{"id":"court_ctb_852_0","court":"CTB","case_no":"22-50073","doc_number":852,"sub_number":0,"doc_type":"ORDER","filed_date":null,"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| ------------------------------------------------------<br>x |             |                         |\n|-------------------------------------------------------------|-------------|-------------------------|\n| In re:                                                      | :<br>:      | Chapter 11              |\n| HO WAN KWOK,                                                | :<br>:<br>: | Case No. 22-50073 (JAM) |\n| Debtor.                                                     | :<br>:      |                         |\n| ------------------------------------------------------      | x           |                         |\n\n## **CONSENT ORDER REGARDING CONTROL OF ATTORNEY-CLIENT PRIVILEGE AND WORK PRODUCT PROTECTION RELATED TO RULE 2004 SUBPOENAED DOCUMENTS AND INFORMATION**\n\nUpon the motion (the \"Motion\") of Mr. Luc A. Despins, in his capacity as the chapter 11 trustee (the \"Trustee\") appointed in the chapter 11 case of Ho Wan Kwok (the \"Debtor\"), for the entry of an order (this \"Order\"), pursuant to sections 323, 521, 541, and 1108 of title 11 of the United States Code (the \"Bankruptcy Code\"), Rule 2004 of the Federal Rules of Bankruptcy Procedure (the \"Bankruptcy Rules\"), and the Court's orders granting the Trustee's motions for examination pursuant to Rule 2004, (a) confirming that the Trustee owns and controls the attorney-client privilege, work product protection and other privileges on issues related to the Debtor's assets and financial affairs and the administration of his estate, (b) directing that the Discovery Recipients not withhold documents from the Trustee on account of any such privileges in responding to the Rule 2004 Subpoenas,<sup>1</sup> or attempt to assert any such privileges that are properly owned by the Trustee and (c) granting related relief, all as more fully set forth in the Motion; and this Court having jurisdiction to consider the Motion and the relief requested\n\n<sup>1</sup> Capitalized terms not defined herein have the meanings given to them in the Motion.\n\ntherein in accordance with 28 U.S.C. §§ 157 and 1334 and the *Standing Order of Reference* from the United States District Court for the District of Connecticut (as amended); and consideration of the Motion and the relief requested therein being a core proceeding pursuant to 28 U.S.C. § 157(b); and venue being proper in this Court pursuant to 28 U.S.C. §§ 1408 and 1409; and the Court having found that the relief requested in the Motion, as modified herein, is in the best interest of the Estate, its creditors, and all parties in interest; and due and sufficient notice of the Motion having been given under the particular circumstances; and it appearing that no other or further notice need be given; and upon all of the proceedings had before this Court; and the Trustee and the Debtor having consented to the relief entered herein and any other objections to the relief requested herein having been withdrawn or overruled on the merits; and after due deliberation and sufficient cause appearing therefor, it is hereby ORDERED THAT:\n\n1. The Motion is granted to the extent set forth herein.\n\n2. The Trustee has exclusive control of any attorney-client privilege or work product protection that could otherwise be asserted by the Debtor or his counsel under any applicable law (including, without limitation, any interests of the Debtor in any common interest or joint defense privilege alleged to be held with other parties) (each, a \"Trustee Privilege\" and, together, the \"Trustee Privileges\") concerning (i) assets (including actual or potential causes of action) that (A) are or were held by the Debtor, (B) are or were held by others that the Trustee is investigating pursuant to the Rule 2004 Subpoenas for purposes of determining whether they hold or may have information about assets in which the Debtor holds or may have held an interest, or (C) otherwise relate to, or could be brought into, the Debtor's estate,2 (ii) the Debtor's\n\n<sup>2</sup> Forms of the Rule 2004 Subpoenas, including document requests, were attached to the Trustee's 2004 Motions as follows: as to the Debtor 2004 Motion, Exhibit B; as to the Professionals 2004 Motion, Exhibits C-1\n\nfinancial condition (including, without limitation, liabilities of the estate), or (iii) activities related to the administration of the estate (including, without limitation, the preparation of schedules and the preparation of the *Declaration of Mr. Ho Wan Kwok in Support of the Chapter 11 Case and Certain Motions* to the extent the Declaration or preparation of the Declaration relates to assets, liabilities or the financial status associated with the Debtor or the Debtor's estate) during the period between the petition date and the issuance of the order appointing the Trustee on July 8, 2022 (topics (i) through (iii), collectively, the \"Investigation Topics\").\n\n3. Neither the Debtor nor his counsel (based on instructions from the Debtor or any person acting on behalf of the Debtor), nor any other examinee, is entitled to withhold any of the documents and information requested in the attachments to the Rule 2004 subpoenas on the basis of any Trustee Privileges concerning the Investigation Topics. Notwithstanding the foregoing, nothing in this paragraph shall be construed to preclude the Debtor from asserting any rights set forth in paragraph 7.\n\n4. Nothing herein shall prevent the Debtor from asserting any and all privileges concerning legal matters unrelated to the Investigation Topics, such as unrelated criminal allegations or the Debtor's asylum application (other than documents related to the litigation styled as *Guo Wengui v. Clark Hill, PLC*, Case No. 19-cv-03195 (D. D.C.) that relate to the merits of the legal malpractice action, as distinguished from the merits of the Debtor's asylum application, subject to the balancing test incorporated herein, which does not relate to the substance of the asylum application). The Trustee and the Debtor reserve all rights with respect to any privileges claimed over such other matters.\n\nthrough C-14; and as to the Third-Party Motion, Exhibits C-1 through C-19. They are incorporated herein by reference.\n\n5. To the extent the Trustee receives documents or information from the Debtor or his counsel or other advisors relating to facts, allegations, or issues arising in adversary proceedings against the Debtor asserting non-dischargeability, the Trustee will (i) not share such documents and information with the plaintiffs in such adversary proceedings, and (ii) keep such documents and information confidential as required by any confidentiality stipulation or protective order to be entered in this case.\n\n6. For the avoidance of doubt, it is presumed that the Trustee has exclusive control over all post-petition documents and files in the possession or control of Brown Rudnick LLP and Verdolino & Lowey, P.C. in connection with their representation of the Debtor in this case, subject to the terms set forth in paragraph 7.\n\n7. Notwithstanding anything herein to the contrary, to the extent the Debtor believes in good faith that particular documents or information that are covered by a Trustee Privilege and that concern the Investigation Topics could result in personal harm to the Debtor if disclosed to the Trustee, then (i) the Debtor or his counsel, as applicable, shall within 10 days of the applicable production deadline, subject to the right to make a motion in good faith to the Court for a reasonable extension of time, log all such documents in accordance with the requirements of D. Conn. L. Civ. R. 26(e) and/or identify all such non-documentary information in a manner necessary to support the claim of privilege including with sufficient information to prima facie identify the basis for asserting the potential for personal harm,3 and (ii) either party may file a motion with the Court to have the question of control of the privilege over any logged documents\n\n<sup>3</sup> Consistent with applicable discovery rules, the Debtor may withhold from production (using appropriate redactions as necessary) only that portion of such document or information that is subject to the Debtor's claim of privilege and good-faith belief regarding personal harm; all other portions of such document or information must be produced to the Trustee.\n\nor other information adjudicated on an expedited basis, and the Debtor may request that the Court, in making such decision, undertake a further balancing analysis in accordance with applicable case law. For purposes of this paragraph, \"expedited basis\" shall require a response to any motion within eight days, and any reply within four days thereafter; the Court shall then either rule on the papers or hold a hearing on the motion at its earliest convenience. The Court may as part of its consideration of any such motion require the production of logged documents and information to the Court for *in camera* inspection. For the avoidance of doubt, that the disclosure of the documents or information in question could result in the Trustee identifying potential assets of the estate, or could constitute evidence relating to the ownership or control of assets by the Debtor, shall not constitute a \"personal harm to the Debtor\" sufficient to withhold documents or information pursuant to this paragraph, regardless of any position or opinion of the Debtor regarding the ownership or control of such assets.\n\n8. For purposes of this order only, the term \"control\" as used herein with respect to any Trustee Privilege shall mean that the Trustee is able to review, access, and otherwise use all documents and information subject to such privilege in carrying out his duties and responsibilities in this case, including without limitation in prosecuting actions to recover property of the estate; provided, however, the Trustee shall not be entitled to waive any Trustee Privilege (for example, by disclosing privileged documents or information in open court or on any public docket or by sharing such documents or information with a third party) absent the Debtor's written consent or further order of the Court, and all filings by the Trustee containing or describing documents or information covered by a Trustee Privilege shall be filed under seal. The parties reserve all their respective rights as to any future request by the Trustee to waive a\n\nTrustee Privilege. Any such request to waive a Trustee Privilege may be made by motion on an expedited basis in accordance with the procedures described in paragraph 7.\n\n9. Nothing herein shall be construed to impact, one way or another, the Debtor or the Debtor's counsel's rights, whatever they may be, to assert whatever privileges the Debtor may have under the laws of the United Kingdom in the litigation styled *Kwok Ho Wan v. UBS AG,*  Claim No. CL-2020-000345 (High Court of Justice Business and Property Courts of England and Wales Commercial Court).\n\n10. Nothing herein shall be construed to impact the Debtor's 5th Amendment Privilege under the United States Constitution.\n\n11. Neither the Debtor nor his counsel (based on instructions from the Debtor or any person acting on behalf of the Debtor), nor any other examinee, shall interfere with, hinder, or delay the Trustee's exercise of the authority under this Order.\n\n12. Nothing herein shall be construed to preclude the Trustee or the Debtor, including through their respective counsel, from disputing the application of this Order to particular documents or information.\n\n13. The Trustee is authorized and empowered to take all actions necessary to effectuate the relief granted in this Order.\n\n14. The terms and conditions of this Order shall be immediately effective and enforceable upon its entry.\n\n15. The terms and conditions of this consent Order constitute the complete, exclusive and fully integrated statement of the Order. As such, it is the sole expression of the parties' consensual agreement and the terms of the Order.\n\n16. This Court shall retain jurisdiction with respect to all matters arising from or\n\nrelated to the implementation, interpretation, and enforcement of this Order.","body_zh":"United States Bankruptcy Court District of Connecticut Bridgeport Division（美国康涅狄格区联邦破产法院布里奇波特分院）\n\nx\n\n关于：\n第 11 章\nHo Wan Kwok（郭文贵），\n案号：22-50073 (JAM)\n债务人。\n\n------------------------------------------------------ x\n关于与《联邦破产程序规则》第 2004 条传票所涉文件和信息相关的律师-委托人特权及工作成果保护控制权的同意裁定\n\n根据 Ho Wan Kwok（郭文贵）（以下简称“债务人”）第 11 章案件中指定的第 11 章托管人 Luc A. Despins 先生（以下简称“托管人”）的动议（以下简称“《动议》”），依据《美国法典》第 11 编（以下简称“《破产法典》”）第 323、521、541 及 1108 条、《联邦破产程序规则》（以下简称“《破产规则》”）第 2004 条以及本法院准予托管人依据第 2004 条进行调查的动议的各项裁定，请求作出裁定（以下简称“本裁定”）：(a) 确认托管人拥有并控制涉及与债务人资产和财务事务及对其破产财产的管理相关事项的律师-委托人特权、工作成果保护及其他特权；(b) 指令受调查证据接收方在回应第 2004 条传票1时，不得基于任何此类特权向托管人隐匿文件，亦不得试图主张任何由托管人正当拥有的此类特权；以及 (c) 准予相关救济，均如《动议》中所作更详尽之陈述；且本法院依据《美国法典》第 28 编第 157 及 1334 条以及 United States District Court for the District of Connecticut（美国康涅狄格区联邦地区法院）的《移送常设命令》（经修订）对审议《动议》及其中所请求之救济享有管辖权；且依据《美国法典》第 28 编第 157(b) 条，对《动议》及其中所请求之救济的审议属于核心程序；且依据《美国法典》第 28 编第 1408 及 1409 条，本法院管辖地适当；且本法院已认定，《动议》中所请求之救济（经本裁定修改后）符合破产财产、其债权人及所有利害关系方的最大利益；且在此特定情况下已给予对《动议》的正当且充分的通知；且显见无需发出其他或进一步的通知；且依据在本法院进行的所有程序；且托管人与债务人已同意本裁定所作出的救济，针对本裁定所请求救济的任何其他异议均已被撤回或经实体审理后被驳回；经审慎研判且有充分理由支持，特此裁定如下：\n\n1 本裁定中未予定义的以大写字母开头的术语具有《动议》中赋予它们的含义。\n\n1. 在本裁定规定的范围内准予《动议》。\n\n2. 托管人独家控制依据任何适用法律本可由债务人或其律师主张的、涉及以下各项的任何律师-委托人特权或工作成果保护（包括但不限于债务人在据称与其他方共同享有的任何共同利益或联合辩护特权中的任何利益）（各项统称“托管人特权”，合称“各项托管人特权”）：(i) 符合以下情形的资产（包括实际或潜在的诉由）：(A) 现由或曾由债务人持有，(B) 现由或曾由其他人持有且托管人依据第 2004 条传票正对其进行调查，以确定其是否持有或可能拥有关于债务人持有或可能曾持有利益的资产的信息，或 (C) 在其他方面涉及或可能被纳入债务人破产财产2；(ii) 债务人的\n\n2 第 2004 条传票的格式（包括文件调取请求）作为附件附于托管人的第 2004 条各项动议之后，具体如下：关于债务人的第 2004 条动议，附件 B；关于专业人士的第 2004 条动议，附件 C-1\n\n财务状况（包括但不限于破产财产的负债）；或 (iii) 在申请日与 2022年7月8日 发布任命托管人的裁定之间的期间内，与破产财产管理相关的活动（包括但不限于准备财产明细表以及准备《郭文贵先生支持第 11 章案件及若干动议的陈述书》，只要该陈述书或该陈述书的准备工作涉及与债务人或债务人破产财产相关的资产、负债或财务状况）（事项 (i) 至 (iii) 合称“调查事项”）。\n\n3. 债务人及其律师（基于来自债务人或代表债务人行事的任何人的指示）以及任何其他受审查询问人，均无权基于涉及调查事项的任何托管人特权，拒绝提供第 2004 条传票附件中所请求的任何文件和信息。尽管有前述规定，本段中的任何内容均不得被解释为排除债务人主张第 7 段中所规定的任何权利。\n\n4. 本裁定中的任何内容均不得阻止债务人就与调查事项无关的法律事务主张任何及所有特权，例如无关的刑事指控或债务人的庇护申请（但在标为 Guo Wengui v. Clark Hill, PLC, 案号 19-cv-03195（D. D.C.）的诉讼中涉及律师执业过失诉讼实体问题、区别于债务人庇护申请实体问题的相关文件除外，该等文件受本裁定纳入的利益衡量检验标准的约束，该检验标准与庇护申请的实质内容无关）。托管人和债务人对就此类其他事项所主张的任何特权保留所有权利。\n\n至 C-14；关于第三方的动议，附件 C-1 至 C-19。其通过引用并入本裁定。\n\n5. 如果托管人从债务人或其律师或其他顾问处收到涉及对债务人提起的主张债务不可免除的对抗性程序中产生的案件事实、指控或争议焦点的文件或信息，托管人将：(i) 不与此类对抗性程序中的原告分享此类文件和信息，以及 (ii) 按照本案中将签署的任何保密协议或保护令的要求对此类文件和信息予以保密。\n\n6. 为免疑义，推定托管人对 Brown Rudnick LLP 及 Verdolino & Lowey, P.C. 因在本案中代表债务人而占有或控制的所有申请后文件和档案享有独家控制权，但须遵守第 7 段中规定的条款。\n\n7. 尽管本裁定有任何相反规定，只要债务人善意地认为受托管人特权涵盖且涉及调查事项的特定文件或信息如果向托管人披露可能对债务人造成人身损害，则 (i) 债务人或其律师（视情况而定）应在适用的文件提供截止日期后 10 天内（受善意向法院提出合理延期动议的权利约束），根据 D. Conn. L. Civ. R. 26(e)（康涅狄格区联邦民事诉讼地方规则第 26(e) 条）的要求对所有此类文件进行登记，并/或以支持特权主张所必需的方式指明所有此类非文件类信息，包括提供足以初步确定主张潜在人身损害之依据的充分信息3；以及 (ii) 任何一方均可向法院提出动议，请求以加急程序对任何已登记文件\n\n3 与适用的证据开示规则一致，债务人仅可隐匿（必要时采取适当的遮盖处理）属于债务人特权主张和关于人身损害的善意确信范围内的该部分文件或信息；该文件或信息的所有其他部分必须向托管人提供。\n\n或其他信息的特权控制权问题作出裁判，且债务人可请求法院在作出该决定时根据适用判例法进行进一步的利益衡量分析。就本段而言，“加急程序”应要求对任何动议在八天内作出答辩，并在其后四天内作出答复；法院随后应直接基于书面文件作出裁决或在法院最早方便的时间就该动议举行听证会。法院作为其审议任何此类动议的一部分，可要求向法院提交已登记的文件和信息以进行不公开审查（in camera inspection）。为免疑义，争议文件或信息的披露可能导致托管人识别破产财产的潜在资产，或可能构成与债务人对资产的所有权或控制权相关的证据，均不构成足以依据本段隐匿文件或信息的“对债务人的人身损害”，无论债务人就此类资产的所有权或控制权持何种立场或意见。\n\n8. 仅就本裁定而言，本裁定中就任何托管人特权所使用的“控制”一词应指托管人能够在其履行本案中的职责和责任（包括但不限于提起诉讼以追回破产财产）过程中审查、调阅并以其他方式使用受此类特权保护的所有文件和信息；但是，未经债务人书面同意或法院进一步裁定，托管人无权放弃任何托管人特权（例如，通过在公开法庭或任何公开案卷上披露受特权保护的文件或信息，或通过与第三方共享此类文件或信息），且托管人提交的包含或描述受托管人特权涵盖的文件或信息的所有诉讼文书均应密封提交。双方对托管人未来提出的任何放弃\n\n托管人特权的请求保留各自的所有权利。任何此类放弃托管人特权的请求均可根据第 7 段所述程序以动议形式通过加急程序提出。\n\n9. 本裁定中的任何内容均不得被解释为以任何方式影响债务人或债务人律师在标为 Kwok Ho Wan v. UBS AG, 索赔号 CL-2020-000345（High Court of Justice Business and Property Courts of England and Wales Commercial Court（英格兰和威尔士高等法院商业与财产法院商事法庭））的诉讼中，依据 United Kingdom（英国）法律主张债务人可能享有的任何特权的权利（无论该等权利为何）。\n\n10. 本裁定中的任何内容均不得被解释为影响债务人依据 United States Constitution（美国宪法）享有的第五修正案特权。\n\n11. 债务人及其律师（基于来自债务人或代表债务人行事的任何人的指示）以及任何其他受审查询问人，均不得干涉、阻碍或拖延托管人行使本裁定项下的权力。\n\n12. 本裁定中的任何内容均不得被解释为排除托管人或债务人（包括通过各自的律师）对本裁定适用于特定文件或信息提出争议。\n\n13. 托管人获授权并被赋予权力采取一切必要行动以落实本裁定所准予的救济。\n\n14. 本裁定的条款和条件应在本裁定作出后立即生效并具有执行力。\n\n15. 本同意裁定的条款和条件构成本裁定的完整、排他及完全一体化的表述。因此，它是双方当事人合意协议及本裁定条款的唯一表达。\n\n16. 本法院应保留对因执行、解释和强制执行本裁定而产生的或与此相关的所有事项的管辖权。","key_entities":["Je","Kwok","Ho Wan Kwok","Guo","Despins"],"ecf_references":[],"word_count":1886,"status":"published","published_at":null,"created_at":null,"updated_at":"2026-08-23 13:02:22"}