{"id":"court_ctb_297_3","court":"CTB","case_no":"22-50073","doc_number":297,"sub_number":3,"doc_type":"ORDER","filed_date":"2022-04-29","title":"B2540 (Form 2540 – Subpoena for Rule 2004 Examination) (12/15) Case 22-50073 Doc 297-3 Filed 04/29/22 Entered 04/29/22 1","summary_zh":null,"summary_en":null,"body_en":"B2540 (Form 2540 – Subpoena for Rule 2004 Examination) (12/15) Case 22-50073 Doc 297-3 Filed 04/29/22 Entered 04/29/22 15:29:40 Page 1 of 4\n\nUNITED STATES BANKRUPTCY COURT\n\nDistrict of Connecticut\n\nDebtor\n\n22-50073 (JAM) In re Ho Wan Kwok Case No.\n\nChapter 11\n\n# **SUBPOENA FOR RULE 2004 EXAMINATION**\n\nGolden Spring (New York) Ltd. To:\n\n*(Name of person to whom the subpoena is directed)*\n\nX *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<br>Pullman & Comley, LLC<br>850 Main Street, 8th Floor<br>Bridgeport, CT 06604 | DATE AND TIME<br>May , 2022 at 10:00 a.m. |\n|--------------------------------------------------------------------------------------|-------------------------------------------|\n|                                                                                      |                                           |\n|                                                                                      |                                           |\n\nThe examination will be recorded by this method: Stenographic\n\nX *Production:* You, or your representatives, must produce the following documents, electronically stored information, or objects, and must permit inspection, copying, testing, or sampling of the material on or before May \\_\\_\\_, 2022 per Court Order (ECF No. 16) :\n\nSee attached Request for Production of Documents\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:\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 *(name of party)* , who issues or requests this subpoena, are:\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\n| Case 22-50073                                                   | Doc 297-3 | Filed 04/29/22 | Entered 04/29/22 15:29:40 | Page 2 of 4 |\n|-----------------------------------------------------------------|-----------|----------------|---------------------------|-------------|\n| B2540 (Form 2540 – Subpoena for Rule 2004 Examination) (Page 2) |           |                |                           |             |\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| □<br>My fees are \\$                                                                                          | witness the fees for one day's attendance, and the mileage allowed by law, in the amount of \\$<br>for travel and \\$ | Unless the subpoena was issued on behalf of the United States, or one of its officers or agents, I have also tendered to the<br>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|                                                                                                              |                                                                                                                     | Printed name and title                                                                                                                                          |  |  |  |\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*(1) For a Trial, Hearing, or Deposition.* A subpoena may command a study that was not requested by a party.\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 conditions if the serving party:\n\nexpense. compensated.\n\n### *(2) For Other Discovery.* A subpoena may command: **(e) Duties in Responding to a Subpoena.**\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, *(1) Producing Documents or Electronically Stored Information.* These or regularly transacts business in person; and procedures apply to producing documents or electronically stored\n\n(B) inspection of premises, at the premises to be inspected. information:\n\nattorney 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 *Specified.* If a subpoena does not specify a form for producing\n\na form or forms in which it is ordinarily maintained or in a reasonably which may include lost earnings and reasonable attorney's fees — on a party or attorney who fails to comply. usable form or forms.\n\ndocuments, 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, *(2) Claiming Privilege or Protection.* the following rules apply: *(A) Information Withheld.* A person withholding subpoenaed\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. (i) expressly make the claim; and\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**(c) Place of compliance.** (ii) disclosing an unretained expert's opinion or information that does not describe specific occurrences in dispute and results from the expert's\n\nperson to attend a trial, hearing, or deposition only as follows: *(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\n\ntransacts business in person, if the person (i) shows a substantial need for the testimony or material that cannot (i) is a party or a party's officer; or be otherwise met without undue hardship; and\n\n(ii) is commanded to attend a trial and would not incur substantial (ii) ensures that the subpoenaed person will be reasonably\n\n**(d) Protecting a Person Subject to a Subpoena; Enforcement.** *(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 *(1) Avoiding Undue Burden or Expense; Sanctions.* A party or the demand.\n\n*(B) Form for Producing Electronically Stored Information Not* required must enforce this duty and impose an appropriate sanction electronically stored information, the person responding must produce it in\n\n*(C) Electronically Stored Information Produced in Only One Form.* The person responding need not produce the same electronically stored *(2) Command to Produce Materials or Permit Inspection.* information in more than one form. *(A) Appearance Not Required.* A person commanded to produce\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\ninformation under a claim that it is privileged or subject to protection as trial-preparation material must:\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 trialpreparation 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)","body_zh":"B2540（表格 2540 – 依据第 2004 条规则进行的审查传票）（12/15）案件 22-50073 文件 297-3 提交于 04/29/22 录入于 04/29/22 15:29:40 第 1 页，共 4 页\n\nUNITED STATES BANKRUPTCY COURT（美国破产法院）\n\nDistrict of Connecticut（康涅狄格区）\n\n债务人\n\n22-50073 (JAM) 破产申请人：Ho Wan Kwok（郭文贵） 案件编号\n\n第 11 章\n依据第 2004 条规则进行的审查传票\n\n致：Golden Spring (New York) Ltd.（金泉（纽约）有限公司）\n\n（受传票送达人姓名/名称）\n\nX 作证：现命令你于下文列明的时间、日期和地点出席，在依据《联邦破产程序规则》第 2004 条规则进行的审查中作证。随附授权进行审查的法院裁定副本。\n\n地点\nPullman & Comley, LLC（普尔曼与康姆利有限责任合伙）\n850 Main Street, 8th Floor\nBridgeport, CT 06604 日期与时间\n2022 年 5 月 日 上午 10:00\n\n审查记录方式：速记记录\n\nX 提供材料：你或你的代表必须根据法院裁定（ECF No. 16）于 2022 年 5 月 ___ 日或之前提供下列文件、电子存储信息或实物，并必须允许对材料进行检查、复制、测试或抽样：\n\n见随附的《提供文件请求书》\n\n随附以下由 Fed. R. Bankr. P. 9016 适用于破产案件的 Fed. R. Civ. P. 45 条款——关于履行地点的第 45(c) 条；关于对受传票约束之人的保护的第 45(d) 条；以及关于你对本传票作出回应的义务和不作回应的潜在后果的第 45(e) 与 45(g) 条。\n\n日期：\n\n法院书记官\n\n或\n\n书记官或副书记官签名 律师签名\n\n签发或请求签发本传票的代表（当事人姓名/名称）的律师姓名、地址、电子邮件地址及电话号码为：\n给签发或请求签发本传票之人的通知\n\n如果本传票命令在审判前提供文件、电子存储信息或有形物品，或允许检查场所，则在向受传票送达人送达传票之前，必须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案件 22-50073 文件 297-3 提交于 04/29/22 录入于 04/29/22 15:29:40 第 2 页，共 4 页\n\nB2540（表格 2540 – 依据第 2004 条规则进行的审查传票）（第 2 页）\n\n送达证明\n（除非 Fed. R. Civ. P. 45 要求，否则本部分无需向法院提交。）\n\n于（日期）我收到了针对（个人姓名及职务，如有）：的本传票\n我按以下方式向上述指明的人员送达了传票副本：\n□ 于（日期） ；或\n我退回未执行的传票，原因为：\n□\n我的费用为差旅费 $ ，劳务费 $ ，总计 $ 。除非传票是代表美国或其官员或代理人签发，否则我还向证人支付了一天的出庭费以及法律允许的里程费，金额为 $ 。\n我声明上述信息真实准确，如有不实甘受伪证罪处罚。\n日期：\n送达人签名\n正楷姓名及职务\n送达人地址\n\n有关尝试送达等的补充信息：\n《联邦民事诉讼规则》第 45(c)、(d)、(e) 和 (g) 条（2013年12月1日生效）（由《联邦破产程序规则》第 9016 条规则适用于破产案件）\n\n(c) 履行地点。\n(1) 用于审判、听证或庭外采证。传票仅可在下列情况下命令人员出席审判、听证或庭外采证：\n(A) 在该人居住、受雇或经常亲自处理业务的地点 100 英里以内；或\n(B) 在该人居住、受雇或经常亲自处理业务的州内，前提是该人：\n(i) 为当事人或当事人的高级管理人员；或\n(ii) 被命令出席审判且不会产生重大开支。\n(2) 用于其他证据开示。传票可命令：\n(A) 在该人居住、受雇或经常亲自处理业务的地点 100 英里以内的地点提供文件、电子存储信息或物品；以及\n(B) 在待检查的场所检查场所。\n\n(d) 保护受传票约束之人；执行。\n(1) 避免不当负担或开支；制裁。负责签发和送达传票的当事人或律师必须采取合理步骤，避免对受传票约束之人施加不当负担或开支。要求履行的地区所在的法院必须执行该义务，并对未遵守规定的当事人或律师施加适当制裁——其中可能包括收入损失和合理的律师费。\n(2) 命令提供材料或允许检查。\n(A) 无需亲自出庭。被命令提供文件、电子存储信息或有形物品，或允许检查场所的人，无需亲自出现在提供或检查地点，除非同时被命令出席庭外采证、听证或审判。\n(B) 异议。被命令提供文件或有形物品或允许检查的人，可以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、测试或抽样任何或全部材料，或反对检查场所——或反对以所请求的一种或多种形式提供电子存储信息。异议必须在规定的履行时间或送达传票后 14 天内（以较早者为准）送达。如提出异议，适用以下规则：\n(i) 在任何时候，经通知受传票命令之人，送达传票的当事人可向要求履行的地区所在的法院申请下达强迫提供材料或允许检查的命令。\n(ii) 仅可按照命令的指示要求实施这些行为，且该命令必须保护非当事人亦非当事人高级管理人员的人免于因履行而产生重大开支。\n(3) 撤销或修改传票。\n(A) 必须撤销或修改的情形。在及时提出动议的情况下，要求履行的地区所在的法院必须撤销或修改具有下列情形的传票：\n(i) 未能给予合理的履行时间；\n(ii) 要求人员超出第 45(c) 条规定的地理限制进行履行；\n(iii) 要求披露享有特权或其他受保护的事项，且不存在例外或弃权情形；或\n(iv) 使人员承受不当负担。\n(B) 可以撤销或修改的情形。为保护受传票约束或受其影响的人，要求履行的地区所在的法院可在提出动议时撤销或修改传票，如果该传票要求：\n(i) 披露商业秘密或其他机密的研究、开发或商业信息；或\n(ii) 披露未受聘专家的意见或信息，而该信息未描述争议中的特定事件，且系该专家非应任何当事人请求进行研究所得。\n(C) 作为替代方案指定条件。在第 45(d)(3)(B) 条所述的情况下，法院可以不撤销或修改传票，而在送达方满足下列条件的前提下，命令在指定条件下出庭或提供材料：\n(i) 表明对该证言或材料有实质性需求，且若无过大困难则无法通过其他方式满足；并且\n(ii) 确保受传票约束之人将获得合理补偿。\n\n(e) 对传票作出回应的义务。\n(1) 提供文件或电子存储信息。以下程序适用于提供文件或电子存储信息：\n(A) 文件。回应提供文件传票的人必须按照其在正常业务过程中保管的方式提供文件，或者必须组织并标记文件以与请求中的类别相对应。\n(B) 未指定提供电子存储信息的形式。如果传票未指定提供电子存储信息的形式，则作出回应的人必须以其通常保存的形式或合理可用的形式提供。\n(C) 仅以一种形式提供电子存储信息。作出回应的人无需以一种以上的形式提供相同的电子存储信息。\n(D) 无法访问的电子存储信息。作出回应的人无需提供由于不当负担或成本而被该人认定为无法合理访问的来源的电子存储信息。在提出强迫证据开示或保护令的动议时，作出回应的人必须表明由于不当负担或成本导致该信息无法合理访问。如果作出了该项证明，但请求方在考虑第 26(b)(2)(C) 条的限制后表明有充分理由，法院仍可命令从这些来源进行证据开示。法院可为该证据开示指定条件。\n(2) 主张特权或保护。\n(A) 扣留的信息。以享有特权或受审判准备材料保护为由扣留被传票调取的信息的人必须：\n(i) 明确提出该主张；并且\n(ii) 在不透露本身享有特权或受保护的信息的情况下，描述被扣留的文件、通信或有形物品的性质，以使各方当事人能够评估该主张。\n(B) 已提供的信息。如果为回应传票而提供的信息受特权主张或受审判准备材料保护主张的约束，则提出主张的人可以通知收到该信息的任何当事人有关该主张及其依据。在收到通知后，当事人必须迅速归还、隔离或销毁指定的信息及其持有的任何副本；在主张解决之前不得使用或披露该信息；如果当事人在收到通知前已披露了该信息，则必须采取合理步骤追回该信息；并且可以迅速将该信息在密封状态下提交给要求履行的地区所在的法院以对该主张作出裁定。提供该信息的人必须保存该信息，直到该主张解决为止。\n\n(g) 藐视法庭。要求履行的地区所在的法院——以及在动议移送后的签发法院——可判定在已收到送达后无充分理由不服从传票或与传票相关的命令的人构成藐视法庭。\n\n有关传票材料的查阅，见 Fed. R. Civ. P. 45(a) 委员会说明（2013年）","key_entities":["Je","Kwok","Ho Wan Kwok"],"ecf_references":[{"doc_number":16,"court":"CTB"}],"word_count":1762,"status":"published","published_at":"2022-04-29 00:00:00","created_at":"2022-04-29","updated_at":"2026-08-23 13:13:52"}