{"id":"court_ctb_856_0","court":"CTB","case_no":"22-50073","doc_number":856,"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| ------------------------------------------------------ | x      |                         |\n|--------------------------------------------------------|--------|-------------------------|\n|                                                        | :      |                         |\n| In re:                                                 | :      | Chapter 11              |\n|                                                        | :      |                         |\n| HO WAN KWOK,                                           | :<br>: | Case No. 22-50073 (JAM) |\n| Debtor.                                                | :      | Re: ECF No. 777         |\n|                                                        | :      |                         |\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,<sup>2</sup> (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's counsel 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,<sup>3</sup> and (ii) either party may file a motion with the Court to have the question of control of the privilege over any logged documents or other\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\ninformation 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\n5\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\n6\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.\n\nDated at Bridgeport, Connecticut this 14th day of September, 2022.","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\n------------------------------------------------------　x\n\n关于：　:　第 11 章\n\nHO WAN KWOK（郭文贵），　:\n:　Case No. 22-50073 (JAM)\n债务人。　:　涉及：ECF No. 777\n\n------------------------------------------------------　x\n关于依据《破产程序联邦规则》第 2004 条传票所调取文件及信息的律师—委托人保密特权与工作成果保护控制权的同意裁定\n\n鉴于在 Ho Wan Kwok（郭文贵）（以下简称“债务人”）的第 11 章破产案件中获任命的第 11 章受托人（以下简称“受托人”）Luc A. Despins（卢克·A·德斯平斯）先生提出动议（以下简称“《动议》”），请求依据《美国法典》第 11 编（以下简称“《破产法典》”）第 323、521、541 及 1108 条、《破产程序联邦规则》（以下简称“《破产规则》”）第 2004 条以及本法院准许受托人依据第 2004 条进行质询之动议的多项裁定，作出裁定（以下简称“本《裁定》”）：(a) 确认受托人对与债务人财产及财务状况以及破产财产管理相关问题所涉及的律师—委托人保密特权、工作成果保护及其他特权拥有所有权与控制权，(b) 指示证据开示接收人在回应《第 2004 条传票》1 时不得以任何此类特权为由向受托人隐匿文件，亦不得试图主张应正当归受托人所有的任何此类特权，以及 (c) 准予相关救济，各项内容均在《动议》中有更详尽的阐述；且本法院根据 28 U.S.C. §§ 157 和 1334 以及 United States District Court for the District of Connecticut（美国康涅狄格区联邦地方法院）的《移送常规命令》（及其修正案）对审理《动议》及其中所请求的救济拥有管辖权；\n\n1 本文未定义之首字母大写术语具有《动议》中所赋予的含义。\n\n且依据 28 U.S.C. § 157(b)，审理《动议》及其中所请求的救济属于核心程序；且依据 28 U.S.C. §§ 1408 和 1409，本法院管辖地正当；且本法院认定，经本文修改后的《动议》中所请求的救济符合破产财产、其债权人及所有利害关系方的最大利益；且在特定情形下已就《动议》给出了正当且充分的通知；且显然无需再给出其他或进一步的通知；经本法院进行的所有审理程序；且受托人与债务人已同意本文所作出的救济，对于本文所请求救济的任何其他异议已撤回或在实体上被驳回；经审慎考量并认定具有充分理由，特此裁定如下：\n\n1. 《动议》在本文载明的范围内予以准许。\n\n2. 凡可由债务人或其律师依据任何适用法律所主张的、涉及以下事项的任何律师—委托人保密特权或工作成果保护（包括但不限于债务人声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）（各项单称“受托人特权”，统称“受托人各项特权”），受托人享有专属控制权：(i) 属于以下性质的资产（包括实际或潜在的诉由）：(A) 现由或曾由债务人持有，(B) 现由或曾由受托人依据《第 2004 条传票》正在调查的其他主体持有，调查目的在于确定其是否持有或可能掌握有关债务人持有或可能曾持有利益之资产的信息，或 (C) 在其他方面与债务人破产财产相关，或可被追入债务人破产财产的资产2，(ii) 债务人的\n\n2 《第 2004 条传票》的格式（包括文件调取请求）作为受托人《第 2004 条动议》的附件附后，具体如下：关于债务人的《第 2004 条动议》，见附件 B；关于专业人士的《第 2004 条动议》，见附件 C-1\n\n财务状况（包括但不限于破产财产的负债），或 (iii) 自申请日历至 2022 年 7 月 8 日作出任命受托人之裁定期间与破产财产管理相关的活动（包括但不限于财产状况明细表的编制，以及《郭文贵先生支持第 11 章案件及若干动议之声明》的编制，以该《声明》或其编制涉及与债务人或债务人破产财产相关的资产、负债或财务状况为限）（第 (i) 项至第 (iii) 项主题，统称“调查主题”）。\n\n3. 无论是债务人还是其律师（根据债务人或代表债务人行事的任何人员的指示），亦或是任何其他受质询人，均无权以涉及调查主题的任何受托人各项特权为由，隐匿《第 2004 条传票》各附件中所要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解释为排除债务人主张第 7 段所载明的任何权利。\n\n4. 本文中的任何内容均不得阻止债务人针对与调查主题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（但案号为 Guo Wengui v. Clark Hill, PLC, Case No. 19-cv-03195 (D. D.C.) 的诉讼中与法律执业过错诉讼的实体是非相关、而有别于债务人庇护申请的实体是非的相关文件除外，且须受本文所包含的利益衡量测试约束，该测试不涉及庇护申请的实质内容）。受托人和债务人保留对就此类其他事项所主张的任何特权的一切权利。\n\n至 C-14；关于第三方的动议，见附件 C-1 至 C-19。其均通过引用并入本文。\n\n5. 如果受托人从债务人或其律师或其他顾问处收到与针对债务人主张不可免除债务的对抗制诉讼中产生的法律事实、指控或争议问题相关的文件或信息，受托人将 (i) 不与此类对抗制诉讼中的原告分享此类文件和信息，并且 (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，在符合第 7 段所列条款的前提下，推定受托人对 Brown Rudnick LLP（布朗·鲁德尼克有限责任合伙律师事务所）和 Verdolino & Lowey, P.C.（维多利诺与洛伊专业公司）在本案中因代表债务人而占有或控制的所有申请日后文件和档案享有专属控制权。\n\n7. 尽管本文有任何相反规定，若债务人善意认为受受托人特权涵盖且涉及调查主题的特定文件或信息如果向受托人披露可能导致对债务人的个人伤害，则 (i) 债务人律师应在适用的提供文件截止日期起 10 日内（但有权善意向法院提出合理延期的动议），按照 D. Conn. L. Civ. R. 26(e) 的要求对此类所有文件编制特权清单，和/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，包括提供足以初步证明主张存在个人伤害可能性的依据的充分信息3，且 (ii) 任何一方均可向法院提出动议，要求对任何已列入清单的文件或其他\n\n3 在符合适用证据开示规则的前提下，债务人仅可从提交的文件中隐匿（必要时采取适当的遮蔽处理）属于债务人特权主张和关于个人伤害之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受托人提供。\n\n信息上的特权控制权问题进行快速裁决，且债务人可请求法院在作出该决定时依据适用判例法进一步进行利益衡量分析。就本段而言，“快速”应要求在八日内对任何动议作出答辩，并在其后四日内作出任何再答辩；随后法院应根据书面材料作出裁定，或在法院最早方便的时间就该动议举行听证会。作为审理任何此类动议的一部分，法院可要求向法院提交已列入清单的文件和信息以供法官非公开审查。为免疑义，若相关文件或信息的披露可能导致受托人查明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，则无论债务人对该等资产的所有权或控制权持何种立场或意见，均不构成足以依据本段隐匿文件或信息的“对债务人的个人伤害”。\n\n8. 仅就本裁定而言，本文中就任何受托人特权所使用的“控制权”一词应指：受托人在履行其在本案中的职责和责任时（包括但不限于提起追回破产财产的诉讼），能够查阅、获取和以其他方式使用受该特权约束的所有文件和信息；但是，未经债务人书面同意或法院进一步裁定，受托人无权放弃任何受托人特权（例如，在公开法庭上或在任何公开案件卷宗中披露享有特权的文件或信息，或与第三方分享此类文件或信息），且受托人提交的包含或描述受受托人特权保护的文件或信息的所有诉讼材料均应予以封存提交。双方保留就受托人未来提出的放弃受托人特权的任何请求的各自全部权利。要求放弃受托人特权的任何此类请求均可按照第 7 段中所述的程序以动议形式快速提出。\n\n9. 本文中的任何内容均不得解释为对债务人或债务人律师在题为 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)（郭文贵 诉 瑞士银行有限公司，案号 CL-2020-000345，英格兰和威尔士高等法院商事与财产法院商事法庭）的诉讼中，依据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）产生任何倾向的影响。\n\n10. 本文中的任何内容均不得解释为对债务人依据《美国宪法》所享有的第五修正案特权产生影响。\n\n11. 无论是债务人还是其律师（根据债务人或代表债务人行事的任何人员的指示），亦或是任何其他受质询人，均不得干涉、阻碍或拖延受托人行使本《裁定》项下的权力。\n\n12. 本文中的任何内容均不得解释为排除受托人或债务人（包括通过其各自律师）对本《裁定》在特定文件或信息上的适用性提出异议。\n\n13. 授权并赋权受托人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》的各项条款和条件一经作出即刻生效并具有执行力。\n\n15. 本同意《裁定》的各项条款和条件构成对本《裁定》完整、排他且完全一体化的陈述。因此，它是双方一致协议及本《裁定》各项条款的唯一表达。\n\n16. 本法院对由本《裁定》的实施、解释和执行引起的或\n\n与之相关的所有事项保留管辖权。\n\n日期：2022 年 9 月 14 日，于康涅狄格州布里奇波特。","key_entities":["Je","Kwok","Ho Wan Kwok","Guo","Despins"],"ecf_references":[{"doc_number":777,"court":"CTB"}],"word_count":1914,"status":"published","published_at":null,"created_at":null,"updated_at":"2026-08-23 13:03:40"}