{"id":"court_ctb_614_0","court":"CTB","case_no":"22-50073","doc_number":614,"sub_number":0,"doc_type":"UNKNOWN","filed_date":null,"title":"In re Ho Wan Kwok, Chapter 11 Case No. 22-50073 (JAM) PRELIMINARY REPORT OF CHAPTER 11 TRUSTEE REGARDING PROGRESS SINCE","summary_zh":null,"summary_en":null,"body_en":"## **In re Ho Wan Kwok, Chapter 11 Case No. 22-50073 (JAM)**\n\n### **PRELIMINARY REPORT OF CHAPTER 11 TRUSTEE REGARDING PROGRESS SINCE APPOINTMENT AND WORK PLAN**\n\n### **JULY 21, 2022 STATUS CONFERENCE**\n\nDisclaimer This presentation 1s based on preliminary observations of the Chapter 11 Trustee based on information available at this time and remains subject to ongoing review and investigation Accordingly. the information contained herein remains subject to material changes. In addition. certain sections reflect the Chapter 11 Trustee·s views on legal issues and no assurances can be given that the Court (or any other court) would agree with the Chapter 11 Trustee's views on such legal issues\n\n#### **PAUL** --~-~-----·----------------------· **HASTINGS**\n\n### **TABLE OF CONTENTS**\n\n| A. | A
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8 |\n\n## **A. ADMINISTRATIVE MATTERS**\n\n#### 1. Bond Posted (§322 of the Bankruptcy Code)\n\n- Initial \\$25,000 bond obtained and submitted.\n- 2. Bank Account (§345 of the Bankruptcy Code)\n\t- Chapter 11 Trustee opened bank account with East West Bank.\n\t- Approximately \\$16,000 should be received.\n- 3. Section 341 Meetings\n\t- Initial section 341 meetings were held on March 21, 2022 and April 6, 2022, but were not completed and need to be rescheduled.\n\n·--·-·----·-······-----··----······--·---··-·-·-··-·--·••'\"--·--·---·-· ··---·-·-·---------------------------\n\n#### 4. Monthly Operating Reports\n\n- The last monthly operating report filed by the Debtor was for the month of April 2022 [ECF No. 423].\n- The Debtor has not yet filed monthly operating reports (\"MORs\") for the month of May 2022, June 2022, and the first seven days of July 2022 (i.e., the period prior to the order appointing the Chapter 11 Trustee on July 8, 2022 [ECF No. 523].\n\t- o The May 2022 MOR was due on June 21, 2022, the June 2022 MOR is due on July 21, 2022, and the July MOR (for the first 7 days) is due on August 21, 2022.\n- **It is important to note that the Debtor's MORs reflect that a third party has made disbursements for the benefit of the Debtor in amounts that averages approximately \\$115,000 per MOR.**\n\n#### 5. Bar Date\n\n- On March 30, 2022, Debtor filed motion to set bar date [ECF No. 146].\n\t- o Debtor had requested a bar date 52 days after service of the bar date notice.\n- The official committee of unsecured creditors (the \"Creditors' Committee\") objected to bar date motion.\n- Hearing on bar date motion took place on April 27, 2022\n\t- o The bar date motion was granted, subject to the Court's review of a revised proposed order.\n\t- o A revised proposed order was submitted to the Court.\n\t- o Important to understand who is a claimant (e.g., governmental entities).\n\n#### 6. Update re Lady May Inspection\n\n- Inspection occurred on July 13, 2022 with PAX's expert and expert hired by the Chapter 11 Trustee.\n- Review of inspection results is ongoing.\n- Necessity of scuba-diver inspection of hull and short \"sea trial\" being considered.\n\n#### 7. Automatic Stay Letters\n\n• Since the Chapter 11 Trustee's appointment, we have sent out more than 20 letters to various parties affiliated in one way or another with the Debtor (including his counsel), advising them of the automatic stay and that no action should be taken related to any property of the estate.\n\n·~---~--~--\"\"~------\n\n• These letters also advised the recipients that we may seek documents related to the Debtor and that they should preserve all documents related to the Debtor.\n\nO•M--•---~--~----~---•--------•~••-·»~•\"•••-••---••-~-•--••S>~•-•--~---~~•~--------\n\n- Letters were sent to, among others:\n\t- o Golden Spring New York\n\t- o Bravo Luck Limited\n\t- o HK International Funds Investments (USA) Limited\n\t- o GTV Media Group\n\t- o Voice of Guo Media\n\t- o Saraca Media Group\n\t- o Brown Rudnick\n\t- o Whitman Breed (Greenwich, CT, counsel to the Debtor)\n\n#### 8. Reaching Out to Key Parties\n\n• Since the Chapter 11 Trustee's appointment, we have had numerous interactions with key parties in the case, including calls and/or email correspondence with, among others:\n\n--------------------·····-·-·-···-······-··--···--······-···---··-----·----------------------\n\n- o counsel for the Debtor (Brown Rudnick LLP (former counsel), Lawall & Mitchell, LLC, and Zeisler & Zeisler);\n- o counsel for the Creditors' Committee (lrve Goldman at Pullman & Comley LLC);\n- o counsel to Pacific Alliance Asia Opportunity Fund LP. (\"PAX\") (Peter Friedman at O'Melveny & Myers LLP);\n- o chapter 11 counsel to Genever Holdings LLC (Kevin Nash at Goldberg Weprin Finkel Goldstein LLP);\n- o court-appointed sale officer for sale of Sherry-Netherland apartment (Melanie Cyganowski at Otterbourg P.C.); and\n- o counsel to creditors Rui Ma and Zheng Wu (Carollynn Callari at Raines Feldman LLP).\n- In addition, the Chapter 11 Trustee has requested a meeting with the Debtor. No response has been provided to date.\n\n#### 9. Management of Pending Adversary Proceedings\n\n- Eight adversary proceedings are currently pending in this chapter 11 case.\n\t- o Plaintiff-creditors in seven adversary proceedings seek a determination that their claims are non-dischargeable. The answer deadline in these adversary proceedings is as follows:\n\n| Ca
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e |\n\no Given that the Chapter 11 Trustee was appointed only on July 8, we have requested a stay in five of the adversary proceedings and will request a stay in the two other adversary proceedings.\n\n• Directionally, it does not appear to the Chapter 11 Trustee that it would make sense to spend time on nondischargeability issues at this stage of the case.\n\n#### 9. Management of Pending Adversary Proceedings [cont'd]\n\n- The eighth adversary proceeding, Adv. Proc. No. 22-05003, is an action commenced by the purported owner of the Lady May (HK International Funds Investments (USA) Limited (\"HK International\")) against the Debtor and PAX seeking a declaration that HK International is the owner of the Lady May.\n\t- o The answer deadline for the Debtor expired prior to the appointment of the Chapter 11 Trustee.\n\t- o The answer deadline for PAX is July 29, 2022.\n\t- o The parties have agreed to a 30 day extension of the response deadline for the Chapter 11 Trustee.\n\t- o Pursuant to Bankruptcy Rule 2012(a), the Chapter 11 Trustee is automatically substituted for the Debtor in that adversary proceeding.\n\n#### 10. Intervention/Appearance in Other Litigation\n\n- In addition to participation in the adversary proceedings, the Chapter 11 Trustee needs to appear in other litigation to which the Debtor is a party and take his place in controlling that litigation and/or enforcing the automatic stay.\n- The Debtor's Statement of Financial Affairs has listed more than 25 active lawsuits in which the Debtor is either a defendant or a plaintiff.\n\t- o The Chapter 11 Trustee has begun to analyze these lawsuits and whether the lawsuits in which the Debtor is a plaintiff reflect valuable estate claims.\n\n#### 11. Contact with SEC\n\n• The SEC has filed a proof of claim asserting:\n\n> This claim is an undetermined claim for penalties, disgorgement, and prejudgment interest arising from possible violations of the federal securities laws. The Securities and Exchange Commission (\"SEC\") has been conducting an investigation into certain pre-bankruptcy conduct involving the debtor. Based on this investigation, the SEC may file a civil action against the debtor in an appropriate forum.\n\nThe Chapter 11 Trustee has contacted the SEC to engage in a dialogue with respect to these issues.\n\n#### 12. Dealing with Inbound Inquiries\n\n- The Chapter 11 Trustee has received inbound inquiries and tips regarding the alleged hidden assets of the Debtor.\n- The Chapter 11 Trustee will carefully evaluate these inquiries. To the extent these inquires and tips prove promising, the Chapter 11 Trustee will further investigate these matters.\n\n#### 13. Retention of Professionals\n\n- To date, the Chapter 11 Trustee has filed two retention applications:\n\t- o Paul Hastings LLP [ECF 539]\n\t- o Neubert, Pepe & Monteith (local counsel) [ECF 569]\n\t\t- The Chapter 11 Trustee intends to lean on local counsel as much as possible to minimize costs.\n\n## **B. EXERCISING CORPORATE GOVERNANCE RIGHTS**\n\n#### 1. Exercising Control Over Debtor Owned and/or Controlled Entities, including Genever\n\n- The Chapter 11 Trustee needs to assert and exercise control over all Debtor owned and/or controlled entities, including the Genever entities, which own the Sherry-Netherland apartment.\n\t- o The Debtor wholly owns Genever Holdings Corporation (a British Virgin Island entity), which, in turn, wholly owns Genever Holdings LLC **(a New York** LLC).\n\t- o The Debtor has asserted that he holds the Genever entities in trust for Bravo Luck Limited, an entity allegedly owned by the Debtor's son (Qiang Guo).\n- Genever Holdings LLC is itself in chapter 11, pending before Judge Garrity in the Southern District of New York. The Chapter 11 Trustee must also assert the estate's rights in Genever Holdings LLC's chapter 11 case.\n\t- o We have already been in contact with Genever's chapter 11 counsel to discuss the chapter 11 process, who confirmed that he previously took direction from the Debtor regarding Genever's chapter 11 case.\n\t- o The Chapter 11 Trustee will request a status conference before Judge Garrity.\n\n## **B. EXERCISING CORPORATE GOVERNANCE RIGHTS [CONT'D]**\n\n#### 2. Request for Relief Regarding Economic and Corporate Governance Rights\n\n- The Chapter 11 Trustee will also seek relief from this Court to confirm that he now holds the same economic and corporate governance rights with respect to all Debtor owned and/or controlled entities, including the Genever entities, that the Debtor held prior to the Chapter 11 Trustee's appointment on July 8, 2022.\n- As part of this relief, the Chapter 11 Trustee will also request that he be authorized, pursuant to section 1505 of the Bankruptcy Code, to act in any foreign country on behalf of the Debtor's estate in any way permitted by the applicable foreign law for the purpose of\n\t- o collecting and recovering assets of the Debtor located in foreign countries, including seeking relief in foreign courts in furtherance thereof,\n\t- o exercising control over Debtor-controlled entities, including seeking relief in foreign courts in furtherance thereof, and\n\t- o requesting and obtaining corporate documents from the appropriate foreign corporate registry or similar entity holding corporate documents with respect to the Debtor-controlled entities.\n- Section 1505 of the Bankruptcy Code provides:\n\nA trustee or another entity (including an examiner) may be authorized by the court to act in a foreign country on behalf of an estate created under section 541. An entity authorized to act under this section may act in any way permitted by the applicable foreign law.\n\nIn further support of such relief, the Chapter 11 Trustee will also request that the Court respectfully request the assistance of the foreign courts, including the assistance of the BVI courts regarding any request of the Trustee for relief (including on an emergency basis) with respect to the Trustee's exercise of corporate control over Genever (BVI).\n\nPAUL HASTINGS PAGE 11\n\n## **B. EXERCISING CORPORATE GOVERNANCE RIGHTS [CONT'D]**\n\n#### 3. Request for Corporate Documents\n\n-------------------··-------·--·--~---· ·-\n\n- We have requested from Debtor's counsel that they provide all corporate documents regarding all entities owned and/or controlled by the Debtor, including the Genever entities. Among other things, we requested:\n\t- o Organizational documents (including for Genever (BVI))\n\t- o Capitalization tables\n\t- o Structure charts\n\t- o Composition of board\n\t- o Schedule of all officers\n\t- o Agreements relating to issuance of equity securities, etc.\n\t- o Documents related to the Genever/Bravo trust agreement\n- As of today, no documents have been produced.\n\n# **C. IDENTIFY AND,** IF **APPROPRIATE, SEEK TURNOVER OF ESTATE ASSETS** -------~~--------------------------\n\n#### 1. Rule 2004 Motions & Attorney Client Privilege\n\n- We are preparing Rule 2004 motions to obtain documents relevant to our investigation of potential estate assets from the Debtor and various other parties. The Creditors' Committee's previous Rule 2004 pleadings will be incorporated in the Chapter 11 Trustee's requests to the extent possible to minimize duplication and costs.\n- **The motions will include requests that various counsels to the Debtor produce their privileged communications and work product for the period prior to July 8, 2022 on the grounds that the Trustee now controls the privilege.**\n\n# **C. IDENTIFY AND, IF APPROPRIATE, SEEK TURNOVER OF ESTATE ASSETS [CONT'D]** \\_ \\_ ----•--s••----------------------------------------·\n\n#### 2. Lady May\n\n- We are not writing on a clean slate here. The Chapter 11 Trustee has not completed its analysis at this time; however, it appears that the issue of the Lady May's ownership has already been decided in the PAX litigation in New York state court.\n\t- o In November 2021, the Appellate Division for the First Department affirmed a civil contempt order of the trial court and remanded for the trial court to \"resolve a dispute as to ownership and control of the yacht.\"\n\t- o Upon that instruction, the trial court determined, following an extensive evidentiary hearing, that \"[t]he evidence clearly and convincingly demonstrates that Kwok holds a beneficial interest and control of the Lady May.\"\n\t- o The court explained \"Kwok has much more than a beneficial interest in the Lady May. Not only does Kwok control the yacht, it appears he provided the funds to purchase it and he is the person who principally enjoys the use of the yacht.\"\n- In support of its determination, the court also observed that:\n\t- o \"Kwok failed to testify at the February 2, 2022 hearing, having previously invoked his Fifth Amendment right to decline to testify or respond to discovery requests relating to the Lady May in response to PAX's asset discovery efforts.\"\n\t- o \"The machinations associated with the shell game Kwok has orchestrated with respect to the Lady May are of a piece with every other evasive and contemptuous act Kwok has taken during the five years this litigation has been pending, which is why there are 1,180 docket entries in this case.\"\n\n\n\n# **C. IDENTIFY AND, IF APPROPRIATE, SEEK TURNOVER OF ESTATE ASSETS [CONT'Dl---·--···-·-··-···-··-·••·--·····-···-··-···-···-··------------**\n\n#### 2. Lady May [cont'd]\n\n- The New York state court's holding may very well control on the issue of the Debtor's ownership of the Lady May, and would appear to collaterally estop both HK International (the purported titleholder of the Lady May) and the Debtor's daughter, Mei Guo (who, upon information and belief, is the 100% owner of HK International), from arguing otherwise to this Court in a collateral attack on that decision.\n\t- o Under New York law, collateral estoppel may be applied not only against a party to a litigation, but also to one who is in privity with a party or participated so openly and actively in the litigation that she should be bound by it.\n\t- o Here, Ms. Guo testified at the hearing on ownership of the yacht and was represented by counsel in doing so.\n\t- o The court found, based on her testimony, that \"Ms. Guo appears to be a woman in her twenties, has introduced no evidence that she exercised dominion and control of the Lady May, and provided no confirmation that she came into possession of the Lady May, other than as a ruse to shield the Lady May from being levied upon by her father's creditors.\"\n- Under these circumstances, subject to the Chapter 11 Trustee completing its analysis, HK International and Ms. Guo may very well not be entitled to re-litigate the issue of ownership of the Lady May in this Court.\n\n### **C. IDENTIFY AND, IF APPROPRIATE, SEEK TURNOVER OF ESTATE ASSETS [CONT'D]** \\_\\_ .. \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ \\_\n\n- 3. Sherry-Netherland Apartment\n\t- The Chapter 11 Trustee has no intention to stop the sale of the apartment.\n\t- As noted above, the Chapter 11 Trustee needs to assert and exercise control over the Genever entities, which own the Sherry-Netherland apartment.\n\n#### 4. Greenwich Homes\n\n- Two homes located in Greenwich, Connecticut (one at Taconic Road and one at Ferncliff Road), with Greenwich Land LLC as the title holder.\n\t- o Greenwich Land LLC is wholly owned by the Debtor's wife.\n- The Taconic Road home was purchased in February 2020 for approximately \\$4.6 million, and the Debtor has described it as his residence.\n- The Chapter 11 Trustee's investigation regarding the two Greenwich homes is ongoing.\n\n# 5. Other Assets\n\n- The Chapter 11 Trustee is not limiting his review to the assets identified in Sections C.2, C.3, and C.4 above.\n- The Chapter 11 Trustee will update the Court as to the nature and extent of the other assets as further progress is made during his investigation.\n\n\n\n## **D. CLAIM REVIEW AND ALLOWANCE PROCESS**\n\n#### 1. Timing\n\n- It is important that a claims bar date be set as soon as possible.\n- Once the bar date has passed and an opportunity to review the claims filed, the Chapter 11 Trustee will be in a better understanding as to the timeline for reconciling claims.\n\n---------·---··--------------------------\n\n### **E. CHAPTER 11 PLAN AND DISTRIBUTIONS TO CREDITORS**\n\n#### 1. Timing\n\n-------------------\n\n- At this time, it would be premature to set out a timeline for a chapter 11 plan and distributions to creditors.\n- The Chapter 11 Trustee will update the Court in this regard, as this case progresses.\n\n - ··--","body_zh":"关于 Ho Wan Kwok（郭文贵）破产案，第 11 章案件编号 22-50073 (JAM)\n第 11 章受托人关于自任命以来工作进展及工作计划的初步报告\n2022年7月21日 案件进展会议\n\n免责声明 本陈述系基于第 11 章受托人（Chapter 11 Trustee）依据目前所获信息作出的初步观察，仍有待持续审查和调查。因此，本文所载信息仍可能发生实质性变更。此外，某些部分反映了第 11 章受托人对法律问题的看法，无法保证法院（或任何其他法院）会同意第 11 章受托人对此类法律问题的看法。\n\nPaul Hastings（普衡律师事务所）\n\n目录\n\nA. 行政管理事务 2-\nB. 行使公司治理权利 10-\nC. 识别并于适当时寻求追回破产财产 13-\nD. 债权审查与许可程序 1\nE. 制定重组计划并向债权人进行分配 1\n\nA. 行政管理事务\n1. 提交担保金（《破产法典》第 322 条）\n\n- 已取得并提交了初始的 25,000 美元担保金。\n- 2. 银行账户（《破产法典》第 345 条）\n\t- 第 11 章受托人已在 East West Bank（华美银行）开设银行账户。\n\t- 预计将收到约 16,000 美元。\n- 3. 第 341 条债权人会议\n\t- 初始第 341 条会议已于 2022年3月21日 和 2022年4月6日 举行，但尚未完成，需要重新安排时间。\n\n4. 简要月度运营报告\n\n- 债务人（Debtor）提交的最后一份月度运营报告针对的是 2022年4月 这一月份 [ECF No. 423]。\n- 债务人尚未提交 2022年5月、2022年6月 以及 2022年7月前七天（即 2022年7月8日 任命第 11 章受托人的裁定 [ECF No. 523] 下达之前的期间）的月度运营报告（“MORs”）。\n\t- 2022年5月的 MOR 应于 2022年6月21日 提交，2022年6月的 MOR 应于 2022年7月21日 提交，而 7月的 MOR（前 7 天）应于 2022年8月21日 提交。\n- 需要特别指出的是，债务人的 MOR 显示，某第三方已为债务人的利益进行了款项支付，每份 MOR 平均支出金额约为 115,000 美元。\n5. 申报债权截止日\n\n- 2022年3月30日，债务人提交了设定债权申报截止日的动议 [ECF No. 146]。\n\t- 债务人曾请求将截止日设定在送达债权申报截止日通知后的第 52 天。\n- 无担保债权人官方委员会（“债权人委员会”）对债权申报截止日动议提出了异议。\n- 关于债权申报截止日动议的听证会于 2022年4月27日 举行。\n\t- 该债权申报截止日动议已获批准，但须待法院对修改后的拟议裁定进行审查。\n\t- 修改后的拟议裁定已提交给法院。\n\t- 了解谁是债权人（例如政府机构）十分重要。\n6. 关于 Lady May 号游艇检查的最新进展\n\n- 检查已于 2022年7月13日 与 PAX 的专家及第 11 章受托人聘请的专家一同进行。\n- 检查结果的审查工作正在进行中。\n- 正在考虑对船体进行水肺潜水员检查以及进行短期“海试”的必要性。\n7. 自动中止信函\n\n• 自第 11 章受托人获任命以来，我们已向以各种方式与债务人关联的各方（包括其法律顾问）发出了 20 多封信函，告知其自动中止事项，并告知不得对破产财产采取任何行动。\n\n• 这些信函还告知收件人，我们可能会调取与债务人相关的文档，其应妥善保存与债务人相关的所有文档。\n\n- 信函送达的对象包括但不限于：\n\t- Golden Spring New York\n\t- Bravo Luck Limited\n\t- HK International Funds Investments (USA) Limited\n\t- GTV Media Group\n\t- Voice of Guo Media\n\t- Saraca Media Group\n\t- Brown Rudnick\n\t- Whitman Breed（康涅狄格州格林威治，债务人的法律顾问）\n8. 联系关键当事方\n\n• 自第 11 章受托人获任命以来，我们与本案的关键当事方进行了多次接触，包括与以下各方进行通话和/或电子邮件沟通（其中包括）：\n\n- 债务人的法律顾问（Brown Rudnick LLP（前任法律顾问）、Lawall & Mitchell, LLC 以及 Zeisler & Zeisler）；\n- 债权人委员会的法律顾问（Pullman & Comley LLC 的 Irve Goldman）；\n- Pacific Alliance Asia Opportunity Fund L.P.（“PAX”）的法律顾问（O'Melveny & Myers LLP（美迈斯律师事务所）的 Peter Friedman）；\n- Genever Holdings LLC 的第 11 章法律顾问（Goldberg Weprin Finkel Goldstein LLP 的 Kevin Nash）；\n- 法院指定的出售 Sherry-Netherland 公寓的出售官（Otterbourg P.C. 的 Melanie Cyganowski）；以及\n- 债权人 Rui Ma（马蕊）和 Zheng Wu（吴征）的法律顾问（Raines Feldman LLP 的 Carollynn Callari）。\n- 此外，第 11 章受托人已请求与债务人会面。截至目前尚未收到任何回复。\n9. 未决对抗性诉讼程序的管理\n\n- 本第 11 章破产案件中目前有八起对抗性诉讼程序（adversary proceedings）正在进行中。\n\t- 七起对抗性诉讼程序中的原告债权人请求裁定其债权不可免除。这些对抗性诉讼程序中的答辩截止日期如下：\n\n案件名称 诉讼程序编号 答辩截止日期\nCheng 诉 Kwok 22-05001 2022年7月22日\nMa 诉 Kwok 22-05002 2022年7月22日\nPacific Alliance Asia Opportunity Fund L.P. 诉 Kwok 22-05005 2022年7月22日\nWei 等诉 Kwok 22-05006 2022年8月1日\nMeng 等诉 Kwok 22-05004 2022年8月1日\nNürnberg 诉 Kwok 22-05007 传票尚未签发\nWang 等诉 Kwok 22-05008 传票尚未签发\n\n鉴于第 11 章受托人仅于 7月8日 获任命，我们已请求中止其中五起对抗性诉讼程序，并将请求中止另外两起对抗性诉讼程序。\n\n• 从大方向来看，第 11 章受托人认为，在案件的现阶段将时间花费在不可免除性问题上并不合理。\n9. 未决对抗性诉讼程序的管理 [续]\n\n- 第八起对抗性诉讼程序（诉讼程序编号 22-05003）是由 Lady May 号游艇的据称所有者（HK International Funds Investments (USA) Limited（“HK International”））对债务人和 PAX 提起的诉讼，请求确认 HK International 是 Lady May 号游艇的所有者。\n\t- 债务人的答辩截止日期在第 11 章受托人获任命之前已届满。\n\t- PAX 的答辩截止日期为 2022年7月29日。\n\t- 各方已同意将第 11 章受托人的答辩截止日期延长 30 天。\n\t- 根据《联邦破产诉讼规则》第 2012(a) 条，第 11 章受托人在该对抗性诉讼程序中自动替代债务人。\n10. 在其他诉讼中的参加诉讼/出庭\n\n- 除了参与对抗性诉讼程序外，第 11 章受托人还需要在债务人作为当事人的其他诉讼中出庭，并替代其控制该等诉讼和/或执行自动中止。\n- 债务人的财务状况声明书（Statement of Financial Affairs）列出了 25 起以上由债务人担任被告或原告的未结诉讼。\n\t- 第 11 章受托人已开始分析这些诉讼，以及债务人作为原告的诉讼是否代表有价值的破产财产主张。\n11. 与 SEC 的接触\n\n• SEC（美国证券交易委员会）已提交一份债权证明（proof of claim），主张：\n\n本债权是一项因可能违反联邦证券法而产生的罚款、交出违法所得以及判决前利息的未确定金额债权。Securities and Exchange Commission（“SEC”，美国证券交易委员会）一直在对涉及债务人的某些破产前行为进行调查。基于该项调查，SEC 可能会在适当的法院对债务人提起民事诉讼。\n\n第 11 章受托人已与 SEC 取得联系，以便就这些问题展开对话。\n12. 处理收到的外界询问\n\n- 第 11 章受托人已收到有关债务人涉嫌隐匿财产的外界询问和线索线报。\n- 第 11 章受托人将认真评估这些询问。一旦这些询问和线索被证实有价值，第 11 章受托人将对这些事项作进一步调查。\n13. 专业人士的聘用\n\n- 截至目前，第 11 章受托人已提交了两份聘用申请：\n\t- Paul Hastings LLP [ECF 539]\n\t- Neubert, Pepe & Monteith（当地法律顾问）[ECF 569]\n\t\t- 第 11 章受托人打算尽可能依托当地法律顾问，以最大程度减少费用。\nB. 行使公司治理权利\n1. 对债务人拥有和/或控制的实体（包括 Genever）行使控制权\n\n- 第 11 章受托人需要对债务人拥有和/或控制的所有实体（包括拥有 Sherry-Netherland 公寓的 Genever 各实体）主张可行使控制权。\n\t- 债务人全资拥有 Genever Holdings Corporation（一家英属维尔京群岛实体），该实体进而全资拥有 Genever Holdings LLC（一家纽约州有限责任公司）。\n\t- 债务人主张其系为 Bravo Luck Limited（一家据称由债务人之子 Qiang Guo（郭强）拥有的实体）信托持有 Genever 各实体。\n- Genever Holdings LLC 本身亦处于第 11 章重组程序中，案件正在 Southern District of New York（纽约南区）的 Garrity 法官审理。第 11 章受托人还必须在 Genever Holdings LLC 的第 11 章案件中主张破产财产的权利。\n\t- 我们已与 Genever 的第 11 章法律顾问取得联系以讨论第 11 章程序，该法律顾问证实其此前就 Genever 的第 11 章案件听从债务人的指示。\n\t- 第 11 章受托人将请求在 Garrity 法官面前召开案件进展会议。\nB. 行使公司治理权利 [续]\n2. 就经济和公司治理权利请求救济\n\n- 第 11 章受托人还将向本法院寻求救济，以确认其目前对于债务人拥有和/或控制的所有实体（包括 Genever 各实体）享有债务人在 2022年7月8日 任命第 11 章受托人之前所享有的同等经济及公司治理权利。\n- 作为该项救济的一部分，第 11 章受托人还将请求法院根据《破产法典》第 1505 条授权其代表债务人破产财产在适用外国法允许的任何方式下在任何外国采取行动，以便：\n\t- 收集和追回位于外国的债务人财产，包括为此寻求外国法院的救济，\n\t- 对债务人控制的实体行使控制权，包括为此寻求外国法院的救济，以及\n\t- 向适当的外国公司登记机构或持有债务人控制实体公司文件的类似机构索取并获取公司文件。\n- 《破产法典》第 1505 条规定：\n\n受托人或另一实体（包括审查人）可获法院授权，代表依据第 541 条设立的破产财产在外国采取行动。获授权依据本条采取行动的实体，可以适用外国法所允许的任何方式采取行动。\n\n为进一步支持该项救济，第 11 章受托人还将请求本法院恭请外国法院提供协助，包括就受托人关于对 Genever（BVI）行使公司控制权的任何救济请求（包括在紧急基础上的请求）请求英属维尔京群岛法院提供协助。\n\nPaul Hastings 第 11 页\nB. 行使公司治理权利 [续]\n3. 调取公司文件\n\n- 我们已要求债务人（Debtor）的律师提供有关债务人拥有和/或控制的所有实体的全部公司文件，包括 Genever 各实体。除其他事项外，我们要求提供：\n\t- o 组织设立文件（包括 Genever (BVI) 的文件）\n\t- o 股权结构表（Capitalization tables）\n\t- o 组织架构图\n\t- o 董事会组成情况\n\t- o 全部高级管理人员名册\n\t- o 与发行权益证券等相关的协议\n\t- o 与 Genever/Bravo 信托协议相关的附随文件\n- 截至今日，尚未提供任何文件。\nC. 查明并在适当时寻求移交破产财产（ESTATE ASSETS）\n1. 第 2004 条规则动议（Rule 2004 Motions）与律师-委托人特权（Attorney Client Privilege）\n\n- 我们正在准备第 2004 条规则动议，以便从债务人及其他各方获取与我们调查潜在破产财产相关的书证文件。在可能的情况下，债权人委员会（Creditors' Committee）此前的第 2004 条规则诉状将被纳入第 11 章受托人（Chapter 11 Trustee）的请求中，以尽量减少重复和费用。\n- 该动议将包括要求债务人的各代理律师提供其在 2022 年 7 月 8 日之前的特权通信和工作成果，理由是受托人现已控制该特权。\nC. 查明并在适当时寻求移交破产财产 [续]\n2. Lady May（梅号游艇）\n\n- 我们在此并非从零开始。第 11 章受托人目前尚未完成其分析；然而，Lady May 的所有权归属问题似乎已在纽约州法院的 PAX 诉讼案中作出裁决。\n\t- o 2021 年 11 月，第一部门上诉法庭（Appellate Division for the First Department）维持了初审法院的一项民事藐视法庭裁定，并发回初审法院以“解决关于游艇所有权和控制权的争议”。\n\t- o 根据该指示，初审法院在进行了广泛的证据听证会后认定，“证据明确且令人信服地表明 Kwok（郭文贵）拥有 Lady May 的实益权益（beneficial interest）和控制权”。\n\t- o 法院解释称：“郭对 Lady May 拥有的远不止是实益权益。郭不仅控制该游艇，而且似乎是他提供了购买资金，且他正是主要享受使用该游艇的人。”\n- 为支持其认定，法院还指出：\n\t- o “郭未在 2022 年 2 月 2 日的听证会上作证，此前针对 PAX 的财产调查工作，他曾援引《第五修正案》权利拒绝就 Lady May 作证或回应证据开示请求。”\n\t- o “郭就 Lady May 所精心策划的空壳把戏相关阴谋手段，与他在本诉讼未决的五年期间所采取的每一次规避和藐视法庭行为如出一辙，这就是为什么本案有 1,180 条案卷记录的原因。”\nC. 查明并在适当时寻求移交破产财产 [续]\n2. Lady May [续]\n\n- 纽约州法院的裁定很可能对债务人对 Lady May 的所有权问题具有决定性作用，并且似乎将争点排除（collaterally estop）HK International（Lady May 声称的产权人）和债务人的女儿 Mei Guo（郭美，据信为 HK International 的 100% 所有人）就该裁决向本法院提出附带攻击并作相反主张。\n\t- o 根据纽约州法律，争点排除效力不仅可适用于诉讼当事人，还可适用于与当事人存在利益继受关系（privity）的人，或公开且积极地参与诉讼以至于应受其约束的人。\n\t- o 在本案中，郭女士在关于游艇所有权的听证会上作了证，并由律师代理作证。\n\t- o 法院根据她的证词认定，“郭女士看似一名二十多岁的女性，未提出任何证据证明其对 Lady May 行使了支配和控制权，也未提供任何确认其取得 Lady May 占有权的证据，除非这是为了防止 Lady May 被其父亲的债权人扣押而采取的花招。”\n- 在这些情况下，在第 11 章受托人完成其分析的前提下，HK International 和郭女士很可能无权在本法院就 Lady May 的所有权问题重新提起诉讼。\nC. 查明并在适当时寻求移交破产财产 [续]\n\n- 3. Sherry-Netherland 公寓（雪梨荷兰公寓）\n\t- 第 11 章受托人无意阻止该公寓的出售。\n\t- 如上所述，第 11 章受托人需要对拥有 Sherry-Netherland 公寓的 Genever 各实体主张并行使控制权。\n4. Greenwich（格林威治）房产\n\n- 位于康涅狄格州 Greenwich 的两处住宅（一处位于 Taconic Road，另一处位于 Ferncliff Road），产权所有人为 Greenwich Land LLC。\n\t- o Greenwich Land LLC 由债务人的妻子全资拥有。\n- Taconic Road 的住宅于 2020 年 2 月以约 460 万美元购买，债务人已将其描述为自己的住所。\n- 第 11 章受托人关于这两处格林威治房产的调查仍在进行中。\n5. 其他资产\n\n- 第 11 章受托人并未将其审查局限于上述第 C.2、C.3 和 C.4 节所确定的资产。\n- 随着调查的进一步进展，第 11 章受托人将向法院更新其他资产的性质和范围。\nD. 债权审查与确认程序（CLAIM REVIEW AND ALLOWANCE PROCESS）\n1. 时间安排\n\n- 尽快设定债权申报截止日期（claims bar date）至关重要。\n- 一旦截止日期过后并有机会审查已申报的债权，第 11 章受托人将能更好地了解对账债权的时间表。\n\nE. 第 11 章重组计划与向债权人分配（CHAPTER 11 PLAN AND DISTRIBUTIONS TO CREDITORS）\n1. 时间安排\n\n- 目前就制定第 11 章重组计划以及向债权人分配的时间表尚为时过早。\n- 随着本案的推进，第 11 章受托人将在这方面向法院更新情况。","key_entities":["Kwok","Guo","Je","CIPA","Paul Hastings","Ho Wan Kwok","Finkel","GTV","Saraca"],"ecf_references":[{"doc_number":146,"court":"CTB"},{"doc_number":423,"court":"CTB"},{"doc_number":523,"court":"CTB"},{"doc_number":539,"court":"CTB"},{"doc_number":569,"court":"CTB"}],"word_count":2934,"status":"published","published_at":null,"created_at":null,"updated_at":"2026-08-23 13:39:00"}