郭文贵破产案 · EXHIBIT · ECF #1061-1

元数据

当事人: 郭文贵 (Guo Wengui / Miles Guo / Ho Wan Kwok)
法院: CTB
案号: 22-50073
ECF #: 1061
类型: EXHIBIT
立案日: 2022-11-02

原始法庭文件为英文，下方为英文全文。

全文

# **EXHIBIT**

**A**

Case 22-50073 Doc 1061-1 Filed 11/02/22 Entered 11/02/22 16:17:29 Page 2 of 12

### **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**

| __________________________________________ | | |--------------------------------------------------------|-----------------------------------| | In re | : : Chapter 11 | | HO WON KWOK, | : : Case No. 22-50073 (JAM) | | Debtor. __________________________________________: | : : |

## **REVISED PRIVILEGE LOG DOCUMENTS OF VERDOLINO & LOWEY AND BROWN RUDNICK**

| Bates | Date | Custodia | Type of | Parties | Subject | Claimed | Personal Harm | |-------|----------|----------------------|-----------|-------------------------------------------------------------------------------------------------------------|-----------------------|----------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | | | n | Document | | | Privilege | | | None | 10/19/21 | Verdolino & Lowey | Agreement | Golden Spring (New York) Ltd., Kwok Ho Wan, Ace Decade Holdings Limited and Dawn State | Litigation Funding | Attorney-Work Product.1 | The withheld document relates to an action pending in the United Kingdom styled Kwok Ho Wan v. UBS AG, Claim No. CL-2020- 000345 (High Court of Justice Business and | | | | | | Limited | | | Property Courts of | | | | | | | | | England and Wales | | | | | | | | | Commercial Court) (the |

1 *See Cont'l Circuits LLC v. Intel Corp*, 435 F. Supp. 3d 1014, 1021 (D. AZ 2020) (concluding that litigation funding agreements were prepared because of litigation and therefore constitute attorney work product). *See also Lambeth Magnetic Structures, LLC v. Seagate Tech (US) Holdings, Inc.*, 2017 U.S. Dist. LEXIS 215773, \*16-\*17 (W.D. Pa, Jan. 18, 2018) (holding that communications with litigation funders and funding agreement are work product and denying motion to compel the production of same).

| | | | "UK Action"). The | |--|--|--|----------------------------| | | | | Bankruptcy Court's | | | | | September 14, 2022, | | | | | Consent Order | | | | | Regarding Control of | | | | | Attorney-Client | | | | | Privilege and Work | | | | | Product Protection | | | | | Related to Rule 2004 | | | | | Subpoenaed Documents | | | | | and Information (the | | | | | "Privilege Order") | | | | | specifically recognizes | | | | | that the Debtor may | | | | | have privileges under | | | | | the laws of the United | | | | | Kingdom that could be | | | | | asserted by the Debtor | | | | | in the UK Action. See | | | | | Privilege Order, at sec. | | | | | 9. The Debtor has thus | | | | | withheld this document | | | | | from production for the | | | | | express purpose of | | | | | ensuring that he is | | | | | preserving, and not | | | | | waiving, any privilege | | | | | that he may have to | | | | | assert against production | | | | | or disclosure of the | | | | | same document in the | | | | | UK Action. |

#### Case 22-50073 Doc 1061-1 Filed 11/02/22 Entered 11/02/22 16:17:29 Page 4 of 12

| BR_ | 10/19/21 | Brown |----------|----------| | KWOK | | 00020991 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | BR_ | 3/9/22 | KWOK | | 00028970 | | | | | | | | Agreement | Golden Spring | Litigation | Attorney-Work | The withheld document | ---------|-----------|-------------------|------------|------------------|----------------------------| | Rudnick | | (New York) | Funding | Product; | relates to the UK | | | | Ltd., Kwok Ho | | Common Interest | Action. The Privilege | | | | Wan, Ace | | | Order specifically | | | | Decade | | | recognizes that the | | | | Holdings | | | Debtor may have | | | | Limited and | | | privileges under the | | | | Dawn State | | | laws of the United | | | | Limited | | | Kingdom that could be | | | | | | | asserted by the Debtor | | | | | | | in the UK Action. See | | | | | | | Privilege Order, at sec. | | | | | | | 9. The Debtor has thus | | | | | | | withheld this document | | | | | | | from production for the | | | | | | | express purpose of | | | | | | | ensuring that he is | | | | | | | preserving, and not | | | | | | | waiving, any privilege | | | | | | | that he may have to | | | | | | | assert against production | | | | | | | or disclosure of the | | | | | | | same document in the | | | | | | | UK Action. | | Brown | Email | Melissa Francis, | Advice | Attorney-Client. | The withheld document | | Rudnick | Thread | Esq., Jennifer | regarding | | relates to advice from | | | | Morrisey, | litigation | | counsel representing the | | | | Damon Parker, | fees and | | Debtor in UK Action | | | | Edward | the | | and the impact that the | | | | Argles,2 | potential | | production of a |

2 Ms. Morrisey, Mr. Parker and Mr. Argles are, or were at the time of the email, professionals employed by Harcus Parker Limited, the Debtor's UK counsel in the UK Action.

| | | | | Bennett Silverberg, Esq., Aaron Mitchell, Esq., and Robert Stark, Esq. | harm to the Debtor in the UK Action of the production of the UBS litigation funding agreement in response to discovery requests made to the Debtor in his Bankruptcy case. | | document in the Debtor's Bankruptcy case could have on the Debtor in the UK Action. The Privilege Order specifically recognizes that the Debtor may have privileges under the laws of the United Kingdom that could be asserted by the Debtor in the UK Action. See Privilege Order, at sec. 9. The Debtor has thus withheld this document from production for the express purpose of ensuring that he is preserving, and not waiving, any privilege that he may have to assert against production or disclosure of the same document in the UK Action. | |-----------------------------------|--------|------------------|---------|------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | BR_ KWOK 00028562; 22535 | 3/3/22 | Brown Rudnick | Invoice | Lalive SA – Debtor's Swiss counsel in connection with UBS action. | Invoice | Attorney-Client (privilege may be governed by Swiss law) | The withheld document is an invoice from counsel representing the Debtor in an action pending in Switzerland which action was filed solely to preserve the |

| | | | Debtor's rights to | |--|--|--|-----------------------------| | | | | pursue UBS in | | | | | Switzerland in the event | | | | | that a motion filed in the | | | | | UK Action to move the | | | | | case from the UK to | | | | | Switzerland was | | | | | granted, it was not. The | | | | | case filed in | | | | | Switzerland, and to | | | | | which the invoice | | | | | relates, is effectively the | | | | | same case as the UK | | | | | Action. The Privilege | | | | | Order specifically | | | | | recognizes that the | | | | | Debtor may have | | | | | privileges under the | | | | | laws of the United | | | | | Kingdom that could be | | | | | asserted by the Debtor | | | | | in the UK Action. See | | | | | Privilege Order, at sec. | | | | | 9. The Debtor has thus | | | | | withheld this document | | | | | from production for the | | | | | express purpose of | | | | | ensuring that he is | | | | | preserving, and not | | | | | waiving, any privilege | | | | | that he may have to | | | | | assert against production | | | | | or disclosure of the |

# Case 22-50073 Doc 1061-1 Filed 11/02/22 Entered 11/02/22 16:17:29 Page 7 of

| | | | | | | | same document in the UK Action, whether under UK law or Swiss law. | |-------------------------|--------|------------------|-----------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | BR_ KWOK 00027065 | 3/9/22 | Brown Rudnick | Email Thread | Melissa Francis, Esq., Jennifer Morrisey, Damon Parker, Edward Argles, Bennett Silverberg, Esq., Aaron Mitchell, Esq., and Robert Stark, Esq. | Advice regarding litigation fees and the potential harm to the Debtor in the UK Action of the production of the UBS litigation funding agreement in response to discovery requests made to the Debtor in his Bankruptcy case. | Attorney-Client. | The withheld document relates to advice from counsel representing the Debtor in UK Action and the impact that the production of a document in the Debtor's Bankruptcy case could have on the Debtor in the UK Action. The Privilege Order specifically recognizes that the Debtor may have privileges under the laws of the United Kingdom that could be asserted by the Debtor in the UK Action. See Privilege Order, at sec. 9. The Debtor has thus withheld this document from production for the express purpose of ensuring that he is preserving, and not waiving, any privilege that he may have to | | | | | | | | | assert against production |

# Case 22-50073 Doc 1061-1 Filed 11/02/22 Entered 11/02/22 16:17:29 Page 8 of

| | | | | | | | or disclosure of the | |----------|---------|---------|--------|-------------------|-------------|------------------|------------------------------| | | | | | | | | same document in the | | | | | | | | | UK Action. | | BR_ | 3/17/22 | Brown | Email | Melissa Francis, | Comments | Attorney-Client. | The withheld document | | KWOK | | Rudnick | Thread | Esq., Jennifer | from the | | relates to advice from | | 00023917 | | | | Morrisey, | Debtor's | | counsel representing the | | | | | | Edward Argles, | UK Action | | Debtor in UK Action | | | | | | Bennett | counsel | | regarding disclosures to | | | | | | Silverberg, | regarding | | be made by the Debtor | | | | | | Esq., | the | | in his Bankruptcy Court | | | | | | | description | | filings related to the UK | | | | | | | of the UK | | Action. The Privilege | | | | | | | Action to | | Order specifically | | | | | | | be utilized | | recognizes that the | | | | | | | in the | | Debtor may have | | | | | | | Debtor's | | privileges under the | | | | | | | affidavit | | laws of the United | | | | | | | and other | | Kingdom that could be | | | | | | | Bankruptcy | | asserted by the Debtor | | | | | | | Court | | in the UK Action. See | | | | | | | filings. | | Privilege Order, at sec. | | | | | | | | | 9. The Debtor has thus | | | | | | | | | withheld this document | | | | | | | | | from production for the | | | | | | | | | express purpose of | | | | | | | | | ensuring that he is | | | | | | | | | preserving, and not | | | | | | | | | waiving, any privilege | | | | | | | | | that he may have to | | | | | | | | | assert against production | | | | | | | | | or disclosure of the | | | | | | | | | same document in the | | | | | | | | | UK Action. |

## Case 22-50073 Doc 1061-1 Filed 11/02/22 Entered 11/02/22 16:17:29 Page 9 of

| BR_ | 3/17/22 | Brown | Email | Melissa Francis, | Comments | Attorney-Client. | The withheld document | |----------|---------|---------|--------|-------------------|-------------|------------------|------------------------------| | KWOK | | Rudnick | Thread | Esq., Jennifer | from the | | relates to advice from | | 00023528 | | | | Morrisey, | Debtor's | | counsel representing the | | | | | | Edward Argles, | UK Action | | Debtor in UK Action | | | | | | Bennett | counsel | | regarding disclosures to | | | | | | Silverberg, | regarding | | be made by the Debtor | | | | | | Esq., | the | | in his Bankruptcy Court | | | | | | | description | | filings related to the UK | | | | | | | of the UK | | Action. The Privilege | | | | | | | Action to | | Order specifically | | | | | | | be utilized | | recognizes that the | | | | | | | in the | | Debtor may have | | | | | | | Debtor's | | privileges under the | | | | | | | affidavit | | laws of the United | | | | | | | and other | | Kingdom that could be | | | | | | | Bankruptcy | | asserted by the Debtor | | | | | | | Court | | in the UK Action. See | | | | | | | filings. | | Privilege Order, at sec. | | | | | | | | | 9. The Debtor has thus | | | | | | | | | withheld this document | | | | | | | | | from production for the | | | | | | | | | express purpose of | | | | | | | | | ensuring that he is | | | | | | | | | preserving, and not | | | | | | | | | waiving, any privilege | | | | | | | | | that he may have to | | | | | | | | | assert against production | | | | | | | | | or disclosure of the | | | | | | | | | same document in the | | | | | | | | | UK Action. | | BR_ | 3/17/22 | Brown | Email | Melissa Francis, | Comments | Attorney-Client. | The withheld document | | KWOK | | Rudnick | Thread | Esq., Jennifer | from the | | relates to advice from | | 00021709 | | | | Morrisey, | Debtor's | | counsel representing the |

| Edward Argles, | UK Action | | |----------------|-----------|--| | Bennett | counsel | |

| Debtor in UK Action | |------------------------------| | regarding disclosures to | | be made by the Debtor | | in his Bankruptcy Court | | filings related to the UK | | Action. The Privilege | | Order specifically | | recognizes that the | | Debtor may have | | privileges under the | | laws of the United | | Kingdom that could be | | asserted by the Debtor | | in the UK Action. See | | Privilege Order, at sec. | | 9. The Debtor has thus | | withheld this document | | from production for the | | express purpose of | | ensuring that he is | | preserving, and not | | waiving, any privilege | | that he may have to | | |

| | | | | Silverberg, Esq., | regarding the description of the UK Action to be utilized in the Debtor's affidavit and other Bankruptcy Court filings. | | be made by the Debtor in his Bankruptcy Court filings related to the UK Action. The Privilege Order specifically recognizes that the Debtor may have privileges under the laws of the United Kingdom that could be asserted by the Debtor in the UK Action. See Privilege Order, at sec. 9. The Debtor has thus withheld this document from production for the express purpose of ensuring that he is preserving, and not waiving, any privilege that he may have to assert against production or disclosure of the same document in the UK Action. | |-------------------------|---------|------------------|------------------------|-----------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | BR_ KWOK 00021713 | 3/17/22 | Brown Rudnick | Attachment to email | Jennifer Morrisey, Edward Argles, | Comments from the Debtor's UK Action counsel regarding | Attorney-Client | The withheld document relates to advice from counsel representing the Debtor in UK Action regarding disclosures to be made by the Debtor |

| | | | | | the description of the UK Action to be utilized in the Debtor's affidavit and other Bankruptcy Court filings. | | in his Bankruptcy Court filings related to the UK Action. The Privilege Order specifically recognizes that the Debtor may have privileges under the laws of the United Kingdom that could be asserted by the Debtor in the UK Action. See Privilege Order, at sec. 9. The Debtor has thus withheld this document from production for the express purpose of ensuring that he is preserving, and not waiving, any privilege that he may have to assert against production or disclosure of the same document in the UK Action. | |-------------------------|---------|------------------|-------|-----------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------|-----------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | BR_ KWOK 00011133 | 5/10/22 | Brown Rudnick | Email | William R. Baldaga, Esq., Melissa Francis, Esq., Bennett Silverberg, Esq., Jeffrey Jonas, Esq., taxelrod@ brownrudnick.c | Advice concerning effect of dismissal of bankruptcy case on future bankruptcy | Attorney-Client | The privileged advice in the redacted portion of the email does not relate to Investigation Topics as that term is defined in the Privilege Order and no showing of personal harm is required to withhold the document |

#### Case 22-50073 Doc 1061-1 Filed 11/02/22 Entered 11/02/22 16:17:29 Page 12 of 12

| om (BCC), | filings. | on the basis of attorney | |---------------|-------------|--------------------------| | kaulet@brownr | (requires | client privilege. | | udnick.com | redaction). | | | (BCC) | | |