{"id":"court_ctb_636_0","court":"CTB","case_no":"22-50073","doc_number":636,"sub_number":0,"doc_type":"ORDER","filed_date":"2022-07-28","title":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION | -------------------------------------------","summary_zh":null,"summary_en":null,"body_en":"## **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| ------------------------------------------------------ | x | |\n|--------------------------------------------------------|-------------|-------------------------|\n| In re: | :
: | Chapter 11 |\n| HO WAN KWOK, | :
:
: | Case No. 22-50073 (JAM) |\n| Debtor.1 | :
: | |\n| ------------------------------------------------------ | x | |\n\n## **MOTION OF CHAPTER 11 TRUSTEE FOR ENTRY OF ORDER UNDER BANKRUPTCY RULE 2004 AND LOCAL RULE 2004-1 AUTHORIZING EXAMINATION OF HO WAN KWOK AND PRODUCTION OF DOCUMENTS**\n\n Luc Despins, as the appointed Chapter 11 Trustee to the Debtor's estate (the \"Trustee\"), by and through his proposed undersigned counsel, Paul Hastings LLP, pursuant to Federal Rule of Bankruptcy Procedure 2004(a) (the \"Bankruptcy Rules\") and Local Bankruptcy Rule 2004-1 (the \"Local Rules\"), hereby applies (the \"Application\" or \"Motion\") to conduct the examination of Ho Wan Kwok (\"Debtor\"), in the above-captioned chapter 11 case (the \"Case\"). **Please take notice that the deadline to object to this Application is August 5, 2022, and in the absence of a timely filed objection, the proposed order filed herewith (the \"Proposed Order\") may enter without further notice and hearing.** In support of his Application, the Trustee respectfully states as follows:\n\n 1 Although the Debtor's legal name is Ho Wan Kwok, he is also known as Guo Wengui, Miles Guo, and Miles Kwok, as well as numerous other aliases. The last four digits of the Debtor's taxpayer identification number are 9595.\n\n## **PRELIMINARY STATEMENT**\n\n1. In authorizing the appointment of a chapter 11 trustee, the Court recognized that one of the trustee's key objectives would be to conduct an \"effective investigation of the Debtor's assets, liabilities, and financial affairs.\" (*See* ECF. No. 465, at 14, hereinafter referred to as the \"Trustee Order\"). Such an investigation is imperative in this case to explore, among other things, the glaring inconsistency between the Debtor's assertion in his schedules that he owns assets valued at only \\$3,850 and the fact that he nevertheless has access to significant funds and resources, including for the purpose of paying his counsel in this case, and has for years lived a lavish and luxurious lifestyle as a self-proclaimed billionaire. The Trustee needs to conduct, as expeditiously as possible, an extensive, comprehensive investigation into the Debtor's financial affairs to determine whether, despite the contents of his schedules, there may be significant assets—in the form of real and personal property, equity ownership in other legal entities, litigation claims, and other property interests—that constitute property of the estate.\n\n2. This Motion for Rule 2004 discovery—which is one of several the Trustee intends to file at the outset of his investigation—seeks an examination of the Debtor and the production of documents that could relate to potential assets of the estate. The New York Supreme Court has already determined that the Debtor has engaged in efforts to hide his wealth through a network of shell companies and otherwise, and numerous news reports and other evidence support this conclusion. Good cause therefore exists for the Trustee to seek extensive documents and testimony from the Debtor regarding his assets and affairs, including without limitation his sources of income and funding, his relationships with various affiliated entities and parties, and his business interests across the world. The Trustee respectfully requests entry of an order in the form set forth in **Exhibit A** hereto authorizing such an investigation.\n\n## **PROCEDURAL POSTURE**\n\n3. On March 19, 2022 the United States Trustee filed a Motion for an Order Directing the Appointment of an Examiner or, in the alternative, a Motion for Order Directing the Appointment of a Chapter 11 Trustee. (*See* ECF No. 102).\n\n4. On April 6, 2022, Pacific Alliance Asia Opportunity Fund L.P. (\"PAX\") filed a Motion to Dismiss Chapter 11 Case, or in the alternative, Joinder to the United States Trustee's Motion for an Order Directing the Appointment of a Chapter 11 Trustee. (*See* ECF No. 183).\n\n5. On June 15, 2022, this Court issued the Trustee Order.\n\n6. The Trustee Order held, in relevant part that, \"[w]hen balanced against dismissal or conversion, the complexity of the Debtor's financial affairs and lack of independent managerial oversight in this case warrants the appointment of a Chapter 11 trustee who can investigate, identify, and locate the Debtor's assets for the benefit of creditors and the estate\" and further held that \"[t]he Chapter 11 trustee shall perform all of the duties set forth in 11 U.S.C. § 1106.\" (*See id.* at 15-16, 18).\n\n7. The Trustee Order further held that \"[t]he appointment of a Chapter 11 trustee will also allow for the effective investigation of the Debtor's assets, liabilities, and financial affairs\" and \"allow[] the Chapter 11 trustee to investigate the Debtor's assets, liabilities, and financial affairs and to ensure compliance with the provisions of the Stipulated Order.\" (*See id.* at 14, 18).\n\n8. On July 7, 2022, a Notice of Appointment of Chapter 11 Trustee was filed by the Office of the United States Trustee appointing Luc Despins as Chapter 11 Trustee of the Debtor's estate. (*See* ECF No. 514).\n\n## **FACTUAL BACKGROUND**\n\n## **I. Petition and Debtor's Schedules**\n\n9. 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\").\n\n10. The Debtor's schedules list aggregate unsecured claims in the amount of approximately \\$374 million (*See* ECF No. 78, at 1, hereinafter referred to as the \"Debtor's Schedules\"). The asserted \\$254 million claim of PAX is the largest single claim identified among the Debtor's scheduled unsecured claims. (*See id.*, Attached Schedule F). The Debtor's Schedules also list a secured claim in an unknown amount purportedly belonging to Golden Spring (New York) Ltd. (\"Golden Spring\"), an entity purportedly owned by the Debtor's son, Qiang Guo (the \"Son\" or \"Qiang\"), allegedly secured by \"[c]ertain claims and recoveries thereto,\" and asserted to have arisen in connection with a \"Litigation Funding Agreement.\" (*See id.*, Attached Schedule D).\n\n11. Despite evidence from prior proceedings demonstrating the Debtor's lavish lifestyle and luxurious accommodations, the Debtor's Schedules list assets of only \\$3,850.2 (*See id.* at 3-7). The Debtor contends that he earns no income, and that his expenses are paid for by Golden Spring (*See id.* at 1; *see also* ECF No. 107 at ¶17, hereinafter referred to as the \"Debtor's Declaration\").\n\n## **II. Potential Assets Owned or Controlled by Debtor Not Identified in Schedules**\n\n12. Despite the Debtor's contentions in his Schedules, reports suggest he may own and control significant real and personal property assets in New York and Connecticut, among other locations, the title of which is held by business entities affiliated with the Debtor. Reports further suggest that the Debtor also has a financial interest in myriad for-profit and purported not-for profit\n\n2 The Debtor has scheduled certain assets with unknown values, including disputed unregistered copyrights and litigation claims. (*See id.*, at 6).\n\nentities. The Debtor has been found to display a pattern of manipulating ownership among those various business entities to hide assets, especially through entities owned by family members. (*See* Decision + Order on Motion, *Pacific Alliance Asia Opportunity Fund L.P. v. Ho Wan Kwok*, Index No. 652077/2017 (N.Y. Sup. Feb. 9, 2022), at 1, hereinafter referred to as the \"Final Contempt Order\" (finding that Debtor engaged \"in efforts to avoid and deceive his creditors by parking his substantial personal assets with a series of corporations, trusted confidants, and family members\" and had \"secreted his assets in a maze of corporate entities and with family members.\")).3\n\n## *a. Controlled Related Entities*\n\n13. Although a thorough investigation is necessary to identify all the various entities over which the Debtor may have ownership or control, the Trustee has reason to believe, based on publicly available information, including findings by other courts, that the Debtor has an extensive network of shell companies he uses to pursue business interests and store his wealth.\n\n14. For example, in June 2021, a \\$1 million dollar judgment was awarded to Eastern Profit Corporation Limited (\"Eastern Profit\"), an entity allegedly controlled by the Debtor's daughter, Mei Guo (\"Daughter\" or \"Mei\"), in a breach of contract action against Strategic Vision US LLC in the United States District Court for the Southern District of New York. (*See* ECF No. 77 at 12-13; *see also Eastern Profit Corp. v. Strategic Vision US LLC*, 2021 U.S. Dist. LEXIS 116334, at \\*98 (S.D.N.Y. June 22, 2021), hereinafter referred to as the \"Eastern Profit Lawsuit\"). In its Findings of Fact and Conclusion of Law issued in connection with the Eastern Profit Lawsuit, the District Court found that Eastern Profit was \"in essence, a shell corporation for\" the Debtor. (*See* the Eastern Profit Lawsuit at \\*4).\n\n3 The Final Contempt Order is attached as Exhibit A to the *Objection Of Chapter 11 Trustee to Debtor's Motion For Relief From Order Appointing Luc A. Despins as Chapter 11 Trustee* [Docket No. 575].\n\n15. Other entities that the Debtor potentially controls include: (i) Bravo Luck Limited (\"Bravo Luck\"), an entity purportedly owned by the Debtor's Son (*see* Debtor's Declaration, ¶ 33); (ii) Genever Holding LLC (\"Genever NY\"), a wholly-owned subsidiary of Genever Holdings Corporation (\"Genever BVI\"), whose equity is held by the Debtor in his individual capacity (*see id.*); (iii) Golden Spring, an entity purportedly controlled by the Debtor's Son (*see id.*, ¶ 17); (iv) Greenwich Land LLC (\"Greenwich Land\"), an entity purportedly owned by the Debtor's purported wife, Hing Chi Ngok (\"Wife\" or \"Hing\") (*see id.*); (v) Lamp Capital LLC (\"Lamp\"), an entity purportedly owned by the Debtor's Son (*see id.*, ¶ 51); and (vi) HK International Funds Investment (USA) Limited, LLC (\"HK USA\"), an entity purportedly owned by the Debtor's Daughter (*see id.*, ¶ 33).\n\n16. The Debtor has stated that these above-listed entities, perhaps along with others, fund the lavish lifestyle the Debtor flaunts to the media and on social media. (*See, e.g.*, *id.*, ¶ 17 (stating that his Son, through Golden Spring, \"provides for [the Debtor's] needs\"); *id.*, ¶ 23 (contending that his Daughter owns the *Lady May*, a luxury yacht allegedly purchased in 2015 for £41 million, and that his Son provides for *Lady May's* maintenance); and *id.*, ¶ 51 (noting that his Son, through Lamp, funded a \\$1 million retainer for the Debtor's initial chapter 11 bankruptcy counsel). The Debtor does not explain, however, how these entities derive their income or what consideration, if any, he provides to these entities in exchange for the funding they provide him.\n\n## *b. Real and Personal Assets Potentially Owned or Controlled by Debtor*\n\n17. In addition to this opaque network of controlled related entities, there are extensive real and personal assets—which the Debtor himself has bragged about owning to the media—that may also be property of the estate.\n\n18. For example, when asked in a 2017 interview whether he had any regrets over how\n\nhe has fought his campaign against the Chinese Communist Party, the Debtor said:\n\nI have absolutely no regrets for what I have done over the past nine months. I have the *wealthy life that everyone in the world dreams about*. I have the *biggest house in Hong Kong*, thousands of square meters. I have the *most luxurious apartment in London*. I have the *biggest place in Beijing*. I *have more than 10 properties in Pangu*. I have *two private jets*. I have the *most advanced yachts*. I have *hundreds of race cars*. I have *an apartment like this in New York*. I don't have any material needs anymore.\n\n(*See, e.g.,* Vice News, Exiled Chinese Billionaire Uses YouTube to Wage A War On Corruption, YOUTUBE, at 6:38-7:07 (Nov. 15 2017) (emphasis added) (available at http), hereinafter referred to as the \"Vice News Interview\")).4 Notably, the Debtor has never offered a credible explanation of what has become of these assets, or any proceeds from them – a central question the Trustee believes will be answered through this 2004 examination.\n\n19. Consistent with the Debtor's own admissions, other courts have already found that certain assets are effectively owned by the Debtor, despite his newfound contentions to the contrary in this Case.\n\n20. **The** *Lady May*. Following an evidentiary hearing to determine who held beneficial ownership of the *Lady May*, the New York Supreme Court found the Debtor beneficially owns and controls the *Lady May*. (Final Contempt Order at 9 (\"The evidence clearly and convincingly demonstrates that [Debtor] holds a beneficial interest in and controls the Lady May.\")). Specifically, the court, after considering all of the evidence, including lengthy testimony from the Debtor's daughter and three other witnesses presented by counsel for HK USA on behalf of the Debtor, found that \"[t]he testimony adduced at the hearing out of the mouths of defendants'\n\n4 This quote was spoken by the Debtor in Chinese and translated into English by Vice News.\n\nwitnesses clearly and convincingly demonstrates that Kwok beneficially owns and controls the Lady May and has utter contempt for this Court and the judicial process.\" (Final Contempt Order at 4). The court went on to state that \"[i]n short, Ms. Guo's testimony that she owns and controls the Lady May cannot be credited in any respect\" and that, \"[n]ot 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.\" (*Id.* at 6-8).5\n\n21. **The Sherry Netherland Hotel Property**. The Debtor may similarly own and control a condominium in the Sherry Netherland Hotel in Manhattan, allegedly purchased in 2015 for approximately \\$70 million (the \"Condominium\"). The Debtor maintains that the Condominium is owned by Genever NY, and that Genever NY holds the Condominium in trust for his Son through Bravo Luck. (*See* Debtor's Declaration, ¶ 33). As noted, *supra*, Genever NY is itself owned by Genever BVI, an entity owned by the Debtor. (*See id.*).\n\n22. Similar to the *Lady May*, the Condominium became subject to prepetition litigation in the separate chapter 11 bankruptcy that Genever NY filed in October 2020 in the Southern District of New York before the Honorable James L. Garrity Jr. (*See* Case No. 20-12411 (Bankr. S.D.N.Y.)). In that chapter 11 case, Genever NY and PAX entered into an agreement pursuant to which the Condominium will be sold and proceeds placed into escrow and distributed only upon further order of Judge Garrity. (*See* Second Am. and Restated Settlement Agreement, *In re Genever Holdings, LLC,* No. 20-12411, (ECF 131-1, ¶5(g))). The agreement also provided, among other things, that it would not prejudice the rights of the parties to proceed with litigation\n\n5 On March 1, 2022, PAX filed a Motion for Entry of an Order Confirming the Inapplicability of the Automatic Stay or, in the Alternative, Relief from the Automatic Stay Pursuant to Section 362(d)(2) of the Bankruptcy Code (ECF No. 57) (the \"PAX Stay Motion\"). The PAX Stay Motion was resolved pursuant to a stipulated order pursuant to which, among other conditions, HK USA agreed to return the *Lady May* to the United States, securing this obligation through the placement \\$37 million in an escrow account. (*See* ECF No. 299). The *Lady May* was returned to the navigable waters of Connecticut in early July 2022.\n\ncommenced by PAX against Bravo Luck and the Debtor in the British Virgin Islands, which challenges Bravo Luck's alleged beneficial ownership of the Condominium. (*Id.* ¶7(b)).\n\n23. The Trustee also has reason to believe that a security deposit in an amount of approximately \\$2 million may also remain in connection with the Condominium's acquisition. (*See* ECF No. 77 at 7).\n\n24. **Other Real and Personal Property**. In addition to the foregoing, the Debtor has\n\nfrequently referenced other significant real and personal property assets that he or his immediate\n\nfamily members own and control. For example:\n\n- The Debtor maintains that his Wife, through Greenwich Land, owns the Debtor's residential property located at 373 Taconic Road, Greenwich, Connecticut 06831. (*See* Debtor's Declaration, ¶¶ 6, 17). Greenwich Land may also hold ownership rights to another residential property located in Greenwich, Connecticut at 33 Ferncliff Rd.6\n- The Debtor has declared that he owns \"billions\" of \"funds and property, including real estate in Hong Kong\" which were frozen in 2019 by the High Court of the Hong Kong Special Administrative Region, Court of First Instance. (*See* Debtor's Declaration, ¶ 17).\n- The Debtor is also a co-plaintiff in litigation in the United Kingdom that involves claims of approximately \\$500 million.7\n- As noted above, in a 2017 interview, the Debtor bragged of owning, among other things, (i) the \"biggest house in Hong Kong,\" (ii) the \"most luxurious apartment in London,\" (iii) the \"biggest place in Beijing,\" (iv) \"more than 10 properties in Pangu,\" (v) two private jets,8 and (vi) \"hundreds of race cars.\"9\n\n 6 (*See Supplemental Memorandum of Law of the Official Committee of Unsecured Creditors Addressing the Alternatives of Dismissal, Conversion or the Appointment of a Chapter 11 Trustee*, at 3 [ECF No. 408] (noting \"other potential assets of the estate are two properties in Greenwich, Connecticut (373 Taconic Rd. and 33 Ferncliff Rd.)\n\nwhich [Debtor] claims are owned by [Greenwich Land].\")). 7 *See* Approved Judgment dated February 9, 2022, *Kwok Ho Wan & Ors v UBS*, Cl-2020-000345, High Court of Justice of England and Wales Queen's Bench Division Commercial Court, ¶ 30(i) (\"The principal claim is for some US\\$495 million.\").\n\n8 According to a press report, one of these private jets bears tail number T7-GQM. *See* \"Steve Bannon's Use of Private Jet Linked to Chinese Businessman Could Violate Campaign Finance Law,\" ProPublica, dated Feb. 26, 2020, (available at http) (last visited July 25, 2022).\n\n9 *See* Vice News Interview at 6:38-7:07.\n\nThe proposed examination will help determine whether—and likely confirm—that these various property interests are property of the estate.\n\n## *c. Debtor's Potential Financial Interests in For-Profit and Purported Not-For Profit Business Entities*\n\n25. In addition to the real and personal property assets that the Debtor may own or control through business entities owned by his family members, the Debtor may also have significant financial or ownership interests (or liabilities) in both for-profit and alleged not-for profit business entities that may provide substantial value to the estate and creditors.\n\n26. For instance, it is reported that the Debtor has a financial interest in Gettr USA, Inc. (\"Gettr\"), a conservative social media platform. (*See* Will Sommer, Adam Rawnsley, A. Suebsaeng, *Trumpworld App Is Bankrolled by Fugitive Chinese Billionaire,* THE DAILY BEAST, http\n\nbillionaire?ref=home (July 5, 2021, 12:19 PM) (last visited July 20, 2022) (reporting that \"sites associated with the billionaire have suggested that Gettr is [Debtor's] brainchild,\" and attributing to a host on GTV, \"a media outlet that serves as a mouthpiece for [Debtor],\" the observation that Gettr was \"'the concentration of [Debtor]'s whole lifework',\" and adding that \"[Debtor] had come up with the idea for Gettr's logo, a torch.\"); *see also* The New York Times: Sway, *Best Of: Jason Miller*, at 30:15-30:35 (July 18, 2022) (downloaded using Apple Podcasts) (When asked who is funding Gettr, Gettr CEO Jason Miller responded, \"We have multiple international investment funds that are putting into this . . . . The family foundation of Miles Kwok is one of the initial funders, one of the initial sponsors of this. There's been over \\$50 million that's [been] put in the\n\nplatform so far. [We] have somewhere [near] \\$25-\\$30 million range that we currently have in the bank.\")).10\n\n27. It has also been reported that Gettr's pay stubs list the same address as the \"Himalaya Embassy,\" a property leased in Manhattan's Upper East Side, that is also associated with the New Federal State of China (the \"NFSC\"), a proclaimed \"government in exile dedicated to overthrow the [Chinese Communist Party]\" created by the Debtor and Steve Bannon, former chief strategist to former President Donald J. Trump. (*See* Dan Friedman, *A Fugitive Chinese Tycoon Met Steve Bannon. Misinformation Mayhem Ensued. The weird, wild, and scary tale of Miles Guo*, Mother Jones (March-April 2022 Issue) (last visited July 21, 2022), http).\n\n28. The Debtor also reportedly owns or controls a \"web of more than 60 commercial, nonprofit, and online groups\" collectively referred to as the \"whistleblower movement.\" (*See id.*). At least two of these nonprofits—the Rule of Law Society and the Rule of Law Foundation—are said to fund the NFSC. (*See id.*). It has been reported that as of summer 2021 the Rule of Law Society and Rule of Law Foundation had \"combined receipts of about \\$15 million.\" (*Id.*).\n\n29. The Debtor's alleged \"web\" of for-profit and not-for profit commercial interests may also include entities or brands such as (i) \"GCoin,\" a cryptocurrency allegedly created by the Debtor to serve as a monetary currency for NFSC; (ii) \"GFashion,\" a clothing line designed by the Debtor; (iii) \"GMusic,\" a music platform that promotes the Debtor's videos; (iv) \"GClubs,\" a membership service which provides \"'concierge customer service' and special access to [Debtor's] fashion collections, music releases, and an annual GSummit\"; (v) \"GTV,\" a Chinese-language\n\n10 Shortly after this exchange, Miller was careful to distinguish the \"family foundation of Miles Kwok\" with Miles Kwok, himself, saying, \"Mr. Kwok doesn't have any direct financial investment in Gettr,\" instead calling the Debtor an \"ally\" to Gettr. (*See id.* at 30:51-31:11).\n\nvideo platform; (vi) \"GNews,\" a news website that \"runs articles summarizing [Debtor's] pronouncements.\";11 (vii) Saraca Media Group Inc., the parent company of *GNews* that also reportedly paid Mr. Bannon at least \\$1 million in consulting fees in May 2018; and (viii) the Himalaya Supervisory Organization, which oversees a number of online chat groups that promote and idolize the Debtor, and which offered members of those chat groups \"various mechanisms\" to send the Debtor money, including through a loan program which allegedly \"promised eventual repayment with interest and a chance to invest at a discount in other [Debtor] ventures\" and through stock purchases of GTV. (*See id.*). It is alleged that the GTV stock opportunity raised \\$114 million and that the loan program raised \"at least \\$90 million.\" (*See id.*).\n\n30. These are just certain of the business interests and entities that either the Debtor has boasted about, or that have been reported in the media to date. It stands to reason that the Debtor may be affiliated with numerous other entities whose assets, liabilities and financial interests may be critical to the Trustee's administration of the Debtor's Estate.\n\n31. Because the Debtor may be the true owner of the aforementioned assets and interests, among other potentially unknown assets and interests, it is critical that the Trustee examine and investigate fully the Debtor's estate assets, including the role that his family members, their business entities and other third parties, including the law firms representing the Debtor and his affiliated family entities, have with regards to the Debtor's financial positioning.\n\n## **JURISDICTION AND VENUE**\n\n32. The Court has jurisdiction to entertain this application under 28 U.S.C. §§ 157 and 1334. Venue to hear this Application is proper in accordance with 28 U.S.C. §§ 1408 and 1409.\n\n11 *See id.*\n\n33. This Application is a core proceeding pursuant to, *inter alia*, 28 U.S.C. § 157(b)(2) (A), (E), and (F).\n\n## **RELIEF REQUESTED**\n\n34. The Trustee seeks entry of an order, in substantially the form of the Proposed Order, pursuant to Bankruptcy Rule 2004(a) and Local Bankruptcy Rule 2004-1, authorizing the Trustee to conduct the examination of the Debtor.\n\n## **BASIS FOR RELIEF REQUESTED**\n\n35. Pursuant to Rule 2004(a), on application of a party in interest, the Court may order the examination of any person or entity. The scope of an examination authorized under Rule 2004 is exceedingly broad and may relate 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.\" Fed. R. Bankr. P. 2004(b).\n\n36. \"The purpose of a Rule 2004 examination is to assist a party in interest in determining the nature and extent of the bankruptcy estate, revealing assets, examining transactions and assessing whether wrongdoing has occurred.\" *In re Transmar Commodity Group Ltd.*, 2018 WL 4006324, at \\*4 (Bankr. S.D.N.Y. Aug. 17, 2018) (internal quotation and citation omitted). This includes revealing the nature and extent of the estate and in discovering assets of the debtor that may have been intentionally or unintentionally concealed. *See In re Bennett Funding Group, Inc.*, 203 B.R. 24, 27-28 (Bankr. N.D.N.Y. 1996). *See also In re Millennium Lab Holdings II, LLC*, 562 B.R. 614, 626 (Bankr. D. Del. 2016) (\"Legitimate goals of Rule 2004 examinations include discovering assets, examining transactions, and determining whether wrongdoing has occurred.\" (internal quotation and citation omitted)).\n\n37. In the declaration he submitted on March 20, 2022 in support of the filing of this case, the Debtor represented that among the purposes for filing his chapter 11 case were \"to … (b) afford stakeholders an efficient opportunity to investigate [his] assets, liabilities, and financial affairs, given what [he] perceive[d] to be misunderstandings in that regard; [and] (c) establish what assets are estate property and, in turn, available for distribution to holders of allowed claims . . . .\" (Debtor's Declaration, ¶ 3). The investigation the Trustee seeks to perform is directly relevant to these stated purposes in that it will help the Trustee identify the Debtor's assets and liabilities in order to make distributions to creditors.\n\n38. The areas for initial inquiry pursuant to the requested examination of the Debtor are readily apparent. Based on all the facts and evidence discussed above—including the Debtor's own numerous public statements and past findings by other courts—the Trustee has already identified various corporate entities and real and personal property assets of the Debtor that may provide significant value to the estate. The Trustee needs, however, the investigative tools afforded by Rule 2004 to further establish the true ownership of these assets and to explore other potential assets about which the Trustee does not yet have knowledge.\n\n39. The Trustee requests that, in furtherance of his examination, the Court direct the Debtor to provide documentation to the Trustee's counsel, as requested in the form annexed hereto as **Exhibit B** and made a part hereof (the \"Proposed Subpoena\"), within thirty (30) days of the service of a subpoena, substantially similar in form and substance to the Proposed Subpoena, or such other time as agreed upon by the Trustee. These requests seek documents and communications related to, among other things, (i) the specific assets and property interests discussed herein (*e.g.*, the *Lady May*, 12 the Condominium, the Greenwich properties, and the\n\n12 The *Lady May* is among the topics and potential estate assets with respect to which the Trustee seeks discovery. The Trustee submits that such discovery is appropriate pursuant to Rule 2004 even though an adversary proceeding\n\nvarious other homes, private jets, and other assets the Debtor has boasted about); (ii) the Debtor's interests in and relationships with other individuals, corporate entities and nonprofits, which may be a source of the Debtor's wealth; and (iii) the Debtor's communications with his counsel and other advisors, including communications with such advisors regarding corporate governance issues and the Debtor's finances and property interests.\n\n40. As to this latter category of document requests, bankruptcy courts routinely provide for Rule 2004 discovery against professional firms when the discovery may identify and aid the recovery of assets for the benefit of the estate and creditors. *See, e.g., In re Bame,* 251 B.R. 367 (Bankr. D. Minn. 2000) (finding trustee's request to waive privilege of individual debtor and seek discovery from prepetition advisors compelling when requested to recover assets); *In re Horvath*, No. 13-34137, 2015 WL 2195060 (Bankr. N.D. Ohio May 7, 2015) (discovery related to claims on schedule of assets permissible from individual debtor because trustee sought to potentially increase the value of debtor's estate). Any assertion by the Debtor that the attorney-client privilege or other applicable privileges may obstruct the Trustee's investigation into communications with counsel are without merit, because the \"Trustee now controls any attorney-client privilege or attorney work product to the extent it relates to the identification of assets, liabilities or the financial state of the Debtor's estate.\" *In re Tarkington,* No. 10-00012-8-JRL, 2010 WL 1416813, at \\*3 (Bankr. E.D.N.C. Apr. 2, 2010) (\"trustee's waiver of [individual debtor's] attorney-client\n\nwith respect to the ownership of the *Lady May* is presently pending. The Trustee's proposed discovery related to the *Lady May* relates to the overall pattern of conduct by the Debtor to evade his creditors and is therefore broader than discovery that will likely be sought in the adversary proceeding. It is also more efficient for all parties for the Trustee to take this discovery now given that the Trustee is otherwise seeking Rule 2004 discovery from the same parties on other topics—it would be inefficient for the Trustee to have to take discovery from these same parties twice. Moreover, this is not the classic situation where an adversary plaintiff, through Rule 2004, seeks to undermine the protections provided by the Bankruptcy Rules governing discovery in adversary proceedings. Finally, given the procedural posture of the adversary proceeding, the Trustee may not be able to obtain discovery in that proceeding at present. The Trustee needs its Rule 2004 discovery now, however, to adequately protect and preserve potential assets of the estate.\n\nprivilege is valid to the extent that questions asked during the examination pertain to the administration of estate property\"); *see also In re Klein*, No. 2:11-BK-12718RN, 2013 WL 6253819, at \\*13 (Bankr. C.D. Cal. Dec. 4, 2013) (chapter 11 trustee controls privilege between debtor and his former counsel upon appointment).\n\n41. The Trustee submits that the facts set forth above constitute sufficient cause for the Court to order the examination of, and production of documents from, the Debtor pursuant to Rule 2004(a). The Debtor himself is a necessary source of information and documents to help the Trustee uncover the Debtor's estate's true assets. The Debtor's examination and response to document requests would be the first step in \"afford[ing] stakeholders an efficient opportunity to investigate [his] assets.\" (Debtor's Declaration, ¶ 3).\n\n42. Authorization of this Application is critical for the Trustee to fulfill the duties contemplated in the Trustee Order effectively, including specifically his mandate to \"locate the Debtor's assets for the benefit of creditors and the estate\" and \"investigate the Debtor's assets, liabilities, and financial affairs.\" (*See* Trustee Order at 15-16, 18). No party in interest, including the Debtor, shall suffer undue prejudice upon the granting of the relief sought in this Application.\n\n43. In the event the relief requested by the Trustee is granted, the Trustee shall issue the appropriate subpoenas to compel deposition attendance and/or production of documents at the Rule 2004 examination in the form of the Proposed Subpoena. Further, it is respectfully requested that the Rule 2004 deposition examination be held at the law offices of Paul Hastings LLP, counsel for the Trustee, located at 200 Park Avenue, New York, NY 10166 on not less than seven (7) days written notice or at such other time and location as the parties may otherwise agree.\n\n## **NO PRIOR REQUEST**\n\n44. No prior application for the relief requested herein has been made.\n\n## **OBJECTION DEADLINE**\n\n45. The deadline to object to this Application is **August 5, 2022**, and in the absence of a timely filed objection, the Proposed Order may enter without further notice and hearing.\n\n[*Remainder of Page Intentionally Left Blank*]\n\nWHEREFORE, the Trustee respectfully requests that the Court grant this Application and enter the Proposed Order, pursuant to Fed. R. Bankr. P. 2004(a), directing the examination of Ho Wan Kwok, and directing the production of certain documents as set forth in the Requests for Production of Documents attached to the Proposed Subpoena, and for such other and further relief as the Court may deem just and proper.\n\nDated: July 28, 2022 LUC A. DESPINS,\n\nNew Haven, Connecticut CHAPTER 11 TRUSTEE\n\nBy: */s/ Patrick R. Linsey*\n\nPatrick R. Linsey (ct29437) NEUBERT, PEPE & MONTEITH, P.C. 195 Church Street, 13th Floor New Haven, Connecticut 06510 (203) 781-2847 plinsey@npmlaw.com\n\n*and*\n\nNicholas A. Bassett *(pro hac vice* pending) PAUL HASTINGS LLP 2050 M Street NW Washington, D.C., 20036 (202) 551-1902 nicholasbassett@paulhastings.com\n\n*and*\n\nAvram E. Luft *(pro hac vice* pending) Douglass Barron (*pro hac vice* pending) PAUL HASTINGS LLP 200 Park Avenue New York, New York 10166 (212) 318-6079 aviluft@paulhastings.com douglassbarron@paulhastings.com\n\n*Proposed counsel for the Chapter 11 Trustee*\n\n## **Exhibit A – Proposed Order**\n\n## **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| ----------------------------------------------------------- | x | |\n|-------------------------------------------------------------|------------------------------|--|\n| | : | |\n| In re: | :
Chapter 11 | |\n| | : | |\n| HO WAN KWOK, | :
Case No. 22-50073 (JAM) | |\n| | : | |\n| Debtor.13 | : | |\n| | : | |\n| ----------------------------------------------------------- | x | |\n| | | |\n\n## **[PROPOSED] ORDER GRANTING CHAPTER 11 TRUSTEE'S APPLICATION FOR RULE 2004 EXAMINATION OF HO WON KWOK**\n\nUpon consideration of the Application seeking an order authorizing a Federal Rule of Bankruptcy Procedure 2004 examination of Ho Won Kwok (\"Debtor\") (the \"Application\", ECF No. \\_\\_\\_\\_\\_), filed by Luc Despins, as the appointed Chapter 11 Trustee to the Debtor's estate (the \"Applicant\"), after notice and a hearing, see 11 U.S.C. § 102(1), it appearing that cause exists to grant the requested relief as conditioned hereafter; it is hereby\n\n**ORDERED**: The Rule 2004 Motion is granted as set forth below.\n\n**ORDERED**: Paul Hastings LLP and Neubert, Pepe & Monteith, P.C., as proposed counsel for the Trustee, are hereby authorized to sign a Subpoena, in a form substantially similar to the Subpoena attached to the Rule 2004 Motion as Exhibit B, and to serve the Subpoena along with a copy of this Order in accordance with Bankruptcy Rule 2004 requiring examination and the production of documents by the Debtor.\n\n**ORDERED**: The Debtor is hereby directed to produce all documents within 30 days of the service of the Subpoena, or such other time as agreed upon by the Trustee. To the extent the Debtor does not produce any documents requested in the Subpoena on the basis of some privilege, the Debtor is hereby directed to produce the Trustee with a privilege log that comports with Fed. R. Civ. P. 45(e)(2), made applicable by Fed. R. Bankr. P. 9016, and D. Conn. L. Civ. R. 26(e), within 30 days of service of the Subpoena, or such other time as agreed upon by the Trustee.\n\n**ORDERED**: The Debtor is hereby directed to ensure that that all documents and other information, including without limitation in any electronic format, requested in the Subpoena or otherwise relevant to the Debtor, his business, assets, liabilities, financial condition, or this Chapter\n\n13 Although the Debtor's legal name is Ho Wan Kwok, he is also known as Guo Wengui, Miles Guo, and Miles Kwok, as well as numerous other aliases. The last four digits of the Debtor's taxpayer identification number are 9595.\n\n11 case, are properly maintained, are available for production, inspection and copying, are not destroyed.\n\n**ORDERED**: Paul Hastings LLP and Neubert, Pepe & Monteith, P.C., as proposed counsel for the Trustee, are hereby authorized, without further order of this Court, to take the testimony of the Debtor by examination under Bankruptcy Rule 2004 at the offices of Paul Hastings LLP, 200 Park Avenue, New York, NY 10166, or at such other place that is mutually acceptable to the parties, on a date acceptable to the Trustee, which, at the election of the Trustee, shall be not less than 14 calendar days after the production of documents by the Debtor in compliance with the Subpoena and this Order pursuant to Bankruptcy Rule 2004, and such examination shall continue from day to day until completed.\n\nDated: \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_, 2022\n\nJulie A. Manning, United States Bankruptcy Judge\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n## **Exhibit B – Subpoena and Document Requests**\n\nB2540 (Form 2540 – Subpoena for Rule 2004 Examination) (12/15) Case 22-50073 Doc 636 Filed 07/28/22 Entered 07/28/22 23:06:50 Page 23 of 45\n\n# UNITED STATES BANKRUPTCY COURT\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ District of \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ Connecticut\n\nIn re \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\nCase No. \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ Ho Wan Kwok 22-50073\n\nDebtor\n\nChapter \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ 11\n\n## **SUBPOENA FOR RULE 2004 EXAMINATION**\n\nTo: **\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_** Ho Wan Kwok\n\n*(Name of person to whom the subpoena is directed)*\n\n *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 | DATE AND TIME |\n|------------------------------------------------------------------|---------------|\n| Paul Hastings LLP
200 Park Avenue
New York, New York 10166 | |\n\nThe examination will be recorded by this method: \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ court reporter/stenographer\n\n *Production:* You, or your representatives, must also bring with you to the examination the following documents, electronically stored information, or objects, and must permit inspection, copying, testing, or sampling of the material:\n\n## See Requests for Production of Documents, attached hereto.\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: \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ August \\_\\_, 2022\n\nCLERK OF COURT\n\nOR\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ *Signature of Clerk or Deputy Clerk* \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ *Attorney's signature* Patrick R. Linsey (ct29437)\n\nThe name, address, email address, and telephone number of the attorney representing *(name of party)* \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ , who issues or requests this subpoena, are: Luc Despins, Ch. 11 Trustee\n\nPatrick R. Linsey, Esq.; Neubert, Pepe & Monteith, P.C.; 195 Church Street, New Haven, Connecticut 06510 plinsey@npmlaw.com; 203-821-2000\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## **Requests for Production of Documents**\n\n## **I. INSTRUCTIONS**\n\n1. Unless otherwise indicated, the requests for documents set forth below, (the \"Requests,\" and each, a \"Request\"), must be responded to separately and specifically. Each Request shall be answered fully unless it is in good faith objected to, in which event the reason for Your objection shall be stated in detail, as set forth below. If an objection pertains only to a portion of a Request, or a word, phrase or clause contained within it, You are required to state Your objection to that portion only and to respond to the remainder of the Requests.\n\n2. Electronically stored information must be produced in accordance with the following instructions:\n\n- a. Images. Black and white images must be 300 DPI Group IV single-page TIFF files. Color images must be produced in JPEG format. File names cannot contain embedded spaces or special characters (including the comma). Folder names cannot contain embedded spaces or special characters (including the comma). All TIFF image files must have a unique file name, i.e. Bates number. Images must be endorsed with sequential Bates numbers in the lower right corner of each image. The number of TIFF files per folder should not exceed 1000 files. Excel spreadsheets should have a placeholder image named by the Bates number of the file.\n- b. Image Load File\n\t- a. Concordance® Data File. The data file (.DAT) contains all of the fielded information that will be loaded into the Concordance® database. The first line of the .DAT file must be a header row identifying the field names. The .DAT file must use the following Concordance® default delimiters: Comma ASCII character (020) Quote þ ASCII character (254). Date fields should be provided in the format: mm/dd/yyyy. Date and time fields must be two separate fields. If documents includes imaged emails and attachments, the attachment fields must be included to preserve the parent/child relationship between an email and its attachments. An OCRPATH field must be included to provide the file path and name of the extracted text file on the produced storage media. The text file must be named after the FIRSTBATES. Do not include the text in the .DAT file. For Documents with native files, a LINK field must be included to provide the file path and\n\nname of the native file. The native file must be named after the FIRSTBATES.\n\n- b. Concordance Image® OR Opticon Cross-Reference File. The image crossreference file (.LOG or .OPT) links the images to the database records. It should be a comma-delimited file consisting of seven fields per line with a line in the cross-reference file for every image in the database with the following format: ImageID,VolumeLabel,ImageFilePath,DocumentBreak,FolderBreak,Box Break,PageCoun.\n- c. Document Text. Text must be produced as separate text files, not as fields within the .DAT file. The full path to the text file (OCRPATH) should be included in the .DAT file. It is recommended document level ANSI text files, named per the FIRSTBATES/Image Key. Extracted text files must be in a separate folder, and the number of text files per folder should not exceed 1,000 files. There should be no special characters (including commas in the folder names). Text files must be provided on a document level.\n- d. Native Production for Certain File Types. File types that reasonably require viewing in their native format for a full understanding of their content and meaning must be produced in native format. These include, but are not limited to, spreadsheets, spreadsheet-like files (Microsoft Excel, comma separated values, tab separated values, etc.), Microsoft PowerPoint or other special presentation files, database files, and audio/visual files. Provide an image of a Bates numbered slip sheet indicating the presence of a native file, and include the path to the native as a field in the .dat file. Name the produced native file with the Bates number corresponding to the slip sheet for the file. Group native files within incrementally named \"NATIVE\" directories, separate from images directories.\n- e. De-duplication. Produce a single copy of each electronic document for which exact duplicates exist. For email messages, consolidate duplicates based on MD5 hash generated from the BCC, Body, CC, From, IntMsgID, To, and Attach properties. For email attachments and standalone electronic files, consolidate duplicates based on MD5 hash of the entire file.\n- f. Metadata. Produce extracted metadata for each document in the form of a Concordance compliant load file (.dat). The first line of the .DAT file must be a header row identifying the field names. The .DAT file must use the following Concordance default delimiters: Comma , ASCII character (020) Quote þ ASCII character (254)\n\nDate fields should be provided in the format: mm/dd/yyyy. Date and time fields must be two separate fields. Required metadata listed below:\n\n| Field Name | Sample Data | Description |\n|--------------|---------------------------|--------------------------------------------------------------|\n| FIRSTBATES | EDC0000001 | First Bates number of native file document/email |\n| LASTBATES | EDC0000001 | Last Bates number of native file document/email |\n| | | **The LASTBATES field should be populated |\n| | | for single page |\n| ATTACHRANGE | EDC0000001
- | Bates number of the first page of the parent |\n| | EDC0000015 | document to the Bates number of the last page of |\n| | | the last attachment \"child\" document |\n| BEGATTACH | EDC0000001 | First Bates number of attachment range |\n| ENDATTACH | EDC0000015 | Last Bates number of attachment range |\n| CUSTODIAN | Smith, John | Email: Mailbox where the email resided |\n| | | Native: Name of the individual or department |\n| | | from whose files the document originated |\n| FROM | John Smith | Email: Sender |\n| | | Native: Author(s) of document |\n| | | **semi-colon should be used to separate |\n| | | multiple entries |\n| TO | Coffman, Janice; LeeW | Recipient(s) |\n| | [mailto:LeeW@MSN.com] | **semi-colon should be used to separate multiple |\n| | | entries |\n| CC | Frank Thompson [mailto: | Carbon copy recipient(s) |\n| | frank_Thompson@cdt.com] | **semi-colon should be used to separate |\n| | | multiple entries |\n| BCC | John Cain | Blind carbon copy recipient(s) |\n| | | **semi-colon should be used to separate |\n| | | multiple entries |\n| SUBJECT | Board Meeting Minutes | Email: Subject line of the email Native: Title |\n| | | of document (if available) |\n| FILE_NAME | BoardMeetingMinutes.docx | Native: Name of the original native file, |\n| | | including extension |\n| DATE_SENT | 10/12/2010 | Email: Date the email was sent |\n| | | Native: (empty) |\n| TIME_SENT/ | 07:05 PM GMT | Email: Time the email was sent/ Time zone in |\n| TIME_ZONE | | which the emails were standardized |\n| TIME_ZONE | GMT | The
time
zone
in
which
the
emails
were |\n| | | standardized during conversion. |\n| LINK | >EDC0000001.msg | Hyperlink to the email or native file document |\n| | | **The linked file must be named per the
FIRSTBATES number |\n| | | |\n| FILE_EXTEN | MSG | The file type extension
representing |\n| | | the Email or |\n| AUTHOR | John
Smith | Email: (empty) |\n| | | Native: Author of the document |\n| DATE_CREATED | 10/10/2010 | Email: (empty) |\n| | | Native: Date the document was created |\n\n| TIME_CREATED | 10:25 AM | Email: (empty) |\n|--------------|---------------------------|-------------------------------------------------|\n| | | Native: Time the document was created |\n| | | **This data must be a separate field and cannot |\n| | | be combined with the DATE_CREATED field |\n| DATE_MOD | 10/12/2010 | Email: (empty) |\n| | | Native: Date the document was last modified |\n| TIME_MOD | 07:00 PM | Email: (empty) |\n| | | Native: Time the document was last modified |\n| | | **This data must be a separate field and cannot |\n| | | be combined with the DATE_MOD field |\n| DATE_ACCESSD | 10/12/2010 | Email: (empty) |\n| | | Native: Date the document was last accessed |\n| TIME_ACCESSD | 07:00 PM | Email: (empty) |\n| | | Native: Time the document was last accessed |\n| | | **This data must be a separate field and cannot |\n| | | be combined with the DATE_ACCESSD field |\n| FILE_SIZE | 5,952 | Size of native file document/email in KB |\n| PGCOUNT | 1 | Number of pages in native file document/email |\n| PATH | | Email: (empty) |\n| | Agenda.doc | Native: Path where native file document was |\n| | | stored including original file name. |\n| INTFILEPATH | Personal Folders\\Deleted | Email: original location of email including |\n| | Items\\Board Meeting | original file name. |\n| | Minutes.msg | Native: (empty) |\n| INTMSGID | <000805c2c71b\\$75977050\\$ | Email: Unique Message ID Native: (empty) |\n| | cb8306d1@MSN> | |\n| MD5HASH | d131dd02c5e6eec4693d9a0 | MD5 Hash value of the document. |\n| | 698aff95c | |\n| | 2fcab58712467eab4004583e | |\n| | b8fb7f89 | |\n| OCRPATH | TEXT/001/EDC0000001.txt | Path to extracted text of the native file |\n\n3. Each Request operates and should be construed independently and, unless otherwise indicated, no Request limits the scope of any other Request.\n\n4. All Documents are to be produced as kept in the usual course of business or are to be organized and labeled to correspond with the categories in these Requests.\n\n5. Each Request contained herein extends to all Documents: (a) in Your possession, custody, or control; or (b) in the possession, custody, or control of anyone acting on Your behalf, including Your counsel or other representatives and advisors. Each Document shall be produced in its entirety.\n\n6. If You are requested to produce a Document that is no longer in Your possession, custody, or control, then Your response must (a) describe in detail the nature of the document and its contents; (b) identify the person(s) who prepared or authored the Document (and, if applicable, the Person(s) to whom the Document was sent); (c) identify the date on which the document was prepared or created; (d) state whether such Document (i) is missing or lost, (ii) has been destroyed, (iii) has been transferred, voluntarily or involuntarily, to others, or (iv) was otherwise disposed of; (e) state the reason for, and the facts and circumstances surrounding, such disposition; (f) identify the Persons who authorized such disposition; (g) identify the date or approximate date of such disposition; (h)state when the Document was most recently in Your possession, custody or control; and (i) identify the Person, if any, presently in possession, custody, or control of such Document.\n\n7. If You are requested to produce a Document that has been destroyed, then Your response must state, in addition to the information required by the preceding Instruction: (a) the reason for the Document's destruction; (b) the identity of the Person who destroyed the Document; and (c) the identity of the Person who directed that the Document be destroyed.\n\n8. If You claim that a requested Document is privileged or attorney work-product, then Your response must: (a) state (i) a description of the Document adequate to support Your contention that the Document is privileged, (ii) the title of the Document, (iii) the date of the Document, (iv) the author of the Document, (v) the addressee of the Document, (vi) the identity of each Person who received or saw the original or any draft, copy, or reproduction of the Document, (vii) whether the Document itself, or any information contained or referred to in the Document is in the possession, custody, or control of any other Persons, and if so, the identity of\n\nsuch Persons, as well as a statement addressing how the information came into their possession, (viii) the claim of privilege under which the Document is withheld, and (ix) all of the circumstances upon which You will rely to support such claim of privilege; and (b) produce a privilege log containing all of the information requested in Part (a) of this Instruction for each Document withheld on the basis of a claim of privilege in accordance with D. Conn. L. Civ. R. 26(e).\n\n9. Document Request as to which a claim of privilege or work product is not made, responsive documents should be provided in full.\n\n10. If a portion of an otherwise responsive Document contains information subject to a claim of privilege, only that portion of the Document subject to the claim of privilege shall be deleted or redacted from the Document following the instructions above, and the rest shall be produced.\n\n11. The Requests are continuing in nature. You are hereby instructed to (a) supplement or correct any responses later learned to be incomplete or incorrect immediately upon learning that a prior response was incomplete or incorrect; and (b) produce any additional Documents that are called for under the\n\n12. If a Document is in a language other than English, You should provide that Document. If a Document is in a language other than English, and an English translation exists, You should provide both Documents.\n\n13. All references to Entities includes all affiliates thereof.\n\n14. All references to individual names include all alternative names, aliased, or nicknames.\n\n15. Unless otherwise expressly indicated, the period of time covered by the Document Requests is the period from February 5, 2012 to the date responses to the Document Requests are due.\n\n## **II. RULES OF CONSTRUCTION**\n\n16. The use of (a) any singular noun shall be construed to include the plural, and vice versa, and (b) a verb in any tense shall be construed as the use of the verb in all othertenses.\n\n17. The terms (a) \"and\" and \"or\" shall be construed either conjunctively or disjunctively as necessary to bring within the scope of any request all responses that might otherwise be construed to be outside of its scope, and (b) \"each\" and \"any\" shall be deemed to include and encompass the words \"every\" and \"all.\"\n\n## **III. DEFINITIONS**\n\nThe definitions supplied by D. Conn. L. Civ. R. 26(c) and the rules of construction supplied by D. Conn. L. Civ. R. 26(d), as incorporated by D. Conn. Bankr. L.R. 2004-1(a), shall apply to the Document Requests. In addition, the following terms used in these Document Requests shall have the following meanings:\n\n1. \"You\" or \"Your\" or \"Yourself\" or \"Debtor\" means and refers to Ho Wan Kwok (a/k/a Miles Kwok, Miles Guo, Guo Wengui, Guo Haoyun, 郭文贵, or any other alias), together with any of his employees, agents, counsel, advisors, or anyone acting on his behalf.\n\n2. \"Debtor's Son\" means Qiang Guo (a/k/a Mileson Kwok, 郭强, or any other alias), together with any of his employees, agents, counsel, advisors, or anyone acting on his behalf.\n\n3. \"Debtor's Daughter\" means Mei Guo (a/k/a Mei Gui, 郭美, or any other alias), together with any of her employees, agents, counsel, advisors, or anyone acting on her behalf.\n\n4. \"Debtor's Purported Wife\" means Hing Chi Ngok (a/k/a Hing Chi Ng, a/k/a Yue Qingzhi, 岳庆芝, or any other alias), together with any of her employees, agents, counsel, advisors, or anyone acting on her behalf.\n\n5. \"Debtor's Family\" means, collectively, the Debtor, the Debtor's Son, the Debtor's Daughter, and the Debtor's Purported Wife, and any other familial relation to the Debtor.\n\n6. \"Associated Individuals\" means, individually and collectively, all individuals that (1) hold, control, have custody over, or discretion over assets owned, controlled, or enjoyed by the Debtor or the Debtor's Family; or (2) have been employees, directors, or otherwise are affiliated with one or more Associated Entities, together with the respective employees, agents, counsel, advisors, or anyone acting on behalf of any of the foregoing. Such Associated Individuals shall include, but are not limited to: Daniel Podhaskie, Jason Miller, Steve Bannon, Karin Maistrello, Melissa Francis, William Gertz, Arethusa Forsyth, Glenn Mellor, Jennifer Mercurio, Eduardo Eurnekian, Han Chunguang (a/k/a 韩春光), Qu Guojiao (a/k/a Qu Guo Jiao, 屈国姣), Guo Lijie (a/k/a 郭丽杰), Zhang Wei (a/k/a 张伟\\*), Lihong Wei Lafrenz (a/k/a Sara Wei, 魏丽红), Hao Haidong (a/k/a 郝海东), Ross Heinemeyer, Max Krasner, Kyle Bass, Melissa Mendez, Ya Li (a/k/a 李娅), Dinggang Wang (a/k/a 王定刚), An Hong (a/k/a 安红), Yvette Wang (a/k/a Yanping Wang, Yan Ping Wang, 王雁平), Fiona Yu, Je Kin Ming (a/k/a William Je, Yu Jianming, 余建明\n\n), Yaz Qingua, and Lao Jiang (a/k/a Jiang Yunfu, Jiang Yunfu Be, 姜云浮).\n\n7. \"Associated Entities\" means, individually and collectively, all organizations or Entities of any type that (1) have been owned, controlled, or invested in by the Debtor or the Debtor's Family; or (2) have an interest, whether directly or indirectly, in any assets owned, controlled, or enjoyed by the Debtor or the Debtor's Family, together with the respective employees, agents, counsel, advisors, or anyone acting on behalf of any of the foregoing. Such Associated Entities shall include, but are not limited to: 7 Nod Hill LLC, AAGV Limited, ACA Investment Management Limited, ACA Capital Group Limited, Ace Decade Holdings Limited, AI Group Holdings Inc., Alfa Global Ventures Limited, Alfonso Global Limited, Allied Capital Global Limited, Alpine Fiduciaries SA, Anton Development Limited, Assets Sino Limited, Auspicious Coast Limited, Beijing Pangu Investment Co., Beijing Pangu Investment Co. Ltd., Beijing Pangu Investment Inc., Beijing Zenith Holdings Company Limited, Bravo Luck Limited, BSA Strategic Fund I, China Golden Spring (Hong Kong) Limited, Chuang Xin Limited, Crane Advisory Group LLC, Creative Apex Investments Limited, Crystal Breeze Investments Limited, Dawn State Limited, Eastern Profit Corporation Limited, Elite Well Global Limited, Empire Growth Holdings, G Club Operations LLC, G Fashion LLC, G News LLC, GETTR USA, Genever Holdings Corporation, Genever Holdings LLC, GFASHION MEDIA GROUP INC., GFNY, Inc., Globalist International Limited, GNews Media Group Inc., Golden Spring (New York) Ltd., Greenwich Land LLC, Guo Media, GTV Media Group, Inc., Hamilton Capital Holdings Inc., Head Win Group Limited, Henan Yuda, Himalaya Embassy, Himalaya Exchange, Himalaya Federal Reserve, Himalaya Supervisory Organization, HK International Funds Investments (USA) Limited LLC, Hong Kong International Funds Investments Limited, Infinite Increase Limited, Infinitum Developments Limited, Insight Phoenix Fund, Lamp Capital LLC, Leading Shine Limited, Leading Shine NY Limited, Long Gate Limited, Next Tycoon Investments Limited, New Federal State of China (a/k/a NFSC), Noble Fame Global Limited, Rosy Acme Ventures Limited, Rule of Law Foundation III, Inc., Rule of Law Foundation IV, Inc., Rule of Law Fund, Rule of Law Society, Rule of Law Society IV, Inc., G-Translators PTY LTD, Saraca Media Group, Inc., Shiny Ace Ltd., Shiny Times Holdings Ltd., Spirit Charter Investment Limited, Stevenson, Wong & Co., Voice of Guo Media, Inc., Well Origin Ltd., World Century Limited, Worldwide Opportunity Holdings Limited, Whitecroft Shore Limited, and ZIBA Limited.\n\n8. \"Including\" or any variant thereof means \"including without limitation.\"\n\n9. \"And\" and \"or\" mean \"and/or,\" and shall be construed both conjunctively as well as disjunctively in order to maximize their scope.\n\n10. \"Any\" and \"all\" and \"each\" mean \"each and every.\"\n\n11. \"Each\" and \"every\" mean \"each and every.\"\n\n12. \"Third Party\" means a Person or Entity other than Yourself.\n\n13. \"Transfer\" shall have the meaning given to it by section 101(54) of the Bankruptcy Code.\n\n14. \"Document\" means any information or thing within the scope of Fed. R. Civ. P. 34, and includes, without limitation, each and every written, recorded, or graphic matter of any kind, type, nature, or description that is or has been in Your Possession, Custody or Control, including all printed and electronic copies of electronic mail, computer files maintained in electronic form, electronic communication, text message, social media post, tweet, meta-data, correspondence, memoranda, tapes, stenographic or handwritten notes, written forms of any kind, charts, blueprints, drawings, sketches, graphs, plans, articles, specifications, diaries, letters, telegrams, photographs, minutes, contracts, agreements, surveys, computer printouts, data\n\ncompilations of any kind, telexes, facsimiles, voice messages, invoices, order forms, checks, drafts, statements, credit memos, reports, position reports, summaries, indices, books, ledgers, notebooks, schedules, transparencies, recordings, catalogs, advertisements, promotional materials, films, video tapes, audio tapes, CDs, computer disks, brochures, pamphlets, punchcards, time-slips, Tweets, social media posts, or any written or recorded materials of any other kind, and all meta-data thereof, however stored (whether in tangible or electronic form), recorded, produced, or reproduced, and also including but not limited to, drafts or copies of any of the foregoing that contain any notes, comments, or markings of any kind not found on the original documents or that are otherwise not identical to the original documents.\n\n15. \"Person(s)\" means an individual, corporation, proprietorship, partnership, association, or any other Entity. \"Person\" also includes any agent, representatives, or expert, including but not limiting to, attorneys or financial advisors.\n\n16. \"Entity\" means any natural Person, corporation, partnership, subsidiary, sole proprietorship, firm, board, joint venture, association, agency, authority, commission or other business entity or juristic Person, as well as any affiliate, agent, parent including but not limited to legal counsel, financial advisors, or any other representative.\n\n17. \"Regarding\" means concerning, describing, comprising, referring to, related to, supporting, favoring, opposing, bolstering, detracting from, located in, considered in connection with, bearing on, evidencing, indicating, reporting on, recording, alluding to, responding to, connected with, commenting on, in respect of, about, in relation to, discussing, showing, describing, reflecting, analyzing constituting, and being.\n\n18. \"Relating to,\" \"relate(s) to\" or \"related to,\" when referring to any given subject matter, means, without limitation, any document that constitutes, comprises, involves, contains,\n\nembodies, reflects, identifies, states, refers directly or indirectly to, or is in any way relevant to the particular subject matter identified.\n\n19. \"Communication(s)\" means, in the broadest possible sense, and without limitation, any transmittal of information or knowledge (in the form of facts, ideas, inquiries, or otherwise). Communication(s) further refers to all conversations, agreements, inquiries, or replies, whether in person, by telephone, in writing, or by means of electronic transmittal devices, and includes, but is not limited to, all correspondence, emails, recordings, transmittal slips, memoranda, telephone communications, voice messages, telegrams, telefaxes, telecopies, telexes, instant messages, chats, text messages, telephonic notes, or notes transmitted internally or with third parties.\n\n20. \"Asset(s)\" means any item that can be used to produce positive economic value, including but not limited to any resource with economic value that is owned, controlled or is for the benefit of an entity, that is expected to provide a future benefit, including but not limited to, all real and personal property, intangible property, investments, rights to invest or to future revenue, cash, bank accounts, commodities, securities, claims, total or partial control of an entity, and prospective economic opportunities\n\n## **IV. DOCUMENTS TO BE PRODUCED**\n\n1. All documents regarding any income or Asset of the Debtor, the Debtor's estate, or of an Associated Entity.\n\n2. Documents sufficient to show all entities or Assets that the Debtor or the Debtor's Estate holds or has ever held a legal, economic, or beneficial interest in, or total or partial control of, at any time from January 1, 2011 through the present.\n\n3. For any Asset identified in response to Request No. 2 in which the Debtor asserts he or the Debtor's Estate no longer holds such an interest, all Documents relating to the disposition of that Asset, including but not limited to, when the Debtor relinquished his interest, to whom, for what value, and if the Debtor has had any use of or other interaction with the Asset since the moment he asserts he or the Debtor's Estate no longer retained an interest.\n\n4. All Documents regarding the Associated Entities, including but not limited to their corporate structure, Assets, incorporation information, officers and directors, business purpose, and relationship to the Debtor or to any member of the Debtor's Family.\n\n5. All Documents regarding the *Lady May*; the Sherry Netherland Hotel / Condominium; the residential property located in Greenwich, Connecticut at 373 Taconic Rd.; the residential property located in Greenwich, Connecticut at 33 Ferncliff Rd.; the residential property located in Wilton, Connecticut at 354 Nod Hill Rd.; and any financial interest that the Debtor or the Debtor's estate possesses in any Associated Entity.\n\n6. All Documents related to the purported Declaration of Trust and Agreement, dated February 17, 2015, entered into by the Debtor, as Trustee, Genever Holdings Corporation, and Genever Holdings LLC, in favor of Bravo Luck Limited, as beneficiary.\n\n7. All Documents regarding any balance sheet, bank statement, account statement, financial statement, statement of account, wire transfer instructions and/or confirmation, proof of funds, certificate of deposit, certificate of holdings, investment portfolio summary, or similar document relating to the Debtor, the Debtor's Estate, the Debtor's Family, an Associated Entity, or an Associated Individual, including without limitation all Documents sufficient to show all Transfers to any of the foregoing.\n\n8. All Documents regarding any credit cards used by You, including without limitation monthly statements or other Documents sufficient to show all purchases, payments, and other transactions related thereto.\n\n9. All Documents related to any investments or trading by the Debtor, the Debtor's Family, or an Associated Entity, in or around July 2020, or at any other time, in crude oil futures or any similar commodity, including without limitation Communications with Jiang Yunfu Be regarding any such investments or trading.\n\n10. All Communications between You and, either, the Debtor's Family, or any Associated Individual, agent, employee, or individual acting on Your behalf, related to any business transaction relating to the Debtor, the Debtor's Estate, the Debtor's Family or the Associated Entities.\n\n11. All communications with counsel for the Debtor's Family or the Associated Entities.\n\n12. All communications with Qu Guo Jiao regarding any Assets, liabilities, financial interests, economic health, financial statements of the Debtor, the Debtor's Family, or any Associated Entity.\n\n13. All communications with Daniel Podhaskie regarding any Assets, liabilities, financial interests, economic health, financial statements of the Debtor, the Debtor's Family, or any Associated Entity.\n\n14. All Documents regarding any gifts, benefits or loans, to, from or on behalf of the Debtor, the Debtor's Estate, the Debtor's Family, the Associated Entities, or the Associated Individuals, including but not limited to, the amounts of such gifts, benefits, or loans, the\n\npurposes for which such gifts, benefits, or loans were used, when the gifts, benefits, or loans were provided, the terms of repayment for any loans, all representations and warranties made in connection with any loans, the interest rate on any loans, and all evidence of payments of any loans.\n\n15. All Documents concerning any trust or similar instrument set up by, on behalf of, or for the benefit of the Debtor, the Debtor's Estate, the Debtor's Family, or Associated Entities, including but not limited to Documents showing when the trust(s) was created, by whom it was created, to whose benefit it was created, and the corpus of the trust.\n\n16. Tax returns for the Debtor, each Individual member of the Debtor's Family, and any Associated Entity from the years 2014 to the present.\n\n17. All Documents related to any sale, acquisition, disposition, purchase, investment, contribution, gift, extension of credit, loan, or Transfer involving the Debtor, the Debtor's Family, or any Associated Entity.\n\n18. All Documents related to any obligation, claim, liability, or debt associated with any legal dispute involving the Debtor, including but not limited to those relating to any litigation before any local, state, federal, or international body, whether an administrative body, court, panel, or alternative dispute resolution entity, and those related to the action before the High Court of Justice of England and Wales, Queen's Bench Division Commercial Court, styled *Kwok Ho Wan & Ors v UBS*, Cl-2020-000345, including those related to the basis for Your claim in such action.\n\n19. All Documents related to that certain U.S. Securities and Exchange Commission *Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order,* Release No. 10979/September\n\n13, 2021, entered in Administrative Proceeding File No. 3-20537, *In the Matter of GTV Media Group, Inc., Saraca Media Group, Inc., and Voice of Guo Media, Inc.,* including but not limited to those regarding the sources of funds for all payments to legal counsel to the respondent-Associated Entities subject to that administrative proceeding, the sources of funds for all payments of fines, disgorgement, prejudgment interest, and/or civil penalties paid to the U.S. Securities and Exchange Commission pursuant to such order, and those regarding the manner of payment used by respondent-Associated Entities to satisfy the obligations of such order.\n\n20. All Documents regarding the place, property, or location the Debtor resides in or inhabits, including but not limited to the location of such place or property; when and how often the Debtor is there; who owns or controls the place or property; who funds any expenses or payments related to the place or property; any terms relating to the Debtor's use of the property; and anyone else who is authorized to use the property.\n\n21. All Documents regarding the Debtor's use of any Assets belonging to, controlled by, or whose complete or partial ownership is held by the Debtor's Family, an Associated Individual, or an Associated Entity.\n\n22. All Documents regarding any Entity that the Debtor, the Debtor's Estate, the Debtor's Family, or an Associated Entity holds any interest or investment in, including but not limited to the nature and value of that interest or investment; any proceeds or benefits from the entity that the Debtor, the Debtor's Estate, or the Associated Entity receives; and all Documents relating to any financial reporting or data relating to such Entity, including but not limited to all books and records, financial statement or tax Documents.\n\n23. All Documents regarding any investment or business dealing made by, with, or on behalf of the Debtor or the Debtor's Family, on the one hand, and any Associated Entity, on the other hand.\n\n24. All Documents regarding the \"billions\" of \"funds and property, including real estate in Hong Kong\" which were frozen in 2019 by the High Court of the Hong Kong Special Administrative Region, Court of First Instance. (*See* ECF N0. 107 at ¶17).\n\n25. All Documents regarding each of the Assets the Debtor claimed to own during a 2017 interview with Vice News, including but not limited to, the \"two private jets,\" the \"most advanced yachts,\" and the \"hundreds of race cars.\" (*See* Vice News Interview at 6:38-7:07 (Nov. 15 2017) (when asked whether he had any regrets over how he has fought his campaign against China, the Debtor said, \"I have absolutely no regrets for what I have done over the past nine months. I have the wealthy life that everyone in the world dreams about. I have the biggest house in Hong Kong, thousands of square meters. I have the most luxurious apartment in London. I have the biggest place in Beijing. I have more than 10 properties in Pangu. I have two private jets. I have the most advanced yachts. I have hundreds of race cars. I have an apartment like this in New York. I don't have any material needs anymore.\")). 14\n\n26. All Documents related to any income, revenue, Assets or advertisement revenue generated from the YouTube channel(s) possessed or controlled by the Debtor, the Debtor's Estate, Debtor's Family, or an Associated Entity.\n\n27. Documents sufficient to show the identity, name, length of employment, and salary for each and every employee of the Associated Entities.\n\n14 This quote was spoken by Debtor in Chinese and translated into English by Vice News.\n\n28. All Documents related to any aircraft owned, controlled, or used by You, including without limitation the aircraft bearing tail number T7-GQM and any other aircraft registered in the Republic of San Marino, including without limitation copies of all registration documents and flight manifests showing flights taken by such aircraft and the individuals onboard such flights.\n\n29. All passports or similar Documents authorizing cross-border travel issued by any sovereign state, nation, city-state, or autonomous region to You, including but not limited to any expired or unused Documents, and all pages of such passports or similar Documents.\n\n30. All Documents related to any pledges of Assets of any Associated Entity, including Bravo Luck Limited, to any other Entity.\n\n| | | PROOF OF SERVICE
(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| | I declare under penalty of perjury | Unless the subpoena was issued on behalf of the United States, or one of its officers or agents, I have also tendered to the
witness the fees for one day's attendance, and the mileage allowed by law, in the amount of \\$ _______________________ .
My fees are \\$ _________ for travel and \\$_________ for services, for a total of \\$_________ .
that this information is true and correct. |\n| Date: _______________ | | |\n| | | ________________________________________________
Server's signature |\n| | | ________________________________________________
Printed name and title |\n| | | ________________________________________________ |\n\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#### **(c) Place of compliance.**\n\n*(1) For a Trial, Hearing, or Deposition.* A subpoena may command a person to attend a trial, hearing, or deposition only as follows:\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 transacts business in person, if the person\n\n(i) is a party or a party's officer; or\n\n(ii) is commanded to attend a trial and would not incur substantial expense.\n\n#### *(2) For Other Discovery.* A subpoena may command:\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, or regularly transacts business in person; and\n\n(B) inspection of premises, at the premises to be inspected.\n\n#### **(d) Protecting a Person Subject to a Subpoena; Enforcement.**\n\n*(1) Avoiding Undue Burden or Expense; Sanctions.* A party or attorney 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 required must enforce this duty and impose an appropriate sanction which may include lost earnings and reasonable attorney's fees — on a party or attorney who fails to comply.\n\n#### *(2) Command to Produce Materials or Permit Inspection.*\n\n*(A) Appearance Not Required.* A person commanded to produce documents, 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, the following rules apply:\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.\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; (ii) requires a person to comply beyond the geographical limits\n\nspecified in Rule 45(c); (iii) requires disclosure of privileged or other protected matter, if no\n\nexception 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(ii) disclosing an unretained expert's opinion or information that does not describe specific occurrences in dispute and results from the expert's study that was not requested by a party.\n\n*(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 conditions if the serving party:\n\n(i) shows a substantial need for the testimony or material that cannot be otherwise met without undue hardship; and\n\n(ii) ensures that the subpoenaed person will be reasonably compensated.\n\n#### **(e) Duties in Responding to a Subpoena.**\n\n*(1) Producing Documents or Electronically Stored Information.* These procedures apply to producing documents or electronically stored information:\n\n*(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 the demand.\n\n*(B) Form for Producing Electronically Stored Information Not Specified.* If a subpoena does not specify a form for producing electronically stored information, the person responding must produce it in a form or forms in which it is ordinarily maintained or in a reasonably usable form or forms.\n\n*(C) Electronically Stored Information Produced in Only One Form.* The person responding need not produce the same electronically stored information in more than one form.\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\n### *(2) Claiming Privilege or Protection.*\n\n*(A) Information Withheld.* A person withholding subpoenaed information under a claim that it is privileged or subject to protection as trial-preparation material must:\n\n(i) expressly make the claim; and\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)\n\n…\n\n## **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| ----------------------------------------------------------- | x | |\n|-------------------------------------------------------------|--------|-------------------------|\n| In re: | :
: | Chapter 11 |\n| HO WAN KWOK, | :
: | Case No. 22-50073 (JAM) |\n| | : | |\n| Debtor. | :
: | |\n| ----------------------------------------------------------- | x | |\n\n## **NOTICE OF OBJECTION DEADLINE**\n\nLuc Despins, as the appointed Chapter 11 Trustee to the Debtor's Estate (the \"Applicant\"), has filed an Application for Rule 2004 Examination of Ho Wan Kwok (the \"Rule 2004 Examination\") with the U.S. Bankruptcy Court for the District of Connecticut. Notice is hereby given that any objection or response to the Rule 2004 Examination must be filed with the Court no later than August 5, 2022, in accordance with Fed. R. Bankr. P. 2002(a) and 9014 and Local Bankr. R. 2004-1(c).1 In the absence of a timely filed objection, the proposed order regarding the Rule 2004 Examination *may* enter without further notice and hearing, see 11 U.S.C. section 102(1).\n\nNew Haven, Connecticut for HO WON KWOK\n\nDated: July 28, 2022 LUC DESPINS, as appointed Chapter 11 Trustee\n\nBy: */s/ Patrick R. Linsey* Patrick R. Linsey (ct29437) NEUBERT, PEPE & MONTEITH, P.C. 195 Church Street, 13th Floor New Haven, Connecticut 06510 (203) 781-2847 plinsey@npmlaw.com\n\n1 Although objections to a Rule 2004 application are due seven days after filing under the Local Rules, the Trustee submits that a one-day extension of the objection deadline is appropriate given that some notice parties will not be served with the Application until Friday, July 29, 2022.\n\n*and*\n\nNicholas A. Bassett *(pro hac vice* pending) PAUL HASTINGS LLP 2050 M Street NW Washington, D.C., 20036 (202) 551-1902 nicholasbassett@paulhastings.com\n\n*and*\n\nAvram E. Luft *(pro hac vice* pending) Douglass Barron (*pro hac vice* pending) PAUL HASTINGS LLP 200 Park Avenue New York, New York 10166 (212) 318-6079 aviluft@paulhastings.com douglassbarron@paulhastings.com\n\n*Proposed counsel for the Chapter 11 Trustee*","body_zh":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION（康涅狄格州联邦地区美国破产法院布里奇波特分庭）\n\n------------------------------------------------------ x\n\n关于： :\n: 第 11 章\nHO WAN KWOK（郭文贵）， :\n:\n: 案号 22-50073 (JAM)\n债务人。1 :\n\n------------------------------------------------------ x\n\n第 11 章受托人根据《破产程序规则》2004 条及地方法规 2004-1 条申请签发命令，授权对 HO WAN KWOK 进行询问并提交文件的动议\n\nLuc Despins（吕克·德斯潘斯）作为获指定管理债务人财产的第 11 章受托人（“受托人”），通过其拟聘任的下列签署律师 Paul Hastings LLP（普衡律师事务所），依据《联邦破产程序规则》2004(a)条（“《破产程序规则》”）及《地方法院破产规则》2004-1 条（“《地方法规》”），特此申请（“申请”或“动议”）在上述标题所示第 11 章案件（“本案”）中对 Ho Wan Kwok（“债务人”）进行询问。请注意，对本申请提出异议的截止日期为 August 5, 2022；如未及时提交异议，随附提交的拟议命令（“拟议命令”）可在无需进一步通知和听证的情况下签发。为支持其申请，受托人谨陈述如下：\n\n1 尽管债务人的法定姓名为 Ho Wan Kwok，他亦被称为 Guo Wengui、Miles Guo 和 Miles Kwok，以及众多其他别名。债务人纳税人识别号码的末四位为 9595。\n\n初步陈述\n\n1. 在授权指定第 11 章受托人时，本院确认，受托人的主要目标之一将是对“债务人的资产、负债及财务状况进行有效调查”。（见 ECF No. 465，第 14 页，以下称“受托人命令”）。此类调查在本案中至关重要，以探究包括但不限于以下事项：债务人在其附表中声称其仅拥有价值 \\$3,850 的资产，与其仍可获得大量资金和资源（包括用于支付其在本案中律师费用的资金和资源）以及多年来作为自称亿万富翁过着奢华生活这一事实之间存在的明显不一致。受托人须尽快对债务人的财务状况进行广泛、全面的调查，以确定尽管其附表载明的内容如此，是否仍可能存在构成财产的重大资产——包括不动产和动产、在其他法律实体中的股权、诉讼请求权以及其他财产权益。\n\n2. 本项根据规则 2004 进行证据开示的动议——系受托人在其调查开始时拟提交的数项动议之一——请求对债务人进行询问，并要求提交可能与财产潜在资产有关的文件。New York Supreme Court（纽约州最高法院）已认定，债务人通过空壳公司网络及其他方式试图隐匿其财富；大量新闻报道及其他证据亦支持该结论。因此，受托人有正当理由就债务人的资产和事务向其寻求广泛的文件和证言，包括但不限于其收入和资金来源、其与各关联实体及当事人的关系，以及其遍及全球的商业权益。受托人谨请求签发本申请 Exhibit A 所列形式的命令，授权进行该等调查。\n\n程序状况\n\n3. On March 19, 2022，United States Trustee（美国受托人）提交了一项动议，请求签发命令指示指定一名审查员，或备选地，请求签发命令指示指定一名第 11 章受托人。（见 ECF No. 102）。\n\n4. On April 6, 2022，Pacific Alliance Asia Opportunity Fund L.P.（太平洋联盟亚洲机会基金有限合伙企业）（“PAX”）提交了一项动议，请求驳回第 11 章案件，或备选地，请求加入美国受托人关于签发命令指示指定第 11 章受托人的动议。（见 ECF No. 183）。\n\n5. On June 15, 2022，本院签发了受托人命令。\n\n6. 受托人命令在相关部分认定：“与驳回或转换相权衡，债务人财务状况的复杂性以及本案中缺乏独立的管理监督，证明有必要指定一名第 11 章受托人，以为债权人和财产的利益调查、识别和查找债务人的资产”；并进一步认定：“第 11 章受托人应履行 11 U.S.C. § 1106 规定的全部职责。”（见同上，第 15-16、18 页）。\n\n7. 受托人命令还认定：“指定第 11 章受托人还将有助于对债务人的资产、负债及财务状况进行有效调查”，并“使第 11 章受托人能够调查债务人的资产、负债和财务状况，并确保遵守约定命令的规定。”（见同上，第 14、18 页）。\n\n8. On July 7, 2022，United States Trustee（美国受托人）办公室提交了第 11 章受托人指定通知，指定 Luc Despins（吕克·德斯潘斯）为债务人财产的第 11 章受托人。（见 ECF No. 514）。\n\n事实背景\n\nI. 申请书及债务人的附表\n\n9. On February 15, 2022（“申请日”），债务人依据《美国法典》第 11 编第 11 章（“《破产法》”）提交了自愿申请，请求破产救济。\n\n10. 债务人的附表列示无担保债权总额约为 \\$374 million（见 ECF No. 78，第 1 页，以下称“债务人附表”）。PAX 主张的 \\$254 million 债权，是债务人附表所列无担保债权中金额最大的单项债权。（见同上，所附 Schedule F）。债务人附表还列示了一项金额不明的有担保债权，据称属于 Golden Spring (New York) Ltd.（金泉〔纽约〕有限公司）（“Golden Spring”），该实体据称由债务人的儿子 Qiang Guo（郭强）（“儿子”或“Qiang”）所有，据称以“[c]ertain claims and recoveries thereto”为担保，并主张该债权系与一项“Litigation Funding Agreement”有关而产生。（见同上，所附 Schedule D）。\n\n11. 尽管先前程序中的证据表明债务人过着奢华生活并享有豪华住所，债务人附表所列资产仅为 \\$3,850。2（见同上，第 3-7 页）。债务人主张其没有任何收入，其费用由 Golden Spring 支付（见同上，第 1 页；另见 ECF No. 107，第 ¶17 段，以下称“债务人声明”）。\n\nII. 未在附表中列明的、由债务人拥有或控制的潜在资产\n\n12. 尽管债务人在其附表中作出上述主张，报告显示，其可能在包括纽约州和康涅狄格州在内的多个地点拥有并控制大量不动产和动产资产，该等资产的所有权登记在与债务人关联的商业实体名下。报告还显示，债务人可能在众多营利性及据称非营利性实体中拥有财务权益。经认定，债务人存在通过在该等不同商业实体之间操纵所有权以隐匿资产的模式，尤其是通过由家庭成员所有的实体。（见 Decision + Order on Motion，Pacific Alliance Asia Opportunity Fund L.P. v. Ho Wan Kwok，Index No. 652077/2017 (N.Y. Sup. Feb. 9, 2022)，第 1 页，以下称“最终藐视法庭命令”〔认定债务人通过“将其大量个人资产存放于一系列公司、受信任的亲信及家庭成员名下”，从而“试图逃避并欺骗其债权人”，且其已“将资产藏匿于错综复杂的公司实体及家庭成员之中。”〕）。3\n\n2 债务人在附表中列示了若干价值不明的资产，包括有争议的未注册著作权及诉讼请求权。（见同上，第 6 页）。\n\na. 受控制的关联实体\n\n13. 尽管有必要进行彻底调查以识别债务人可能拥有所有权或控制权的所有不同实体，但受托人根据公开可得的信息，包括其他法院的认定，有理由相信债务人拥有广泛的空壳公司网络，其利用该网络追求商业利益并储存其财富。\n\n14. 例如，in June 2021，Eastern Profit Corporation Limited（东方盈利有限公司）（“Eastern Profit”）——据称由债务人的女儿 Mei Guo（郭美）（“女儿”或“Mei”）控制的实体——在 United States District Court for the Southern District of New York（纽约南区联邦地区法院）审理的针对 Strategic Vision US LLC（美国战略愿景有限责任公司）的违约诉讼中，获判 \\$1 million dollar。（见 ECF No. 77，第 12-13 页；另见 Eastern Profit Corp. v. Strategic Vision US LLC，2021 U.S. Dist. LEXIS 116334，第 *98 页 (S.D.N.Y. June 22, 2021)，以下称“Eastern Profit 诉讼”）。地区法院在就 Eastern Profit 诉讼发布的事实认定和法律结论中认定，Eastern Profit“实质上是”债务人的“空壳公司”。（见 Eastern Profit 诉讼，第 *4 页）。\n\n3 最终藐视法庭命令作为 Exhibit A 附于 Objection Of Chapter 11 Trustee to Debtor's Motion For Relief From Order Appointing Luc A. Despins as Chapter 11 Trustee [Docket No. 575]。\n\n15. 债务人可能控制的其他实体包括：(i) Bravo Luck Limited（鸿运有限公司）（“Bravo Luck”），据称由债务人的儿子所有的实体（见债务人声明，第 ¶ 33 段）；(ii) Genever Holding LLC（Genever 纽约有限责任公司）（“Genever NY”），其为 Genever Holdings Corporation（Genever 英属维尔京群岛控股公司）（“Genever BVI”）的全资子公司，而后者的股权由债务人以个人身份持有（见同上）；(iii) Golden Spring，据称由债务人的儿子控制的实体（见同上，第 ¶ 17 段）；(iv) Greenwich Land LLC（格林尼治土地有限责任公司）（“Greenwich Land”），据称由债务人据称的妻子 Hing Chi Ngok（“妻子”或“Hing”）所有的实体（见同上）；(v) Lamp Capital LLC（兰普资本有限责任公司）（“Lamp”），据称由债务人的儿子所有的实体（见同上，第 ¶ 51 段）；以及 (vi) HK International Funds Investment (USA) Limited, LLC（香港国际基金投资〔美国〕有限责任公司）（“HK USA”），据称由债务人的女儿所有的实体（见同上，第 ¶ 33 段）。\n\n16. 债务人曾表示，上述所列实体（或许还有其他实体）为其向媒体和社交媒体炫耀的奢华生活提供资金。（例如，见同上，第 ¶ 17 段〔称其儿子通过 Golden Spring“满足〔债务人〕的需求”〕；同上，第 ¶ 23 段〔主张其女儿拥有 Lady May——一艘据称于 2015 年以 £41 million 购置的豪华游艇——且其儿子负责 Lady May 的维护〕；以及同上，第 ¶ 51 段〔指出其儿子通过 Lamp 为债务人最初的第 11 章破产代理律师支付了 \\$1 million 预付聘金〕）。然而，债务人并未解释这些实体如何取得收入，或就其向其提供的资金而言，其是否向这些实体提供了任何对价。\n\nb. 债务人可能拥有或控制的不动产及动产资产\n\n17. 除了这一不透明的受控制关联实体网络之外，还存在大量不动产及动产资产——债务人本人曾向媒体吹嘘其拥有该等资产——其亦可能属于财产。\n\n18. 例如，在一次 2017 年采访中，当被问及其如何开展反对中国共产党的运动是否有任何遗憾时，债务人表示：\n\n对于过去九个月所做的一切，我绝对没有任何遗憾。我拥有全世界每个人都梦想拥有的富裕生活。我在香港有最大的房子，数千平方米。我在伦敦有最豪华的公寓。我在北京有最大的地方。我在盘古有十多处房产。我有两架私人飞机。我有最先进的游艇。我有数百辆赛车。我在纽约有像这样的公寓。我已经没有任何物质需求了。\n\n（参见，例如，Vice News（Vice News），《流亡中国亿万富翁利用 YouTube 对腐败发动战争》，YOUTUBE，6:38-7:07（Nov. 15 2017）（着重号为原文所加）（可参见 http），下称“Vice News 访谈”）。4 值得注意的是，债务人从未对这些资产或其任何收益的去向作出可信解释——受托人认为，这一核心问题将通过本次 2004 审查得到解答。\n\n19. 与债务人自身的承认一致，其他法院已经认定，尽管债务人在本案中提出了与此相反的新近主张，某些资产实际上由债务人所有。\n\n20. Lady May。经举行证据听证以确定谁持有 Lady May 的实益所有权后，New York Supreme Court（纽约州最高法院）认定，债务人实益拥有并控制 Lady May。（最终藐视法庭命令第 9 页（“证据以清楚且令人信服的方式表明，[债务人]持有并控制 Lady May 中的实益权益。”））。具体而言，法院在审议全部证据后，包括债务人的女儿及由 HK USA（HK USA）律师代表债务人提出的另外三名证人所作的长篇证言，认定“在听证会上由被告方证人之口提供的证言，\n\n4 该引文由债务人以中文说出，并由 Vice News 翻译成英文。\n\n清楚且令人信服地表明，Kwok（郭文贵）实益拥有并控制 Lady May，且对本院及司法程序抱有完全蔑视。”（最终藐视法庭命令第 4 页）。法院继而指出，“简言之，Guo 女士关于其拥有并控制 Lady May 的证言，在任何方面均不可信”，并且，“Kwok 不仅控制该游艇，而且看来是其提供了购买资金，并且他是主要享用该游艇的人。”（同上，第 6-8 页）。5\n\n21. Sherry Netherland Hotel（Sherry Netherland 酒店）房产。债务人同样可能拥有并控制位于曼哈顿 Sherry Netherland Hotel 的一套公寓，据称该公寓于 2015 年以约 \\$70 million 购得（下称“该公寓”）。债务人主张，该公寓由 Genever NY（Genever NY）所有，且 Genever NY 通过 Bravo Luck（Bravo Luck）为其儿子以信托方式持有该公寓。（参见债务人声明，第 33 段）。如上所述，Genever NY 本身由 Genever BVI（Genever BVI）所有，而该实体由债务人所有。（参见同上）。\n\n22. 与 Lady May 类似，该公寓在 Genever NY 于 October 2020 向 Southern District of New York（纽约南区）Honorable James L. Garrity Jr.（尊敬的 James L. Garrity Jr. 法官）审理的独立第 11 章破产案件中，成为破产申请前诉讼的标的。（参见案号 20-12411 (Bankr. S.D.N.Y.)）。在该第 11 章案件中，Genever NY 与 PAX（PAX）订立协议，据此，该公寓将被出售，所得款项将存入托管账户，并仅在 Garrity 法官进一步命令后予以分配。（参见《第二次修订及重述和解协议》，In re Genever Holdings, LLC, No. 20-12411, (ECF 131-1, ¶5(g))）。该协议还规定，除其他事项外，其不损害各方继续进行由 PAX 对 Bravo Luck 和债务人在 British Virgin Islands（英属维尔京群岛）提起的诉讼的权利，\n\n5 On March 1, 2022，PAX 提交了《请求作出命令确认自动中止不适用，或备选地，根据 Bankruptcy Code（破产法）第 362(d)(2) 条解除自动中止的动议》（ECF No. 57）（下称“PAX 中止动议”）。PAX 中止动议依一项约定命令得到解决，根据该命令，除其他条件外，HK USA 同意将 Lady May 归还 United States（美国），并通过将 \\$37 million 存入托管账户担保该义务。（参见 ECF No. 299）。Lady May 于 July 2022 上旬返回 Connecticut（康涅狄格州）的通航水域。\n\n该诉讼对 Bravo Luck 所称享有该公寓实益所有权提出质疑。（同上，第 7(b) 段）。\n\n23. 受托人亦有理由相信，与取得该公寓有关的约 \\$2 million 保证金可能仍然存留。（参见 ECF No. 77，第 7 页）。\n\n24. 其他不动产和动产。除上述事项外，债务人还\n\n经常提及其本人或其直系亲属拥有并控制的其他重大不动产和动产资产。例如：\n\n— 债务人主张，其妻子通过 Greenwich Land（Greenwich Land）拥有债务人位于 373 Taconic Road, Greenwich, Connecticut 06831 的住宅房产。（参见债务人声明，第 6、17 段）。Greenwich Land 还可能享有位于 Greenwich, Connecticut 的另一处住宅房产，即 33 Ferncliff Rd.6 的所有权权益。\n\n— 债务人声明，其拥有“数十亿”的“资金和财产，包括位于 Hong Kong（香港）的房地产”，该等资金和财产于 2019 年被 High Court of the Hong Kong Special Administrative Region, Court of First Instance（香港特别行政区高等法院原讼法庭）冻结。（参见债务人声明，第 17 段）。\n\n— 债务人还是 United Kingdom（英国）一宗诉讼的共同原告，该诉讼涉及约 \\$500 million 的请求。7\n\n— 如上所述，在 2017 年的一次访谈中，债务人吹嘘其拥有的财产包括：(i)“Hong Kong 最大的房子”，(ii)“London（伦敦）最豪华的公寓”，(iii)“Beijing（北京）最大的地方”，(iv)“Pangu（盘古）超过 10 处房产”，(v)两架私人飞机，8 以及 (vi)“数百辆赛车。”9\n\n6 （参见《无担保债权人官方委员会就驳回、转换或指定第 11 章受托人之替代方案提交的补充法律备忘录》，第 3 页 [ECF No. 408]（指出“遗产的其他潜在资产为位于 Greenwich, Connecticut 的两处房产（373 Taconic Rd. 和 33 Ferncliff Rd.）\n\n[债务人]主张该两处房产由 [Greenwich Land] 所有。”））。7 参见 Approved Judgment dated February 9, 2022, Kwok Ho Wan & Ors v UBS, Cl-2020-000345, High Court of Justice of England and Wales Queen's Bench Division Commercial Court（英格兰和威尔士高等法院王座法庭商事法院），第 30(i) 段（“主要请求金额约为 US\\$495 million。”）。\n\n8 据新闻报道，其中一架私人飞机的机尾编号为 T7-GQM。参见《Steve Bannon（Steve Bannon）使用的、与一名中国商人有关联的私人飞机可能违反竞选财务法》，ProPublica（ProPublica），dated Feb. 26, 2020，（可参见 http）（最后访问于 July 25, 2022）。\n\n9 参见 Vice News 访谈，6:38-7:07。\n\n拟议的审查将有助于确定——并很可能确认——上述各项财产权益是否属于破产财产。\nc. 债务人在营利性及声称的非营利性商业实体中的潜在财务权益\n\n25. 除债务人可能通过其家庭成员所有的商业实体而拥有或控制的不动产和动产资产外，债务人还可能在营利性及所称非营利性商业实体中拥有重大财务或所有权权益（或负债），该等权益或负债可能为破产财产和债权人带来重大价值。\n\n26. 例如，据报道，债务人在 Gettr USA, Inc.（Gettr USA, Inc.，下称“Gettr”）中享有财务权益，该公司是一个保守派社交媒体平台。（参见 Will Sommer（Will Sommer）、Adam Rawnsley（Adam Rawnsley）、A. Suebsaeng（A. Suebsaeng），《Trumpworld App 由逃亡中国亿万富翁资助》，THE DAILY BEAST，http\n\nbillionaire?ref=home（July 5, 2021, 12:19 PM）（最后访问于 July 20, 2022）（报道称，“与该亿万富翁有关的网站曾暗示 Gettr 是[债务人]的创意”，并将 GTV 的一名主持人的说法归于其名下；GTV 是“一家充当[债务人]喉舌的媒体机构”，该主持人称 Gettr 是“‘[债务人]全部毕生事业的集中体现’”，并补充称，“[债务人]想出了 Gettr 标志——一支火炬——的创意。”）；另参见 The New York Times: Sway（《纽约时报：Sway》），《精选：Jason Miller（Jason Miller）》，30:15-30:35（July 18, 2022）（使用 Apple Podcasts 下载）（当被问及谁在资助 Gettr 时，Gettr 首席执行官 Jason Miller 回答：“我们有多个国际投资基金正在投入……Miles Kwok（郭文贵）的家族基金会是本项目的初始资助方之一、初始赞助方之一。截至目前，已有超过 \\$50 million 投入该\n\n平台。[我们]目前银行中约有 \\$25-\\$30 million。”））。10\n\n27. 另有报道称，Gettr 的工资单列示的地址与“Himalaya Embassy（喜马拉雅大使馆）”相同，该处房产位于 Manhattan（曼哈顿）Upper East Side（上东区），以租赁方式取得，并且亦与 New Federal State of China（新中国联邦，简称“NFSC”）有关联；NFSC 是一个自称“致力于推翻[Chinese Communist Party（中国共产党）]的流亡政府”，由债务人及 Steve Bannon 创建，Steve Bannon 曾任 former President Donald J. Trump（前总统 Donald J. Trump）的首席战略师。（参见 Dan Friedman（Dan Friedman），《一名逃亡中国大亨遇见 Steve Bannon。随之而来的是错误信息的混乱。Miles Guo（郭文贵）离奇、狂野且令人不安的故事》，Mother Jones（Mother Jones）（March-April 2022 Issue）（最后访问于 July 21, 2022），http）。\n\n28. 另据报道，债务人拥有或控制一个由“60 多个商业、非营利和网络团体”构成的“网络”，统称为“举报人运动”。（参见同上）。据称，其中至少两个非营利组织——Rule of Law Society（法治协会）和 Rule of Law Foundation（法治基金会）——为 NFSC 提供资金。（参见同上）。据报道，截至 summer 2021，Rule of Law Society 和 Rule of Law Foundation 的“合计收入约为 \\$15 million。”（同上）。\n\n29. 债务人所称由营利性及非营利性商业权益构成的“网络”还可能包括如下实体或品牌：(i)“GCoin”，一种据称由债务人创建、用于作为 NFSC 货币的加密货币；(ii)“GFashion”，由债务人设计的服装品牌；(iii)“GMusic”，推广债务人视频的音乐平台；(iv)“GClubs”，一种会员服务，提供“‘礼宾客户服务’以及对[债务人]时装系列、音乐发布和年度 GSummit 的特别访问权”；(v)“GTV”，一个中文\n\n视频平台；(vi)“GNews”，一个“刊载文章概述[债务人]声明”的新闻网站；11 (vii) Saraca Media Group Inc.（Saraca Media Group Inc.），GNews 的母公司，据报道其还于 May 2018 向 Bannon 先生支付至少 \\$1 million 的咨询费；以及 (viii) Himalaya Supervisory Organization（喜马拉雅监督组织），该组织监管多个推广和崇拜债务人的在线聊天群，并向这些聊天群成员提供“各种机制”以向债务人汇款，包括通过一项贷款计划；该计划据称“承诺最终连本带息偿还，并有机会以折扣价格投资于其他[债务人]项目”；以及通过购买 GTV 股票。（参见同上）。据称，GTV 股票机会筹集了 \\$114 million，贷款计划筹集了“至少 \\$90 million。”（参见同上）。\n\n30. 这些仅是截至目前债务人曾吹嘘拥有的，或媒体报道的某些商业权益和实体。可以合理推断，债务人可能与许多其他实体有关联，而其资产、负债和财务权益可能对受托人管理债务人的破产财产至关重要。\n\n31. 鉴于债务人可能是前述资产和权益以及其他可能尚不为人知的资产和权益的真正所有人，受托人全面审查和调查债务人的破产财产资产至关重要，包括其家庭成员、其家庭成员的商业实体及其他第三方（包括代表债务人及其关联家庭实体的律师事务所）就债务人财务状况所发挥的作用。\n管辖权和审判地\n\n32. 本院依据 28 U.S.C. §§ 157 and 1334 对受理本申请具有管辖权。依据 28 U.S.C. §§ 1408 and 1409，本申请由本院审理的审判地适当。\n\n11 参见同上。\n\n33. 本申请构成一项核心程序，依据包括但不限于 28 U.S.C. § 157(b)(2) (A)、(E) 和 (F)。\n\n所请求的救济\n\n34. 受托人请求法院依据 Bankruptcy Rule 2004(a) 和 Local Bankruptcy Rule 2004-1，以实质上与拟议命令相同的形式作出命令，授权受托人对债务人进行询问。\n\n请求救济的依据\n\n35. 根据 Rule 2004(a)，经利害关系方申请，法院可以命令对任何个人或实体进行询问。Rule 2004 授权的询问范围极为广泛，可涉及“债务人的行为、作为或财产，或者债务人的负债和财务状况，或任何可能影响债务人财产管理的事项。”Fed. R. Bankr. P. 2004(b)。\n\n36. “Rule 2004 询问的目的，是协助利害关系方确定破产财产的性质和范围，揭示资产，审查交易，并评估是否发生不当行为。”In re Transmar Commodity Group Ltd., 2018 WL 4006324, at *4 (Bankr. S.D.N.Y. Aug. 17, 2018)（省略内部引文及引用）。这包括揭示财产的性质和范围，以及发现债务人可能故意或无意隐匿的资产。参见 In re Bennett Funding Group, Inc., 203 B.R. 24, 27-28 (Bankr. N.D.N.Y. 1996)。另参见 In re Millennium Lab Holdings II, LLC, 562 B.R. 614, 626 (Bankr. D. Del. 2016)（“Rule 2004 询问的正当目标包括发现资产、审查交易以及确定是否发生不当行为。”（省略内部引文及引用））。\n\n37. 债务人在为支持提起本案而于 March 20, 2022 提交的声明中表示，提起其 chapter 11 案件的目的包括“……（b）鉴于[其]认为在该等事项上存在误解，为利益相关方提供高效机会，以调查[其]资产、负债及财务事务；[以及]（c）确定哪些资产属于财产，并进而可供向获准债权持有人分配……。”（债务人声明，第 3 段）。受托人寻求开展的调查与上述所述目的直接相关，因为该调查将协助受托人识别债务人的资产和负债，以便向债权人进行分配。\n\n38. 根据所请求对债务人进行的询问而开展初步调查的领域显而易见。基于上文讨论的全部事实和证据——包括债务人本人众多公开声明及其他法院先前作出的认定——受托人已识别出债务人的多家法人实体以及不动产和动产资产，该等资产可能为财产提供重大价值。然而，受托人需要 Rule 2004 所赋予的调查工具，以进一步确定该等资产的真实所有权，并探索受托人目前尚不知悉的其他潜在资产。\n\n39. 受托人请求，为推进其询问，法院命令债务人在送达一份在形式和实质上与作为 Exhibit B 附于本申请并构成本申请一部分的表格所载请求相实质相似的传票后 thirty (30) 日内，或在受托人与债务人约定的其他期限内，向受托人的律师提供文件（“拟议传票”）。该等请求寻求与下列事项有关的文件和通信，其中包括：（i）本文所讨论的具体资产和财产权益（例如，Lady May、12 the Condominium、Greenwich 房产，以及债务人曾自夸拥有的各种其他住宅、私人飞机和其他资产）；（ii）债务人在其他个人、法人实体及非营利组织中的权益及其与该等主体的关系，该等主体可能是债务人财富的来源；以及（iii）债务人与其律师及其他顾问之间的通信，包括与该等顾问就公司治理问题以及债务人的财务和财产权益进行的通信。\n\n12 Lady May 属于受托人就其寻求调查取证的事项及潜在财产资产之一。受托人主张，即使目前已有一项关于 Lady May 所有权的对抗程序正在审理，根据 Rule 2004 进行该等取证仍属适当。受托人拟议的与 Lady May 有关的取证，涉及债务人为规避其债权人而实施的整体行为模式，因此其范围比可能在对抗程序中寻求的取证更广。鉴于受托人还就其他事项向相同当事方寻求 Rule 2004 取证，受托人现在进行该等取证对所有当事方而言也更有效率——若要求受托人两次向相同当事方取证，将属低效。此外，这并非对抗程序原告通过 Rule 2004 试图削弱 Bankruptcy Rules 就对抗程序中的取证所提供保护的典型情形。最后，鉴于该对抗程序的程序状态，受托人目前可能无法在该程序中获得取证。然而，受托人现在需要其 Rule 2004 取证，以充分保护和保全潜在的财产资产。\n\n40. 就后一类文件请求而言，当该等取证可能识别资产并有助于为财产和债权人的利益追回资产时，破产法院通常允许针对专业服务机构进行 Rule 2004 取证。参见，例如，In re Bame, 251 B.R. 367 (Bankr. D. Minn. 2000)（认定当为追回资产而提出请求时，受托人请求放弃个人债务人的特权并向破产申请前顾问寻求取证具有说服力）；In re Horvath, No. 13-34137, 2015 WL 2195060 (Bankr. N.D. Ohio May 7, 2015)（因受托人寻求可能增加债务人财产价值，故允许向个人债务人就资产清单中的债权相关事项进行取证）。债务人如主张律师—当事人特权或其他适用特权可能阻碍受托人对与律师通信的调查，则该等主张均无根据，因为“受托人现控制任何与识别债务人财产的资产、负债或财务状况有关的律师—当事人特权或律师工作成果。”In re Tarkington, No. 10-00012-8-JRL, 2010 WL 1416813, at *3 (Bankr. E.D.N.C. Apr. 2, 2010)（“就询问中提出的问题涉及财产管理而言，受托人对[个人债务人]律师—当事人特权的放弃有效”）；另参见 In re Klein, No. 2:11-BK-12718RN, 2013 WL 6253819, at *13 (Bankr. C.D. Cal. Dec. 4, 2013)（chapter 11 受托人在获任命后控制债务人与其前律师之间的特权）。\n\n41. 受托人主张，上述事实构成充分理由，使法院得以根据 Rule 2004(a) 命令对债务人进行询问并命令债务人提交文件。债务人本人是协助受托人查明债务人财产真实资产所必需的信息和文件来源。对债务人的询问及其对文件请求作出的回应，将是“为利益相关方提供高效机会，以调查[其]资产”的第一步。（债务人声明，第 3 段）。\n\n42. 批准本申请对于受托人有效履行 Trustee Order 所设想的职责至关重要，特别包括其“为债权人和财产的利益查找债务人资产”以及“调查债务人的资产、负债及财务事务”的职责。（参见 Trustee Order 第 15-16、18 页）。任何利害关系方，包括债务人，均不会因准予本申请所请求的救济而遭受不当损害。\n\n43. 如准予受托人所请求的救济，受托人应以拟议传票的形式签发适当传票，以强制债务人出席 Rule 2004 询问中的证言程序和/或提交文件。此外，谨请求 Rule 2004 证言询问在受托人律师 Paul Hastings LLP（保罗·黑斯廷斯律师事务所）的办公室举行，地址为 200 Park Avenue, New York, NY 10166，并至少提前 seven (7) 日发出书面通知，或在当事方另行约定的其他时间和地点举行。\n\n此前未提出请求\n\n44. 此前未曾就本申请所请求的救济提出申请。\n\n异议期限\n\n45. 对本申请提出异议的期限为 August 5, 2022；如未及时提交异议，拟议命令可在无需进一步通知和听证的情况下生效。\n\n[本页其余部分故意留白]\n\n因此，受托人谨请求法院准予本申请，并根据 Fed. R. Bankr. P. 2004(a) 作出拟议命令，命令对 Ho Wan Kwok（郭文贵）进行询问，并命令其提交拟议传票所附《文件提交请求》中所列的某些文件，以及法院认为公正和适当的其他及进一步救济。\n\n日期：July 28, 2022 LUC A. DESPINS（吕克·A·德斯平斯），\n\nNew Haven, Connecticut CHAPTER 11 受托人\n\n签署人：/s/ Patrick R. Linsey\n\nPatrick R. Linsey（帕特里克·R·林赛）（ct29437） NEUBERT, PEPE & MONTEITH, P.C.（纽伯特、佩佩及蒙蒂思律师事务所） 195 Church Street, 13th Floor New Haven, Connecticut 06510 (203) 781-2847 plinsey@npmlaw.com\n\n以及\n\nNicholas A. Bassett（尼古拉斯·A·巴塞特）（pro hac vice 待决） PAUL HASTINGS LLP（保罗·黑斯廷斯律师事务所） 2050 M Street NW Washington, D.C., 20036 (202) 551-1902 nicholasbassett@paulhastings.com\n\n以及\n\nAvram E. Luft（阿夫拉姆·E·卢夫特）（pro hac vice 待决） Douglass Barron（道格拉斯·巴伦）（pro hac vice 待决） PAUL HASTINGS LLP 200 Park Avenue New York, New York 10166 (212) 318-6079 aviluft@paulhastings.com douglassbarron@paulhastings.com\n\nChapter 11 受托人的拟议律师\n\n附件 A－拟议命令\n\nUNITED STATES BANKRUPTCY COURT（美国破产法院） CONNECTICUT DISTRICT（康涅狄格地区） BRIDGEPORT DIVISION（布里奇波特分院）\n\n----------------------------------------------------------- x\n\n关于： ：\nChapter 11\n\nHO WAN KWOK（郭文贵）， ：\nCase No. 22-50073 (JAM)\n\n债务人。13 ：\n\n----------------------------------------------------------- x\n\n[拟议]命令：准予 Chapter 11 受托人关于对 HO WON KWOK（郭文贵）进行 RULE 2004 询问的申请\n\n经审议，Luc Despins（吕克·德斯平斯）以债务人财产获任命的 Chapter 11 受托人身份（“申请人”）提交的、寻求作出命令以授权根据 Federal Rule of Bankruptcy Procedure 2004 对 Ho Won Kwok（郭文贵）（“债务人”）进行询问的申请（“本申请”，ECF No. _____），在通知和听证后，参见 11 U.S.C. § 102(1)，鉴于存在如下文所附条件准予所请求救济的理由；现据此\n\n命令：如下所述，准予该 Rule 2004 动议。\n\n命令：作为受托人拟议律师的 Paul Hastings LLP（保罗·黑斯廷斯律师事务所）和 Neubert, Pepe & Monteith, P.C.（纽伯特、佩佩及蒙蒂思律师事务所）现获授权签署一份传票，该传票的形式与作为 Exhibit B 附于该 Rule 2004 动议的传票实质相似，并根据 Bankruptcy Rule 2004 送达该传票及本命令副本，以要求债务人接受询问并提交文件。\n\n命令：债务人现被命令于传票送达后 30 日内，或在受托人同意的其他期限内，提交全部文件。如债务人以某项特权为由不提交传票所请求的任何文件，债务人现被命令于传票送达后 30 日内，或在受托人同意的其他期限内，向受托人提交一份符合 Fed. R. Civ. P. 45(e)(2)、经 Fed. R. Bankr. P. 9016 适用以及 D. Conn. L. Civ. R. 26(e) 的特权清单。\n\n兹命令：债务人应确保传票中要求提供的，或与债务人、其业务、资产、负债、财务状况或本 Chapter 11 案件有关的所有文件及其他信息（包括但不限于任何电子格式的信息）均得到妥善保存，可供提交、查阅及复制，且不得毁损。\n\n13 尽管债务人的法定姓名为 Ho Wan Kwok（郭文贵），其亦被称为 Guo Wengui（郭文贵）、Miles Guo（郭文贵）及 Miles Kwok（郭文贵），并使用众多其他别名。债务人纳税人识别号码的后四位为 9595。\n\n兹命令：作为受托人拟聘请律师的 Paul Hastings LLP（保罗·黑斯廷斯律师事务所）及 Neubert, Pepe & Monteith, P.C.（诺伊伯特、佩佩及蒙泰思律师事务所），现获授权，无需本法院另行作出命令，即可根据《联邦破产程序规则》第 2004 条，在 Paul Hastings LLP 位于 200 Park Avenue, New York, NY 10166 的办公室，或双方共同接受的其他地点，于受托人可接受的日期，对债务人进行第 2004 条规则项下的审查询问并取得其证言；该日期由受托人选择确定，但不得早于债务人依照第 2004 条规则、传票及本命令提交文件后 14 个日历日；该审查询问应逐日持续，直至完成。\n\n日期：\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_, 2022\n\nJulie A. Manning（朱莉·A·曼宁），美国破产法官\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n附件 B——传票及文件提交请求\n\nB2540（表格 2540——第 2004 条规则审查询问传票）（12/15）案号 22-50073 文件 636 提交日期 07/28/22 录入日期 07/28/22 23:06:50 第 23 页，共 45 页\nUNITED STATES BANKRUPTCY COURT（美国破产法院）\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ Connecticut（康涅狄格州）地区\n\n关于 \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n案号 \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ Ho Wan Kwok（郭文贵）22-50073\n\n债务人\n\nChapter \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ 11\n第 2004 条规则审查询问传票\n\n致：\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ Ho Wan Kwok\n\n（传票所指向人员的姓名）\n\n证言：兹命令你于下列规定的时间、日期及地点到场，根据《联邦破产程序规则》第 2004 条接受审查询问并作证。随附授权该审查询问的法院命令副本。\n\n地点 日期及时间\n\nPaul Hastings LLP\n200 Park Avenue\nNew York, New York 10166\n\n审查询问将以以下方式记录：\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ 法庭记录员/速记员\n\n提交：你或你的代理人还必须将下列文件、电子存储信息或物品携带至审查询问现场，并必须允许对该等材料进行查阅、复制、测试或抽样：\n见随附的《文件提交请求》。\n\n《联邦民事诉讼规则》第 45 条的下列规定已随附，该规则根据《联邦破产程序规则》第 9016 条适用于破产案件：关于履行地点的第 45(c) 条；关于作为受传票约束人员之保护的第 45(d) 条；以及关于你对本传票作出回应的义务及未作出回应可能后果的第 45(e) 条和第 45(g) 条。\n\n日期：\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ August \\_\\_, 2022\n\n法院书记员\n\n或\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ 书记员或副书记员签名 \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ 律师签名 Patrick R. Linsey（帕特里克·R·林赛）（ct29437）\n\n签发或请求本传票的、代表（当事人姓名）\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ 的律师姓名、地址、电子邮件地址及电话号码如下：Luc Despins（吕克·德斯潘），Chapter 11 受托人\n\nPatrick R. Linsey, Esq.（帕特里克·R·林赛，律师）；Neubert, Pepe & Monteith, P.C.；195 Church Street, New Haven, Connecticut 06510；plinsey@npmlaw.com；203-821-2000\n\n致签发或请求本传票之人员的通知\n\n如本传票要求在审判前提交文件、电子存储信息或有形物品，或要求检查场所，则必须在向传票所指向人员送达之前，向每一当事人送达通知及本传票副本。Fed. R. Civ. P. 45(a)(4)。\n\n文件提交请求\n\n一、指示\n\n1. 除非另有说明，下列文件提交请求（以下简称“请求”，每一项称为“一项请求”）必须分别且具体地予以答复。除非你善意提出异议，否则应完整答复每一项请求；如提出异议，应按如下规定详细说明你提出异议的理由。如异议仅涉及某项请求的一部分，或其中的某个词语、短语或条款，你仅须说明对该部分的异议，并答复请求的其余部分。\n\n2. 电子存储信息必须按照下列指示提交：\n\n- a. 图像。黑白图像必须为 300 DPI Group IV 单页 TIFF 文件。彩色图像必须以 JPEG 格式提交。文件名不得含有嵌入空格或特殊字符（包括逗号）。文件夹名称不得含有嵌入空格或特殊字符（包括逗号）。所有 TIFF 图像文件必须具有唯一文件名，即 Bates 编号。每张图像右下角必须标注连续的 Bates 编号。每个文件夹中的 TIFF 文件数量不得超过 1000 个文件。Excel 电子表格应有一张以该文件 Bates 编号命名的占位图像。\n- b. 图像加载文件\n\t- a. Concordance® 数据文件。数据文件（.DAT）包含将加载至 Concordance® 数据库的所有字段信息。.DAT 文件的第一行必须为标明字段名称的标题行。.DAT 文件必须使用以下 Concordance® 默认分隔符：逗号 ASCII 字符（020）引号 þ ASCII 字符（254）。日期字段应采用以下格式：mm/dd/yyyy。日期和时间字段必须分别设为两个字段。如文件包括图像化电子邮件及附件，则必须包括附件字段，以保留电子邮件与其附件之间的父/子关系。必须包括 OCRPATH 字段，以提供所提交存储介质上提取文本文件的文件路径及名称。文本文件必须以 FIRSTBATES 命名。不得在 .DAT 文件中包含文本。对于具有原生文件的文件，必须包括 LINK 字段，以提供原生文件的文件路径及名称。原生文件必须以 FIRSTBATES 命名。\n\n- b. Concordance Image® 或 Opticon 交叉引用文件。图像交叉引用文件（.LOG 或 .OPT）将图像与数据库记录相链接。该文件应为逗号分隔文件，每行由七个字段组成；数据库中的每张图像均应在交叉引用文件中有一行，格式如下：ImageID,VolumeLabel,ImageFilePath,DocumentBreak,FolderBreak,Box Break,PageCoun。\n- c. 文件文本。文本必须作为单独的文本文件提交，而不得作为 .DAT 文件中的字段提交。文本文件的完整路径（OCRPATH）应包含在 .DAT 文件中。建议使用以 FIRSTBATES/Image Key 命名的文件级 ANSI 文本文件。提取的文本文件必须置于单独的文件夹中，每个文件夹中的文本文件数量不得超过 1,000 个。文件夹名称中不得含有特殊字符（包括逗号）。文本文件必须按文件级别提供。\n- d. 特定文件类型的原生格式提交。为完整理解其内容和含义而合理地需要以原生格式查看的文件类型，必须以原生格式提交。该等文件包括但不限于电子表格、类似电子表格的文件（Microsoft Excel、逗号分隔值、制表符分隔值等）、Microsoft PowerPoint 或其他特殊演示文件、数据库文件及音频/视频文件。应提供一张标有 Bates 编号的分隔页图像，表明存在原生文件，并在 .dat 文件中将原生文件路径作为字段列入。所提交的原生文件应以与该文件分隔页相对应的 Bates 编号命名。将原生文件归入按顺序命名的“NATIVE”目录中，并与图像目录分开。\n- e. 去重。对于存在完全重复件的每一电子文件，仅提交一份。对于电子邮件，应根据由 BCC、Body、CC、From、IntMsgID、To 及 Attach 属性生成的 MD5 哈希值合并重复件。对于电子邮件附件及独立电子文件，应根据整个文件的 MD5 哈希值合并重复件。\n- f. 元数据。应以符合 Concordance 要求的加载文件（.dat）形式，为每份文件提交提取的元数据。.DAT 文件的第一行必须为标明字段名称的标题行。.DAT 文件必须使用以下 Concordance 默认分隔符：逗号 , ASCII 字符（020）引号 þ ASCII 字符（254）\n\n日期字段应采用以下格式：mm/dd/yyyy。日期和时间字段必须分别设为两个字段。下列为必需的元数据：\n\n字段名称 示例数据 说明\n\nFIRSTBATES EDC0000001 原生文件/电子邮件文件的第一个 Bates 编号\nLASTBATES EDC0000001 原生文件/电子邮件文件的最后一个 Bates 编号\n**对于单页文件，LASTBATES 字段应予填写\nATTACHRANGE EDC0000001\n- 父文件第一页的 Bates 编号至最后一个附件“子”文件最后一页的 Bates 编号\nEDC0000015\nBEGATTACH EDC0000001 附件范围的第一个 Bates 编号\nENDATTACH EDC0000015 附件范围的最后一个 Bates 编号\nCUSTODIAN Smith, John 电子邮件：该电子邮件所在的邮箱\n原生文件：文件来源的个人或部门名称\nFROM John Smith 电子邮件：发件人\n原生文件：文件作者\n**多个条目之间应使用分号分隔\nTO Coffman, Janice; LeeW 收件人\n[mailto:LeeW@MSN.com] **多个条目之间应使用分号分隔\nCC Frank Thompson [mailto: 抄送收件人\nfrank_Thompson@cdt.com] **多个条目之间应使用分号分隔\nBCC John Cain 密送收件人\n**多个条目之间应使用分号分隔\nSUBJECT Board Meeting Minutes 电子邮件：电子邮件主题行 原生文件：文件标题（如有）\nFILE_NAME BoardMeetingMinutes.docx 原生文件：原始原生文件名称，包括扩展名\nDATE_SENT 10/12/2010 电子邮件：电子邮件发送日期\n原生文件：（空）\nTIME_SENT/ 07:05 PM GMT 电子邮件：电子邮件发送时间/电子邮件标准化所采用的时区\nTIME_ZONE\nTIME_ZONE GMT 转换期间电子邮件被标准化所采用的时区。\nLINK >EDC0000001.msg 电子邮件或原生文件文件的超链接\n**所链接文件必须按 FIRSTBATES 编号命名\n\nFILE_EXTEN MSG 表示电子邮件或原生文件的文件类型扩展名\nAUTHOR John\nSmith 电子邮件：（空）\n原生文件：文件作者\nDATE_CREATED 10/10/2010 电子邮件：（空）\n原生文件：文件创建日期\n\nTIME_CREATED 10:25 AM 电子邮件：（空）\n\n本机：创建文档的时间\n此数据必须为单独字段，不得与 DATE_CREATED 字段合并\nDATE_MOD 10/12/2010 电子邮件：（空）\n本机：文档最后修改日期\nTIME_MOD 07:00 PM 电子邮件：（空）\n本机：文档最后修改时间\n此数据必须为单独字段，不得与 DATE_MOD 字段合并\nDATE_ACCESSD 10/12/2010 电子邮件：（空）\n本机：文档最后访问日期\nTIME_ACCESSD 07:00 PM 电子邮件：（空）\n本机：文档最后访问时间\n此数据必须为单独字段，不得与 DATE_ACCESSD 字段合并\nFILE_SIZE 5,952 本机文件文档/电子邮件的大小（KB）\nPGCOUNT 1 本机文件文档/电子邮件中的页数\nPATH 电子邮件：（空）\nAgenda.doc 本机：存储本机文件文档的路径，包括原始文件名。\nINTFILEPATH Personal Folders\\Deleted 电子邮件：电子邮件的原始位置，包括\nItems\\Board Meeting 原始文件名。\nMinutes.msg 本机：（空）\nINTMSGID <000805c2c71b\\$75977050\\$ 电子邮件：唯一消息 ID 本机：（空）\ncb8306d1@MSN>\nMD5HASH d131dd02c5e6eec4693d9a0 文档的 MD5 哈希值。\n698aff95c\n2fcab58712467eab4004583e\nb8fb7f89\nOCRPATH TEXT/001/EDC0000001.txt 本机文件提取文本的路径\n\n3. 各项请求均独立适用并应独立解释；除非另有说明，任何请求均不限制任何其他请求的范围。\n\n4. 所有文件均应按其在正常业务过程中保存的方式提交，或者应予以组织和标注，以对应本等请求中的类别。\n\n5. 本文所载各项请求延及以下所有文件：(a) 由您占有、保管或控制的文件；或 (b) 由任何代表您行事之人占有、保管或控制的文件，包括您的律师或其他代表及顾问。每份文件均应完整提交。\n\n6. 如要求您提交一份已不再由您占有、保管或控制的文件，则您的答复必须：(a) 详细描述该文件的性质及其内容；(b) 确认编制或撰写该文件之人的身份（以及，如适用，确认该文件被送达之人的身份）；(c) 确认该文件编制或创建的日期；(d) 说明该文件是否 (i) 遗失或丢失，(ii) 已被销毁，(iii) 已自愿或非自愿地转移给他人，或 (iv) 已以其他方式处置；(e) 说明该等处置的原因，以及围绕该等处置的事实和情形；(f) 确认授权该等处置之人的身份；(g) 确认该等处置的日期或大致日期；(h) 说明该文件最近一次由您占有、保管或控制的时间；以及 (i) 确认目前占有、保管或控制该文件之人（如有）的身份。\n\n7. 如要求您提交一份已被销毁的文件，则除前述指示所要求的信息外，您的答复还必须说明：(a) 该文件被销毁的原因；(b) 销毁该文件之人的身份；以及 (c) 指示销毁该文件之人的身份。\n\n8. 如您主张所请求的文件享有特权或属于律师工作成果，则您的答复必须：(a) 说明：(i) 足以支持您关于该文件享有特权之主张的文件描述，(ii) 文件标题，(iii) 文件日期，(iv) 文件作者，(v) 文件收件人，(vi) 收到或阅览该文件原件或任何草稿、副本或复制件的每一人的身份，(vii) 该文件本身或其中载明或提及的任何信息，是否由任何其他人占有、保管或控制；如是，则说明该等人员的身份，以及说明该信息如何进入其占有；(viii) 据以扣留该文件的特权主张；以及 (ix) 您将据以支持该等特权主张的所有情形；并且 (b) 应根据 D. Conn. L. Civ. R. 26(e)，就基于特权主张而扣留的每份文件，提交一份特权清单，其中载明本指示第 (a) 部分所要求的全部信息。\n\n9. 对于未主张特权或工作成果保护的文件请求，应完整提供响应性文件。\n\n10. 如本应予提交的文件中有一部分包含受特权主张约束的信息，则仅应依照上述指示从该文件中删除或涂黑受特权主张约束的部分，其余部分应予提交。\n\n11. 各项请求具有持续性。特此指示您：(a) 一旦得知先前答复不完整或不正确，应立即补充或更正任何后来发现不完整或不正确的答复；以及 (b) 提交根据下文所要求的任何额外文件。\n\n12. 如文件以英语以外的语言写成，您应提供该文件。如文件以英语以外的语言写成，且存在英文译本，您应同时提供两份文件。\n\n13. 对实体的所有提述均包括其所有关联方。\n\n14. 对个人姓名的所有提述均包括所有别名、化名或昵称。\n\n15. 除非另有明确说明，文件请求所涵盖的期间为自 February 5, 2012 起至文件请求答复到期之日止。\n\nII. 解释规则\n\n16. (a) 对任何单数名词的使用应解释为包括复数，反之亦然；以及 (b) 对任何时态动词的使用应解释为使用该动词的所有其他时态。\n\n17. (a) “and”和“or”应在必要时解释为连词或选择连词，以使原本可能被解释为不在任何请求范围内的所有答复均纳入其范围；以及 (b) “each”和“any”应视为包括并涵盖“every”和“all”二词。\n\nIII. 定义\n\n经 D. Conn. Bankr. L.R. 2004-1(a) 纳入的 D. Conn. L. Civ. R. 26(c) 所规定的定义，以及 D. Conn. L. Civ. R. 26(d) 所规定的解释规则，适用于文件请求。此外，本等文件请求中使用的下列术语具有下列含义：\n\n1. “You”或“Your”或“Yourself”或“Debtor”系指 Ho Wan Kwok（郭文贵，亦称 Miles Kwok、Miles Guo、Guo Wengui、Guo Haoyun，或任何其他别名），以及其任何雇员、代理人、律师、顾问或任何代表其行事之人。\n\n2. “Debtor's Son”系指 Qiang Guo（郭强，亦称 Mileson Kwok，或任何其他别名），以及其任何雇员、代理人、律师、顾问或任何代表其行事之人。\n\n3. “Debtor's Daughter”系指 Mei Guo（郭美，亦称 Mei Gui，或任何其他别名），以及其任何雇员、代理人、律师、顾问或任何代表其行事之人。\n\n4. “Debtor's Purported Wife”系指 Hing Chi Ngok（岳庆芝，亦称 Hing Chi Ng、Yue Qingzhi，或任何其他别名），以及其任何雇员、代理人、律师、顾问或任何代表其行事之人。\n\n5. “Debtor's Family”统称债务人、债务人的儿子、债务人的女儿、债务人所谓的妻子，以及债务人的任何其他家庭关系人。\n\n6. “Associated Individuals”单独及统称所有符合下列条件的个人：(1) 持有、控制、保管或有权酌情处置由债务人或债务人家庭拥有、控制或享用的资产；或 (2) 曾为一个或多个关联实体的雇员、董事，或者以其他方式与一个或多个关联实体有关联；以及前述各方各自的雇员、代理人、律师、顾问或任何代表前述任何一方行事之人。该等关联个人包括但不限于：Daniel Podhaskie、Jason Miller、Steve Bannon、Karin Maistrello、Melissa Francis、William Gertz、Arethusa Forsyth、Glenn Mellor、Jennifer Mercurio、Eduardo Eurnekian、Han Chunguang（韩春光）、Qu Guojiao（屈国姣，亦称 Qu Guo Jiao）、Guo Lijie（郭丽杰）、Zhang Wei（张伟*）、Lihong Wei Lafrenz（魏丽红，亦称 Sara Wei）、Hao Haidong（郝海东）、Ross Heinemeyer、Max Krasner、Kyle Bass、Melissa Mendez、Ya Li（李娅）、Dinggang Wang（王定刚）、An Hong（安红）、Yvette Wang（王雁平，亦称 Yanping Wang、Yan Ping Wang）、Fiona Yu、Je Kin Ming（余建明，亦称 William Je、Yu Jianming）、Yaz Qingua，以及 Lao Jiang（姜云浮，亦称 Jiang Yunfu、Jiang Yunfu Be）。\n\n7. “Associated Entities”单独及统称所有符合下列条件的任何类型组织或实体：(1) 曾由债务人或债务人家庭拥有、控制或投资；或 (2) 对由债务人或债务人家庭拥有、控制或享用的任何资产直接或间接享有权益；以及前述各方各自的雇员、代理人、律师、顾问或任何代表前述任何一方行事之人。该等关联实体包括但不限于：7 Nod Hill LLC、AAGV Limited、ACA Investment Management Limited、ACA Capital Group Limited、Ace Decade Holdings Limited、AI Group Holdings Inc.、Alfa Global Ventures Limited、Alfonso Global Limited、Allied Capital Global Limited、Alpine Fiduciaries SA、Anton Development Limited、Assets Sino Limited、Auspicious Coast Limited、Beijing Pangu Investment Co.、Beijing Pangu Investment Co. Ltd.、Beijing Pangu Investment Inc.、Beijing Zenith Holdings Company Limited、Bravo Luck Limited、BSA Strategic Fund I、China Golden Spring (Hong Kong) Limited、Chuang Xin Limited、Crane Advisory Group LLC、Creative Apex Investments Limited、Crystal Breeze Investments Limited、Dawn State Limited、Eastern Profit Corporation Limited、Elite Well Global Limited、Empire Growth Holdings、G Club Operations LLC、G Fashion LLC、G News LLC、GETTR USA、Genever Holdings Corporation、Genever Holdings LLC、GFASHION MEDIA GROUP INC.、GFNY, Inc.、Globalist International Limited、GNews Media Group Inc.、Golden Spring (New York) Ltd.、Greenwich Land LLC、Guo Media、GTV Media Group, Inc.、Hamilton Capital Holdings Inc.、Head Win Group Limited、Henan Yuda、Himalaya Embassy、Himalaya Exchange、Himalaya Federal Reserve、Himalaya Supervisory Organization、HK International Funds Investments (USA) Limited LLC、Hong Kong International Funds Investments Limited、Infinite Increase Limited、Infinitum Developments Limited、Insight Phoenix Fund、Lamp Capital LLC、Leading Shine Limited、Leading Shine NY Limited、Long Gate Limited、Next Tycoon Investments Limited、New Federal State of China（亦称 NFSC）、Noble Fame Global Limited、Rosy Acme Ventures Limited、Rule of Law Foundation III, Inc.、Rule of Law Foundation IV, Inc.、Rule of Law Fund、Rule of Law Society、Rule of Law Society IV, Inc.、G-Translators PTY LTD、Saraca Media Group, Inc.、Shiny Ace Ltd.、Shiny Times Holdings Ltd.、Spirit Charter Investment Limited、Stevenson, Wong & Co.、Voice of Guo Media, Inc.、Well Origin Ltd.、World Century Limited、Worldwide Opportunity Holdings Limited、Whitecroft Shore Limited，以及 ZIBA Limited。\n\n8. “Including”或其任何变体，系指“包括但不限于”。\n\n9. “And”和“or”系指“and/or”，并应同时解释为连词及选择连词，以最大限度扩大其范围。\n\n10. “Any”、“all”和“each”系指“每一及所有”。\n\n11. “Each”和“every”系指“每一及所有”。\n\n12. “Third Party”系指您本人以外的个人或实体。\n\n13. “Transfer”具有《破产法典》第 101(54) 条赋予该词的含义。\n\n14. “文件”系指属于《联邦民事诉讼规则》第34条范围内的任何信息或物件，并包括但不限于任何种类、类型、性质或描述的、现由或曾由您占有、保管或控制的每一项书面、记录或图形资料，包括电子邮件的所有打印副本和电子副本、以电子形式保存的计算机文件、电子通信、短信、社交媒体帖子、推文、元数据、函件、备忘录、磁带、速记或手写笔记、任何种类的书面表格、图表、蓝图、绘图、草图、图形、计划、文章、规格说明、日记、信函、电报、照片、会议记录、合同、协议、调查资料、计算机打印件、任何种类的数据汇编、电传、传真、语音留言、发票、订购单、支票、汇票、对账单、贷项通知单、报告、立场报告、摘要、索引、书籍、账簿、笔记本、时间表、透明胶片、录音、目录、广告、宣传材料、电影、录像带、录音带、CD、计算机磁盘、宣传册、小册子、穿孔卡、工时单、推文、社交媒体帖子或任何其他种类的书面或记录材料，以及其全部元数据，无论以何种方式储存（无论为有形形式或电子形式）、记录、制作或复制，且还包括但不限于前述任何文件的草稿或副本，只要该等草稿或副本载有原始文件中未载有的任何种类的笔记、评论或标记，或者在其他方面与原始文件不完全相同。\n\n15. “人员”系指个人、公司、独资企业、合伙企业、协会或任何其他实体。“人员”还包括任何代理人、代表或专家，包括但不限于律师或财务顾问。\n\n16. “实体”系指任何自然人、公司、合伙企业、子公司、独资企业、商号、董事会、合资企业、协会、机构、主管机关、委员会或其他商业实体或法人，以及任何关联方、代理人、母公司，包括但不限于法律顾问、财务顾问或任何其他代表。\n\n17. “关于”系指涉及、描述、包含、提及、与之有关、支持、有利于、反对、强化、减损、位于、结合考虑、影响、证明、表明、报告、记录、暗指、回应、与之相连、评论、就其而言、有关、与之相关、讨论、显示、描述、反映、分析、构成及为其本身。\n\n18. “与……有关”“涉及”或“相关”，在指称任何特定主题事项时，系指包括但不限于任何构成、包含、涉及、载有、体现、反映、识别、陈述、直接或间接提及该特定主题事项，或以任何方式与该特定主题事项有关的文件。\n\n19. “通信”系指以最广义且不限于此的方式，对信息或知识的任何传递（以事实、观点、询问或其他形式）。通信还指所有谈话、协议、询问或答复，无论是当面、通过电话、书面方式，还是通过电子传输设备进行，并包括但不限于所有函件、电子邮件、录音、传送单、备忘录、电话通信、语音留言、电报、电传传真、影印传真、电传、即时消息、聊天记录、短信、电话笔记，或在内部或与第三方之间传送的笔记。\n\n20. “资产”系指任何可用于产生正向经济价值的项目，包括但不限于由某一实体拥有、控制或为其利益而存在，并预期将提供未来利益的任何具有经济价值的资源，包括但不限于所有不动产和动产、无形财产、投资、投资权或未来收入权、现金、银行账户、商品、证券、债权、对某实体的全部或部分控制权，以及预期经济机会。\n\nIV. 应提交的文件\n\n1. 关于债务人、债务人遗产或关联实体的任何收入或资产的所有文件。\n\n2. 足以显示债务人或债务人遗产自January 1, 2011起至今任何时候持有或曾持有任何法律、经济或受益权益，或拥有全部或部分控制权的所有实体或资产的文件。\n\n3. 对于就第2号请求所确认的任何资产，如债务人主张其本人或债务人遗产不再持有该等权益，则提交与该资产处置有关的所有文件，包括但不限于债务人何时放弃其权益、向谁放弃、取得何种价值，以及自其主张本人或债务人遗产不再保有权益之时起，债务人是否曾使用该资产或与该资产有任何其他互动。\n\n4. 关于关联实体的所有文件，包括但不限于其公司结构、资产、设立信息、高级管理人员和董事、经营目的，以及其与债务人或债务人任何家庭成员的关系。\n\n5. 关于Lady May（“Lady May”号）、Sherry Netherland Hotel / Condominium（雪莉·荷兰酒店／公寓）、位于Connecticut（康涅狄格州）Greenwich（格林尼治）373 Taconic Rd.的住宅物业、位于Connecticut（康涅狄格州）Greenwich（格林尼治）33 Ferncliff Rd.的住宅物业、位于Connecticut（康涅狄格州）Wilton（威尔顿）354 Nod Hill Rd.的住宅物业，以及债务人或债务人遗产在任何关联实体中拥有的任何财务权益的所有文件。\n\n6. 与债务人以受托人身份、Genever Holdings Corporation（Genever控股公司）及Genever Holdings LLC（Genever控股有限责任公司）于February 17, 2015为受益人Bravo Luck Limited（Bravo Luck有限公司）的利益而订立的所谓《信托声明及协议》有关的所有文件。\n\n7. 关于债务人、债务人遗产、债务人家庭、关联实体或关联个人的任何资产负债表、银行对账单、账户对账单、财务报表、账户报表、电汇指示和／或确认、资金证明、存款证、持仓证明、投资组合摘要或类似文件的所有文件，包括但不限于足以显示向前述任何一方进行的全部转让的所有文件。\n\n8. 关于您使用的任何信用卡的所有文件，包括但不限于月度对账单或足以显示与之相关的全部购买、付款及其他交易的其他文件。\n\n9. 与债务人、债务人家庭或关联实体于July 2020前后或任何其他时间进行的任何原油期货或任何类似商品投资或交易有关的所有文件，包括但不限于与Jiang Yunfu Be（姜云福贝）就任何该等投资或交易进行的通信。\n\n10. 您与债务人家庭或任何关联个人、代理人、雇员或代表您行事的个人之间，就与债务人、债务人遗产、债务人家庭或关联实体有关的任何商业交易进行的全部通信。\n\n11. 与债务人家庭或关联实体的法律顾问进行的全部通信。\n\n12. 与Qu Guo Jiao（曲国蛟）就债务人、债务人家庭或任何关联实体的任何资产、负债、财务权益、经济状况或财务报表进行的全部通信。\n\n13. 与Daniel Podhaskie（丹尼尔·波德哈斯基）就债务人、债务人家庭或任何关联实体的任何资产、负债、财务权益、经济状况或财务报表进行的全部通信。\n\n14. 关于向债务人、债务人遗产、债务人家庭、关联实体或关联个人提供、由其提供或代表其提供的任何赠与、利益或贷款的所有文件，包括但不限于该等赠与、利益或贷款的金额，该等赠与、利益或贷款的使用目的，提供该等赠与、利益或贷款的时间，任何贷款的偿还条款，就任何贷款作出的所有陈述和保证，任何贷款的利率，以及任何贷款付款的全部证据。\n\n15. 关于由债务人、债务人遗产、债务人家庭或关联实体设立、代表其设立或为其利益而设立的任何信托或类似文书的所有文件，包括但不限于显示信托设立时间、设立人、为谁的利益而设立以及信托财产的文件。\n\n16. 债务人、债务人家庭的每一名个人成员及任何关联实体自2014年至今的纳税申报表。\n\n17. 与涉及债务人、债务人家庭或任何关联实体的任何出售、取得、处置、购买、投资、出资、赠与、授信、贷款或转让有关的所有文件。\n\n18. 与涉及债务人的任何法律争议相关的任何义务、债权、责任或债务有关的所有文件，包括但不限于与任何地方、州、联邦或国际机构（无论为行政机构、法院、合议庭或替代性争议解决实体）审理的任何诉讼有关的文件，以及与英格兰和威尔士高等法院王座法庭商务法院审理的、案名为Kwok Ho Wan（郭文贵） & Ors v UBS（瑞银集团）、Cl-2020-000345的诉讼有关的文件，包括与您在该诉讼中提出债权的依据有关的文件。\n\n19. 与美国证券交易委员会（U.S. Securities and Exchange Commission）在行政程序案卷编号3-20537中就GTV Media Group, Inc.（GTV媒体集团股份有限公司）、Saraca Media Group, Inc.（Saraca媒体集团股份有限公司）及Voice of Guo Media, Inc.（郭之声媒体股份有限公司）一案作出的、标题为《依据1933年〈证券法〉第8A条启动停止及终止程序、作出认定并施加停止及终止命令的命令》、Release No. 10979/September 13, 2021的特定命令有关的所有文件，包括但不限于与向受该行政程序约束的被申请关联实体的法律顾问支付所有款项的资金来源、根据该命令向美国证券交易委员会支付的所有罚款、追缴款项、判决前利息和／或民事罚金的资金来源，以及被申请关联实体为履行该命令项下义务所使用的付款方式有关的文件。\n\n20. 关于债务人居住或栖居的地点、物业或场所的所有文件，包括但不限于该地点或物业的位置；债务人何时以及多频繁地在该处；谁拥有或控制该地点或物业；谁为与该地点或物业有关的任何费用或付款提供资金；与债务人使用该物业有关的任何条款；以及任何其他获授权使用该物业的人。\n\n21. 关于债务人使用属于债务人家庭、关联个人或关联实体、由其控制或其持有全部或部分所有权的任何资产的所有文件。\n\n22. 关于债务人、债务人遗产、债务人家庭或关联实体持有任何权益或投资的任何实体的所有文件，包括但不限于该权益或投资的性质和价值；债务人、债务人遗产或关联实体从该实体获得的任何收益或利益；以及与该实体有关的任何财务报告或数据有关的所有文件，包括但不限于所有账簿和记录、财务报表或税务文件。\n\n23. 关于一方为债务人或债务人家庭、另一方为任何关联实体而由其作出、与其进行或代表其进行的任何投资或商业交易的所有文件。\n\n24. 关于香港特别行政区高等法院原讼法庭于2019年冻结的“数十亿”美元“资金和财产，包括位于香港的房地产”的所有文件。（见 ECF N0. 107，第 ¶17 段。）\n\n25. 关于债务人（Debtor）在2017年接受 Vice News（Vice 新闻）采访时声称拥有的每项资产（Assets）的所有文件，包括但不限于“两架私人飞机”、“最先进的游艇”以及“数百辆赛车”。（见 Vice News Interview，第 6:38-7:07 分钟处（Nov. 15 2017）（当被问及其以何种方式开展反华活动是否有任何遗憾时，债务人称：“我对过去九个月所做的一切绝对没有遗憾。我拥有世界上每个人都梦想拥有的富裕生活。我在香港有最大的房子，数千平方米。我在伦敦有最豪华的公寓。我在北京有最大的住所。我在盘古有超过10处房产。我有两架私人飞机。我有最先进的游艇。我有数百辆赛车。我在纽约有这样的一套公寓。我不再有任何物质需求了。”））。14\n\n26. 与债务人、债务人财产（Debtor's Estate）、债务人家属（Debtor's Family）或关联实体（Associated Entity）拥有或控制的 YouTube（优兔）频道所产生的任何收入、收益、资产或广告收入有关的所有文件。\n\n27. 足以显示关联实体的每一名雇员的身份、姓名、雇佣期限及薪资的文件。\n\n14 该引文由债务人以中文作出，并由 Vice News 译为英文。\n\n28. 与您拥有、控制或使用的任何航空器有关的所有文件，包括但不限于尾号为 T7-GQM 的航空器以及在 Republic of San Marino（圣马力诺共和国）登记的任何其他航空器，包括但不限于所有登记文件的副本，以及显示该等航空器所执行航班及该等航班机上人员的飞行清单。\n\n29. 任何主权国家、国家、城邦或自治区向您签发的所有护照或授权跨境旅行的类似文件，包括但不限于任何已过期或未使用的文件，以及该等护照或类似文件的所有页面。\n\n30. 与任何关联实体（包括 Bravo Luck Limited）的资产向任何其他实体作出的任何质押有关的所有文件。\n\n送达证明\n（除非 Fed. R. Civ. P. 45 要求，否则本节不应向法院提交。）\n\n于（日期）__________，本人收到向（个人姓名及职务，如有）______________________________________________发出的本传票。\n本人已按如下方式向被指名人员交付副本以送达本传票：____________________________________\n__________________________________，于（日期）___________________；或___________________________________________________________________________________________________\n本人未执行即退回本传票，原因如下：____________________________________________________________\n\n本人在伪证处罚的约束下声明：除非本传票代表 United States（美国）或其官员或代理人签发，本人亦已向证人支付一天出席费及法律允许的里程费，金额为 \\$ _______________________ 。\n本人差旅费用为 \\$ _________，服务费用为 \\$_________，合计 \\$_________ 。\n上述信息真实且正确。\n日期：_______________\n\n送达人的签名\n\n正楷姓名及职务\n\n送达人的地址\n\n关于尝试送达等的补充信息：\nFederal Rule of Civil Procedure 45(c), (d), (e), and (g) (Effective 12/1/13)（根据 Federal Rules of Bankruptcy Procedure 第9016条适用于破产案件）\n(c) 履行地点。\n\n(1) 审判、听证或证言录取。传票仅可按以下方式命令某人出席审判、听证或证言录取：\n\n(A) 在该人居住地、受雇地或经常亲自从事商业交易地点100英里以内；或\n\n(B) 在该人居住、受雇或经常亲自从事商业交易所在州内，但该人\n\n(i) 是当事人或当事人的高级职员；或\n\n(ii) 被命令出席审判且不会产生重大费用。\n(2) 其他证据开示。传票可以命令：\n\n(A) 在该人居住地、受雇地或经常亲自从事商业交易地点100英里以内的地点提交文件、电子存储信息或物品；以及\n\n(B) 在待检查场所对该场所进行检查。\n(d) 对受传票约束人员的保护；执行。\n\n(1) 避免不当负担或费用；制裁。负责签发和送达传票的当事人或律师必须采取合理措施，避免对受传票约束的人员施加不当负担或费用。要求履行的地区法院必须执行该义务，并对未遵守该义务的当事人或律师施加适当制裁，该制裁可包括收入损失和合理的律师费。\n(2) 命令提交材料或允许检查。\n\n(A) 无须出席。被命令提交文件、电子存储信息或有形物品，或允许检查场所的人员，无须亲自到提交或检查地点出席，除非其亦被命令出席证言录取、听证或审判。\n\n(B) 异议。被命令提交文件或有形物品，或允许检查的人员，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，或反对以要求的形式提交电子存储信息。异议必须在规定的履行时间或传票送达后14日中较早者之前送达。如提出异议，则适用以下规则：\n\n(i) 送达方可随时在通知被命令人员后，向要求履行的地区法院提出动议，请求作出强制提交或检查的命令。\n\n(ii) 仅可依照命令的指示要求进行该等行为，并且该命令必须保护既非当事人亦非当事人高级职员的人员，使其免受因履行而产生的重大费用。\n(3) 撤销或修改传票。\n\n(A) 必须撤销或修改的情形。经及时动议，要求履行的地区法院必须撤销或修改以下传票：\n\n(i) 未给予合理履行时间；(ii) 要求人员在超出第45(c)条规定的地域限制范围外履行；(iii) 要求披露享有特权或受其他保护的事项，而不存在适用的例外或放弃；或\n\n(iv) 对人员造成不当负担。\n\n(B) 可撤销或修改的情形。为保护受传票约束或受其影响的人员，要求履行的地区法院可依动议撤销或修改要求下列事项的传票：\n\n(i) 披露商业秘密或其他保密的研究、开发或商业信息；或\n\n(ii) 披露未经聘用的专家的意见或信息，该等意见或信息并未描述争议中的具体事件，且系该专家未应任何当事人要求进行研究所得的结果。\n\n(C) 将规定条件作为替代方案。在第45(d)(3)(B)条所述情形下，如送达方：\n\n(i) 证明其对该证言或材料具有实质性需要，且如不遭受不当困难便无法以其他方式满足该需要；并且\n\n(ii) 确保被传唤人员将获得合理补偿，\n\n法院可以不撤销或修改传票，而命令在规定条件下出席或提交。\n(e) 对传票作出回应的义务。\n\n(1) 提交文件或电子存储信息。下列程序适用于提交文件或电子存储信息：\n\n(A) 文件。响应提交文件传票的人员，必须按其在正常业务过程中保存的方式提交文件，或必须按照请求中的类别对其进行整理和标记。\n\n(B) 未指定电子存储信息的提交形式。如传票未指定电子存储信息的提交形式，响应人员必须以其通常保存的一种或多种形式，或以一种或多种合理可用的形式提交。\n\n(C) 电子存储信息仅以一种形式提交。响应人员无须以多于一种形式提交相同的电子存储信息。\n\n(D) 无法合理获取的电子存储信息。对于响应人员认定因不当负担或费用而无法合理获取的来源中的电子存储信息，响应人员无须提供证据开示。在提出强制证据开示动议或保护令动议时，响应人员必须证明该信息因不当负担或费用而无法合理获取。如作出该证明，法院在考虑第26(b)(2)(C)条的限制后，如请求方证明有正当理由，仍可命令从该等来源进行证据开示。法院可以规定该证据开示的条件。\n(2) 主张特权或保护。\n\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唤信息的人员必须：\n\n(i) 明确提出该主张；并且\n\n(ii) 在不披露本身享有特权或受保护信息的前提下，以能够使各方评估该主张的方式描述被扣留文件、通信或有形物品的性质。\n\n(B) 已提交的信息。如为响应传票而提交的信息被主张享有特权或受审判准备材料保护，提出该主张的人员可将该主张及其依据通知收到该信息的任何当事人。收到通知后，当事人必须立即返还、隔离或销毁所指明的信息及其所持有的任何副本；在该主张得到解决之前不得使用或披露该信息；如当事人在收到通知前已披露该信息，必须采取合理措施追回该信息；并可立即将该信息密封提交给要求履行的地区法院，以裁定该主张。提交该信息的人员必须保存该信息，直至该主张得到解决。\n\n(g) 藐视法庭。要求履行的地区法院，以及在动议被移送后签发传票的法院，可以认定已被送达但无正当理由不遵守传票或与之相关命令的人员构成藐视法庭。\n\n如需查阅传票材料，见 Fed. R. Civ. P. 45(a) Committee Note (2013)\n\n…\n\nUNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION（美国康涅狄格联邦破产法院布里奇波特分院）\n\n----------------------------------------------------------- x\n\n关于： :\n: Chapter 11\nHO WAN KWOK（郭文贵）， :\n: Case No. 22-50073 (JAM)\n\n债务人。 :\n\n----------------------------------------------------------- x\n异议期限通知\n\nLuc Despins（吕克·德斯平斯）作为债务人财产获指定的 Chapter 11（第11章）受托人（以下简称“申请人”），已向 U.S. Bankruptcy Court for the District of Connecticut（美国康涅狄格联邦破产法院）提交关于对 Ho Wan Kwok（郭文贵）进行 Rule 2004 Examination（第2004条审查）的申请（以下简称“第2004条审查”）。特此通知，根据 Fed. R. Bankr. P. 2002(a) and 9014 及 Local Bankr. R. 2004-1(c).1，对第2004条审查提出的任何异议或答复必须不迟于 August 5, 2022 向法院提交。如未及时提交异议，关于第2004条审查的拟议命令可在不另行通知和举行听证的情况下作出，见 11 U.S.C. section 102(1)。\n\nNew Haven, Connecticut，代表 HO WON KWOK（郭文贵）\n\n日期：July 28, 2022 LUC DESPINS（吕克·德斯平斯），作为获指定的 Chapter 11（第11章）受托人\n\n签署人：/s/ Patrick R. Linsey（帕特里克·R·林西） Patrick R. Linsey（ct29437） NEUBERT, PEPE & MONTEITH, P.C.（纽伯特、佩佩与蒙泰斯专业公司） 195 Church Street, 13th Floor New Haven, Connecticut 06510 (203) 781-2847 plinsey@npmlaw.com\n\n1 尽管根据地方法规，对 Rule 2004 申请提出异议的期限为提交后七日，但受托人认为，鉴于部分通知当事人直至 2022 年 7 月 29 日星期五才会收到该申请的送达，将异议期限延长一日是适当的。\n\n以及\n\nNicholas A. Bassett（尼古拉斯·A·巴塞特）（待批准临时出庭资格） PAUL HASTINGS LLP（保罗·黑斯廷斯律师事务所） 2050 M Street NW Washington, D.C., 20036 (202) 551-1902 nicholasbassett@paulhastings.com\n\n以及\n\nAvram E. Luft（阿夫拉姆·E·卢夫特）（待批准临时出庭资格） Douglass Barron（道格拉斯·巴伦）（待批准临时出庭资格） PAUL HASTINGS LLP 200 Park Avenue New York, New York 10166 (212) 318-6079 aviluft@paulhastings.com douglassbarron@paulhastings.com\n\n第11章受托人的拟聘任律师","key_entities":["Je","Kwok","Guo","Ho Wan Kwok","GETTR","Paul Hastings","Despins","Luc Despins","Himalaya","GTV","Miles Guo","Saraca","Chinese Communist Party","CIPA","Yanping Wang","William Je","Himalaya Exchange"],"ecf_references":[{"doc_number":57,"court":"CTB"},{"doc_number":77,"court":"CTB"},{"doc_number":78,"court":"CTB"},{"doc_number":102,"court":"CTB"},{"doc_number":107,"court":"CTB"},{"doc_number":131,"court":"CTB"},{"doc_number":183,"court":"CTB"},{"doc_number":299,"court":"CTB"},{"doc_number":408,"court":"CTB"},{"doc_number":514,"court":"CTB"}],"word_count":13369,"status":"published","published_at":"2022-07-28 00:00:00","created_at":"2022-07-28","updated_at":"2026-08-23 21:43:10"}