{"id":"court_ctb_2872_0","court":"CTB","case_no":"22-50073","doc_number":2872,"sub_number":0,"doc_type":"ORDER","filed_date":null,"title":"| UNITED STATES BANKRUPTCY COURT | |--------------------------------|","summary_zh":null,"summary_en":null,"body_en":"| UNITED STATES BANKRUPTCY COURT |\n|--------------------------------|\n| DISTRICT OF CONNECTICUT        |\n| BRIDGEPORT DIVISION            |\n\n| _______________________________________________   |                                                  |\n|---------------------------------------------------|--------------------------------------------------|\n| In re                                             | : Chapter 11                                     |\n| Ho Wan Kwok,                                      | :<br>: Case No. 22-50073<br>(JAM)                |\n| Debtor.1                                          | : Jointly Administered<br>:                      |\n| ________________________________________________: | :                                                |\n|                                                   | FEE APPLICATION COVER SHEET                      |\n| THIRD<br>Interim/Final<br>Fee application of:     | Pullman & Comley, LLC                            |\n| Time Period:<br>From:<br>September                | 1, 2023<br>To:<br>December<br>31, 2023           |\n| Bankruptcy Petition Filed:                        | February 15, 2022                                |\n| Date of Entry of Retention Order:                 | April 29, 2022<br>effective as of March 29, 2022 |\n| Amount Requested                                  | Reductions                                       |\n| Fees:<br>\\$89,835.50                              | Voluntary Fee Reductions:<br>\\$0                 |\n| Expenses:<br>\\$392.14                             | Expenses:<br>\\$0                                 |\n| Total:<br>\\$90,227.64                             |                                                  |\n| Retainer Request:                                 | Expense Detail:                                  |\n| Retainer Received<br>__N/A___                     | Retainer Received<br>___N/A_______               |\n| Prior award applied<br>__N/A___                   | Prior award applied<br>___N/A_______             |\n| Balance before this request<br>__N/A___           | Balance before this<br>request<br>___N/A_______  |\n|                                                   | Copies per page cost and total___N/A_______      |\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## **Hours and Rates per professional:**\n\n| Hours 43.2 | Rate | \\$580.00 to \\$600.00 | Irve J. Goldman    |\n|------------|------|----------------------|--------------------|\n| Hours 57.9 | Rate | \\$575.00 to \\$590.00 | Kristin B. Mayhew  |\n| Hours 68.3 | Rate | \\$440.00 -\\$460.00   | Jonathan A. Kaplan |\n\n## **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ In re : Chapter 11 : Ho Wan Kwok, : Case No. 22-50073 : Debtor. : : \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_:\n\n# **THIRD INTERIM APPLICATION OF PULLMAN & COMLEY, LLC, COUNSEL TO THE OFFICIAL COMMITTEE OF UNSECURED CREDITORS, FOR COMPENSATION FOR SERVICES RENDERED AND REIMBURSEMENT OF EXPENSES INCURRED FOR THE PERIOD FROM SEPTEMBER 1, 2023 THROUGH DECEMBER 31, 2023**\n\n| Name of Applicant:                                                                | Pullman & Comley, LLC                                   |\n|-----------------------------------------------------------------------------------|---------------------------------------------------------|\n| Authorized to provide<br>professional services to:                                | The Official Committee of Unsecured Creditors           |\n| Date of Retention:                                                                | April 29, 2022<br>effective as of<br>March 29, 2022     |\n| Period for which compensation<br>and reimbursement is sought:                     | September<br>1, 2023<br>through<br>December<br>31, 2023 |\n| Amount of Compensation sought<br>as actual, reasonable and necessary:             | \\$<br>89,835.50                                         |\n| Amount of Expense Reimbursement<br>sought as actual, reasonable and<br>necessary: | \\$392.14________                                        |\n| Voluntary Reductions:                                                             | \\$0.00                                                  |\n|                                                                                   |                                                         |\n\nThis is a(n): Interim Final application\n\n## **PRIOR APPLICATION HISTORY**\n\n|                   |               |                         | Requested    |          | Monthly Statements |          | Certificate                       |\n|-------------------|---------------|-------------------------|--------------|----------|--------------------|----------|-----------------------------------|\n| Application       | Date<br>Filed | Period<br>Covered       | Fees<br>100% | Expenses | Fees<br>80%        | Expenses | of No Objection<br>/ Signed Order |\n| First<br>Interim  | 6/20/23       | 3/29/2022-<br>4/30/23   | \\$504,742.00 | \\$709.53 | \\$12,226.88        | \\$0.00   | 7/20/2023                         |\n| Fee<br>Statement  | 9/20/23       | 8/1/2023-<br>8/31/2023  | \\$19,104.50  | -0-      | \\$15,283.60        | \\$0.00   | N/A                               |\n| Fee<br>Statement  | 10/20/23      | 9/1/2023-<br>9/30/2023  | \\$32,627.50  | -0-      | \\$26,102.00        | \\$0.00   | N/A                               |\n| Second<br>Interim | 10/16/23      | 5/1/2023 –<br>8/31/2023 | \\$86,457.50  | 1,751.60 | NA                 | NA       | 11/30/2023                        |\n\n# **SUMMARY OF PROFESSIONALS AND PARAPROFESSIONALS RENDERING SERVICES FROM SEPTEMBER 1, 2023 THROUGH DECEMBER 31, 2023**\n\n|                       | Year     |                    | Hours  |             |             |\n|-----------------------|----------|--------------------|--------|-------------|-------------|\n| Timekeeper Name       | Admitted | Title/Department   | Worked | Rate        | Bill Amount |\n|                       |          | Partner/Litigation |        |             |             |\n| Goldman, Irve J.      | 1989     | and Bankruptcy     | 43.2   | \\$580-\\$600 | \\$25,348.00 |\n|                       |          | Partner/Litigation |        |             |             |\n| Kaplan, Jonathan A.   | 2005     | and Bankruptcy     | 68.3   | \\$440-460   | \\$30,642.00 |\n|                       |          | Partner/Litigation |        |             |             |\n| Mayhew, Kristin B.    | 1999     | and Bankruptcy     | 57.9   | \\$575-590   | \\$33,845.50 |\n|                       |          |                    |        |             |             |\n| TOTAL ALL TIMEKEEPERS |          |                    | 169.4  |             | \\$89,835.50 |\n| Attorney Blended Rate |          |                    |        |             | \\$530.32    |\n\n# **SUMMARY OF COMPENSATION BY PROJECT CATEGORY FOR THE PERIOD OF SEPTEMBER 1, 2023 THROUGH DECEMBER 31, 2023**\n\n| Task<br>Number | Task Description                          | Hours | Total       |\n|----------------|-------------------------------------------|-------|-------------|\n| 1              | Case Administration                       | 50.2  | \\$28,387.00 |\n| 2              | Meetings and Communication with Creditors | 8     | \\$3,830.00  |\n| 3              | Fee/Employment Applications               | 58.3  | \\$29,738.00 |\n| 4              | DIP Financing                             | 2.2   | \\$1,205.00  |\n| 5              | Asset Analysis and Recovery               | 50.7  | \\$26,675.50 |\n|                | Total Fees Rendered This Statement        | 169.4 | \\$89,835.50 |\n|                | `                                         |       |             |\n\n## **EXPENSE SUMMARY FOR THE PERIOD OF SEPTEMBER 1, 2023 THROUGH DECEMBER 31, 2023**\n\n| Court telephonic hearing fees | \\$0       |\n|-------------------------------|-----------|\n| Express Mail                  | \\$80.14   |\n| External Phone Charges        | \\$0       |\n| Copies                        | \\$312.000 |\n| Travel and related expenses   | \\$0       |\n| Business Lunch                | \\$0       |\n| Certificate of Good Standing  | \\$0       |\n| Total Disbursements           | \\$392.14  |\n\n## **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\nDebtor.<sup>1</sup>\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_:\n\nIn re : Chapter 11 Ho Wan Kwok, : Case No. 22-50073\n\n:\n\n:\n\n: :\n\n# **THIRD INTERIM APPLICATION OF PULLMAN & COMLEY, LLC, AS COUNSEL TO THE OFFICIAL COMMITTEE OF UNSECURED CREDITORS FOR COMPENSATION FOR SERVICES RENDERED AND REIMBURSEMENT OF EXPENSES INCURRED FOR THE PERIOD FROM SEPTEMBER 1, 2023 THROUGH DECEMBER 31, 2023**\n\nPursuant to 11 U.S.C. §§ 330 and 331, Rule 2016(a) of the Federal Rules of Bankruptcy Procedure, Local Bankruptcy Rule 2016-1, Pullman & Comley, LLC (\"P&C\"), as counsel to the Official Committee of Unsecured Creditors in the Debtor's Chapter 11 Case (the \"Committee\"), appointed in the chapter 11 case of the Debtor, Ho Wan Kwok (the \"Debtor\"), submits its third interim application (the \"Application\") for allowance of compensation and reimbursement of expenses for the period of September 1, 2023 through December 31, 2023 (the \"Fee Period\"). By this Application, P&C seeks an interim allowance of compensation in the amount of \\$89,835.50 and expense reimbursement in the amount of \\$392.14. In support of this Application, P&C 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### **BACKGROUND**\n\n1. On February 15, 2022 (the \"Petition Date\"), the Debtor filed a voluntary petition for relief under Chapter 11 of Title 11 of the United States Code (the \"Bankruptcy Code\") in the United States Bankruptcy Court for the District of Connecticut, thereby commencing this Chapter 11 case (the \"Chapter 11 Case\").\n\n2. The Debtor remained a debtor in possession under sections 1101(1) and 1106(a) until a chapter 11 trustee, Luc A. Despins (the \"Trustee\"), was appointed by the United States trustee (\"UST\") on July 7, 2022 and approved by the Court on July 8, 2022.\n\n3. On March 21, 2022, the UST appointed the Committee pursuant to section 1102(a)(1) of the Bankruptcy Code.\n\n4. Shortly after its appointment, the Committee selected P&C as its counsel and on April 5, 2022, filed its Application to Employ Pullman & Comely, LLC as Counsel to the Official Committee of Unsecured Creditors.\n\n5. On April 29, 2022, the Court entered the *Order Authorizing Retention and Employment of Pullman & Comley, LLC as Counsel for the Official Committee of Unsecured Creditors*, which was made effective as of March 29, 2022 (\"Retention Order\"). The Retention Order authorizes P&C to be compensated in accordance with the procedures set forth in 11 U.S.C. §§ 330 and 331, the applicable Federal Rules of Bankruptcy Procedure, the rules of this Court and any Order entered by this Court with respect to the compensation of professionals.\n\n6. Through the Application, P&C seeks allowance of compensation for professional services rendered for and on behalf of the Committee during the Fee Period. A detailed description of services rendered during the Fee Period in the form of P&C's monthly invoices, which also contain the disbursements it incurred in connection with the rendition of P&C's services, is annexed hereto as Exhibit \"A**\"**.\n\n- 2 -\n\n### **BRIEF CASE HISTORY**\n\n7. The Debtor commenced the Chapter 11 Case one day before the date by which he was ordered to pay a \\$134,000,000 contempt fine (the \"Contempt Order\") to Pacific Alliance Asia Opportunity Fund, L.P. (\"PAX\") in the action, PAX v. Kwok, Index No. 652077/2017, pending in New York Supreme Court (the \"New York Action\").\n\n8. Give the long-standing and acrimonious litigation history between PAX and the Debtor, on March 1, 2022 PAX promptly moved for relief from the automatic stay to return to the New York Action for purposes of enforcing the Contempt Order (the \"PAX Lift Stay Motion\").\n\n9. On March 19, 2022, the UST filed a Motion for Order Directing Appointment of an Examiner, or in the Alternative, Motion for Order Directing the Appointment of a Chapter 11 Trustee (\"UST 1104 Motion\").\n\n10. On April 6, 2022, PAX filed a Motion to Dismiss Chapter 11 Case or, in the Alternative, Partial Joinder to United States Trustee's Motion for Order Directing the Appointment of a Chapter 11 Trustee (\"PAX Motion to Dismiss\").\n\n11. While the UST 1104 Motion and PAX Motion to Dismiss remained pending, the PAX Lift Stay Motion was resolved by a Stipulated Order Compelling HK International Funds Investments (USA) Limited, LLC to Transport and Deliver That Certain Yacht, The \"Lady May,\" entered on April 29, 2022. The focus of the Chapter 11 Case then turned to whether it should be dismissed, which was the principal form of relief requested in the PAX Motion to Dismiss, or converted, or whether a Chapter 11 trustee should be appointed. The Committee was the principal party opposing the PAX Motion to Dismiss, which was scheduled for an evidentiary hearing on May 25, 2022.\n\n12. Prior to and while pretrial proceedings relating to the PAX Motion to Dismiss were proceeding, the parties and the Court were dealing with a number of early case motions filed by\n\n- 3 -\n\nthe Debtor and opposed by the Committee or other parties in interest, in whole or in part, including (i) applications to retain Brown Rudnick LLP as Debtor's counsel, Verdolino & Lowey, P.C. as Debtor's financial advisor, and Stretto, Inc. as its claims and noticing agent (all filed on March 16, 2022), (ii) Debtor's for Entry of an Order Authorizing (I) Employment and Payment of Professionals Utilized in the Ordinary Course, (II) Payment of Prepetition Claims, and (III) Granting Related Relief, filed on March 22, 2022 (the \"OCP Motion\"), and (iii) Debtor's Motion for Entry of Interim and Final DIP Orders (I) Authorizing the Debtor to Obtain Unsecured, Subordinated Postpetition Financing and (II) Scheduling Interim and Final Hearings, and (III) Granting Related Relief, filed on March 22, 2022 (the \"DIP Motion\"), which proposed an \\$8 million unsecured, subordinated loan to the estate, \\$4 million of which would be dedicated to payment of professional fees of the Committee and/or and examiner to conduct an investigation into the Debtor's assets and financial affairs.\n\n12. While the Committee was able to negotiate further concessions from the proposed DIP lender, Golden Spring (New York) Ltd. (\"Golden Spring\"), including preservation of alter ego claims against Golden Spring notwithstanding its proposed financing, the Court was having reservations with the proposed loan and was proceeding incrementally by requiring fee budgets from the parties for more defined periods of time and scheduled a hearing on the DIP Motion and other matters, including the applications to retain Brown Rudnick and Verdolino & Lowey, for April 27, 2022. At that hearing, the DIP Motion was continued for hearing on May 4, 2022, after which the Court took the matter under advisement.\n\n13. On May 11, 2022, however, before the Court could issue its decision on the DIP Motion, the Debtor filed a Consent to the Dismissal of the Chapter 11 Case and a Notice of Withdrawal of the DIP Motion.\n\n- 4 -\n\n14. The Committee vigorously opposed the PAX Motion to Dismiss, which was the subject of an evidentiary hearing on May 25, 2022 after substantial briefing by the parties, exchange of trial exhibits and other pretrial proceedings. On June 15, 2022, the Court issued its Memorandum of Decision and Order Denying Motion to Dismiss Without Prejudice and Granting Joinder to Motion for Appointment of Chapter 11 Trustee.\n\n13. On July 7, 2022, the UST appointed the Trustee as the chapter 11 trustee of the Debtor's estate and his appointment was approved by the Court on July 8, 2022.\n\n14. Litigation almost immediately ensued by the Debtor's filing of an objection to the Trustee's appointment, a motion for relief from the order appointing the Trustee, and an objection to the Trustee's application to retain his firm, Paul Hastings LLP, as his counsel. All of these attempts by the Debtor to oust the Trustee<sup>2</sup> and prevent his retention of counsel were denied by the Court by orders entered on August 2, 2022.\n\n15. Since the Trustee's appointment, the Committee has taken a supportive role in the administration of the Chapter 11 Case, consulting with the Trustee as necessary in the administration of the Chapter 11 Case, 11 U.S.C. § 1103(a)(1), and serving a \"watchdog\" function. *See e.g. In re Commercial Mortgage and Finance Co.*, 414 B.R. 389, 400 (Bankr. N.D. Ill. 2009) (recognizing that \"creditor committees often serve a 'watchdog' function\").\n\n## **SUMMARY OF SERVICES BY PROJECT CATEGORY**\n\n16. The services rendered by P&C during the Fee Period are itemized as set forth in Exhibit \"A\" and summarized by project category as follows:\n\nA. Case Administration: Fees: \\$28,387.50 Hours: 50.2\n\n<sup>2</sup> The Debtor later filed a motion to remove the Trustee on December 30, 2022, which was opposed by the Committee and, of course, the Trustee, and was withdrawn by the Debtor on April 5, 2023.\n\n17. Among the myriad services performed by the Committee in this project category were reviewing pleadings, other papers and court orders or decisions, attending any court hearings, and engaging in discussions with the Trustee or his counsel, relating to the Debtor's case and the following contested matters and adversary proceedings: the Debtor's motion to stay the bankruptcy case filed in the pending criminal action against him in the U.S. District Court for the Southern District of New York (including preparing joinder to Trustee's objection), the Trustee's motion for remediation of the Sherry Netherlands apartment, motions and objections related to assertions of privilege and the Trustee's motion for use of privileged documents in the Bombardier adversary proceeding, the Trustee's rule 9019 motion to approve settlement with the Casper law firm, the Taurus Fund adversary proceeding, the motion to compel UBS in connection with a rule 2004 subpoena, the Trustee's emergency request for status conference in connection with personal property located at Mahwah Mansion, and the motion to intervene in HCHK Adversary Proceeding.\n\n. B. Communications with Creditors Fees: \\$3,830.00 Hours: 7.8\n\n18. Services within this project category included telephone conferences and email communications with members of the Committee concerning the Debtor's motion to stay the bankruptcy case filed in the pending criminal action against him in the U.S. District Court for the Southern District of New York, the interim fee applications of Paul Hastings, Neubert Pepe & Monteith, EPIQ and Harney Westwood, the monthly fee statements of O'Sullivan, McCormack, Jensen & Bliss, Paul Hastings, and Neubert Pepe & Monteith, the Mahwah Mmansion and personal property located thereon, the application to employ EisnerAmper as accountant, the adversary proceeding against Lamp Capital, et al, the Sherry Netherlands remediation, the sale of the Lady May II, the motion by purported customers of Himalaya Exchange requesting the return\n\n- 6 -\n\nof deposits in the Debtor's criminal case, and the adversary proceedings against Mei Guo and the Taurus Fund, including the JNFX account the storage unit related to the Mahwah Mansion.\n\nC. Fee and Employment Applications Fees: \\$29,738 Hours: 58.5\n\n19. Services included within this project category included reviewing and reporting to the Committee on the interim fee applications and monthly fee statements of the Trustee's professionals, including Paul Hastings, Neubert Pepe & Monteith, EPIQ, Harney, Westwood & Reigels, Saxe Doernberger, O'Sullivan McCormack, Jensen & Bliss, Pallas Partners, the application to employ Kroll as forensic investigator, and attending hearings related to such matters, addressing issues related to Kroll fee application and monthly fee statements, including communications with U.S. Trustee's office and Trustee's counsel, reviewing the underlying invoices and preparing a second interim fee application for Pullman & Comley, LLC as counsel to the Committee and attending the hearing thereon, and preparing Pullman & Comley, LLC's hourly rate increase notice and motion to limit notice of Pullman & Comley, LLC's fee applications\n\n. D. DIP Motion Fees: \\$1,205.00 Hours: 2.2\n\n20. Services in this project category included reviewing the revised proposed order in connection with Trustee's motion for approval of a DIP loan from the Debtor's estate to the Genever Holdings estate for payment of repairs and preservation expenses of the Sherry Netherland apartment.\n\nE. Asset Analysis and Recovery Fees: \\$26,675.50 Hours: 50.7 21. Services in this project category included reviewing the Taurus Fund adversary proceeding including issues related to engagement of the security firm, the US Bank Escrow Funds adversary proceeding, the Trustee's motion to remediate the Sherry Netherlands and ongoing correspondence related to the remediation project, the HK USA alter ego adversary\n\n- 7 -\n\nproceeding including the order denying stay pending appeal, the HCHK Adversary Proceeding and pleadings related to settlement with Assignee of HCHK including the proposed intervenor's motion to intervene, the objection ad reply thereto, the Trustee's motion to sell the Lady May II, the monthly operating reports, the Trustee's motion to preserve property of the estate in connection with the Mahweh mansion including the storage units, the Adversary proceeding against Lamp Capital, Hudson Diamond NY and Leading Shine, the Trustee's 8 th , 9 th and 10th omnibus motion for 2004 examinations, the objectons to the 2004 Examinations (i.e. G Club Operations, Shin Hsin Yu, Jie Zhang, GWGOPNZ Ltd., 1332156 B.C., LTD) and the replies thereto, the Trustee's motions to compel compliance with the 2004 examination subpoenas (including Seacoast National Bank, DBS Bank Ltd., Anton Development), and the motion by the purported customers of the Himalaya Exchange in the Debtor's criminal case seeking the return of property.\n\n### **DISBURSEMENTS**\n\n24. P&C incurred reasonable and necessary out-of-pocket expenses in the sum of \\$392.14 in connection with rendering legal services to the Committee during the Fee Period. These disbursements consisted of copying charges and express mail/postage fees.\n\n## **VALUATION OF SERVICES & RELIEF REQUESTED**\n\n25. Attorneys and paraprofessionals employed by P&C have expended a total of 169.4 hours in connection with this matter during the Fee Period detailed below. The nature of the work performed by these persons is fully set forth in the detail attached hereto as Exhibit \"A\". The hourly rates set forth above were P&C's current hourly rates for work of this nature at the time the services were rendered. The reasonable value of the services rendered by P&C for the Fee Period as counsel to the Committee is \\$89,835.50.\n\n26. In accordance with the factors enumerated in section 330 of the Bankruptcy Code, the amount requested is fair and reasonable given (a) the complexity of these Chapter 11 Cases, (b) the time expended, (c) the nature and extent of the services rendered, (d) the value of such services, and (e) the cost of comparable services other than in a case under this title.\n\n27. This is P&C's third interim application. P&C has received no payment and no promises for payment from any source for services rendered or to be rendered in any capacity whatsoever in connection with these cases, and there is no agreement or understanding between P&C and any other person, other than members of P&C, for the sharing of compensation to be received for services rendered in these cases. No prior application has been made to this or any other Court for this Fee Period or for the allowance of fees and disbursements sought herein.\n\n28. This Application covers the period of September 1, 2023 to December 31, 2023. P&C has and will continue to perform additional necessary services subsequent to December 31, 2023, for which P&C will file subsequent fee applications.\n\n29. Annexed hereto as Exhibit \"B\", and made part hereof, is a Certification of Jonathan A. Kaplan, Esq, a member of P&C, submitted pursuant to section 504 of the Bankruptcy Code.\n\n**WHEREFORE**, P&C respectfully requests the Court enter an order, substantially in the form attached hereto, providing: (a) that an interim allowance be made to P&C for the period from September 1, 2023 to December 31, 2023 in the amount of (i) \\$89,835.50 as compensation for necessary professional services rendered, and (ii) \\$392.14 for actual and necessary expenses incurred, for a total of \\$90,227.64; (b) that the Trustee be authorized and directed to pay P&C the outstanding amount of such sums; and (c) for such other and further relief as may be just and proper.\n\nDated: Bridgeport, Connecticut February 14, 2023 Respectfully submitted,\n\n## **PULLMAN & COMLEY, LLC**\n\n*/s/Irve J. Goldman* Irve J. Goldman, Esq. (ct02404) Jonathan A. Kaplan, Esq. (ct27126) 850 Main Street, 8th Floor P.O. Box 7006 Bridgeport, CT 06601-7006 Telephone: (203) 330-2213 Facsimile: (203) 576-8888 E-mail: [jgoldman@pullcom.com](mailto:jgoldman@pullcom.com)\n\n[jkaplan@pullcom.com](mailto:jkaplan@pullcom.com)\n\n*Counsel to the Official Committee of Unsecured Creditors*","body_zh":"UNITED STATES BANKRUPTCY COURT（美国破产法院）\nDISTRICT OF CONNECTICUT（康涅狄格区）\nBRIDGEPORT DIVISION（布里奇波特分院）\n\n关于：第 11 章\nHo Wan Kwok（郭文贵），：\n：案件编号：22-50073 (JAM)\n债务人。1 ：合并审理\n\n________________________________________________: ：\n费用申请首页\n第三次\n中期/最终\n费用申请人：Pullman & Comley, LLC\n时间段：\n自：2023年9月1日\n至：2023年12月31日\n破产申请提交日期：2022年2月15日\n聘用命令录入日期：2022年4月29日\n自 2022年3月29日起生效\n申请金额 扣减\n律师费：\n$89,835.50 自愿扣减律师费：$0\n开支：\n$392.14 开支扣减：$0\n总计：\n$90,227.64\n预付聘请费申请： 开支明细：\n已收预付聘请费\n__不适用___ 已收预付聘请费\n___不适用_______\n已适用的以往批准金额\n__不适用___ 已适用的以往批准金额\n___不适用_______\n本次申请前的余额\n__不适用___ 本次申请前的余额\n___不适用_______\n每页复印成本及总计___不适用_______\n\n1 本第 11 章破产案件中的债务人为 Ho Wan Kwok（郭文贵，亦称郭文贵、Miles Guo 及 Miles Kwok，以及其他众多化名）（纳税人识别号后四位：9595）、Genever Holdings LLC（纳税人识别号后四位：8202）及 Genever Holdings Corporation。托管人、Genever Holdings LLC 及 Genever Holdings Corporation 的邮寄地址为 Paul Hastings LLP（普衡律师事务所）, 200 Park Avenue, New York, NY 10166 转交 Ho Wan Kwok 破产财产托管人 Luc A. Despins（仅用于接收通知和沟通目的）。\n专业人员工时与费率：\n\n工时 43.2 费率 $580.00 至 $600.00 Irve J. Goldman\n工时 57.9 费率 $575.00 至 $590.00 Kristin B. Mayhew\n工时 68.3 费率 $440.00 -$460.00 Jonathan A. Kaplan\nUNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION（美国破产法院 康涅狄格区 布里奇波特分院）\n\n__________________________________________________ 关于 ：第 11 章 ：Ho Wan Kwok， ：案件编号：22-50073 ：债务人。 ： ： __________________________________________________:\n无担保债权人官方委员会法律顾问 PULLMAN & COMLEY, LLC 就 2023年9月1日至 2023年12月31日期间提供的服务报酬及发生的开支报销提出的第三次中期申请\n\n申请人名称：Pullman & Comley, LLC\n\n获准提供专业服务的对象：Official Committee of Unsecured Creditors（无担保债权人官方委员会）\n聘用日期：2022年4月29日，自 2022年3月29日起生效\n申请报酬及报销的期间：2023年9月1日至 2023年12月31日\n作为实际、合理且必要的报酬申请金额：$89,835.50\n作为实际、合理且必要的开支报销申请金额：$392.14________\n自愿扣减：$0.00\n\n本申请属于：中期 最终 申请\n以往申请历史\n\n申请类别 提交日期 涵盖期间 申请金额 100%律师费 申请金额 开支 月度报表 80%律师费 月度报表 开支 无异议证明/已签署命令\n第一次中期 6/20/23 3/29/2022-4/30/23 $504,742.00 $709.53 $12,226.88 $0.00 7/20/2023\n费用报表 9/20/23 8/1/2023-8/31/2023 $19,104.50 -0- $15,283.60 $0.00 不适用\n费用报表 10/20/23 9/1/2023-9/30/2023 $32,627.50 -0- $26,102.00 $0.00 不适用\n第二次中期 10/16/23 5/1/2023 – 8/31/2023 $86,457.50 1,751.60 不适用 不适用 11/30/2023\n2023年9月1日至 2023年12月31日期间提供服务的专业人员及辅助法律人员汇总\n\n计时人员姓名 执业年份 职衔/部门 工作工时 费率 账单金额\nGoldman, Irve J. 1989 合伙人/诉讼与破产 43.2 $580-$600 $25,348.00\nKaplan, Jonathan A. 2005 合伙人/诉讼与破产 68.3 $440-460 $30,642.00\nMayhew, Kristin B. 1999 合伙人/诉讼与破产 57.9 $575-590 $33,845.50\n\n所有计时人员总计 169.4 $89,835.50\n律师综合平均费率 $530.32\n2023年9月1日至 2023年12月31日期间按项目类别划分的报酬汇总\n\n任务编号 任务说明 工时 总计\n1 案件管理 50.2 $28,387.00\n2 与债权人的会议和沟通 8 $3,830.00\n3 费用/聘用申请 58.3 $29,738.00\n4 占有债务人融资（DIP融资） 2.2 $1,205.00\n5 资产分析与追收 50.7 $26,675.50\n本报表提供的服务费总计 169.4 $89,835.50\n\n2023年9月1日至 2023年12月31日期间开支汇总\n\n法院电话听证费 $0\n特快专递 $80.14\n外部电话费 $0\n复印费 $312.000\n差旅及相关开支 $0\n商务午餐 $0\n良好存续证明 $0\n支出总计 $392.14\nUNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION（美国破产法院 康涅狄格区 布里奇波特分院）\n\n债务人。1\n\n__________________________________________________\n\n__________________________________________________:\n\n关于：第 11 章 Ho Wan Kwok，：案件编号：22-50073\n\n作为无担保债权人官方委员会法律顾问的 PULLMAN & COMLEY, LLC 就 2023年9月1日至 2023年12月31日期间提供的服务报酬及发生的开支报销提出的第三次中期申请\n\n依据《美国法典》第 11 编（11 U.S.C.）第 330 条和第 331 条、《联邦破产程序规则》第 2016(a) 条、本地破产规则第 2016-1 条，Pullman & Comley, LLC（下称“P&C”）作为在债务人 Ho Wan Kwok（下称“债务人”）的第 11 章案件中获任命的无担保债权人官方委员会（下称“委员会”）的法律顾问，谨此提交其第三次中期申请（下称“本申请”），以寻求批准 2023年9月1日至 2023年12月31日期间（下称“费用期间”）的报酬及开支报销。通过本申请，P&C 寻求金额为 $89,835.50 的中期报酬批准以及金额为 $392.14 的开支报销。为支持本申请，P&C 谨陈述如下：\n\n1 本第 11 章破产案件中的债务人为 Ho Wan Kwok（郭文贵，亦称郭文贵、Miles Guo 及 Miles Kwok，以及其他众多化名）（纳税人识别号后四位：9595）、Genever Holdings LLC（纳税人识别号后四位：8202）及 Genever Holdings Corporation。托管人、Genever Holdings LLC 及 Genever Holdings Corporation 的邮寄地址为 Paul Hastings LLP（普衡律师事务所）, 200 Park Avenue, New York, NY 10166 转交 Ho Wan Kwok 破产财产托管人 Luc A. Despins（仅用于接收通知和沟通目的）。\n背景\n\n1. 2022年2月15日（下称“申请日”），债务人向美国康涅狄格区破产法院提交了依据《美国法典》第 11 编（下称“《破产法典》”）第 11 章寻求救济的自愿破产申请，从而启动了本第 11 章案件（下称“第 11 章案件”）。\n\n2. 债务人根据第 1101(1) 条和第 1106(a) 条继续作为占有债务人，直至 United States Trustee（美国破产管理人，下称“UST”）于 2022年7月7日任命了第 11 章托管人 Luc A. Despins（下称“托管人”），并于 2022年7月8日获得法院批准。\n\n3. 2022年3月21日，UST 依据《破产法典》第 1102(a)(1) 条任命了委员会。\n\n4. 在获得任命后不久，委员会选定 P&C 作为其法律顾问，并于 2022年4月5日提交了《关于聘用 Pullman & Comley, LLC 作为无担保债权人官方委员会法律顾问的申请》。\n\n5. 2022年4月29日，法院录入了《授权聘用 Pullman & Comley, LLC 作为无担保债权人官方委员会法律顾问的裁定》，该裁定自 2022年3月29日起生效（下称“《聘用裁定》”）。《聘用裁定》授权 P&C 按照 11 U.S.C. §§ 330 和 331、适用的《联邦破产程序规则》、本法院规则以及本法院就专业人员报酬录入的任何裁定所规定的程序获得报酬。\n\n6. 通过本申请，P&C 寻求批准其在费用期间为委员会并代表委员会提供专业服务的报酬。在费用期间所提供服务的详细说明（采用 P&C 月度发票的形式，其中亦包含其在提供 P&C 服务过程中发生的支出）作为附件“A”随附于本申请。\n\n- 2 -\n案情简述\n\n7. 债务人启动本第 11 章案件的时间，距其被命令向 Pacific Alliance Asia Opportunity Fund, L.P.（太盟亚洲机会基金有限公司，下称“PAX”）支付 $134,000,000 藐视法庭罚金的截止日期仅差一天，该罚金是 New York Supreme Court（纽约州最高法院）审理中的诉讼案件 PAX v. Kwok，索引号 652077/2017（下称“纽约诉讼”）所作出的命令（下称“《藐视法庭裁定》”）。\n\n8. 鉴于 PAX 与债务人之间长期且激烈的诉讼历史，PAX 于 2022年3月1日迅速提出动议，请求解除自动中止以便返回纽约诉讼以执行《藐视法庭裁定》（下称“《PAX 解除中止动议》”）。\n\n9. 2022年3月19日，UST 提交了《关于指示任命审查员的裁定的动议，或作为替代方案，关于指示任命第 11 章托管人的裁定的动议》（下称“《UST 1104 动议》”）。\n\n10. 2022年4月6日，PAX 提交了《关于驳回第 11 章案件的动议，或作为替代方案，部分加入美国破产管理人关于指示任命第 11 章托管人的裁定的动议》（下称“《PAX 驳回动议》”）。\n\n11. 在《UST 1104 动议》和《PAX 驳回动议》仍待决期间，《PAX 解除中止动议》通过于 2022年4月29日录入的《关于强制 HK International Funds Investments (USA) Limited, LLC 运输并交付特定游艇“Lady May”（梅小姐号）的规定裁定》得以解决。第 11 章案件的焦点随后转向该案是否应予以驳回（这是《PAX 驳回动议》中请求的主要救济形式）、或进行程序转换、抑或是否应任命第 11 章托管人。委员会是反对《PAX 驳回动议》的主要当事方，该动议原定于 2022年5月25日举行证据听证会。\n\n12. 在与《PAX 驳回动议》相关的审前程序进行之前及进行期间，各方当事人及法院正在处理多项案件早期动议，这些动议由\n\n- 3 -\n\n债务人提交并受到委员会或其他利害关系方的全部或部分反对，包括：(i) 聘用 Brown Rudnick LLP 作为债务人法律顾问、Verdolino & Lowey, P.C. 作为债务人财务顾问以及 Stretto, Inc. 作为其债权申报和通知代理的申请（均于 2022年3月16日提交）；(ii) 债务人于 2022年3月22日提交的《关于录入授权 (I) 聘用并支付在通常业务过程中使用的专业人员，(II) 支付申请前债权，以及 (III) 准予相关救济的裁定的动议》（下称“《OCP 动议》”）；以及 (iii) 债务人于 2022年3月22日提交的《关于录入 (I) 授权债务人获得无担保、次级申请后融资，(II) 排定中期和最终听证会，以及 (III) 准予相关救济的中期和最终 DIP 裁定的动议》（下称“《DIP 动议》”），该动议提议向破产财产提供 $800 万的无担保次级贷款，其中 $400 万将专门用于支付委员会和/或审查员对债务人资产和财务状况进行调查的专业人员费用。\n\n12. 尽管委员会（Committee）能够从拟议的占有中债务人（DIP）贷款人 Golden Spring (New York) Ltd.（「Golden Spring」）处协商获得进一步让步，包括尽管有其拟议融资但仍保留对 Golden Spring 的另我/刺破公司面纱主张（alter ego claims），但法院对该拟议贷款持保留意见，并采取循序渐进的方式，要求各方提供更明确期限内的费用预算，并将关于 DIP 动议及其他事项（包括聘用 Brown Rudnick 以及 Verdolino & Lowey 的申请）的听证会定于 2022 年 4 月 27 日举行。在这一听证会上，DIP 动议被顺延至 2022 年 5 月 4 日举行听证，此后法院将该事项列入待决审议状态（took the matter under advisement）。\n\n13. 然而，在 2022 年 5 月 11 日，在法院就 DIP 动议作出裁定之前，债务人提交了《关于同意驳回第 11 章案件的同意书》以及《撤回 DIP 动议的通知》。\n\n- 4 -\n\n14. 委员会强烈反对 PAX 提出的驳回案件动议（PAX Motion to Dismiss），在各方进行大量案情摘要陈述、交换庭审证据及其他审前程序后，该动议于 2022 年 5 月 25 日举行了证据听证会。2022 年 6 月 15 日，法院发布了其《无偏见驳回动议并准许加入指定第 11 章受托人动议的裁定备忘录与命令》（Memorandum of Decision and Order Denying Motion to Dismiss Without Prejudice and Granting Joinder to Motion for Appointment of Chapter 11 Trustee）。\n\n13. 2022 年 7 月 7 日，美国受托人办公室（UST）指定受托人（Trustee）作为债务人破产财产的第 11 章受托人，其任命于 2022 年 7 月 8 日获得法院批准。\n\n14. 随后，诉讼几乎立刻随之而来：债务人对受托人的任命提出了异议、提交了请求免除任命受托人命令的救济动议，并对受托人申请聘用其所在的 Paul Hastings LLP 律师事务所担任其律师提出了异议。债务人试图驱逐受托人2并阻止其聘用律师的所有这些企图，均被法院于 2022 年 8 月 2 日录入的命令予以驳回。\n\n15. 自受托人获任命以来，委员会在第 11 章案件的管理中发挥了支持性作用，在管理该第 11 章案件时根据需要与受托人协商，11 U.S.C. § 1103(a)(1)，并履行「监督机构（watchdog）」职能。参见例如 In re Commercial Mortgage and Finance Co., 414 B.R. 389, 400 (Bankr. N.D. Ill. 2009)（确认「债权人委员会通常发挥『监督机构』职能」）。\n\n按项目类别划分的服务摘要\n\n16. P&C 在费用期间（Fee Period）提供的服务按证物「A」所载逐项列出，并按项目类别总结如下：\n\nA. 案件管理：费用：$28,387.50 小时数：50.2\n\n2 债务人随后于 2022 年 12 月 30 日提交了罢免受托人的动议，该动议遭到了委员会以及（当然还有）受托人的反对，并由债务人于 2023 年 4 月 5 日撤回。\n\n17. 委员会在此项目类别中履行的无数服务中，包括审查与债务人案件以及以下争议事项和对抗性诉讼程序（adversary proceedings）相关的诉状、其他文件以及法院命令或裁决，参加各项法庭听证会，并与受托人或其律师进行讨论：债务人在针对其于美国纽约南区联邦地区法院（U.S. District Court for the Southern District of New York）待决的刑事诉讼中提起的中止破产案件动议（包括准备加入受托人的异议书）、受托人关于修缮雪莉荷兰（Sherry Netherlands）公寓的动议、与特权主张相关的动议和异议以及受托人关于在庞巴迪（Bombardier）对抗性诉讼程序中使用受特权保护文件的动议、受托人根据规则 9019 请求批准与 Casper 律师事务所和解的动议、金牛座基金（Taurus Fund）对抗性诉讼程序、关于规则 2004 传票强制作出披露的瑞银（UBS）动议、受托人关于位于马瓦豪宅（Mahwah Mansion）的个人财产申请召开地位会议的紧急请求，以及在 HCHK 对抗性诉讼程序中申请参加诉讼的动议。\n\n. B. 与债权人的沟通 费用：$3,830.00 小时数：7.8\n\n18. 该项目类别内的服务包括就以下事项与委员会成员进行电话会议和电子邮件沟通：债务人在针对其于美国纽约南区联邦地区法院待决的刑事诉讼中提起的关于中止破产案件的动议、Paul Hastings、Neubert Pepe & Monteith、EPIQ 以及 Harney Westwood 的中期费用申请、O'Sullivan, McCormack, Jensen & Bliss、Paul Hastings 以及 Neubert Pepe & Monteith 的月度费用清单、马瓦豪宅及位于其上的个人财产、聘用 EisnerAmper 担任会计师的申请、针对 Lamp Capital 等人的对抗性诉讼程序、雪莉荷兰修缮工程、Lady May II 号的出售、喜马拉雅交易所（Himalaya Exchange）声称的客户在债务人刑事案件中请求返还\n\n- 6 -\n\n存款的动议，以及针对 Mei Guo（郭美）和金牛座基金的对抗性诉讼程序（包括 JNFX 账户以及与马瓦豪宅相关的仓储单元）。\n\nC. 费用与聘用申请 费用：$29,738 小时数：58.5\n\n19. 该项目类别内包含的服务包括：审查受托人专业人士的中期费用申请和月度费用清单并向委员会汇报（包括 Paul Hastings、Neubert Pepe & Monteith、EPIQ、Harney, Westwood & Reigels、Saxe Doernberger、O'Sullivan McCormack, Jensen & Bliss、Pallas Partners）、聘用 Kroll 担任法务调查员的申请，并参加与此类事项相关的听证会、处理与 Kroll 费用申请和月度费用清单相关的问题（包括与美国受托人办公室及受托人律师的沟通）、审查底层发票并为 Pullman & Comley, LLC 准备其作为委员会律师的第二次中期费用申请并出席其听证会，以及准备 Pullman & Comley, LLC 的小时费率上调通知和限制 Pullman & Comley, LLC 费用申请送达范围的动议。\n\n. D. DIP 动议 费用：$1,205.00 小时数：2.2\n\n20. 该项目类别中的服务包括审查与受托人关于批准从债务人破产财产向 Genever Holdings 破产财产发放 DIP 贷款以支付雪莉荷兰公寓修缮和保全费用的动议相关的修订后拟议命令。\n\nE. 资产分析与追回 费用：$26,675.50 小时数：50.7 21. 该项目类别中的服务包括审查金牛座基金对抗性诉讼程序（包括与聘请安保公司相关的事项）、美国银行代管资金（US Bank Escrow Funds）对抗性诉讼程序、受托人关于修缮雪莉荷兰的动议及与该修缮项目相关的持续往来函件、HK USA 另我/刺破公司面纱对抗性\n\n- 7 -\n\n诉讼程序（包括驳回上诉期间中止执行的命令）、HCHK 对抗性诉讼程序以及与 HCHK 受让人和解相关的诉状（包括拟议第三人参加诉讼的动议、异议及答复）、受托人出售 Lady May II 号的动议、月度运营报告、受托人关于保全与马瓦豪宅相关的破产财产（包括仓储单元）的动议、针对 Lamp Capital、Hudson Diamond NY 以及 Leading Shine 的对抗性诉讼程序、受托人关于 2004 规则调查的第 8、第 9 和第 10 次综合动议、针对 2004 规则调查的异议（即 G Club Operations、Shin Hsin Yu、Jie Zhang、GWGOPNZ Ltd.、1332156 B.C., LTD）及对其的答复、受托人强迫遵守 2004 规则调查传票的动议（包括针对 Seacoast National Bank、DBS Bank Ltd.、Anton Development），以及喜马拉雅交易所声称的客户在债务人刑事案件中寻求返还财产的动议。\n\n垫付开支\n\n24. P&C 在费用期间就向委员会提供法律服务而产生了合理且必要的自付费用，总计 $392.14。这些开支包括复印费和特快专递/邮资费。\n\n服务估值与请求的救济\n\n25. 由 P&C 聘用的律师和准法律专业人员（paraprofessionals）在本事项中于下述费用期间累计耗费了 169.4 小时。由这些人员执行的工作性质已完整载于后附作为证物「A」的明细中。上述小时费率均为 P&C 在提供服务时就该类工作适用的当时小时费率。P&C 在费用期间作为委员会律师所提供服务的合理价值为 $89,835.50。\n\n26. 依据《破产法典》第 330 条所列各项因素，鉴于 (a) 这些第 11 章案件的复杂性、(b) 所耗费的时间、(c) 所提供服务的性质和范围、(d) 该等服务的价值，以及 (e) 在本篇以外的案件中可比服务的成本，所请求的金额是公平且合理的。\n\n27. 这是 P&C 的第三次中期申请。P&C 未曾因在与这些案件相关的任何身份下已经提供或将要提供的服务而从任何来源获得任何报酬或报酬承诺，且 P&C 与任何其他人（P&C 成员除外）之间亦不存在就这些案件中提供服务所获报酬进行分享的协议或默契。此前未曾就本费用期间或就本文所寻求准许的费用和垫付开支向本法院或任何其他法院提出过申请。\n\n28. 本申请涵盖 2023 年 9 月 1 日至 2023 年 12 月 31 日期间。P&C 已经并将继续在 2023 年 12 月 31 日之后提供额外的必要服务，P&C 将为此提交后续的费用申请。\n\n29. 随本申请附上并作为本申请组成部分的证物「B」，系根据《破产法典》第 504 条提交的 P&C 成员 Jonathan A. Kaplan 律师的证明书。\n\n为此，P&C 谨请法院实质上以随附形式录入一项命令，规定：(a) 就 2023 年 9 月 1 日至 2023 年 12 月 31 日期间向 P&C 作出中期准予支付，金额为 (i) 作为所提供必要专业服务报酬的 $89,835.50，以及 (ii) 作为所发生实际且必要费用的 $392.14，总计 $90,227.64；(b) 授权并指示受托人向 P&C 支付该等款项的未结金额；以及 (c) 给予公正且适当的其他及进一步救济。\n\n日期：康涅狄格州布里奇波特 2023 年 2 月 14 日 谨此呈递，\nPULLMAN & COMLEY, LLC\n\n/s/ Irve J. Goldman\nIrve J. Goldman 律师 (ct02404)\nJonathan A. Kaplan 律师 (ct27126)\n850 Main Street, 8th Floor\nP.O. Box 7006\nBridgeport, CT 06601-7006\n电话：(203) 330-2213\n传真：(203) 576-8888\n电子邮件：[jgoldman@pullcom.com]\n\n[jkaplan@pullcom.com]\n\n无担保债权人官方委员会（Official Committee of Unsecured Creditors）之代理律师","key_entities":["Je","Kwok","Ho Wan Kwok","Paul Hastings","Guo","Despins","HCHK","Miles Guo","Himalaya","Himalaya Exchange","CIPA"],"ecf_references":[],"word_count":3686,"status":"published","published_at":null,"created_at":null,"updated_at":"2026-08-23 13:57:56"}