{"id":"court_ctb_321_0","court":"CTB","case_no":"22-50073","doc_number":321,"sub_number":0,"doc_type":"ORDER","filed_date":null,"title":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION In re : Chapter 11","summary_zh":null,"summary_en":null,"body_en":"### **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\nIn re : Chapter 11\n\n:\n\n:\n\n:\n\nDebtor.1 :\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_:\n\nHo Wan Kwok, : Case No. 22-50073 (JAM)\n\n## **APPLICATION OF THE OFFICIAL COMMITTEE OF UNSECURED CREDITORS FOR AN ORDER PURSUANT TO 11 U.S.C. §§ 328(a) AND 1103(a) AUTHORIZING AND APPROVING THE EMPLOYMENT AND RETENTION OF DUNDON ADVISERS LLC AS FINANCIAL ADVISOR, EFFECTIVE AS OF MAY 3, 2022**\n\nPursuant to 11 U.S.C. §328(a) and 1103(a), Federal Rule of Bankruptcy Procedure 2014(a) and D. Conn. LBR 2014-1, the Official Committee of Unsecured Creditors (the \"Committee\") of the above-named Debtor and Debtor in Possession, Ho Wan Kwok (the \"Debtor'), files this application for an order authorizing and approving the employment of Dundon Advisers LLC (\"Dundon\") as its financial advisor, effective as of May 3, 2022 (the \"Application\").\n\nIn support of the Application, the Committee relies upon and incorporates by reference (i) the Declaration of Matthew Dundon in Support of the Application of the Official Committee of Unsecured Creditors for Entry of an Order Authorizing and Approving the Employment and Retention of Dundon Advisers LLC as Financial Advisor (the \"Dundon Declaration\"), attached hereto as **Exhibit A**, and (ii) the Declaration of Samuel Nunberg, not in his individual capacity but solely his capacity as Chairman of the Committee, in Support of the Application of the\n\n<sup>1</sup> The Debtor is known by the following names: Guo Wengui; Miles Guo; Miles Kwok; and Ho Wan Kwok.\n\nOfficial Committee of Unsecured Creditors for Entry of an Order Authorizing the Employment and Retention of Dundon Advisers LLC as Financial Advisor (the \"Nunberg Declaration\"), attached hereto as **Exhibit B**. In further support of the Application, the Committee respectfully represents:\n\n1. On February 15, 2022 (the \"Petition Date\"), the Debtor filed a voluntary petition for relief under Chapter 11, Title 11 of the United States Code (the \"Bankruptcy Code\"). Since that time, the Debtor has remained a debtor-in-possession pursuant to §§1107 and 1108 of the Bankruptcy Code.\n\n2. No trustee or examiner has yet been appointed in the Debtor's bankruptcy case, although on March 19, 2022, the United States Trustee (\"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 (the \"Examiner/Trustee Motion\").\n\n3. Following a hearing held on April 27, 2022, the hearing on the Examiner/Trustee Motion was continued to May 25, 2022 at 10:00 a.m., the same date and time as an evidentiary hearing that has been scheduled on Pacific Alliance Asia Opportunity Fund L.P.'s (\"PAX\") Motion to Dismiss Chapter 11 Case or, in the Alternative, Partial Joinder to United States Trustee's Motion for an Order Directing the Appointment of a Chapter 11 Trustee. (the \"Dismissal Motion\"). According to the UST's Amended Proposed Order at n. 1 (ECF No. 116), the Debtor has agreed to the Court's directing the UST to appoint an examiner in this case.\n\n4. On March 21, 2022, the Committee was officially appointed by the United States Trustee. The members of the Committee are Rui Ma, Ning Ye and Samuel Dan Nunberg. The Committee has selected Pullman & Comley, LLC to serve as its lead counsel in this case, whose retention was approved by order entered on April 29, 2022.\n\n2\n\n5. On May , 2022, the Committee selected Dundon as its financial advisor and Coleman Worldwide Advisors, of which Gregory A. Coleman2 is the principal, as its fraud investigation consultant. 3\n\n6. Among the first motions to have been filed by the Debtor was a 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 (the \"DIP Motion\"), filed on March 22, 2022. It seeks to provide up to \\$8 million in postpetition financing to fund, *inter alia*, professionals retained by the Committee to properly investigate the Debtor's assets and financial affairs, including assets that may reside with or that are recoverable from entities that are claimed to be owned by the Debtor's son and daughter, as well as other concealed assets or interests.\n\n7. Another significant asset owned by the Debtor, but which he maintains is held in trust for his Son, is his interest in the Sherry-Netherland apartment located at 781 Fifth Avenue, New York, NY, which the Debtor purchased in March 2015 for \\$67.5 million through Genever Holdings LLC (\"Genever NY\") (the \"Sherry-Netherland Apartment\") (*See* PAX Motion, ECF No. 57, n. 36 and materials cited therein, and Declaration of Mr. Ho Wan Kwok in Support of the Chapter 11 Case and Certain Motions, ECF No. 107 (Kwok Dec.\") ¶17).\n\n8. Various objections were filed to the DIP Motion, all of which, along with the DIP Motion, were the subject of an evidentiary hearing on April 27, 2022. At the conclusion of the evidentiary hearing, the Court directed the parties to attempt to work out an interim order which contains a budget and deletes various findings that were included in the proposed interim order\n\n<sup>2</sup> Mr. Coleman is a former FBI agent who is best known for his role in bringing to justice Jordon Belfort, the so-called \"Wolf of Wall Street,\" for securities fraud and related financial crimes while he ran Stratton Oakmont, Inc.\n\nthat the Court found were inappropriate to be made and/or could not be supported at this stage of the proceedings. A status conference has been scheduled to consider a revised Interim DIP Order on May 4 at 2 p.m.\n\n9. On April 10, 2022, the Debtor filed a Proposed Plan of Reorganization (the \"Plan\"), but without a disclosure statement in contravention of Fed. R. Bankr. P. 3016(b) and without consulting with the Committee, as is contemplated by section 1103(c)(3) of the Bankruptcy Code. The Committee opposes the Plan filed by the Debtor for, among other reasons, (i) its purported \"contribution\" of the Lady May by its titleholder in exchange for consensual releases of the purported plan funders, Golden Spring (New York) Ltd. and HK International Funds Investments (USA) Limited, LLC (owned and controlled by the Debtor's son and daughter, respectively) (the \"Plan Funders\"), when the Debtor has already been found to have *the* beneficial ownership in the boat; (ii) its failure to account for significant other assets which the Committee believes a proper and thorough investigation will show belong to the Debtor; and (iii) its release of, and extinguishment of claims and causes of action against, the Plan Funders *and their affiliates*, by virtue of Art. IX.B. of the Plan and the Plan's exclusion from \"Creditor Trust Estate Assets\" of any and all \"Released Claims\" (which include all claims or causes of action against the Plan Funders and their affiliates).\n\n10. Prior to the Petition Date, in connection with proceedings held on February 2, 2022 in New York Supreme Court relating to the Debtor's violations of court orders restraining the movement of the yacht known as the \"Lady May,\" which led to \\$134 million in contempt fines imposed for such violations, a February 9, 2022 Decision of Judge Barry R. Ostrager found, *inter alia*, that: (i) the Debtor had engaged in \"efforts to avoid and deceive his creditors by parking his substantial personal assets with a series of corporations, trusted confidants, and\n\n4\n\nfamily members\"; and (ii) the Debtor had \"secreted his assets in a maze of corporate entities and with family members\" (PAX Motion, ECF No. 57, Ex. B, Declaration of Peter Friedman, ¶2, Ex. 1).\n\n#### **JURISDICTION AND VENUE**\n\n11. This Court has jurisdiction over this Application pursuant to 28 U.S.C. §§ 157 and 1334. Venue is proper pursuant to 28 U.S.C. §§ 1408 and 1409. The statutory predicates for the relief sought herein are 11 U.S.C. §§ 328 and 1103, Fed. R. Bankr. P. 2014, and D. Conn. LBR 2014-1.\n\n#### **RELIEF REQUESTED AND REASONS THEREFOR**\n\n12. By this Application, the Committee seeks entry of an Order authorizing and approving the retention and employment of Dundon as its financial advisor to perform services in connection with this chapter 11 case.\n\n13. By separate application, the Committee is seeking to retain Gregory A. Coleman of Coleman Worldwide Advisors as its fraud investigation consultant. There will be no duplication of services or effort as between Dundon and Coleman, who will coordinate with another and work collaboratively in rendering services to the Committee.\n\n14. Section 1103(a) of the Bankruptcy Code empowers a committee to employ \"one or more attorneys, accountants, or other agents to represent or perform services for [the] committee.\" Correspondingly, section 328(a) of the Bankruptcy Code empowers a committee appointed under 11 U.S.C. § 1102, with the Court's approval, to employ professionals under 11 U.S.C. § 1103 on any reasonable terms and conditions of employment, including on a retainer, on an hourly basis, or on a contingent fee basis, to perform services for such committee.\n\n15 Dundon has extensive experience representing official creditors' committees, debtors, creditors, trustees, and others in a wide variety of bankruptcy cases. Dundon presently acts or recently acted as financial adviser to: Official Committees of Unsecured Creditors of 1 Global (SD FL), Agera Energy (SDNY), Alamo Drafthouse (Delaware), All American Oil and Gas (WD TX), Alpha Entertainment (Delaware), Alpha Media (ED VA), Aralez Pharmaceuticals (SDNY), Aztec Shaeffer (WD TX), BeavEx (Delaware), Celadon (Delaware), Comcar (Delaware), Franks' Theatres (New Jersey), Fuse Media (Delaware), Glostation USA (CD CA), Gold's Gym (ND TX), Goodrich Quality Theaters (WD MI), Impresa Aerospace (Delaware), In-Shape (Delaware), iPic (Delaware), Jagged Peak/Trade Global (Nevada), Juno USA (Delaware), K&W Cafeterias (MD NC), LaSalle Group (ND TX), LBI Media (Delaware), Loot Crate (Delaware), Maines Paper & Food (Delaware), Mallinckrodt (Delaware), McClatchy (this Court), NG Purvis Farms (ED VA), Open Road Films (Delaware), Pipeline Foods (Delaware), Platinum Corral (ED NC), Proteus Heath (Delaware), Remnant Oil Company (WD Texas), Renovate America (Delaware), SIW Holdings (Delaware), Slidebelts (ED CA), Studio Movie Grill (ND TX), Sunergy (ED CA), Sungard (SD TX), Valmiera Glass (ND GA), Vector Launch (Delaware), Video Corporation of America (D NJ), Volunteer Energy (SD OH), Wave Technologies (ND CA), YogaWorks (ND TX), and YouFit (Delaware), and the Ad Hoc Noteholder Group in the Woodbridge Group of Companies (Delaware), the Ad Hoc Group of Consumer and Worker Litigation Claimants in Hertz (Delaware), the Official Committee of Tort Claimants in PG&E (ND CA), the Ad Hoc Group of Individual Victims in Purdue (SDNY), the Official Committee of Unsecured Commercial Creditors of the Roman Catholic Archdiocese of New Orleans (ED LA), and the Ad Hoc Group of Equity Security Holders in RAIT (Delaware).\n\n.\n\n16. The Committee has selected Dundon because of the knowledge, experience and expertise of its principals and personnel in the rendering of financial advisory services to major constituents in a chapter 11 case and, in particular, in the areas of asset identification, forensic accounting, and financial matters particular to the chapter 11 process. The Committee believes that Dundon is well qualified to provide services to the Committee in the Debtor's bankruptcy case in a cost-effective manner.\n\n17. The professional services that Dundon will provide to the Committee include, but are not limited to:\n\na. becoming familiar with and analyzing the Debtor's assets and liabilities, and overall financial condition, including, but not limited to, the Debtor's litigation claims against third parties;\n\nb. reviewing financial and operational information furnished by the Debtor to the Committee;\n\nc. analyzing the Debtors' proposed plan and developing alternative scenarios, if necessary;\n\nd. assessing the Debtors' various pleadings both in and outside of bankruptcy and the Debtor's proposed treatment of unsecured creditor claims;\n\ne. preparing, or reviewing as applicable, avoidance action and claim analyses;\n\nf. assisting the Committee in reviewing the Debtor's financial reports, including but not limited to, the SOFA, bankruptcy schedules and monthly operating reports;\n\ng. advising the Committee on the current state of these chapter 11 cases;\n\nh. advising the Committee in negotiations with the Debtor and third parties as necessary;\n\ni. assisting Committee counsel in its investigation of the Debtors' unencumbered assets, liabilities and financial condition, and prepetition transactions including those between the Debtor and non-Debtor affiliates and insiders;\n\nj. coordinating and working together with the Committee's proposed fraud investigation consultant in a manner that will avoid duplication of effort and provide symbiotic services to the Committee;\n\nk. if necessary, participating as a witness in hearings before the bankruptcy court with respect to matters upon which Dundon has provided advice; and\n\nl. other activities as are approved by the Committee, the Committee's counsel, and as agreed to by Dundon.\n\n18. Subject to the Court's approval and pursuant to §§ 330 and 331 of the Bankruptcy\n\nCode, the Federal Rules of Bankruptcy Procedure, the Local Bankruptcy Rules for the District of\n\nConnecticut (the \"Local Rules\") and the rules and other procedures which this Court may fix, the\n\nCommittee requests that Dundon be compensated on an hourly basis, plus reimbursement of its\n\nactual and necessary expenses incurred, in connection with representing the Committee in this\n\nchapter 11 case. The Committee has been advised that Dundon's compensation shall be in\n\naccordance with the ordinary and customary rates which are in effect on the date the services are\n\nrendered or the expenses are incurred.\n\n19. Dundon's standard hourly rates are:\n\n| Principal             | \\$790 |\n|-----------------------|-------|\n| Managing Director     | \\$750 |\n| Senior Director       | \\$650 |\n| Director              | \\$600 |\n| Associate<br>Director | \\$550 |\n| Senior Associate      | \\$450 |\n| Associate             | \\$350 |\n\n20. The hourly rates set forth above are subject to annual adjustment on July 1 of each calendar year to reflect economic and other conditions, and the Committee has been advised of that fact. Dundon commits to providing ten (10) days' notice to the Debtor, the Committee, and the U.S. Trustee before implementing any increases in Dundon's rates for professionals working\n\non this chapter 11 case. Without limiting the generality of the foregoing, as an accommodation to the Committee and to other stakeholders in this chapter 11 case, Dundon will waive the application of its anticipated fee increase to take effect on July 1, 2022, and will bill the chapter 11 cstate for services to the Committee at its 2021-2022 rates through and including June 30, 2023.\n\n21. Based upon the Dundon Declaration, filed contemporaneously herewith, the Committee is satisfied that (i) Dundon represents no interest adverse to the Committee, the Debtor, his estate, or any other party in interest in the matters upon which it is to be engaged and that its employment is in the best interest of the estate, (ii) Dundon has no connection with the U.S. Trustee or any other person employed in the office of the U.S. Trustee, and (iii) Dundon has not been paid any retainer against which to bill fees and expenses. To the best of the Committee's knowledge, Dundon has no connection with creditors or any other party in interest except as otherwise noted in the Dundon Declaration.\n\n22. No prior application for the relief requested herein has been made to this Court.\n\n**WHEREFORE**, the Committee respectfully requests that an order be entered authorizing it to retain and employ Dundon as its financial advisor in the above-captioned case, effective as of May 3, 2022, and granting such other and further relief as may be deemed just and proper.\n\n9\n\nDated: May , 2022 4\n\n# Respectfully submitted, **THE OFFICIAL COMMITTEE OF UNSECURED CREDITORS OF HO WAN KWOK, BY ITS CHAIRMAN,**\n\nBy: /s/ Samuel Nunberg\n\n> Samuel Dan Nunberg, not in his individual capacity but solely in his capacity as Chairperson of the Official Committee of Unsecured Creditors","body_zh":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION（美国康涅狄格州破产法院布里奇波特分院）\n\n关于：第11章\n\n债务人。1 ：\n\n_____________________________________________\n\n_____________________________________________:\n\nHo Wan Kwok（郭文贵），：案件编号：22-50073 (JAM)\n无担保债权人官方委员会依据 11 U.S.C. §§ 328(a) 及 1103(a) 请求作出授权并批准聘用及留任 DUNDON ADVISERS LLC 担任财务顾问的申请，自 2022年5月3日起生效\n\n依据 11 U.S.C. § 328(a) 及 1103(a)、《联邦破产程序规则》第 2014(a) 条以及 D. Conn. LBR 2014-1（康涅狄格区破产地方规则第 2014-1 条），上述署名债务人及占有中债务人 Ho Wan Kwok（债务人）的 Official Committee of Unsecured Creditors（无担保债权人官方委员会，下称“委员会”）提出本申请，请求作出命令授权并批准聘用 Dundon Advisers LLC（下称“Dundon”）担任其财务顾问，自 2022年5月3日起生效（下称“本申请”）。\n\n为支持本申请，委员会依赖并援引纳入：(i) Matthew Dundon（马修·邓登）支持无担保债权人官方委员会请求作出授权并批准聘用及留任 Dundon Advisers LLC 担任财务顾问的命令申请的声明（下称“Dundon 声明”），作为附件 A 附于本申请之后；以及 (ii) Samuel Nunberg（萨缪尔·纳恩伯格）并非以其个人身份、而是仅以其作为委员会主席的身份作出的支持无担保债权人官方委员会请求作出授权聘用及留任 Dundon Advisers LLC 担任财务顾问的命令申请的声明\n\n1 债务人以下列姓名/名称为人所知：Guo Wengui（郭文贵）；Miles Guo；Miles Kwok；以及 Ho Wan Kwok。\n\n（下称“Nunberg 声明”），作为附件 B 附于本申请之后。为进一步支持本申请，委员会谨作如下陈述：\n\n1. 2022年2月15日（下称“申请日”），债务人依据 United States Code（《美国法典》）第 11 篇（下称“《破产法典》”）第 11 章提交了自愿破产保护救济申请。自那时起，债务人依据《破产法典》§§ 1107 及 1108 继续作为占有中债务人。\n\n2. 债务人的破产案件中尚未指定任何破产受托人或调查员，但 United States Trustee（美国联邦破产受托人，下称“UST”）于 2022年3月19日提交了请求作出指定调查员命令的动议，或选择性请求作出指定第 11 章受托人命令的动议（下称“调查员/受托人动议”）。\n\n3. 继 2022年4月27日举行的听证会后，关于调查员/受托人动议的听证会被延期至 2022年5月25日上午 10:00，该日期和时间与针对 Pacific Alliance Asia Opportunity Fund L.P.（太平洋联盟亚洲机会基金有限合伙，下称“PAX”）关于驳回第 11 章案件的动议，或选择性部分加入美国联邦破产受托人关于请求作出指定第 11 章受托人命令的动议（下称“驳回动议”）所安排的证据听证会相同。根据 UST 修正的拟定命令第 1 条脚注（ECF No. 116），债务人已同意由本法院指示 UST 在本案中指定一名调查员。\n\n4. 2022年3月21日，委员会由美国联邦破产受托人正式指定成立。委员会成员为 Rui Ma（马锐）、Ning Ye（叶宁）及 Samuel Dan Nunberg（萨缪尔·丹·纳恩伯格）。委员会已选定 Pullman & Comley, LLC 担任其在本案中的首席律师，该留任已通过 2022年4月29日作出的命令予以批准。\n\n5. 2022年5月 日，委员会选定 Dundon 担任其财务顾问，并选定由 Gregory A. Coleman（格雷戈里·A·科尔曼）2 担任负责人的 Coleman Worldwide Advisors 担任其欺诈调查顾问。3\n\n6. 在债务人提交的首批动议中，有一份于 2022年3月22日提交的请求作出 (I) 授权债务人获取无担保、从属性申请后融资，及 (II) 安排临时和最终听证会，以及 (III) 给予相关救济的临时和最终 DIP 命令的动议（下称“DIP 动议”）。该动议寻求提供高达 800 万美元的申请后融资，以资助（除其他事项外）委员会聘用的专业人士对债务人的资产和财务事务进行适当调查，包括可能由声称归债务人儿女所有的实体所持有或可从该等实体追回的资产，以及其他隐匿的资产或权益。\n\n7. 债务人拥有的另一项重大资产（但其坚称该资产是为其儿子信托持有）是其在位于 New York, NY（纽约州纽约市）781 Fifth Avenue（第五大道 781 号）的 Sherry-Netherland（雪梨-内瑟兰）公寓中的权益，该公寓是债务人于 2015年3月通过 Genever Holdings LLC（下称“Genever NY”）以 6750 万美元购入的（下称“雪梨-内瑟兰公寓”）（参见 PAX 动议，ECF No. 57，脚注 36 及其所引用的材料，以及 Ho Wan Kwok 先生支持第 11 章案件及若干动议的声明，ECF No. 107（下称“Kwok 声明”）¶17）。\n\n8. 各方对 DIP 动议提出了多项异议，所有这些异议连同 DIP 动议均于 2022年4月27日成为证据听证会的审理对象。在证据听证会结束时，法院指示各方尝试制定一份包含预算并删除拟定临时命令中所包含的若干认定的临时命令，\n\n2 Coleman 先生是一名前 FBI（联邦调查局）探员，他最著名的战绩是将所谓的“华尔街之狼” Jordon Belfort（乔丹·贝尔福特）在其经营 Stratton Oakmont, Inc. 期间所犯下的证券欺诈和相关金融犯罪绳之以法。\n\n法院认为在该诉讼阶段作出该等认定是不当的且/或无法获得支持。法院已安排于 5月4日下午 2 点举行现状会议，以审议经修改的临时 DIP 命令。\n\n9. 2022年4月10日，债务人提交了一份重组计划草案（下称“计划”），但未附带披露声明，违反了 Fed. R. Bankr. P. 3016(b)（《联邦破产程序规则》第 3016(b) 条），且未与委员会协商，违反了《破产法典》第 1103(c)(3) 条的规定。委员会反对债务人提交的计划，原因包括但不限于：(i) 其声称由“Lady May（梅号）”游艇的产权持有人将其“捐赠”，以换取声称的计划出资人 Golden Spring (New York) Ltd. 和 HK International Funds Investments (USA) Limited, LLC（分别由债务人的儿子和女儿拥有和控制）（下称“计划出资人”）获得合意豁免，而债务人已被认定对该游艇拥有实益所有权；(ii) 其未能对其他重大资产作出交代，委员会认为经过适当而彻底的调查将证明这些资产属于债务人；以及 (iii) 凭借计划第 IX.B 条及其将任何及所有“被豁免索赔”（包括针对计划出资人及其关联方的所有索赔和诉由）排除在“债权人信托财产资产”之外，对计划出资人及其关联方的索赔和诉由予以免除和消灭。\n\n10. 在申请日之前，针对债务人违反法院限制名为“Lady May（梅号）”游艇移动的命令，New York Supreme Court（纽约州最高法院）于 2022年2月2日举行了诉讼程序，导致因该等违规行为被处以 1.34 亿美元的藐视法庭罚款。Barry R. Ostrager（巴里·R·奥斯特拉格）法官于 2022年2月9日作出的裁决认定（除其他事项外）：(i) 债务人曾“通过将巨额个人资产存放于一系列公司、亲信和家族成员名下，企图规避和欺骗其债权人”；以及 (ii) 债务人“将自身资产隐匿于错综复杂的公司实体迷宫及家族成员之中”（PAX 动议，ECF No. 57，附件 B，Peter Friedman 声明，¶2，附件 1）。\n\n管辖权与审理地\n\n11. 依据 28 U.S.C. §§ 157 及 1334，本法院对本申请具有管辖权。依据 28 U.S.C. §§ 1408 及 1409，审理地正当。在此寻求救济的法定依据为 11 U.S.C. §§ 328 及 1103、Fed. R. Bankr. P. 2014 以及 D. Conn. LBR 2014-1。\n\n请求的救济及理由\n\n12. 通过本申请，委员会寻求作出一项命令，授权并批准留任和聘用 Dundon 担任其财务顾问，以提供与本第 11 章案件相关的服务。\n\n13. 委员会正通过单独的申请，寻求留任 Coleman Worldwide Advisors 的 Gregory A. Coleman 担任其欺诈调查顾问。Dundon 与 Coleman 之间的服务或工作不会发生重叠，他们将在向委员会提供服务时相互协调并合作开展工作。\n\n14. 《破产法典》第 1103(a) 条授权委员会聘用“一名或多名律师、会计师或其他代理人代表[该]委员会或为其提供服务”。相应地，《破产法典》第 328(a) 条授权根据 11 U.S.C. § 1102 指定成立的委员会在经法院批准的情况下，按任何合理的聘用条款和条件（包括按聘留金、按小时计费或按风险代理费基础）根据 11 U.S.C. § 1103 聘用专业人士，为该委员会提供服务。\n\n15. Dundon 在各类破产案件中代表官方债权人委员会、债务人、债权人、受托人及其他各方方面拥有丰富经验。Dundon 目前或近期担任下列实体的财务顾问：1 Global（佛罗里达南区）、Agera Energy（纽约南区）、Alamo Drafthouse（特拉华区）、All American Oil and Gas（得克萨斯西区）、Alpha Entertainment（特拉华区）、Alpha Media（弗吉尼亚东区）、Aralez Pharmaceuticals（纽约南区）、Aztec Shaeffer（得克萨斯西区）、BeavEx（特拉华区）、Celadon（特拉华区）、Comcar（特拉华区）、Franks' Theatres（新泽西区）、Fuse Media（特拉华区）、Glostation USA（加利福尼亚中区）、Gold's Gym（得克萨斯北区）、Goodrich Quality Theaters（密歇根西区）、Impresa Aerospace（特拉华区）、In-Shape（特拉华区）、iPic（特拉华区）、Jagged Peak/Trade Global（内华达区）、Juno USA（特拉华区）、K&W Cafeterias（北卡罗来纳中区）、LaSalle Group（得克萨斯北区）、LBI Media（特拉华区）、Loot Crate（特拉华区）、Maines Paper & Food（特拉华区）、Mallinckrodt（特拉华区）、McClatchy（本法院）、NG Purvis Farms（弗吉尼亚东区）、Open Road Films（特拉华区）、Pipeline Foods（特拉华区）、Platinum Corral（北卡罗来纳东区）、Proteus Heath（特拉华区）、Remnant Oil Company（得克萨斯西区）、Renovate America（特拉华区）、SIW Holdings（特拉华区）、Slidebelts（加利福尼亚东区）、Studio Movie Grill（得克萨斯北区）、Sunergy（加利福尼亚东区）、Sungard（得克萨斯南区）、Valmiera Glass（佐治亚北区）、Vector Launch（特拉华区）、Video Corporation of America（新泽西区）、Volunteer Energy（俄亥俄南区）、Wave Technologies（加利福尼亚北区）、YogaWorks（得克萨斯北区）及 YouFit（特拉华区）的无担保债权人官方委员会，以及 Woodbridge Group of Companies（特拉华区）的临时票据持有人小组、Hertz（特拉华区）的消费者与劳工诉讼索赔人临时小组、PG&E（加利福尼亚北区）的侵权索赔人官方委员会、Purdue（纽约南区）的个人受害者临时小组、Roman Catholic Archdiocese of New Orleans（路易斯安那东区）的无担保商业债权人官方委员会，以及 RAIT（特拉华区）的权益证券持有人临时小组。\n\n.\n\n16. 委员会选定 Dundon，是鉴于其负责人和人员在向第 11 章案件中的主要当事方提供财务咨询服务方面的知识、经验和专长，特别是在资产识别、法务会计以及第 11 章程序特有的财务事项领域。委员会认为 Dundon 完全有资格以具有成本效益的方式在债务人的破产案件中向委员会提供服务。\n\n17. Dundon 将向委员会提供的专业服务包括但不限于：\n\na. 熟悉并分析债务人的资产和负债以及整体财务状况，包括但不限于债务人对第三方的诉讼索赔；\n\nb. 审查债务人向委员会提供的财务和运营信息；\n\nc. 分析债务人提议的重组计划，并在必要时制定替代方案；\n\nd. 评估债务人在破产程序内外提交的各项诉状，以及债务人对无担保债权人主张的债权所提议的处理方式；\n\ne. 准备或酌情审查撤销权诉讼（avoidance action）及债权分析；\n\nf. 协助委员会审查债务人的财务报告，包括但不限于财务状况说明书（SOFA）、破产财产及债务明细表（bankruptcy schedules）以及月度运营报告；\n\ng. 就这些 Chapter 11（第11章）破产案件的当前状况向委员会提供咨询意见；\n\nh. 必要时在与债务人及第三方的谈判中向委员会提供咨询意见；\n\ni. 协助委员会律师调查债务人的未设立担保物权资产、负债及财务状况，以及破产申请前的交易（包括债务人与非债务人关联方及内部人之间的交易）；\n\nj. 与委员会拟聘请的欺诈调查顾问进行协调与合作，以避免重复工作并向委员会提供协同增效的服务；\n\nk. 必要时，就 Dundon 已提供咨询意见的事项，作为证人出席破产法院的听证会；以及\n\nl. 经委员会、委员会律师批准且 Dundon 同意的其他活动。\n\n18. 在获得法院批准的前提下，根据《破产法》（Bankruptcy Code）第 330 条和第 331 条、《联邦破产程序规则》（Federal Rules of Bankruptcy Procedure）、《康涅狄格区破产局部规则》（Local Bankruptcy Rules for the District of Connecticut）（简称“《局部规则》”）以及本法院可能确定的规则和其他程序，委员会请求准予 Dundon 按小时费率获得报酬，并报销其因在本 Chapter 11 案件中代表委员会而实际发生的必要费用。委员会已获悉，Dundon 的报酬应按照提供服务或发生费用之日有效的常规和惯常费率计算。\n\n19. Dundon 的标准小时费率为：\n\n负责人（Principal） $790\n\n董事总经理（Managing Director） $750\n高级总监（Senior Director） $650\n总监（Director） $600\n副总监（Associate Director） $550\n高级专员（Senior Associate） $450\n专员（Associate） $350\n\n20. 上述小时费率将在每个日历年的 7 月 1 日进行年度调整，以反映经济和其他状况，委员会已被告知该事实。Dundon 承诺在对参与本 Chapter 11 案件工作的专业人员实施任何费率上调之前，提前十（10）天通知债务人、委员会和美国受托人（U.S. Trustee）。在不限制前述一般性原则的前提下，为了向委员会和本 Chapter 11 案件中的其他利益相关方提供便利，Dundon 将放弃适用原定于 2022 年 7 月 1 日生效的预期费率上调，并将在截至 2023 年 6 月 30 日（含当日）的期间内，按其 2021-2022 年度的费率就向委员会提供的服务向 Chapter 11 破产财产开具账单。\n\n21. 根据与本申请同时提交的《Dundon 声明》（Dundon Declaration），委员会确信：(i) Dundon 在其受聘处理的事项上不存在与委员会、债务人、其破产财产或任何其他利害关系人相对立的利益，且聘用该公司符合破产财产的最佳利益；(ii) Dundon 与美国受托人或美国受托人办公室雇用的任何其他人员均无任何关联；以及 (iii) Dundon 未收取任何用于抵扣费用和开支的预付定金（retainer）。据委员会所知，除《Dundon 声明》中另有说明外，Dundon 与债权人或任何其他利害关系人均无任何关联。\n\n22. 此前未就本申请所请求的救济向本法院提出过任何申请。\n\n为此，委员会谨请求法院作出一项命令，授权其自 2022 年 5 月 3 日起聘用 Dundon 作为其在上述标题案件中的财务顾问，并给予法院认为公正和适当的其他及进一步救济。\n日期：2022 年 5 月 4 日\n谨此提交，\nHo Wan Kwok（郭文贵）无担保债权人官方委员会，由其主席代表，\n\n签署人：/s/ Samuel Nunberg\n\nSamuel Dan Nunberg，非以其个人身份，而仅以无担保债权人官方委员会主席的身份签署","key_entities":["Kwok","Ho Wan Kwok","Je","CIPA","Guo","Miles Guo"],"ecf_references":[{"doc_number":57,"court":"CTB"},{"doc_number":107,"court":"CTB"},{"doc_number":116,"court":"CTB"}],"word_count":2595,"status":"published","published_at":null,"created_at":null,"updated_at":"2026-08-23 13:19:28"}