郭文贵破产案 · ORDER · ECF #1067

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

In re:

HO WAN KWOK,

Chapter 11

Case No: 22-50073 (JAM)

Debtor.

## **THE DEBTOR'S CLAWBACK NOTICE**

Pursuant to the Bankruptcy Court's October 13, 2022, Order Granting Motion for Entry of Order Authorizing Compliance with Rule 2004 Subpoenas and Enforcing Consent Order Regarding Control of Attorney-Client Privilege and Work Product Protection Related to Rule 2004 Subpoenaed Documents and Information [ECF 962] (the "Order"), the Debtor, Ho Wan Kwok, by and through his undersigned counsel, hereby gives notice that he is exercising his rights under the Order and Fed. R. Civ. P. 26(b)(5)(B), as incorporated into the Order, to clawback documents produced to the Trustee by Brown Rudnick as identified on the attached Clawback Log, Documents of Brown Rudnick.[1](#page-0-0) Pursuant to Fed. R. Civ. P. 26(b)(5)(B) upon receipt of this written notice the Trustee "must promptly return, sequester, or destroy the specified information [on the Clawback Log] and any copies [he] has; must not use or disclose the information until the claim is resolved; [and] must take reasonable steps to retrieve the information if [he has] disclosed it before being notified; . . .".

<span id="page-0-0"></span>¹ The Debtor files his Debtor's Clawback Notice along with the attached Clawback Log to both provide notice to the Trustee of the Debtor's exercise of his clawback rights and in compliance with the Order's requirement that the Debtor file on the docket a log identifying clawed back documents within two (2) days of the Debtor providing the Trustee notice of clawback.

The Debtor gives further notice that he has provided the Trustee with a redacted copy of the document listed on the Clawback Log as Bates stamped BR\_KWOK 00035993 to replace the non-redacted copy that has been clawed back. [2](#page-1-0)

>

Dated at Bridgeport, Connecticut this 3rd day of November, 2022.

# **THE DEBTOR, HO WAN KWOK**

*/s/ James M. Moriarty* James M. Moriarty (ct21876) 10 Middle Street, 15th Floor Bridgeport, Connecticut 06604 Telephone: (203) 368-4234 Facsimile: (203) 368-5467 Email: [jmoriarty@zeislaw.com](mailto:jmoriarty@zeislaw.com)

<span id="page-1-0"></span>² The Debtor's counsel's review of documents produced to the Trustee by Brown Rudnick pursuant to the Order is ongoing. The Debtor reserves his right to clawback additional documents should the ongoing review reveal additional documents that are subject to clawback in accordance with the terms of the Order.

#### **CERTIFICATE OF SERVICE**

I hereby certify that on this 3rd day of November, 2022, a copy of foregoing was filed electronically. Notice of this filing will be sent by e-mail to all parties by operation of the Court's electronic filing system or by mail to anyone unable to accept electronic filing as indicated on the Notice ofElectronic Filing. Parties may access this filing through the Court's CM/ECF System.

> */s/ James M. Moriarty* James M. Moriarty

## <span id="page-3-0"></span>**UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**

| __________________________________________ | | | | |---------------------------------------------|---------|---|-------------------------| | | | : | | | In re | | : | Chapter 11 | | | | : | | | HO WON KWOK, | | : | Case No. 22-50073 (JAM) | | | | : | | | | Debtor. | : | November 3, 2022 | | __________________________________________: | | | |

## **CLAWBACK LOG, DOCUMENTS OF BROWN RUDNICK**

| Bates | Date | Custodian | Type of<br>Document | Parties | Subject | Claimed<br>Privilege | Personal Harm | |-----------------------------------------------------|----------|------------------|---------------------|------------------------------------------------------------------------------------------------------------------------|-----------------------|--------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | BR_<br>KWOK<br>00032126;<br>BR_<br>KWOK<br>00040982 | 10/19/21 | Brown<br>Rudnick | Agreement | Golden Spring<br>(New York)<br>Ltd., Kwok Ho<br>Wan, Ace<br>Decade<br>Holdings<br>Limited and<br>Dawn State<br>Limited | Litigation<br>Funding | Attorney-Work<br>1<br>Product. | The withheld document<br>relates to an action<br>pending in the United<br>Kingdom styled Kwok<br>Ho Wan v. UBS AG,<br>Claim No. CL-2020-<br>000345 (High Court of<br>Justice Business and<br>Property Courts of<br>England and<br>Wales<br>Commercial Court)<br>(the<br>"UK Action"). 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).

| | | | 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<br>that he is | | | | | preserving, and not | | | | | waiving, any privilege | | | | | that he may have to | | | | | assert against production | | | | | or disclosure<br>of the | | | | | same document in the | | | | | UK Action. | | | | | |

| BR_ | 5/10/22 | Brown | Email | William R. | Advice | Attorney-Client | The privileged advice in | |----------|---------|---------|-------|------------------|-------------|-----------------|----------------------------| | KWOK | | Rudnick | | Baldaga, Esq., | concerning | | the redacted portion of | | 00035993 | | | | Melissa Francis, | effect of | | the email does not relate | | | | | | Esq., Bennett | dismissal | | to Investigation Topics | | | | | | Silverberg, | of | | as that term is defined in | | | | | | Esq., Jeffrey | bankruptcy | | the Privilege Order and | | | | | | Jonas, Esq., | case on | | no showing of personal | | | | | | taxelrod@ | future | | harm is required to | | | | | | brownrudnick.c | bankruptcy | | withhold the document | | | | | | om (BCC), | filings. | | on the basis of attorney | | | | | | kaulet@brownr | (requires | | client privilege. | | | | | | udnick.com | redaction). | | | | | | | | (BCC) | | | |