{"id":"court_ctb_3541_1","court":"CTB","case_no":"22-50073","doc_number":3541,"sub_number":1,"doc_type":"ORDER","filed_date":"2024-09-06","title":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT In re: )","summary_zh":"撤销传票动议之法律备忘录 —— Ho Wan Kwok 破产案（郭文贵 / Guo Wengui / Miles Guo），CTB 22-50073 ECF #3541（2024-09-06立案）。动议人 Yumei Hao、River Valley Operations, LLC 及 Golden Eagles Ventures, LLC 提交法律支持备忘录，主张受托人向 Old National Bank 发出的 Rule 2004 调查传票超出法定调查范围且构成「钓鱼式调查」，请求予以撤销并签发保护令。","summary_en":"Memorandum of Law in Support of Motion to Quash Subpoena — In re Ho Wan Kwok (Miles Guo / Guo Wengui), CTB 22-50073 ECF #3541 (Filed 2024-09-06). Movants Yumei Hao, River Valley Operations, LLC, and Golden Eagles Ventures, LLC submitted this memorandum requesting to quash Rule 2004 examination subpoenas served on Old National Bank and seeking a protective order against alleged overly broad discovery requests.","body_en":"# UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT\n\nIn re: )\n\nHO WAN KWOK, ET. AL. )\n\nDebtors )\n\n) Chapter 11\n\n) CASE NO. 22-50073 (JAM)\n\n) (JOINTLY ADMINISTERED\n\n) SEPTEMBER 17, 2024\n\n## **MEMORANDUM OF LAW IN SUPPORT OF MOTION TO QUASH SUBPOENA AND FOR PROTECTIVE ORDER**\n\n)\n\nYumei Hao, River Valley Operations, LLC and Golden Eagles Ventures, LLC (collectively, the \"Movants\") move to quash the Subpoenas for Rule 2004 Examination issued to them by Kari Mitchell, Esq., attorney for Chapter 11 Trustee for the Debtor, Luc Despins (the \"Trustee\") on or about August 29, 2024 (collectively, the \"Subpoenas\"). The Movants also move for the issuance of a protective order preventing disclosure of the documents and information requested in the Subpoenas. The Movants object to the Subpoenas because although they were issued pursuant to orders authorizing examination of the Movants under Federal Rule of Bankruptcy Procedure 2004, they exceed the scope of allowable discovery under that rule. The Movants also object to the Subpoenas because they appear to seek documents and information that seem to be part of a \"fishing expedition\" by the Trustee. The Movants object because the Trustee has failed to send copies of the subpoenas to the Movants. The Movants have not seen a complete copy of the document request as only a small portion was provided by Old National Bank and the Trustee never previously requested the documents from the Movants nor provided a copy of what was sought from the Bank.\n\n Movants are unable to provide a more complete objection without seeing exactly what documents are being requested. Finally, Movants request that compliance with the Subpoenas be stayed until the Movants see what is being requested , had an opportunity to discuss this with the Trustee and determine what documents should reasonably be produced.\n\n#### **I. RELEVANT FACTUAL AND PROCEDURAL BACKGROUND**\n\nThe Movants have not, up to this date, been part of this bankruptcy proceeding.\n\nThe Movants received notice from Old National Bank located in Indiana that the Bank had been served with a Subpoena requesting bank records and documents of the Movants. Attached as Exhibit A are the letters and portions of the subpoenas that were received. The Movants have not received full copies of the subpoenas. and wish to preserve the status quo until they have an opportunity to review them and determine what, if any objections to document requests should be made.\n\n#### **II. THE SUBPOENAS**\n\nA small portion of the Subpoenas were received by the Movants from Old National Bank by letters dated September 6, 2024. The subpoenas were never received from the Trustee, The definition section was not provided and it is unclear on what basis the Trustee needs these documents. It is unknown if any of the documents are related to the Debtors or to discover if there is a claim that money should be recovered from the Movants, The requests appear to go far beyond what is necessary to evaluate potential claims. It appears to be a fishing expedition.\n\nThe Movants are willing, in good faith, to resolve any disputes over the production of these bank records without court intervention.. Unfortunately, the Trustee chose to go directly to a bank without trying to first gettng the documents from the Movants.\n\n## **III. THE TRUSTEE MAY NOT BE ENTITLED TO THE DISCOVERY SOUGHT IN THE SUBPOENAS**\n\nRule 2004(b), in applicable part, limits the scope of discovery such that the \"examination of an entity under this rule … may relate only to the acts, conduct, or property or to the liabilities and financial condition of the debtor, or to any matter which may affect the administration of the debtor's estate, or to the debtor's right to a discharge.\" (Emphasis added). It is presently unknown why the Trustee sent this subpoena, what it is investigating and what information it is looking for.\n\nOnce the complete subpoenas are received and a discussion takes place with the Trustee as to why these subpoenas are necessary, a better evaluation of the nature of the requests can be made,.\n\nThe Trustee should have provided prior notice pf the Subpoena directly to the Movants.\n\nUnder CGS 36a-43, the Trustee should have provided notice of the Subpoena to the Movants along with service upon the bank. This was not done in this case.\n\nUnder the Right to Financial Privacy Act which is followed by the State of Indiana, notice of the subpoena should have been given to the Movants/customers of the Bank. The Trustee did not do that in this case.\n\nFinally, at a minimum, Movants request that any compliance with the Subpoenas be stayed pending the outcome of the hearing on this Motion.\n\n#### **V. CONCLUSION**\n\nFor the reasons stated herein, the Subpoenas should be quashed and a protective order entered preventing the disclosure of the information sought therein.\n\n3\n\nMOVANTS, YUMEI HAO,RIVER VALLEY OPERATIONS,LLC , GOLDEN EAGLES VENTURES, LLC\n\nBy: s/s\n\nRoss G. Fingold [rfingold@lawssf.com](mailto:rfingold@lawssf.com) Fed Bar #ct05452 Stokesbury & Fingold, LLC 10 Waterside Drive, Suite 204 Farmington, CT 06032 (860) 606-1709\n\n## **CERTIFICATION OF SERVICE**\n\nThe undersigned hereby certifies that on the 17th day of September 2024 in accordance with Rules 7004(a), 9014 F.R. Bankr. P., I served a copy of the foregoing by electronic mail.\n\ns/s\n\nROSS G. FINGOLD\n\n,\n\n.","body_zh":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT（美国康涅狄格区破产法院）\n\n关于：\n\nHO WAN KWOK（郭文贵）等\n\n债务人\n\n第 11 章\n\n案件编号：22-50073 (JAM)\n\n（合并审理）\n\n2024 年 9 月 17 日\n支持撤销传票动议及申请保护令的法律备忘录\n\nYumei Hao（郝玉梅）、River Valley Operations, LLC（河流山谷运营有限责任公司）以及 Golden Eagles Ventures, LLC（金鹰创投有限责任公司）（统称“动议提出人”）请求撤销由债务人第 11 章破产受托人 Luc Despins（“受托人”）的代理律师 Kari Mitchell 律师于 2024 年 8 月 29 日或该日前后向其发出的《第 2004 条规则调查传票》（统称“传票”）。动议提出人亦申请签发保护令，以阻止披露传票中要求提供的文件和信息。动议提出人对传票提出异议，因为尽管传票是依据授权根据《联邦破产诉讼程序规则》第 2004 条对动议提出人进行调查的命令而发出的，但它们超出了该规则允许的证据开示范围。动议提出人亦对传票提出异议，因为传票似乎在索取属于受托人“摸底调查”一部分的文件和信息。动议提出人提出异议，还因为受托人未能向动议提出人送达传票副本。动议提出人尚未见到文件索要求求的完整副本，因为 Old National Bank（老国民银行）仅提供了极小一部分，且受托人此前从未向动议提出人索要过这些文件，亦未提供向银行索取内容的副本。\n\n在未能确切看到所要求的文件之前，动议提出人无法提出更全面的异议。最后，动议提出人请求暂缓履行传票，直至动议提出人看到所要求的内容，并有机会与受托人就此进行讨论并确定合理应出示的文件。\n\nI. 相关事实与诉讼背景\n\n截至目前，动议提出人尚未参与本破产程序。\n\n动议提出人收到位于印第安纳州的 Old National Bank 的通知，称该银行已被送达一份要求提供动议提出人之银行记录和文件的传票。随附的附件 A 为收到的信函及部分传票内容。动议提出人尚未收到传票的完整副本，并希望维持现状，直至其有机会审阅传票并确定应对文件索要求求提出何种异议（如有）。\n\nII. 传票\n\n动议提出人通过日期为 2024 年 9 月 6 日的信函从 Old National Bank 处收到了传票的一小部分。动议提出人从未从受托人处收到传票，定义部分未予提供，目前尚不清楚受托人基于何种理由需要这些文件。目前尚不清楚是否有任何文件与债务人有关，或用于查明是否存在应向动议提出人追回资金的权利主张。这些要求似乎远远超出了评估潜在索赔所必需的范围。这似乎是一场摸底调查。\n\n动议提出人愿意本着诚意在无需法院介入的情况下解决有关出示这些银行记录的任何争议。遗憾的是，受托人选择直接向银行索取，而未首先尝试向动议提出人获取文件。\n\nIII. 受托人可能无权获得传票中寻求的证据开示\n\n第 2004(b) 条规则在适用部分限制了证据开示的范围，规定“根据本条规则对实体的调查……仅可涉及债务人的行为、作为或财产，或涉及债务人的负债和财务状况，或涉及可能影响债务人破产财产管理之任何事项，或涉及债务人获得免责的权利。”（强调后加）。目前尚不清楚受托人为何发出该传票、其正在调查什么以及正在寻找何种信息。\n\n一旦收到完整的传票并就为何有必要发出这些传票与受托人进行讨论后，便可对请求的性质作出更好的评估。\n\n受托人本应直接向动议提出人提供传票的事先通知。\n\n根据 CGS 36a-43，受托人在向银行送达传票的同时，本应向动议提出人提供传票通知。在本案中并未如此操作。\n\n根据印第安纳州遵循的《金融隐私权法案》，本应向作为该银行客户的动议提出人发出传票通知。受托人在本案中并未这样做。\n\n最后，作为底线要求，动议提出人请求在对本动议举行听证会得出结果之前，暂缓履行传票。\n\nV. 结论\n\n基于本文所述之理由，传票应予撤销，并应作出保护令以阻止披露其中所寻求的信息。\n\n动议提出人：YUMEI HAO、RIVER VALLEY OPERATIONS, LLC、GOLDEN EAGLES VENTURES, LLC\n\n签署人：s/s\n\nRoss G. Fingold [rfingold@lawssf.com] 联邦律师执照号 #ct05452 Stokesbury & Fingold, LLC 10 Waterside Drive, Suite 204 Farmington, CT 06032 (860) 606-1709\n\n送达证明\n\n下述签署人特此证明，于 2024 年 9 月 17 日，按照《联邦破产诉讼程序规则》第 7004(a)、9014 条规则之规定，本人通过电子邮件送达了前述文书的副本。\n\ns/s\n\nROSS G. FINGOLD","key_entities":["Je","Kwok","Ho Wan Kwok","Despins","Luc Despins"],"ecf_references":[],"word_count":880,"status":"published","published_at":"2024-09-06 00:00:00","created_at":"2024-09-06","updated_at":"2026-08-23 12:34:08"}