n#### **Notice to the person who issues or requests this subpoena**\n\nIf this subpoena commands the production of documents, electronically stored information, or tangible things, or the inspection of premises before trial, a notice and a copy of this subpoena must be served on each party before it is served on the person to whom it is directed. Fed. R. Civ. P. 45(a)(4).\n\nSoftware Copyright (c) 1996-2022 Best Case, LLC - www.bestcase.com Best Case Bankruptcy 1 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| Case 22-50073 | Doc 2342 | Filed 11/15/23 | Entered 11/15/23 23:37:09 | Page 15 of 31 |\n|---------------|----------|----------------|---------------------------|---------------|\n|               |          |                |                           |               |\n\n| PROOF OF SERVICE<br>(This section should not be filed with the court unless required by Fed. R. Civ. P. 45.) |                                                                            |                                                                               |                                                                                                                                                   |\n|--------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------|-------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------|\n| on (date)                                                                                                    | I received this subpoena for (name of individual and title, if any):       |                                                                               |                                                                                                                                                   |\n|                                                                                                              | I served the subpoena by delivering a copy to the named person as follows: |                                                                               |                                                                                                                                                   |\n|                                                                                                              | on                                                                         | (date)                                                                        | ; or                                                                                                                                              |\n|                                                                                                              | I returned the subpoena unexecuted because:                                |                                                                               |                                                                                                                                                   |\n|                                                                                                              | one day's attendance, and the mileage allowed by law, in the amount of \\$  |                                                                               | Unless the subpoena was issued on behalf of the United States, or one of its officers or agents, I have also tendered to the witness the fees for |\n| My fees are \\$                                                                                               | for travel and \\$                                                          | for services, for a total of \\$                                               |                                                                                                                                                   |\n|                                                                                                              |                                                                            | I declare under penalty of perjury that this information is true and correct. |                                                                                                                                                   |\n| Date:                                                                                                        |                                                                            |                                                                               |                                                                                                                                                   |\n|                                                                                                              |                                                                            |                                                                               | Server's signature                                                                                                                                |\n\n*Printed name and title*\n\n*Server's address*\n\nAdditional information concerning attempted service, etc.:\n\n#### **Federal Rule of Civil Procedure 45(c), (d), (e), and (g) (Effective 12/1/13) (made applicable in bankruptcy cases by Rule 9016, Federal Rules of Bankruptcy Procedure)**\n\n#### **(c) Place of compliance.**\n\n*(1) For a Trial, Hearing, or Deposition.* A subpoena may command a person to attend a trial, hearing, or deposition only as follows:\n\n(A) within 100 miles of where the person resides, is employed, or regularly transacts business in person; or\n\n(B) within the state where the person resides, is employed, or regularly transacts business in person, if the person\n\n(i) is a party or a party's officer; or\n\n(ii) is commanded to attend a trial and would not incur substantial expense.\n\n*(2) For Other Discovery.* A subpoena may command:\n\n(A) production of documents, or electronically stored information, or things at a place within 100 miles of where the person resides, is employed, or regularly transacts business in person; and\n\n(B) inspection of premises, at the premises to be inspected.\n\n#### **(d) Protecting a Person Subject to a Subpoena; Enforcement.**\n\n*(1) Avoiding Undue Burden or Expense; Sanctions.* A party or attorney responsible for issuing and serving a subpoena must take reasonable steps to avoid imposing undue burden or expense on a person subject to the subpoena. The court for the district where compliance is required must enforce this duty and impose an appropriate sanction which may include lost earnings and reasonable attorney's fees — on a party or attorney who fails to comply.\n\n#### *(2) Command to Produce Materials or Permit Inspection.*\n\n*(A) Appearance Not Required.* A person commanded to produce documents, electronically stored information, or tangible things, or to permit the inspection of premises, need not appear in person at the place of production or inspection unless also commanded to appear for a deposition, hearing, or trial.\n\n*(B) Objections.* A person commanded to produce documents or tangible things or to permit inspection may serve on the party or attorney designated in the subpoena a written objection to inspecting, copying, testing or sampling any or all of the materials or to inspecting the premises — or to producing electronically stored information in the form or forms requested. The objection must be served before the earlier of the time specified for compliance or 14 days after the subpoena is served. If an objection is made, the following rules apply:\n\n(i) At any time, on notice to the commanded person, the serving party may move the court for the district where compliance is required for an order compelling production or inspection.\n\n(ii) These acts may be required only as directed in the order, and the order must protect a person who is neither a party nor a party's officer from significant expense resulting from compliance.\n\n#### *(3) Quashing or Modifying a Subpoena.*\n\n*(A) When Required.* On timely motion, the court for the district where compliance is required must quash or modify a subpoena that:\n\n(i) fails to allow a reasonable time to comply;\n\n(ii) requires a person to comply beyond the geographical limits specified in Rule 45(c);\n\n(iii) requires disclosure of privileged or other protected matter, if no exception or waiver applies; or\n\n(iv) subjects a person to undue burden.\n\n*(B) When Permitted.* To protect a person subject to or affected by a subpoena, the court for the district where compliance is required may, on motion, quash or modify the subpoena if it requires:\n\n(i) disclosing a trade secret or other confidential research, development, or commercial information; or\n\n(ii) disclosing an unretained expert's opinion or information that does not describe specific occurrences in dispute and results from the expert's study that was not requested by a party.\n\n(C) *Specifying Conditions as an Alternative.* In the circumstances described in Rule 45(d)(3)(B), the court may, instead of quashing or modifying a subpoena, order appearance or production under specified conditions if the serving party:\n\n(i) shows a substantial need for the testimony or material that cannot be otherwise met without undue hardship; and\n\n(ii) ensures that the subpoenaed person will be reasonably compensated.\n\n#### **(e) Duties in Responding to a Subpoena.**\n\n*(1) Producing Documents or Electronically Stored Information.* These procedures apply to producing documents or electronically stored information:\n\n*(A) Documents.* A person responding to a subpoena to produce documents must produce them as they are kept in the ordinary course of business or must organize and label them to correspond to the categories in the demand.\n\n*(B) Form for Producing Electronically Stored Information Not Specified.* If a subpoena does not specify a form for producing electronically stored information, the person responding must produce it in a form or forms in which it is ordinarily maintained or in a reasonably usable form or forms.\n\n*(C) Electronically Stored Information Produced in Only One Form.* The person responding need not produce the same electronically stored information in more than one form.\n\n*(D) Inaccessible Electronically Stored Information.* The person responding need not provide discovery of electronically stored information from sources that the person identifies as not reasonably accessible because of undue burden or cost. On motion to compel discovery or for a protective order, the person responding must show that the information is not reasonably accessible because of undue burden or cost. If that showing is made, the court may nonetheless order discovery from such sources if the requesting party shows good cause, considering the limitations of Rule 26(b)(2)(C). The court may specify conditions for the discovery.\n\n#### *(2) Claiming Privilege or Protection.*\n\n*(A) Information Withheld.* A person withholding subpoenaed information under a claim that it is privileged or subject to protection as trial-preparation material must:\n\n(i) expressly make the claim; and\n\n(ii) describe the nature of the withheld documents, communications, or tangible things in a manner that, without revealing information itself privileged or protected, will enable the parties to assess the claim.\n\n*(B) Information Produced.* If information produced in response to a subpoena is subject to a claim of privilege or of protection as trial-preparation material, the person making the claim may notify any party that received the information of the claim and the basis for it. After being notified, a party must promptly return, sequester, or destroy the specified information and any copies it has; must not use or disclose the information until the claim is resolved; must take reasonable steps to retrieve the information if the party disclosed it before being notified; and may promptly present the information under seal to the court for the district where compliance is required for a determination of the claim. The person who produced the information must preserve the information until the claim is resolved.\n\n**(g) Contempt.** The court for the district where compliance is required – and also, after a motion is transferred, the issuing court – may hold in contempt a person who, having been served, fails without adequate excuse to obey the subpoena or an order related to it.\n\nFor access to subpoena materials, see Fed.R.Civ.P.45(a) Committee Note (2013)\n\n…\n\n# **Request for Production of Documents**\n\n## **I. INSTRUCTIONS**\n\n1. Unless otherwise indicated, the requests for documents set forth below, (the \"Requests,\" and each, a \"Request\"), must be responded to separately and specifically. Each Request shall be answered fully unless it is in good faith objected to, in which event the reason for Your objection shall be stated in detail, as set forth below. If an objection pertains only to a portion of a Request, or a word, phrase or clause contained within it, You are required to state Your objection to that portion only and to respond to the remainder of the Requests.\n\n2. Electronically stored information must be produced in accordance with the\n\nfollowing instructions:\n\n- a. Images. Black and white images must be 300 DPI Group IV single-page TIFF files. Color images must be produced in JPEG format. File names cannot contain embedded spaces or special characters (including the comma). Folder names cannot contain embedded spaces or special characters (including the comma). All TIFF image files must have a unique file name, i.e. Bates number. Images must be endorsed with sequential Bates numbers in the lower right corner of each image. The number of TIFF files per folder should not exceed 1000 files. Excel spreadsheets should have a placeholder image named by the Bates number of the file.\n- b. Image Load File\n\t- a. Concordance® Data File. The data file (.DAT) contains all of the fielded information that will be loaded into the Concordance® database. The first line of the .DAT file must be a header row identifying the field names. The .DAT file must use the following Concordance® default delimiters: Comma ASCII character (020) Quote þ ASCII character (254). Date fields should be provided in the format: mm/dd/yyyy. Date and time fields must be two separate fields. If documents includes imaged emails and attachments, the attachment fields must be included to preserve the parent/child relationship between an email and its attachments. An OCRPATH field must be included to provide the file path and name of the extracted text file on the produced storage media. The text file must be named after the FIRSTBATES. Do not include the text in the .DAT file. For Documents with native files, a LINK field must be included to provide the file path and\n\nname of the native file. The native file must be named after the FIRSTBATES.\n\n- b. Concordance Image® OR Opticon Cross-Reference File. The image crossreference file (.LOG or .OPT) links the images to the database records. It should be a comma-delimited file consisting of seven fields per line with a line in the cross-reference file for every image in the database with the following format: ImageID,VolumeLabel,ImageFilePath,DocumentBreak,FolderBreak,Box Break,PageCoun.\n- c. Document Text. Text must be produced as separate text files, not as fields within the .DAT file. The full path to the text file (OCRPATH) should be included in the .DAT file. It is recommended document level ANSI text files, named per the FIRSTBATES/Image Key. Extracted text files must be in a separate folder, and the number of text files per folder should not exceed 1,000 files. There should be no special characters (including commas in the folder names). Text files must be provided on a document level.\n- d. Native Production for Certain File Types. File types that reasonably require viewing in their native format for a full understanding of their content and meaning must be produced in native format. These include, but are not limited to, spreadsheets, spreadsheet-like files (Microsoft Excel, comma separated values, tab separated values, etc.), Microsoft PowerPoint or other special presentation files, database files, and audio/visual files. Provide an image of a Bates numbered slip sheet indicating the presence of a native file, and include the path to the native as a field in the .dat file. Name the produced native file with the Bates number corresponding to the slip sheet for the file. Group native files within incrementally named \"NATIVE\" directories, separate from images directories.\n- e. De-duplication. Produce a single copy of each electronic document for which exact duplicates exist. For email messages, consolidate duplicates based on MD5 hash generated from the BCC, Body, CC, From, IntMsgID, To, and Attach properties. For email attachments and standalone electronic files, consolidate duplicates based on MD5 hash of the entire file.\n- f. Metadata. Produce extracted metadata for each document in the form of a Concordance compliant load file (.dat). The first line of the .DAT file must be a header row identifying the field names. The .DAT file must use the following Concordance default delimiters: Comma , ASCII character (020) Quote þ ASCII character (254)\n\nDate fields should be provided in the format: mm/dd/yyyy. Date and time fields must be two separate fields. Required metadata listed below:\n\n| Field Name   | Sample Data               | Description                                                 |\n|--------------|---------------------------|-------------------------------------------------------------|\n| FIRSTBATES   | EDC0000001                | First Bates number of native file document/email            |\n| LASTBATES    | EDC0000001                | Last Bates number of native file document/email             |\n|              |                           | **The LASTBATES field should be populated                   |\n|              |                           | for single page                                             |\n| ATTACHRANGE  | EDC0000001<br>-           | Bates number of the first page of the parent                |\n|              | EDC0000015                | document to the Bates number of the last page of            |\n|              |                           | the last attachment \"child\" document                        |\n| BEGATTACH    | EDC0000001                | First Bates number of attachment range                      |\n| ENDATTACH    | EDC0000015                | Last Bates number of attachment range                       |\n| CUSTODIAN    | Smith, John               | Email: Mailbox where the email resided                      |\n|              |                           | Native: Name of the individual or department                |\n|              |                           | from whose files the document<br>originated                 |\n| FROM         | John Smith                | Email: Sender                                               |\n|              |                           | Native: Author(s) of document                               |\n|              |                           | **semi-colon should be used to separate                     |\n|              |                           | multiple entries                                            |\n| TO           | Coffman, Janice; LeeW     | Recipient(s)                                                |\n|              | [mailto:LeeW@MSN.com]     | **semi-colon should be used to separate multiple            |\n|              |                           | entries                                                     |\n| CC           | Frank Thompson [mailto:   | Carbon copy recipient(s)                                    |\n|              | frank_Thompson@cdt.com]   | **semi-colon should be used to separate                     |\n|              |                           | multiple entries                                            |\n| BCC          | John Cain                 | Blind carbon copy recipient(s)                              |\n|              |                           | **semi-colon should be used to separate                     |\n|              |                           | multiple entries                                            |\n| SUBJECT      | Board Meeting Minutes     | Email: Subject line of the email Native: Title              |\n|              |                           | of document (if available)                                  |\n| FILE_NAME    | BoardMeetingMinutes.docx  | Native: Name of the original native file,                   |\n|              |                           | including extension                                         |\n| DATE_SENT    | 10/12/2010                | Email: Date the email was sent                              |\n|              |                           | Native: (empty)                                             |\n| TIME_SENT/   | 07:05 PM GMT              | Email: Time the email was sent/ Time zone in                |\n| TIME_ZONE    |                           | which the emails were standardized                          |\n| TIME_ZONE    | GMT                       | The<br>time<br>zone<br>in<br>which<br>the<br>emails<br>were |\n|              |                           | standardized during conversion.                             |\n| LINK         | >EDC0000001.msg | Hyperlink to the email or native file document              |\n|              |                           | **The linked file must be named per the                     |\n|              |                           | FIRSTBATES number                                           |\n| FILE_EXTEN   | MSG                       | The file type extension                                     |\n|              |                           | representing                                                |\n|              |                           | the Email or                                                |\n| AUTHOR       | John Smith                | Email: (empty)                                              |\n|              |                           | Native: Author of the document                              |\n| DATE_CREATED | 10/10/2010                | Email: (empty)                                              |\n|              |                           | Native: Date the document was created                       |\n\n| TIME_CREATED | 10:25 AM                  | Email: (empty)                                  |\n|--------------|---------------------------|-------------------------------------------------|\n|              |                           | Native: Time the document was created           |\n|              |                           | **This data must be a separate field and cannot |\n|              |                           | be combined with the DATE_CREATED field         |\n| DATE_MOD     | 10/12/2010                | Email: (empty)                                  |\n|              |                           | Native: Date the document was last modified     |\n| TIME_MOD     | 07:00 PM                  | Email: (empty)                                  |\n|              |                           | Native: Time the document was last modified     |\n|              |                           | **This data must be a separate field and cannot |\n|              |                           | be combined with the DATE_MOD field             |\n| DATE_ACCESSD | 10/12/2010                | Email: (empty)                                  |\n|              |                           | Native: Date the document was last accessed     |\n| TIME_ACCESSD | 07:00 PM                  | Email: (empty)                                  |\n|              |                           | Native: Time the document was last accessed     |\n|              |                           | **This data must be a separate field and cannot |\n|              |                           | be combined with the DATE_ACCESSD field         |\n| FILE_SIZE    | 5,952                     | Size of native file document/email in KB        |\n| PGCOUNT      | 1                         | Number of pages in native file document/email   |\n| PATH         |   | Email: (empty)                                  |\n|              | Agenda.doc                | Native: Path where native file document was     |\n|              |                           | stored including original file name.            |\n| INTFILEPATH  | Personal Folders\\Deleted  | Email: original location of email including     |\n|              | Items\\Board Meeting       | original file name.                             |\n|              | Minutes.msg               | Native: (empty)                                 |\n| INTMSGID     | <000805c2c71b\\$75977050\\$ | Email: Unique Message ID Native: (empty)        |\n|              | cb8306d1@MSN>             |                                                 |\n| MD5HASH      | d131dd02c5e6eec4693d9a0   | MD5 Hash value of the document.                 |\n|              | 698aff95c                 |                                                 |\n|              | 2fcab58712467eab4004583e  |                                                 |\n|              | b8fb7f89                  |                                                 |\n| OCRPATH      | TEXT/001/EDC0000001.txt   | Path to extracted text of the native file       |\n\n3. Each Request operates and should be construed independently and, unless otherwise indicated, no Request limits the scope of any other Request.\n\n4. All Documents are to be produced as kept in the usual course of business or are to be organized and labeled to correspond with the categories in these Requests.\n\n5. Each Request contained herein extends to all Documents: (a) in Your possession, custody, or control; or (b) in the possession, custody, or control of anyone acting on Your behalf, including Your counsel or other representatives and advisors. Each Document shall be produced in its entirety.\n\n6. If You are requested to produce a Document that is no longer in Your possession, custody, or control, then Your response must (a) describe in detail the nature of the document and its contents; (b) identify the person(s) who prepared or authored the Document (and, if applicable, the Person(s) to whom the Document was sent); (c) identify the date on which the document was prepared or created; (d) state whether such Document (i) is missing or lost, (ii) has been destroyed, (iii) has been transferred, voluntarily or involuntarily, to others, or (iv) was otherwise disposed of; (e) state the reason for, and the facts and circumstances surrounding, such disposition; (f) identify the Persons who authorized such disposition; (g) identify the date or approximate date of such disposition; (h)state when the Document was most recently in Your possession, custody or control; and (i) identify the Person, if any, presently in possession, custody, or control of such Document.\n\n7. If You are requested to produce a Document that has been destroyed, then Your response must state, in addition to the information required by the preceding Instruction: (a) the reason for the Document's destruction; (b) the identity of the Person who destroyed the Document; and (c) the identity of the Person who directed that the Document be destroyed.\n\n8. If You claim that a requested Document is privileged or attorney work-product, then Your response must: (a) state (i) a description of the Document adequate to support Your contention that the Document is privileged, (ii) the title of the Document, (iii) the date of the Document, (iv) the author of the Document, (v) the addressee of the Document, (vi) the identity of each Person who received or saw the original or any draft, copy, or reproduction of the Document, (vii) whether the Document itself, or any information contained or referred to in the Document is in the possession, custody, or control of any other Persons, and if so, the identity of\n\nsuch Persons, as well as a statement addressing how the information came into their possession, (viii) the claim of privilege under which the Document is withheld, and (ix) all of the circumstances upon which You will rely to support such claim of privilege; and (b) produce a privilege log containing all of the information requested in Part (a) of this Instruction for each Document withheld on the basis of a claim of privilege in accordance with D. Conn. L. Civ. R. 26(e). For any part of a Document Request as to which a claim of privilege or work product is not made, responsive documents should be provided in full.\n\n9. If a portion of an otherwise responsive Document contains information subject to a claim of privilege, only that portion of the Document subject to the claim of privilege shall be deleted or redacted from the Document following the instructions above, and the rest shall be produced.\n\n10. The Requests are continuing in nature. You are hereby instructed to (a) supplement or correct any responses later learned to be incomplete or incorrect immediately upon learning that a prior response was incomplete or incorrect; and (b) produce any additional Documents that are called for under the\n\n11. If a Document is in a language other than English, You should provide that Document. If a Document is in a language other than English, and an English translation exists, You should provide both Documents.\n\n12. All references to Entities includes all affiliates thereof.\n\n13. All references to individual names include all alternative names, aliased, or nicknames.\n\n6\n\n14. Unless otherwise expressly indicated, the period of time covered by the Document Requests is the period from February 5, 2012 to the date responses to the Document Requests are due.\n\n### **II. RULES OF CONSTRUCTION**\n\n15. The use of (a) any singular noun shall be construed to include the plural, and vice versa, and (b) a verb in any tense shall be construed as the use of the verb in all othertenses.\n\n16. The terms (a) \"and\" and \"or\" shall be construed either conjunctively or disjunctively as necessary to bring within the scope of any request all responses that might otherwise be construed to be outside of its scope, and (b) \"each\" and \"any\" shall be deemed to include and encompass the words \"every\" and \"all.\"\n\n# **III. DEFINITIONS**\n\nThe definitions supplied by D. Conn. L. Civ. R. 26(c) and the rules of construction supplied by D. Conn. L. Civ. R. 26(d), as incorporated by D. Conn. Bankr. L.R. 2004-1(a), shall apply to the Document Requests. In addition, the following terms used in these Document Requests shall have the following meanings:\n\n1. \"You\" or \"Your\" or \"Yourself\" means and refers, to Seacoast National Bank.\n\n2. \"Debtor\" means Ho Wan Kwok (a/k/a Miles Kwok, Miles Guo, Guo Wengui, Guo Haoyun, 郭文贵, or any other alias), together with his employees, agents, counsel, advisors, or anyone acting on his behalf.\n\n3. \"Debtor's Son\" means Qiang Guo (a/k/a Mileson Kwok, 郭强, or any other alias), together with his employees, agents, counsel, advisors, or anyone acting on his behalf.\n\n7\n\n4. \"Debtor's Daughter\" means Mei Guo (a/k/a Mei Gui, 郭美, or any other alias),\n\ntogether with her employees, agents, counsel, advisors, or anyone acting on her behalf.\n\n5. \"Debtor's Purported Wife\" means Hing Chi Ngok (a/k/a Hing Chi Ng, Yue Qingzhi, 岳庆芝, or any other alias), together with her employees, agents, counsel, advisors, or anyone acting on her behalf.\n\n6. \"Debtor's Family\" means, individually and collectively, the Debtor, the Debtor's Son, the Debtor's Daughter, and the Debtor's Purported Wife, and any other familial relation to the Debtor.\n\n7. \"2004 Discovery Targets\" means, individually and collectively, the Debtor, the Debtor's Family, ACA Capital Group Limited, Himalaya International Financial Group Ltd., Himalaya International Clearing Ltd., Himalaya International Payments Ltd., Himalaya International Reserves Ltd., Jesse Brown, William Je, William Je, Eastern Profit Corporation Limited, HK International Funds Investments (USA) Limited LLC, Bravo Luck Limited, Golden Spring (New York) Ltd., Lamp Capital LLC, Greenwich Land LLC, Qu Guo Jiao, Daniel Thomas Podhaskie, Yvette Wang (a/k/a Yanping Wang, a/k/a Yan Ping Wang), Ace Decade Holdings Limited, Dawn State Limited, Rule of Law Society IV Inc., Rule of Law Foundation III, Inc., Rule of Law Foundation IV, Inc., Rule of Law Fund, Rule of Law Society, GTV Media Group, Inc., Voice of Guo Media, Inc., Saraca Media Group Inc., Genever Holdings Corporation, Genever Holdings LLC, Gnews Media Group Inc., G Fashion LLC, Gmusic LLC, Gnews LLC, Geducation, GFNY, Inc., G-Club Investments Limited, G Club Operations LLC, G Club US Operations Inc., G Club US Operations LLC, G Live, LLC, Gbroadcast, LLC, Gposts LLC, HCHK Property Management, Inc., HCHK Technologies, Inc., FMV Ltd./Freedom Media Venture Ltd., Roscalitar 2, Himalaya New World Inc., US Himalaya Capital Inc., Hudson Diamond Holding, Inc., Hudson\n\nDiamond Holding LLC, Hudson Diamond NY LLC, Infinity Treasury Management Inc., Lexington Property and Staffing, Inc., AI Group Holdings Inc., Hamilton Capital Holdings Inc., , Ace Decade Holdings Limited, Dawn State Limited, Rule of Law Society IV Inc., Rule of Law Foundation III, GTV Media Group, Inc., Booming Sail New York LLC, Himalaya Ventures LLC, Himalaya Ventures LLC, Himalaya Investment LLC, New York MOS Himalaya LLC, MOS Himalaya LLC, Crane Advisory Group, Maywind Trading LLC, Gettr USA, Inc., Han Chunguang, Bingshang Jiao, Karin Maistrello, Mary Jiang, Jiaming Liu, and Wencong Wang. Voice of Guo Media, Inc., and Saraca Media Group Inc.\n\n8. \"Associated Individuals\" means, individually and collectively, all individuals that (1) hold, control, have custody over, or discretion over assets owned, controlled, or enjoyed by the Debtor or the Debtor's Family; or (2) have been employees, directors, or otherwise are affiliated with one or more Associated Entities, together with the respective employees, agents, counsel, advisors, or anyone acting on behalf of any of the foregoing. Such Associated Individuals shall include, but are not limited to: Daniel Podhaskie, Jason Miller, Jesse Brown, William Je, Steve Bannon, Karin Maistrello, Melissa Francis, William Gertz, Arethusa Forsyth, Glenn Mellor, Jennifer Mercurio, Eduardo Eurnekian, Han Chunguang (a/k/a 韩春光), Qu Guojiao (a/k/a Qu Guo Jiao, 屈国姣), Guo Lijie (a/k/a 郭丽杰), Zhang Wei (a/k/a 张伟\\*), Lihong Wei Lafrenz (a/k/a Sara Wei, 魏丽红), Hao Haidong (a/k/a 郝海东), Ross Heinemeyer, Max Krasner, Kyle Bass, Melissa Mendez, Ya Li (a/k/a 李娅), Dinggang Wang (a/k/a 王定刚), An Hong (a/k/a 安红), Yvette Wang (a/k/a Yanping Wang, Yan Ping Wang, 王雁平), Fiona Yu, Je Kin Ming (a/k/a William Je, Yu Jianming, 余建明), Yaz Qingua, and Lao Jiang (a/k/a Jiang Yunfu, Jiang Yunfu Be, 姜云浮).\n\n9. \"Associated Entities\" means, individually and collectively, all organizations or Entities of any type that (1) have been owned, controlled, or invested in by the Debtor or the Debtor's Family; or (2) have an interest, whether directly or indirectly, in any assets owned, controlled, or enjoyed by the Debtor or the Debtor's Family, together with the respective employees, agents, counsel, advisors, or anyone acting on behalf of any of the foregoing. Such Associated Entities shall include, but are not limited to: 7 Nod Hill LLC, AAGV Limited, ACA Investment Management Limited, ACA Capital Group Limited, Ace Decade Holdings Limited, AI Group Holdings Inc., Alfa Global Ventures Limited, Alfonso Global Limited, Allied Capital Global Limited, Alpine Fiduciaries SA, Anton Development Limited, Assets Sino Limited, Auspicious Coast Limited, Beijing Pangu Investment Co., Beijing Pangu Investment Co. Ltd., Beijing Pangu Investment Inc., Beijing Zenith Holdings Company Limited, Bravo Luck Limited, BSA Strategic Fund I, China Golden Spring (Hong Kong) Limited, Chuang Xin Limited, Crane Advisory Group LLC, Creative Apex Investments Limited, Crystal Breeze Investments Limited, Dawn State Limited, Eastern Profit Corporation Limited, Elite Well Global Limited, Empire Growth Holdings, G Club Operations LLC, G Fashion LLC, G News LLC, GETTR USA, Genever Holdings Corporation, Genever Holdings LLC, GFASHION MEDIA GROUP INC., GFNY, Inc., Globalist International Limited, GNews Media Group Inc., Golden Spring (New York) Ltd., Greenwich Land LLC, Guo Media, GTV Media Group, Inc., Hamilton Capital Holdings Inc., Head Win Group Limited, Henan Yuda, Himalaya Embassy, Himalaya Exchange, Himalaya Federal Reserve, Himalaya International Financial Group Ltd., Himalaya International Clearing Ltd. , Himalaya International Payments Ltd., Himalaya International Reserves Ltd., Himalaya Supervisory Organization, HK International Funds Investments (USA) Limited LLC, Hong Kong International Funds Investments Limited, Hudson Diamond NY LLC, Infinite Increase Limited,\n\nInfinitum Developments Limited, Insight Phoenix Fund, Lamp Capital LLC, Leading Shine Limited, Leading Shine NY Limited, Long Gate Limited, Next Tycoon Investments Limited, New Federal State of China (a/k/a NFSC), Noble Fame Global Limited, Rosy Acme Ventures Limited, Rule of Law Foundation III, Inc., Rule of Law Foundation IV, Inc., Rule of Law Fund, Rule of Law Society, Rule of Law Society IV, Inc., G-Translators PTY LTD, Saraca Media Group, Inc., Shiny Ace Ltd., Shiny Times Holdings Ltd., Spirit Charter Investment Limited, Stevenson, Wong & Co., TM Primrose Limited, Voice of Guo Media, Inc., Well Origin Ltd., World Century Limited, Worldwide Opportunity Holdings Limited, Whitecroft Shore Limited, and ZIBA Limited.\n\n10.8. \"Including\" or any variant thereof means \"including without limitation.\"\n\n11.9. \"And\" and \"or\" mean \"and/or,\" and shall be construed both conjunctively as well as disjunctively in order to maximize their scope.\n\n12.10. \"Any\" and \"all\" and \"each\" mean \"each and every.\"\n\n13.11. \"Each\" and \"every\" mean \"each and every.\"\n\n14.12. \"Third Party\" means a Person or Entity other than Yourself.\n\n15.13. \"Transfer\" shall have the meaning given to it by section 101(54) of the Bankruptcy Code.\n\n16.14. \"Document\" means any information or thing within the scope of Fed. R. Civ. P. 34, and includes, without limitation, each and every written, recorded, or graphic matter of any kind, type, nature, or description that is or has been in Your Possession, Custody or Control, including all printed and electronic copies of electronic mail, computer files maintained in electronic form, correspondence, memoranda, tapes, stenographic or handwritten notes, written forms of any kind, charts, blueprints, drawings, sketches, graphs, plans, articles, specifications, diaries, letters, telegrams, photographs, minutes, contracts, agreements, surveys, computer printouts, data compilations of any kind, telexes, facsimiles, emails, text messages, instant messages, voice messages, invoices, order forms, checks, drafts, statements, credit memos, reports, position reports, summaries, indices, books, ledgers, notebooks, schedules, transparencies, recordings, catalogs, advertisements, promotional materials, films, video tapes, audio tapes, CDs, computer disks, brochures, pamphlets, punch-cards, time-slips, Tweets, social media posts, or any written or recorded materials of any other kind, and all meta-data thereof, however stored (whether in tangible or electronic form), recorded, produced, or reproduced, and also including but not limited to, drafts or copies of any of the foregoing that contain any notes, comments, or markings of any kind not found on the original documents or that are otherwise not identical to the original documents.\n\n17.15. \"Person(s)\" means an individual, corporation, proprietorship, partnership, association, or any other Entity. \"Person\" also includes any agent, representatives, or expert, including but not limiting to, attorneys or financial advisors.\n\n18.16. \"Entity\" means any natural Person, corporation, partnership, subsidiary, sole proprietorship, firm, board, joint venture, association, agency, authority, commission or other business entity or juristic Person, as well as any affiliate, agent, parent including but not limited to counsel, financial advisors, or any other representative.\n\n19.17. \"Regarding\" means concerning, describing, comprising, referring to, related to, supporting, favoring, opposing, bolstering, detracting from, located in, considered in connection with, bearing on, evidencing, indicating, reporting on, recording, alluding to, responding to, connected with, commenting on, in respect of, about, in relation to, discussing, showing, describing, reflecting, analyzing constituting, and being.\n\n20.18. \"Relating to,\" \"relate(s) to\" or \"related to,\" when referring to any given subject matter, means, without limitation, any document that constitutes, comprises, involves, contains, embodies, reflects, identifies, states, refers directly or indirectly to, or is in any way relevant to the particular subject matter identified.\n\n21.19. \"Communication(s)\" means, in the broadest possible sense, and without limitation, any transmittal of information or knowledge (in the form of facts, ideas, inquiries, or otherwise). Communication(s) further refers to all conversations, agreements, inquiries, or replies, whether in person, by telephone, in writing, or by means of electronic transmittal devices, and includes, but is not limited to, all correspondence, emails, recordings, transmittal slips, memoranda, telephone communications, voice messages, telegrams, telefaxes, telecopies, telexes, instant messages, chats, text messages, postings to a message board or group chat, social media posts, tweets, videos uploaded to any video platform, telephonic notes, or notes transmitted internally or with third parties.\n\n22.20. \"Asset(s)\" means any item of economic value that is subject to Possession, Custody, or Control. Asset includes all real and personal property, including but limited to, real estate, land, houses, apartments, condominiums, automobiles, yachts, boats, planes, jets, helicopters, cash, bank accounts, cryptocurrencies, securities, accounts receivables, inventory, and other tangible and intangible property.\n\n### **IV. DOCUMENTS TO BE PRODUCED**\n\n1. All Documents related to any account held by, controlled by, on behalf of, or otherwise related to any of the 2004 Discovery Targets, including any and all account statements, authorizations, power of attorney, trusts, instructions or forms, copies of cancelled checks, correspondence, and wire transfers and related correspondence and instructions.\n\n13\n\n2. All Documents related to any funds, securities, property, or assets belonging to, held by, controlled by, on behalf of, or otherwise related to any of the 2004 Discovery Targets, including any and all account statements, authorizations, powers of attorney, trusts, instructions or forms, copies of cancelled checks, correspondence, and wire transfers and related correspondence and instructions.\n\n3. All Documents related to any business, commerce or financial transactions, including but not limited to any loan, line of credit, bailment, deposit, swap, securities transactions, mortgage, or ISDA, with any of the 2004 Discovery Targets, including any and all account statements, authorizations, powers of attorney, trusts, instructions or forms, copies of cancelled checks, correspondence, and wire transfers and related correspondence and instructions.\n\n4. All Documents relating to any wire transfer activity relating to the 2004 Discovery Targets, regardless of the existence of any accounts, including but not limited to all wire transfer receipts, account numbers, balances, authorizations, identification information related to the parties to the transfer, correspondence, instructions, or other records.\n\n5. All Documents related to any correspondence and communications between you and the 2004 Discovery Targets.\n\n6. All Documents related to any account with any 2004 Discovery Target relating to opening of the account, authorized users of the account and maintenance of the account.\n\n7. All Documents related to any anti-money laundering, know-your-customer, or other compliance activity relating to any of the 2004 Discovery Targets, including but not limited to any information provided by any of the 2004 Discovery Targets, or learned by You.\n\n8. All Documents relating to any communications with any regulator from any country, including but not limited to the Bank of England, the United States Federal Reserve, the\n\n14\n\nS.E.C., the CFTC, FINRA, China Securities Regulatory Commission, People's Bank of China, Hong Kong Securities and Futures Commission, and the Hong Kong Monetary Authority relating to any of the 2004 Discovery Targets.","body_zh":"美国康涅狄格联邦破产法院布里奇波特分院\n\n-----------------------------------------------------------　x\n\n关于：　:\n:　第11章\n\nHO WAN KWOK（郭文贵），\n等人，　:\n:　案号：22-50073 (JAM)\n债务人。　:\n:\n:　（合并管理）\n-----------------------------------------------------------　x\n第11章受托人请求作出命令，强制SEACOAST NATIONAL BANK（海岸国民银行）遵守第2004条传票的动议\n\nLuc A. Despins（卢克·A·德斯平斯）以其在Ho Wan Kwok（郭文贵）（下称“债务人”）第11章案件（下称“第11章案件”）中获任第11章受托人（下称“受托人”）的身份，特此根据《联邦民事诉讼规则》（下称“联邦规则”）第26条和第37条，以及《联邦破产程序规则》（下称“破产规则”）第2004条和第9016条，提交本动议（下称“强制动议”），请求作出命令，其形式实质上如随附的附件A（下称“拟议命令”）所示，强制Seacoast National Bank（海岸国民银行，下称“Seacoast”）遵守本院于January 18, 2023作出的准许第三次补充综合第2004条审查动议的命令（ECF No. 1339，下称“第2004条命令”），以及受托人依该命令发出的针对Seacoast的传票（下称“Seacoast传票”）。Seacoast传票的真实准确副本作为附件B随附于此。为支持强制动议，受托人谨陈述如下：\n\n1 本第11章案件中的债务人为Ho Wan Kwok（亦称Guo Wengui、Miles Guo及Miles Kwok，以及众多其他别名）（税务识别号码后四位：9595）、Genever Holdings LLC（杰尼弗控股有限责任公司）（税务识别号码后四位：8202）及Genever Holdings Corporation（杰尼弗控股公司）。受托人、Genever Holdings LLC及Genever Holdings Corporation的邮寄地址为Paul Hastings LLP（保罗·黑斯廷斯律师事务所），200 Park Avenue, New York, NY 10166，转交Luc A. Despins，作为Ho Wan Kwok遗产的受托人（仅用于通知及通信目的）。\n\n事实背景\n\n一、受托人的第2004条动议、命令及传票\n\n1. 于December 21, 2022，受托人提交了其《第11章受托人请求根据破产规则第2004条及地方法规则第2004-1条作出命令，授权就与债务人有关联的其他实体和个人、相关银行以及与债务人及关联实体有业务往来的实体进行取证的第三次补充综合动议》（下称“第三次综合第2004条动议”），请求就与债务人有业务往来的各类个人及实体，以及与本事项相关的、据信债务人及与债务人有关的个人和实体在其中存放资金或进行金融交易的银行进行取证。\n\n2. 这些银行包括Seacoast。Seacoast持有以与债务人关联的实体名义开立的银行账户，包括HCHK Technologies Inc.（HCHK技术公司）和HCHK Property Management Inc.（HCHK物业管理公司）（统称“HCHK实体”）。HCHK实体（通过一家控股公司）名义上由Yvette Wang（王雁）所有；王雁系债务人的密切关联人，亦是美国政府十亿美元刑事欺诈及洗钱案件中的共同被告。王女士接受且一直接受债务人的指示；HCHK实体与债务人的众多其他空壳公司一样，仅是债务人本人的延伸，旨在经营其业务并使其宝贵资产免受债权人追索。本院于January 24, 2023作出的准许动议、认定债务人藐视公司治理命令的命令（ECF No. 1372，下称“藐视法庭命令”）中，法院认定，其中包括：“债务人控制王女士。该[个人]债务人已雇用Yvette Wang数年，并指示其代表本人采取行动，包括指示其代表本人购买诸如Sherry-Netherland公寓等房产。”（藐视法庭命令第¶ 4段。）\n\n3. Seacoast未对第三次综合第2004条动议提出异议。第三次综合第2004条动议经于January 18, 2023作出第2004条命令而获准。依照第2004条命令，受托人于January 30, 2023向Seacoast送达Seacoast传票（其中包括文件出示请求）。2 Seacoast传票要求不迟于February 27, 2023遵守。\n\n4. 在受托人律师与Seacoast律师就遵守范围和时间进行讨论后，Seacoast出示了部分响应Seacoast传票的文件。受托人对Seacoast出示文件的审查表明，HCHK实体在Seacoast至少维持六个账户。在该六个账户中，Seacoast仅出示了其中四个账户的银行对账单。\n\n5. 于November 9, 2023，受托人联系Seacoast律师，并要求其全面遵守Seacoast传票，包括出示此前未出示银行对账单的两个HCHK实体账户的银行对账单。\n\n6. Seacoast还未能出示银行通常就诸如HCHK实体所维持账户编制和保管的了解你的客户或反洗钱合规文件。在该等文件存在的范围内，受托人亦要求出示该等文件。\n\n7. 在November 11, 2023的电子邮件中，Seacoast律师要求支付据称由Seacoast因遵守传票而发生的律师费，作为进一步遵守的条件。Seacoast未就如下主张提供任何可明确陈述的依据：取得响应Seacoast传票的文件（即有关HCHK实体在Seacoast维持账户的记录）构成将会产生律师费的法律工作。Seacoast亦未提供任何依据，支持在该等情形下应要求受托人为Seacoast的外部律师提供资金这一主张。\n\n2 在一封日期为January 26, 2023的电子邮件中，Seacoast律师同意通过电子邮件接收Seacoast传票的送达。\n\n8. 因此，受托人律师拒绝了Seacoast的要求，并重申Seacoast必须遵守Seacoast传票。\n\n9. 受托人已向40多家曾与债务人关联实体和个人有业务往来的金融机构发出传票。被传唤的机构中，没有一家要求受托人支付其律师费作为遵守受托人传票的条件。\n\n10. 这40多家金融机构中的绝大多数完全未聘用外部律师即遵守了传票。事实上，据受托人所知，一些金融机构根本未让律师（无论外部律师还是内部律师）参与，而只是由记录文员取得响应文件并提供给受托人。\n\n11. 于November 10日星期五，受托人律师与Seacoast律师通过电话进行协商，以讨论双方各自立场，并确定双方分歧是否能够通过协议解决，或者缩小至可供法院审理的范围。Flynn声明第¶ 3段。Seacoast坚持其立场，即仅在其律师费获得偿付的情况下才会遵守Seacoast传票。\n\n12. 在受托人寻求取证的其他40多家金融机构中，没有一家主张查找账户持有人记录构成法律研究。其本来也不构成法律研究。\n\n13. 鉴于Seacoast就遵守事项所持立场，受托人不得不通过本动议寻求其遵守。\n\n管辖权及审判地\n\n14. 本院根据28 U.S.C. §§ 157 and 1334对审理本事项具有管辖权。根据28 U.S.C. §§ 1408 and 1409，本案审判地适格。根据包括28 U.S.C. § 157(b)(2) (A), (E), and (O)在内的规定，本案属于核心程序。\n\n请求的救济\n\n15. 受托人请求作出拟议命令，强制Seacoast在七（7）日内遵守Seacoast传票。\n\n救济依据\n\n一、Seacoast必须全面遵守Seacoast传票。\n\n16. 受托人的职责是为债务人债权人的利益调查债务人的资产和事务。“第2004条审查的目的在于协助利益相关方确定破产财产的性质和范围、揭示资产、审查交易，并评估是否发生不当行为。”In re Transmar Commodity Grp. Ltd., Case No. 16-13625-JLG, 2018 WL 4006324, at *4 (Bankr. S.D.N.Y. Aug. 17, 2018)（省略内部引文及援引）。这包括揭示破产财产的性质和范围，以及发现可能被故意或非故意隐匿的债务人资产。In re Bennett Funding Grp., Inc., 203 B.R. 24, 27-28 (Bankr. N.D.N.Y. 1996)；另见In re Millennium Lab Holdings II, LLC, 562 B.R. 614, 626 (Bankr. D. Del. 2016)（“第2004条审查的正当目标包括发现资产、审查交易以及确定是否发生不当行为。”）（省略内部引文及援引）；同上（指出，“与仅狭义关注争议相关问题的传统取证不同，第2004条的范围广泛且不受限制，并被比作钓鱼式调查和审讯”）（省略内部引注及标点）；Fed. R. Bankr. P. 2004(b)（授权第2004条审查的范围“涉及……债务人的……财产……和财务状况，或可能影响债务人破产财产管理的任何事项”）（着重号为原文所加）。\n\n17. Seacoast持有与受托人调查相关的文件，包括但不限于与HCHK实体持有、并曾用于为个人债务人或与个人债务人相关开展业务的账户有关的文件。因此，受托人取得第2004条命令并向Seacoast送达Seacoast传票。Seacoast没有理由拖延或拒绝全面遵守Seacoast传票。因此，法院应当强制Seacoast全面遵守该传票。\n\n18. 在受托人已发出传票的其他40多家金融机构中，没有一家坚持要求受托人承担其外部律师费用，作为遵守根据破产规则第2004条送达的受托人传票的条件。并且，为遵守有效发出的传票而取得账户持有人记录并非法律工作。3\n\n19. 受托人律师还向Seacoast律师说明，受托人作为第11章案件中由法院任命的破产财产受托人，即使此类请求合理，也不得未经法院批准即简单地为第三方的律师费提供资金；更不用说在本案中，Seacoast的要求显然不合理。\n\n未曾提出请求\n\n20. 受托人此前未曾向本院或任何其他法院请求本文件所请求的救济。\n\n3 当然，Seacoast可以自由聘请外部律师提供其希望获得的任何服务——包括协助其遵守Seacoast传票。本案的问题是，Seacoast是否可以坚持要求受托人支付其外部律师费用，作为其遵守Seacoast传票的条件。Seacoast不得如此。\n\n律师证明\n\n21. 如上文所述及随附提交的Robert B. Flynn（罗伯特·B·弗林）声明所载，受托人律师已本着善意与Seacoast协商，试图解决本强制动议所涉争议，但未成功。\n\n[本页其余部分故意留白]\n\n因此，基于上述理由，受托人谨请求作出拟议命令，准许本强制动议所请求的救济，以及法院认为公正和适当的其他救济。\n\n日期：November 15, 2023　LUC A. DESPINS，\n\nNew Haven, Connecticut　第11章受托人\n\n作者：/s/ Patrick R. Linsey\nPatrick R. Linsey（帕特里克·R·林西）（ct29437）\nNEUBERT, PEPE & MONTEITH, P.C.（纽伯特、佩佩及蒙蒂思律师事务所，专业公司）\n195 Church Street, 13th Floor\nNew Haven, Connecticut 06510\n(203) 781-2847\nplinsey@npmlaw.com\n\nUNITED STATES BANKRUPTCY COURT（美国破产法院）\nDISTRICT OF CONNECTICUT（康涅狄格州联邦地区）\nBRIDGEPORT DIVISION（布里奇波特分部）\n\n-----------------------------------------------------------　x\n\n关于：　:\n:　第11章\n\nHO WAN KWOK（郭文贵），\n等，　:\n:　案号 22-50073 (JAM)\n债务人。　:\n:\n:　（合并管理）\n-----------------------------------------------------------　x\n\n罗伯特·B·弗林关于支持第11章受托人提出动议、请求发布命令强制 SEACOAST NATIONAL BANK（海岸国家银行）遵守规则2004传票的声明\n\n本人罗伯特·B·弗林声明：\n\n1. 本人是一名获准在康涅狄格州执业的律师，系 Neubert, Pepe & Monteith, P.C. 律师事务所的负责人，并担任 Luc A. Despins（卢克·A·德斯平）作为第11章受托人（“受托人”）的律师。本人谨提交本声明，以支持第11章受托人提出的动议，请求发布命令强制 Seacoast National Bank 遵守规则2004传票（“本动议”）。\n\n2. 根据规则2004命令，受托人向 Seacoast National Bank（“Seacoast”）送达了规则2004审查传票，并附有文件提交请求（合称“Seacoast 传票”）。\n\n4 本第11章案件中的债务人为 Ho Wan Kwok（亦称 Guo Wengui、Miles Guo 和 Miles Kwok，以及众多其他别名）（税务识别号码后四位：9595）、Genever Holdings LLC（杰纳维尔控股有限责任公司）（税务识别号码后四位：8202）及 Genever Holdings Corporation（杰纳维尔控股公司）。受托人、Genever Holdings LLC 及 Genever Holdings Corporation 的邮寄地址为：Paul Hastings LLP（博浩律师事务所），200 Park Avenue, New York, NY 10166，转交 Luc A. Despins，作为 Ho Wan Kwok 财产的受托人（仅用于通知和通信）。\n\n3. 于2023年11月10日星期五，受托人的律师与 Seacoast 的律师通过电话会议，讨论各方各自的立场，并确定本动议所涉争议能否通过协议解决或缩小以供本法院审理。Seacoast 坚持其立场，即只有在其法律费用获得偿还的情况下，才会完成对 Seacoast 传票的遵守。双方在会议期间既未解决争议，也未缩小争议事项。\n\n根据 28 U.S.C. § 1746，本人根据本人所知、所获信息及所信，并经合理调查后，在伪证处罚的约束下声明，上述内容真实且正确。\n\n日期：November 15, 2023\nNew Haven, Connecticut\n谨此提交，\n\nB /s/ Robert B. Flynn\nRobert B. Flynn（罗伯特·B·弗林）（ct15803）\nNEUBERT, PEPE & MONTEITH, P.C.\n195 Church Street, 13th Floor\nNew Haven, Connecticut 06510\n(203) 781-2847\nrflynn@npmlaw.com\n\n附件 A\n\n拟议命令\n\nUNITED STATES BANKRUPTCY COURT\nDISTRICT OF CONNECTICUT\nBRIDGEPORT DIVISION\n\n-----------------------------------------------------------　x\n\n关于：　:\n:　第11章\n\nHO WAN KWOK，\n等，　:\n:\n:　案号 22-50073 (JAM)\n债务人。　:\n:　（合并管理）\n-----------------------------------------------------------　x\n\n［拟议］命令：强制 SEACOAST NATIONAL BANK 遵守规则2004传票并裁定制裁\n\n经审议本动议，该动议请求发布命令，强制 Seacoast National Bank（“Seacoast”）遵守本法院于 January 18, 2023 作出的准许第三份补充综合规则2004审查动议的命令（ECF No. 1339，即“规则2004命令”），并遵守受托人依据规则2004命令向 Seacoast 发出的传票（“Seacoast 传票”）；在通知及听证后，参见 11 U.S.C. § 102(1)；鉴于存在理由按下述条件准许所请求的救济；现据此命令：\n\n命令：本动议按如下规定获准。\n\n命令：Seacoast 应在本命令录入后七（7）日内完全遵守 Seacoast 传票。\n\n命令：Seacoast 应自行承担与遵守 Seacoast 传票有关的费用，包括但不限于已发生的任何律师费。\n\n日期：\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_, 2023\n\nJulie A. Manning（朱莉·A·曼宁），美国破产法官\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n1 本第11章案件中的债务人为 Ho Wan Kwok（亦称 Guo Wengui、Miles Guo 和 Miles Kwok，以及众多其他别名）（税务识别号码后四位：9595）、Genever Holdings LLC（税务识别号码后四位：8202）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 Luc A. Despins，作为 Ho Wan Kwok 财产的受托人（仅用于通知和通信）。\n\n附件 B\n\nSEACOAST 传票\n\nB2540（表格2540－规则2004审查传票）（12/15）\n案号 22-50073　文件 2342　提交日期 11/15/23　录入日期 11/15/23 23:37:09　第14页，共31页\n\nUNITED STATES BANKRUPTCY COURT\n\nDistrict of Connecticut\n\n关于 HO WAN KWOK 等，\n\n1 案号 22-50073 (JAM)\n\n债务人 第11章\n\n（合并管理）\n\n规则2004审查传票\n\n致：Seacoast National Bank\n\n（传票所指向人员的姓名）\n\n证言：现命令您于下列规定的时间、日期和地点出席，以便根据《联邦破产程序规则》规则2004在审查中作证。随附准许该审查的法院命令副本。\n\n地点　日期和时间\n\nNeubert, Pepe & Monteith, P.C.\n195 Church Street　［待定］\nNew Haven, Connecticut 06510\n\n审查将通过以下方式记录：法庭记录员/速记员\n\n提交：您或您的代表还必须携带下列文件、电子存储信息或物品至审查现场，并必须允许对该等材料进行检查、复制、测试或抽样：\n\n见随附的文件提交请求。\n\n下列《联邦民事诉讼规则》规则45的规定，依《联邦破产程序规则》规则9016适用于破产案件，现附于本传票之后：有关履行地点的规则45(c)；有关对作为传票对象之人员的保护的规则45(d)；以及有关您回应本传票的义务及不履行的潜在后果的规则45(e)和45(g)。\n\n日期：December , 2022 January 24, 2023\n\n法院书记员\n\n或\n\n书记员或副书记员签名　律师签名\n\n签发或请求本传票、代表第11章受托人 Luc A. Despins 的律师的姓名、地址、电子邮件地址及电话号码如下：\n\nDouglas S. Skalka, Esq.（道格拉斯·S·斯卡尔卡律师）；Neubert, Pepe & Monteith, P.C.；195 Church Street, New Haven, Connecticut 06510\ndskalka@npmlaw.com；(203) 821-2000\nPatrick R. Linsey, Esq.；Neubert, Pepe & Monteith, P.C.；195 Church Street, 13th Floor, New Haven, CT 06510；plinsey@npmlaw.com；(203) 781-2847\n\n致签发或请求本传票之人员的通知\n\n如本传票命令在审判前提交文件、电子存储信息或有形物品，或者检查场所，则必须在向传票所指向人员送达之前，向每一方当事人送达通知及本传票副本。Fed. R. Civ. P. 45(a)(4)。\n\n软件版权 (c) 1996-2022 Best Case, LLC - www.bestcase.com\nBest Case Bankruptcy\n1 本第11章案件中的债务人为 Ho Wan Kwok（亦称 Guo Wengui、Miles Guo 和 Miles Kwok，以及众多其他别名）（税务识别号码后四位：9595）、Genever Holdings LLC（税务识别号码后四位：8202）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 Luc A. Despins，作为 Ho Wan Kwok 财产的受托人（仅用于通知和通信）。\n\n案号 22-50073　文件 2342　提交日期 11/15/23　录入日期 11/15/23 23:37:09　第15页，共31页\n\n送达证明\n\n（除非 Fed. R. Civ. P. 45 要求，否则本节不应向法院提交。）\n\n于（日期），本人收到向（个人姓名及职务，如有）发出的本传票：\n\n本人通过如下方式向被指名人员交付副本以送达传票：\n\n于　（日期）；或\n\n本人未执行即退回传票，原因如下：\n\n一天的出席费用及法律准许的里程费，金额为 \\$　除非本传票代表美国或其官员或代理人签发，本人亦已向证人预付下列费用：\n\n本人费用为：差旅 \\$　及服务 \\$，合计 \\$\n\n本人在伪证处罚的约束下声明，该等信息真实且正确。\n\n日期：\n\n送达人员签名\n\n正楷姓名及职务\n\n送达人员地址\n\n有关尝试送达等的补充信息：\n\n《联邦民事诉讼规则》规则45(c)、(d)、(e)及(g)（Effective 12/1/13）（依《联邦破产程序规则》规则9016适用于破产案件）\n\n(c) 履行地点。\n\n(1) 审判、听证或证言录取。传票仅可按下列方式命令人员出席审判、听证或证言录取：\n\n(A) 在该人员居住、受雇或经常亲自从事营业的地点100英里范围内；或\n\n(B) 在该人员居住、受雇或经常亲自从事营业所在州内，如该人员：\n\n(i) 为当事人或当事人的高级职员；或\n\n(ii) 被命令出席审判且不会产生重大费用。\n\n(2) 其他证据开示。传票可命令：\n\n(A) 在距该人员居住、受雇或经常亲自从事营业地点100英里范围内的地点提交文件、电子存储信息或物品；及\n\n(B) 在待检查场所对该场所进行检查。\n\n(d) 对作为传票对象之人员的保护；执行。\n\n(1) 避免不当负担或费用；制裁。负责签发和送达传票的当事人或律师必须采取合理措施，避免对作为传票对象之人员施加不当负担或费用。要求履行的地区法院必须执行该义务，并对未遵守者的当事人或律师施加适当制裁，该制裁可包括收入损失及合理律师费。\n\n(2) 命令提交材料或允许检查。\n\n(A) 无须出席。被命令提交文件、电子存储信息或有形物品，或允许检查场所的人员，除非同时被命令出席证言录取、听证或审判，否则无需亲自出席提交或检查地点。\n\n(B) 异议。被命令提交文件或有形物品，或允许检查的人员，可向传票中指定的当事人或律师送达书面异议，反对检查、复制、测试或抽样部分或全部材料，反对检查场所，或者反对以所要求的一种或多种形式提交电子存储信息。异议必须在规定的履行时间或传票送达后14日届满之前（以较早者为准）送达。如提出异议，适用下列规则：\n\n(i) 送达方可在任何时候，在通知被命令人员后，向要求履行的地区法院提出动议，请求发布强制提交或检查的命令。\n\n(ii) 仅可依命令所指示要求实施该等行为，且该命令必须保护既非当事人亦非当事人高级职员的人员，使其免受因履行而产生的重大费用。\n\n(3) 撤销或修改传票。\n\n(A) 必须撤销或修改的情形。经及时动议，要求履行的地区法院必须撤销或修改下列传票：\n\n(i) 未留出合理履行时间；\n\n(ii) 要求人员在规则45(c)规定的地理范围以外履行；\n\n(iii) 要求披露享有特权或受其他保护的事项，且不存在任何例外或豁免；或者\n\n(iv) 使某人承受不当负担。\n\n(B) 允许情形。为保护受传票约束或受传票影响的人，履行义务所在地地区的法院可以根据动议，在传票要求下列事项时撤销或修改该传票：\n\n(i) 披露商业秘密或其他保密的研究、开发或商业信息；或者\n\n(ii) 披露未受聘专家的意见或信息，而该等意见或信息既未描述争议中的具体事件，亦并非源于当事人请求该专家进行的研究。\n\n(C) 以规定条件作为替代。在《规则》45(d)(3)(B)所述情形下，如送达方：\n\n(i) 证明其对该证言或材料具有重大需要，且若不承受不当困难则无法通过其他方式满足该需要；并且\n\n(ii) 确保被传唤人将获得合理报酬，\n\n法院可以不撤销或修改传票，而是命令在规定条件下出庭或提交材料。\n\n(e) 回应传票的义务。\n\n(1) 提交文件或电子存储信息。下列程序适用于提交文件或电子存储信息：\n\n(A) 文件。回应要求提交文件的传票的人，必须按其在正常业务过程中保存的方式提交文件，或者必须对文件进行整理和标注，使其与请求中的类别相对应。\n\n(B) 未规定电子存储信息提交形式。如传票未规定提交电子存储信息的形式，回应人必须以该信息通常保存的一种或多种形式，或者以一种或多种合理可用的形式提交。\n\n(C) 电子存储信息仅以一种形式提交。回应人无需以一种以上形式提交相同的电子存储信息。\n\n(D) 无法合理访问的电子存储信息。回应人无需提供对其认定因不当负担或费用而无法合理访问的信息来源中的电子存储信息进行证据开示。就强制证据开示动议或保护令动议而言，回应人必须证明该信息因不当负担或费用而无法合理访问。如作出该证明，法院在考虑《规则》26(b)(2)(C)的限制后，如请求方证明存在正当理由，仍可命令从该等来源进行证据开示。法院可以规定该证据开示的条件。\n\n(2) 主张特权或保护。\n\n(A) 扣留的信息。以该信息享有特权或作为审判准备材料而受保护为由扣留被传唤信息的人，必须：\n\n(i) 明确提出该主张；并且\n\n(ii) 以一种在不披露本身享有特权或受保护的信息的情况下，足以使各方能够评估该主张的方式，描述被扣留文件、通信或有形物品的性质。\n\n(B) 已提交的信息。如为回应传票而提交的信息被主张享有特权或作为审判准备材料而受保护，提出该主张的人可以将该主张及其依据通知任何收到该信息的当事人。收到通知后，当事人必须立即返还、隔离或销毁所指明的信息及其持有的任何副本；在该主张得到解决前不得使用或披露该信息；如该当事人在收到通知前已披露该信息，必须采取合理措施追回该信息；并可立即将该信息密封提交至履行义务所在地地区的法院，以裁定该主张。提交该信息的人必须保存该信息，直至该主张得到解决。\n\n(g) 藐视法庭。履行义务所在地地区的法院，以及在动议被移送后签发传票的法院，可以认定已被送达但无充分理由未遵从传票或与其相关命令的人构成藐视法庭。\n\n有关获取传票材料，请参见 Fed.R.Civ.P.45(a) Committee Note (2013)\n\n……\n\n文件提交请求\n\nI. 指示\n\n1. 除非另有说明，下列文件请求（以下简称“请求”，每一项称为“一项请求”）必须分别且具体地作出回应。除非善意提出异议，否则必须完整答复每一项请求；如提出异议，必须按如下规定详细说明贵方异议的理由。如异议仅涉及一项请求的一部分，或其中包含的一个词、短语或条款，贵方仅须说明对该部分的异议，并回应其余请求。\n\n2. 电子存储信息必须依照下列指示提交：\n\na. 图像。黑白图像必须为 300 DPI Group IV 单页 TIFF 文件。彩色图像必须以 JPEG 格式提交。文件名不得包含嵌入式空格或特殊字符（包括逗号）。文件夹名称不得包含嵌入式空格或特殊字符（包括逗号）。所有 TIFF 图像文件必须具有唯一文件名，即 Bates 编号。每张图像右下角必须标注连续的 Bates 编号。每个文件夹内的 TIFF 文件数量不得超过 1000 个文件。Excel 电子表格应具有以该文件的 Bates 编号命名的占位图像。\n\nb. 图像加载文件\n\na. Concordance® 数据文件。数据文件（.DAT）包含将加载至 Concordance® 数据库的所有字段信息。.DAT 文件的第一行必须为标明字段名称的标题行。.DAT 文件必须使用下列 Concordance® 默认分隔符：逗号 ASCII 字符（020）引号 þ ASCII 字符（254）。日期字段应以如下格式提供：mm/dd/yyyy。日期和时间字段必须为两个独立字段。如文件包括图像化的电子邮件及附件，必须包括附件字段，以保留电子邮件与其附件之间的父项/子项关系。必须包括 OCRPATH 字段，以提供在所提交存储介质上提取文本文件的文件路径和名称。文本文件必须以 FIRSTBATES 命名。不得在 .DAT 文件中包含文本。对于含有原生文件的文件，必须包括 LINK 字段，以提供原生文件的文件路径和名称。原生文件必须以 FIRSTBATES 命名。\n\nb. Concordance Image® 或 Opticon 交叉引用文件。图像交叉引用文件（.LOG 或 .OPT）将图像链接至数据库记录。其应为以逗号分隔的文件，每行由七个字段组成，且数据库中的每个图像均应在交叉引用文件中有一行，格式如下：ImageID,VolumeLabel,ImageFilePath,DocumentBreak,FolderBreak,Box Break,PageCoun。\n\nc. 文件文本。文本必须作为独立文本文件提交，而非作为 .DAT 文件内的字段。文本文件的完整路径（OCRPATH）应包括在 .DAT 文件中。建议使用文件级 ANSI 文本文件，并按 FIRSTBATES/Image Key 命名。提取的文本文件必须置于单独文件夹中，每个文件夹内的文本文件数量不得超过 1,000 个文件。文件夹名称中不得有特殊字符（包括逗号）。必须按文件级别提供文本文件。\n\nd. 特定文件类型的原生格式提交。为充分理解其内容和含义而合理需要以原生格式查看的文件类型，必须以原生格式提交。这些文件包括但不限于电子表格、类电子表格文件（Microsoft Excel、逗号分隔值、制表符分隔值等）、Microsoft PowerPoint 或其他特殊演示文件、数据库文件以及音频/视频文件。应提供一张标有 Bates 编号的分隔页图像，以表明存在原生文件，并在 .dat 文件中将原生文件路径作为字段列入。提交的原生文件应以与该文件分隔页对应的 Bates 编号命名。原生文件应归入按递增方式命名的“NATIVE”目录中，并与图像目录分开。\n\ne. 去重。对于存在完全重复件的每份电子文件，仅提交一份副本。对于电子邮件，应基于由 BCC、Body、CC、From、IntMsgID、To 和 Attach 属性生成的 MD5 哈希值合并重复件。对于电子邮件附件和独立电子文件，应基于整个文件的 MD5 哈希值合并重复件。\n\nf. 元数据。以符合 Concordance 要求的加载文件（.dat）形式提交每份文件的提取元数据。.DAT 文件的第一行必须为标明字段名称的标题行。.DAT 文件必须使用下列 Concordance 默认分隔符：逗号 , ASCII 字符（020）引号 þ ASCII 字符（254）\n\n日期字段应以如下格式提供：mm/dd/yyyy。日期和时间字段必须为两个独立字段。所需元数据如下：\n\n字段名称　示例数据　说明\n\nFIRSTBATES　EDC0000001　原生文件文件/电子邮件的第一个 Bates 编号\n\nLASTBATES　EDC0000001　原生文件文件/电子邮件的最后一个 Bates 编号\n\nLASTBATES 字段应针对单页文件予以填写\n\nATTACHRANGE　EDC0000001\n-　父项文件第一页的 Bates 编号至最后一个附件“子项”文件最后一页的 Bates 编号\nEDC0000015\n\nBEGATTACH　EDC0000001　附件范围的第一个 Bates 编号\n\nENDATTACH　EDC0000015　附件范围的最后一个 Bates 编号\n\nCUSTODIAN　Smith, John　电子邮件：电子邮件所在的邮箱\n原生文件：文件来源的个人或部门名称\n\nFROM　John Smith　电子邮件：发件人\n原生文件：文件作者\n多个条目应以分号分隔\n\nTO　Coffman, Janice; LeeW　收件人\n[mailto:LeeW@MSN.com]　多个条目应以分号分隔\n\nCC　Frank Thompson [mailto:　抄送收件人\nfrank_Thompson@cdt.com]　多个条目应以分号分隔\n\nBCC　John Cain　密送收件人\n多个条目应以分号分隔\n\nSUBJECT　Board Meeting Minutes　电子邮件：电子邮件主题行 原生文件：文件标题（如有）\n\nFILE_NAME　BoardMeetingMinutes.docx　原生文件：原始原生文件名称，包括扩展名\n\nDATE_SENT　10/12/2010　电子邮件：电子邮件发送日期\n原生文件：（空）\n\nTIME_SENT/　07:05 PM GMT　电子邮件：电子邮件发送时间/电子邮件标准化所采用时区中的时间\nTIME_ZONE\n\nTIME_ZONE　GMT　在转换期间电子邮件被标准化所采用的时区。\n\nLINK　>EDC0000001.msg　指向电子邮件或原生文件文件的超链接\n链接文件必须按 FIRSTBATES 编号命名\n\nFILE_EXTEN　MSG　表示电子邮件或原生文件的文件类型扩展名\n\nAUTHOR　John Smith　电子邮件：（空）\n原生文件：文件作者\n\nDATE_CREATED　10/10/2010　电子邮件：（空）\n原生文件：文件创建日期\n\nTIME_CREATED　10:25 AM　电子邮件：（空）\n\n原始：文档创建时间\n该数据必须为单独字段，且不得\n与 DATE_CREATED 字段合并\nDATE_MOD　10/12/2010　电子邮件：（空）\n原始：文档最后修改日期\nTIME_MOD　07:00 PM　电子邮件：（空）\n原始：文档最后修改时间\n该数据必须为单独字段，且不得\n与 DATE_MOD 字段合并\nDATE_ACCESSD　10/12/2010　电子邮件：（空）\n原始：文档最后访问日期\nTIME_ACCESSD　07:00 PM　电子邮件：（空）\n原始：文档最后访问时间\n该数据必须为单独字段，且不得\n与 DATE_ACCESSD 字段合并\nFILE_SIZE　5,952　原始文件文档/电子邮件的大小（KB）\nPGCOUNT　1　原始文件文档/电子邮件中的页数\nPATH　电子邮件：（空）\nAgenda.doc　原始：存储原始文件的路径，\n包括原始文件名。\nINTFILEPATH　Personal Folders\\Deleted　电子邮件：包括\nItems\\Board Meeting　原始文件名的电子邮件原始位置。\nMinutes.msg　原始：（空）\nINTMSGID　<000805c2c71b\\$75977050\\$　电子邮件：唯一邮件 ID　原始：（空）\ncb8306d1@MSN>\nMD5HASH　d131dd02c5e6eec4693d9a0698aff95c2fcab58712467eab4004583eb8fb7f89　文档的 MD5 哈希值。\nOCRPATH　TEXT/001/EDC0000001.txt　提取出的原始文件文本的路径\n\n3. 各项请求均独立适用并应独立解释，除非另有说明，任何一项请求均不限制任何其他请求的范围。\n\n4. 所有文件应按其在通常业务过程中保存的方式提供，或者应按照本请求中的类别进行整理和标记。\n\n5. 本文所载的各项请求延及所有文件：(a) 由您占有、保管或控制的文件；或 (b) 由任何代表您行事之人占有、保管或控制的文件，包括您的律师或其他代表及顾问。每份文件均应完整提供。\n\n6. 如要求您提供一份已不再由您占有、保管或控制的文件，则您的答复必须：(a) 详细说明该文件的性质及其内容；(b) 确定编制或撰写该文件的人员（以及，如适用，该文件被发送给的人员）；(c) 确定该文件编制或创建的日期；(d) 说明该文件是否 (i) 遗失或丢失，(ii) 已被销毁，(iii) 已自愿或非自愿地转交给他人，或 (iv) 以其他方式被处置；(e) 说明该等处置的原因，以及围绕该等处置的事实和情形；(f) 确定授权该等处置的人员；(g) 确定该等处置的日期或大致日期；(h) 说明该文件最近一次由您占有、保管或控制的时间；以及 (i) 确定目前占有、保管或控制该文件的人员（如有）。\n\n7. 如要求您提供一份已被销毁的文件，则除前述指示所要求的信息外，您的答复还必须说明：(a) 销毁该文件的原因；(b) 销毁该文件的人员身份；以及 (c) 指示销毁该文件的人员身份。\n\n8. 如您主张所请求的文件享有特权或属于律师工作成果，则您的答复必须：(a) 说明：(i) 足以支持您关于该文件享有特权之主张的文件描述，(ii) 文件标题，(iii) 文件日期，(iv) 文件作者，(v) 文件收件人，(vi) 收到或阅览该文件原件或任何草稿、副本或复制件的每一人员身份，(vii) 该文件本身或文件中包含或提及的任何信息是否由任何其他人员占有、保管或控制，如是，则说明该等人员身份，以及说明该信息如何进入其占有范围，(viii) 据以扣留该文件的特权主张，以及 (ix) 您将据以支持该等特权主张的所有情形；以及 (b) 根据 D. Conn. L. Civ. R. 26(e)，就每份基于特权主张而被扣留的文件，提供一份特权日志，其中载明本指示第 (a) 部分所要求的全部信息。对于未就其提出特权或工作成果主张的任何文件请求部分，应完整提供响应性文件。\n\n9. 如一份原本具有响应性的文件的一部分包含受特权主张约束的信息，则仅应依照上述指示从该文件中删除或遮盖受特权主张约束的部分，其余部分应予提供。\n\n10. 各项请求具有持续性。特此指示您：(a) 在获悉先前答复不完整或不正确后，立即补充或更正后来获悉为不完整或不正确的任何答复；以及 (b) 提供根据下列规定所要求的任何额外文件\n\n11. 如文件使用英语以外的语言，您应提供该文件。如文件使用英语以外的语言，且存在英文译本，您应同时提供两份文件。\n\n12. 对实体的一切提及均包括其所有关联方。\n\n13. 对个人姓名的一切提及均包括所有其他姓名、别名或昵称。\n\n14. 除非另有明确说明，文件请求所涵盖的期间为自 February 5, 2012 起至文件请求答复到期之日止。\n\nII. 解释规则\n\n15. (a) 任何单数名词的使用应解释为包括复数，反之亦然；以及 (b) 任何时态的动词应解释为使用该动词的所有其他时态。\n\n16. (a) “和”及“或”应视需要解释为连词或析取词，以使原本可能被解释为不在任何请求范围内的所有答复均纳入该请求范围；以及 (b) “每一”及“任何”应视为包括并涵盖“每个”及“所有”二词。\n\nIII. 定义\n\n根据 D. Conn. Bankr. L.R. 2004-1(a) 纳入的 D. Conn. L. Civ. R. 26(c) 所提供的定义及 D. Conn. L. Civ. R. 26(d) 所提供的解释规则，应适用于文件请求。此外，本文件请求中使用的下列术语具有下列含义：\n\n1. “您”或“您的”或“您本人”系指 Seacoast National Bank（海岸国家银行）。\n\n2. “债务人”系指 Ho Wan Kwok（郭文贵）（又名 Miles Kwok、Miles Guo、Guo Wengui、Guo Haoyun、郭文贵，或任何其他别名），以及其雇员、代理人、律师、顾问或任何代表其行事之人。\n\n3. “债务人之子”系指 Qiang Guo（郭强）（又名 Mileson Kwok、郭强，或任何其他别名），以及其雇员、代理人、律师、顾问或任何代表其行事之人。\n\n4. “债务人之女”系指 Mei Guo（郭美）（又名 Mei Gui、郭美，或任何其他别名），以及其雇员、代理人、律师、顾问或任何代表其行事之人。\n\n5. “债务人所谓妻子”系指 Hing Chi Ngok（岳庆芝）（又名 Hing Chi Ng、Yue Qingzhi、岳庆芝，或任何其他别名），以及其雇员、代理人、律师、顾问或任何代表其行事之人。\n\n6. “债务人家庭成员”系指，个别及统称，债务人、债务人之子、债务人之女及债务人所谓妻子，以及与债务人具有任何其他家庭关系之人。\n\n7. “2004 证据开示对象”系指，个别及统称，债务人、债务人家庭成员、ACA Capital Group Limited（ACA资本集团有限公司）、Himalaya International Financial Group Ltd.（喜马拉雅国际金融集团有限公司）、Himalaya International Clearing Ltd.（喜马拉雅国际清算有限公司）、Himalaya International Payments Ltd.（喜马拉雅国际支付有限公司）、Himalaya International Reserves Ltd.（喜马拉雅国际储备有限公司）、Jesse Brown（杰西·布朗）、William Je（余建明）、William Je、Eastern Profit Corporation Limited（东方盈利有限公司）、HK International Funds Investments (USA) Limited LLC（香港国际基金投资〈美国〉有限责任公司）、Bravo Luck Limited（好运有限公司）、Golden Spring (New York) Ltd.（金泉〈纽约〉有限公司）、Lamp Capital LLC（蓝普资本有限责任公司）、Greenwich Land LLC（格林尼治土地有限责任公司）、Qu Guo Jiao（屈国姣）、Daniel Thomas Podhaskie（丹尼尔·托马斯·波德哈斯基）、Yvette Wang（王雁平）（又名 Yanping Wang、Yan Ping Wang）、Ace Decade Holdings Limited（艾斯十年控股有限公司）、Dawn State Limited（黎明州有限公司）、Rule of Law Society IV Inc.（法治协会 IV 公司）、Rule of Law Foundation III, Inc.（法治基金会 III 公司）、Rule of Law Foundation IV, Inc.（法治基金会 IV 公司）、Rule of Law Fund（法治基金）、Rule of Law Society（法治协会）、GTV Media Group, Inc.（GTV 媒体集团公司）、Voice of Guo Media, Inc.（郭媒体之声公司）、Saraca Media Group Inc.（萨拉卡媒体集团公司）、Genever Holdings Corporation（吉尼弗控股公司）、Genever Holdings LLC（吉尼弗控股有限责任公司）、Gnews Media Group Inc.（Gnews 媒体集团公司）、G Fashion LLC（G 时尚有限责任公司）、Gmusic LLC（Gmusic 有限责任公司）、Gnews LLC（Gnews 有限责任公司）、Geducation（G 教育）、GFNY, Inc.（GFNY 公司）、G-Club Investments Limited（G-Club 投资有限公司）、G Club Operations LLC（G Club 运营有限责任公司）、G Club US Operations Inc.（G Club 美国运营公司）、G Club US Operations LLC（G Club 美国运营有限责任公司）、G Live, LLC（G Live 有限责任公司）、Gbroadcast, LLC（Gbroadcast 有限责任公司）、Gposts LLC（Gposts 有限责任公司）、HCHK Property Management, Inc.（HCHK 物业管理公司）、HCHK Technologies, Inc.（HCHK 技术公司）、FMV Ltd./Freedom Media Venture Ltd.（FMV 有限公司/自由媒体创投有限公司）、Roscalitar 2（罗斯卡利塔尔 2）、Himalaya New World Inc.（喜马拉雅新世界公司）、US Himalaya Capital Inc.（美国喜马拉雅资本公司）、Hudson Diamond Holding, Inc.（哈德逊钻石控股公司）、Hudson Diamond Holding LLC（哈德逊钻石控股有限责任公司）、Hudson Diamond NY LLC（哈德逊钻石纽约有限责任公司）、Infinity Treasury Management Inc.（无限财资管理公司）、Lexington Property and Staffing, Inc.（列克星敦物业和人力公司）、AI Group Holdings Inc.（AI 集团控股公司）、Hamilton Capital Holdings Inc.（汉密尔顿资本控股公司）、Ace Decade Holdings Limited、Dawn State Limited、Rule of Law Society IV Inc.、Rule of Law Foundation III、GTV Media Group, Inc.、Booming Sail New York LLC（繁荣帆纽约有限责任公司）、Himalaya Ventures LLC（喜马拉雅创投有限责任公司）、Himalaya Ventures LLC、Himalaya Investment LLC（喜马拉雅投资有限责任公司）、New York MOS Himalaya LLC（纽约 MOS 喜马拉雅有限责任公司）、MOS Himalaya LLC（MOS 喜马拉雅有限责任公司）、Crane Advisory Group（克兰咨询集团）、Maywind Trading LLC（五月风贸易有限责任公司）、Gettr USA, Inc.（Gettr 美国公司）、Han Chunguang（韩春光）、Bingshang Jiao（焦冰尚）、Karin Maistrello（卡琳·迈斯特雷洛）、Mary Jiang（江玛丽）、Jiaming Liu（刘家明）及 Wencong Wang（王文聪）。Voice of Guo Media, Inc. 及 Saraca Media Group Inc.\n\n8. “关联个人”系指，个别及统称，所有符合下列条件的个人：(1) 持有、控制、保管或对债务人或债务人家庭成员所拥有、控制或享有的资产拥有酌处权；或 (2) 曾为一个或多个关联实体的雇员、董事，或以其他方式与一个或多个关联实体有关联，以及前述任何人员各自的雇员、代理人、律师、顾问或任何代表其行事之人。该等关联个人包括但不限于：Daniel Podhaskie（丹尼尔·波德哈斯基）、Jason Miller（杰森·米勒）、Jesse Brown、William Je、Steve Bannon（史蒂夫·班农）、Karin Maistrello、Melissa Francis（梅利莎·弗朗西斯）、William Gertz（威廉·格茨）、Arethusa Forsyth（阿瑞图萨·福赛斯）、Glenn Mellor（格伦·梅勒）、Jennifer Mercurio（詹妮弗·默丘里奥）、Eduardo Eurnekian（爱德华多·厄内基安）、Han Chunguang（又名 韩春光）、Qu Guojiao（屈国姣）（又名 Qu Guo Jiao、屈国姣）、Guo Lijie（郭丽杰）（又名 郭丽杰）、Zhang Wei（张伟）（又名 张伟*）、Lihong Wei Lafrenz（魏丽红）（又名 Sara Wei、魏丽红）、Hao Haidong（郝海东）（又名 郝海东）、Ross Heinemeyer（罗斯·海内迈耶）、Max Krasner（马克斯·克拉斯纳）、Kyle Bass（凯尔·巴斯）、Melissa Mendez（梅利莎·门德斯）、Ya Li（李娅）（又名 李娅）、Dinggang Wang（王定刚）（又名 王定刚）、An Hong（安红）（又名 安红）、Yvette Wang（又名 Yanping Wang、Yan Ping Wang、王雁平）、Fiona Yu（余菲奥娜）、Je Kin Ming（余建明）（又名 William Je、Yu Jianming、余建明）、Yaz Qingua（亚兹·青瓜）及 Lao Jiang（姜云浮）（又名 Jiang Yunfu、Jiang Yunfu Be、姜云浮）。\n\n9. “关联实体”系指单独及共同符合下列任一条件的任何类型组织或实体：(1) 曾由债务人或债务人的家庭成员拥有、控制或投资；或 (2) 直接或间接就债务人或债务人的家庭成员拥有、控制或享有的任何资产享有权益；并包括前述各方各自的雇员、代理人、律师、顾问或代表前述任何一方行事的任何人。该等关联实体包括但不限于：7 Nod Hill LLC（七诺德山有限责任公司）、AAGV Limited（AAGV有限公司）、ACA Investment Management Limited（ACA投资管理有限公司）、ACA Capital Group Limited（ACA资本集团有限公司）、Ace Decade Holdings Limited（艾斯十年控股有限公司）、AI Group Holdings Inc.（AI集团控股公司）、Alfa Global Ventures Limited（阿尔法全球风险投资有限公司）、Alfonso Global Limited（阿方索全球有限公司）、Allied Capital Global Limited（联合资本全球有限公司）、Alpine Fiduciaries SA（阿尔卑斯受托人股份公司）、Anton Development Limited（安东开发有限公司）、Assets Sino Limited（中资资产有限公司）、Auspicious Coast Limited（吉祥海岸有限公司）、Beijing Pangu Investment Co.（北京盘古投资公司）、Beijing Pangu Investment Co. Ltd.（北京盘古投资有限公司）、Beijing Pangu Investment Inc.（北京盘古投资股份有限公司）、Beijing Zenith Holdings Company Limited（北京鼎峰控股有限公司）、Bravo Luck Limited（幸运卓越有限公司）、BSA Strategic Fund I（BSA战略基金I）、China Golden Spring (Hong Kong) Limited（中国金泉〈香港〉有限公司）、Chuang Xin Limited（创新有限公司）、Crane Advisory Group LLC（克兰咨询集团有限责任公司）、Creative Apex Investments Limited（创意顶峰投资有限公司）、Crystal Breeze Investments Limited（水晶微风投资有限公司）、Dawn State Limited（黎明州有限公司）、Eastern Profit Corporation Limited（东方利润有限公司）、Elite Well Global Limited（精英环球有限公司）、Empire Growth Holdings（帝国增长控股公司）、G Club Operations LLC（G俱乐部运营有限责任公司）、G Fashion LLC（G时尚有限责任公司）、G News LLC（G新闻有限责任公司）、GETTR USA（GETTR美国）、Genever Holdings Corporation（杰尼弗控股公司）、Genever Holdings LLC（杰尼弗控股有限责任公司）、GFASHION MEDIA GROUP INC.（GFASHION媒体集团公司）、GFNY, Inc.（GFNY公司）、Globalist International Limited（全球主义者国际有限公司）、GNews Media Group Inc.（GNews媒体集团公司）、Golden Spring (New York) Ltd.（金泉〈纽约〉有限公司）、Greenwich Land LLC（格林尼治土地有限责任公司）、Guo Media（郭媒体）、GTV Media Group, Inc.（GTV媒体集团公司）、Hamilton Capital Holdings Inc.（汉密尔顿资本控股公司）、Head Win Group Limited（领先集团有限公司）、Henan Yuda（河南裕达）、Himalaya Embassy（喜马拉雅大使馆）、Himalaya Exchange（喜马拉雅交易所）、Himalaya Federal Reserve（喜马拉雅联邦储备）、Himalaya International Financial Group Ltd.（喜马拉雅国际金融集团有限公司）、Himalaya International Clearing Ltd.（喜马拉雅国际清算有限公司）、Himalaya International Payments Ltd.（喜马拉雅国际支付有限公司）、Himalaya International Reserves Ltd.（喜马拉雅国际储备有限公司）、Himalaya Supervisory Organization（喜马拉雅监督组织）、HK International Funds Investments (USA) Limited LLC（香港国际基金投资〈美国〉有限责任公司）、Hong Kong International Funds Investments Limited（香港国际基金投资有限公司）、Hudson Diamond NY LLC（哈德逊钻石纽约有限责任公司）、Infinite Increase Limited（无限增长有限公司）、Infinitum Developments Limited（无限开发有限公司）、Insight Phoenix Fund（洞见凤凰基金）、Lamp Capital LLC（灯资本有限责任公司）、Leading Shine Limited（领先光辉有限公司）、Leading Shine NY Limited（领先光辉纽约有限公司）、Long Gate Limited（长龙门有限公司）、Next Tycoon Investments Limited（下一大亨投资有限公司）、New Federal State of China（中国新联邦国，亦称NFSC）、Noble Fame Global Limited（高贵名誉全球有限公司）、Rosy Acme Ventures Limited（玫瑰顶点风险投资有限公司）、Rule of Law Foundation III, Inc.（法治基金会III公司）、Rule of Law Foundation IV, Inc.（法治基金会IV公司）、Rule of Law Fund（法治基金）、Rule of Law Society（法治协会）、Rule of Law Society IV, Inc.（法治协会IV公司）、G-Translators PTY LTD（G-译者有限公司）、Saraca Media Group, Inc.（萨拉卡媒体集团公司）、Shiny Ace Ltd.（闪耀王牌有限公司）、Shiny Times Holdings Ltd.（闪耀时代控股有限公司）、Spirit Charter Investment Limited（精神宪章投资有限公司）、Stevenson, Wong & Co.（Stevenson, Wong & Co.）、TM Primrose Limited（TM报春花有限公司）、Voice of Guo Media, Inc.（郭媒体之声公司）、Well Origin Ltd.（良好起源有限公司）、World Century Limited（世界世纪有限公司）、Worldwide Opportunity Holdings Limited（全球机遇控股有限公司）、Whitecroft Shore Limited（怀特克罗夫特海岸有限公司）及ZIBA Limited（ZIBA有限公司）。\n\n10.8. “包括”或其任何变体，系指“包括但不限于”。\n\n11.9. “和”及“或”系指“和/或”，并应作连词性及析取性解释，以最大限度扩大其范围。\n\n12.10. “任何”及“所有”以及“每一”系指“每一个及全部”。\n\n13.11. “每一”及“每个”系指“每一个及全部”。\n\n14.12. “第三方”系指除贵方以外的个人或实体。\n\n15.13. “转让”应具有《破产法典》第101(54)条赋予该词的含义。\n\n16.14. “文件”系指属于 Fed. R. Civ. P. 34 范围内的任何信息或物品，并包括但不限于现由或曾由贵方占有、保管或控制的任何种类、类型、性质或描述的每一份书面、记录或图形材料，包括电子邮件的所有纸质及电子副本、以电子形式保存的计算机文件、通信函件、备忘录、磁带、速记或手写笔记、任何种类的书面表格、图表、蓝图、图纸、草图、图形、计划、文章、规格、日记、信函、电报、照片、会议记录、合同、协议、调查、计算机打印件、任何种类的数据汇编、电传、传真、电子邮件、短信、即时消息、语音留言、发票、订单、支票、汇票、对账单、贷项通知单、报告、头寸报告、摘要、索引、书籍、分类账、笔记本、附表、透明胶片、录音、目录、广告、促销材料、影片、录像带、录音带、CD、计算机磁盘、宣传册、小册子、穿孔卡、工时单、推文、社交媒体帖子或任何其他种类的书面或记录材料，以及其全部元数据，无论其以何种方式存储（无论以有形或电子形式）、记录、制作或复制；还包括但不限于前述任何文件的草稿或副本，如其中载有原始文件中未见的任何种类笔记、评论或标记，或以其他方式与原始文件不完全相同。\n\n17.15. “个人”系指个人、公司、独资企业、合伙企业、协会或任何其他实体。“个人”还包括任何代理人、代表或专家，包括但不限于律师或财务顾问。\n\n18.16. “实体”系指任何自然人、公司、合伙企业、子公司、独资企业、商号、董事会、合资企业、协会、机构、主管机关、委员会或其他商业实体或法人，以及任何关联方、代理人、母公司，包括但不限于律师、财务顾问或任何其他代表。\n\n19.17. “关于”系指涉及、描述、构成、提及、与之相关、支持、有利于、反对、加强、减损、位于、结合考虑、对其有影响、证明、表明、报告、记录、暗示、回应、与之连接、评论、就其而言、有关、与之相关、讨论、显示、描述、反映、分析、构成及属于。\n\n20.18. 在提及任何特定主题时，“与……相关”、“涉及”或“相关于”系指但不限于构成、包含、涉及、载有、体现、反映、识别、陈述、直接或间接提及或以任何方式与所识别的特定主题相关的任何文件。\n\n21.19. “通信”系指在最广泛可能的意义上且不限于此，任何信息或知识的传递（以事实、观点、询问或其他形式）。通信还指所有谈话、协议、询问或答复，无论是当面、通过电话、书面方式还是通过电子传输设备进行，并包括但不限于所有函件、电子邮件、录音、传送单、备忘录、电话通信、语音留言、电报、电传传真、影印传真、电传、即时消息、聊天、短信、在留言板或群聊中的帖子、社交媒体帖子、推文、上传至任何视频平台的视频、电话笔记，或在内部或与第三方之间传递的笔记。\n\n22.20. “资产”系指受占有、保管或控制的具有经济价值的任何项目。资产包括所有不动产及动产，包括但不限于房地产、土地、房屋、公寓、共管公寓、汽车、游艇、船舶、飞机、喷气式飞机、直升机、现金、银行账户、加密货币、证券、应收账款、存货以及其他有形及无形财产。\n\n四、应提交的文件\n\n1. 与由任何 2004 Discovery Targets（2004年取证对象）持有、控制、代表其持有或以其他方式与其相关的任何账户有关的全部文件，包括任何及所有账户对账单、授权书、委托书、信托文件、指示或表格、已注销支票副本、通信函件以及电汇和相关函件及指示。\n\n2. 与属于任何 2004 Discovery Targets、由其持有、控制、代表其持有或以其他方式与其相关的任何资金、证券、财产或资产有关的全部文件，包括任何及所有账户对账单、授权书、委托书、信托文件、指示或表格、已注销支票副本、通信函件以及电汇和相关函件及指示。\n\n3. 与同任何 2004 Discovery Targets 进行的任何商业、贸易或金融交易有关的全部文件，包括但不限于任何贷款、信贷额度、寄托、存款、掉期、证券交易、抵押贷款或 ISDA，以及任何及所有账户对账单、授权书、委托书、信托文件、指示或表格、已注销支票副本、通信函件以及电汇和相关函件及指示。\n\n4. 与涉及 2004 Discovery Targets 的任何电汇活动有关的全部文件，无论是否存在任何账户，包括但不限于所有电汇收据、账户号码、余额、授权书、与转账当事人有关的身份识别信息、函件、指示或其他记录。\n\n5. 与贵方和 2004 Discovery Targets 之间任何函件往来及通信有关的全部文件。\n\n6. 与任何 2004 Discovery Target 的任何账户有关的全部文件，涉及账户开立、账户获授权用户及账户维护。\n\n7. 与涉及任何 2004 Discovery Targets 的任何反洗钱、了解你的客户或其他合规活动有关的全部文件，包括但不限于任何 2004 Discovery Targets 提供或贵方获知的任何信息。\n\n8. 与来自任何国家的任何监管机构进行的、涉及任何 2004 Discovery Targets 的任何通信有关的全部文件，包括但不限于英格兰银行、美国联邦储备系统、S.E.C.、CFTC、FINRA、中国证券监督管理委员会、中国人民银行、香港证券及期货事务监察委员会及香港金融管理局。","key_entities":["Je","Guo","Kwok","Himalaya","Ho Wan Kwok","HCHK","Despins","Miles Guo","William Je","Paul Hastings","GTV","Saraca","Yanping Wang","GETTR","Himalaya Exchange","CIPA"],"ecf_references":[{"doc_number":1339,"court":"CTB"},{"doc_number":1372,"court":"CTB"}],"word_count":8968,"status":"published","published_at":"2023-01-18 00:00:00","created_at":"2023-01-18","updated_at":"2026-08-23 21:08:05"}