Guo Wengui / Miles Guo — bankruptcy case · ORDER · ECF #2249

METADATA

Defendant: Guo Wengui / Miles Guo / Ho Wan Kwok
Court: CTB
Case No.: 22-50073
ECF #: 2249
Type: ORDER
Filed: 2022-07-06

FULL TEXT

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

| ----------------------------------------------------------- x | | | | | |------------------------------------------------------------------|--------|-------------------------|--|--| | In re: | : : | Chapter 11 | | | | 1 HO WAN KWOK, et al., | : : | Case No. 22-50073 (JAM) | | | | Debtors. | : : | (Jointly Administered) | | | | ----------------------------------------------------------- | : x | | | |

# **SEVENTH SUPPLEMENTAL OMNIBUS MOTION OF CHAPTER 11 TRUSTEE FOR ENTRY OF ORDER UNDER BANKRUPTCY RULE 2004 AND LOCAL RULE 2004-1 AUTHORIZING DISCOVERY WITH RESPECT TO ADDITIONAL RELEVANT BANKS**

Luc A. Despins, in his capacity as the Chapter 11 Trustee (the "Trustee") appointed in the above-captioned chapter 11 case (the "Case") of Ho Wan Kwok (the "Debtor"), by and through his undersigned counsel, 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 certain banks and financial institutions at which the Trustee believes the Debtor and Related Persons conducted business relevant to the estate (the "Banks" or "Examinees") of the Debtor, as such Examinees are identified in **Exhibit B**, attached hereto, in the Case. **Please take notice that the deadline to object to this Application is October 17, 2023, and in the absence of a timely filed objection, the proposed order filed**

1 The Debtors in these chapter 11 cases are Ho Wan Kwok (also known as Guo Wengui, Miles Guo, and Miles Kwok, as well as numerous other aliases) (last four digits of tax identification number: 9595), Genever Holdings LLC (last four digits of tax identification number: 8202) and Genever Holdings Corporation. The mailing address for the Trustee, Genever Holdings LLC, and the Genever Holdings Corporation is Paul Hastings LLP, 200 Park Avenue, New York, NY 10166 c/o Luc A. Despins, as Trustee for the Estate of Ho Wan Kwok (solely for purposes of notices and communications).

**herewith as Exhibit A (the "Proposed Order") may enter without further notice and hearing**. In support of his Application, the Trustee respectfully states as follows:

# **PRELIMINARY STATEMENT**

1. The Trustee, in furtherance of his duties and responsibilities under the order authorizing the appointment of a chapter 11 trustee dated July 6, 2022, (*See* ECF. No. 465, at 14, hereinafter referred to as the "Trustee Order"), continues his investigation into the Debtor's financial and business affairs to determine whether additional estate assets exist and to recover upon those assets for the benefit of the Debtor's estate.

2. The Trustee's investigation has identified more entities with possible knowledge of the Debtor's assets and financial activities, and the Trustee seeks to further his investigation through additional Bankruptcy Rule 2004 discovery of these Examinees.

3. The Trustee believes that the Examinees have access to and understandings of information relating to the Debtor's assets, financial affairs, and potential financial interests in various corporate entities related to the Debtor, his family, or his associates.

4. The Trustee has submitted several Bankruptcy Rule 2004 motions granted by the Court, including one directed at legal and financial firms believed to have advised the Debtor and related entities and individuals (ECF No. 637, the "Advisors 2004 Motion"), one directed at entities and individuals believed to be affiliated with, controlled by, or otherwise connected to the Debtor (the "Affiliates 2004 Motion"), the Trustee's First Supplemental Omnibus Motion dated September 7, 2022 (the "First Omnibus Motion"), the Trustee's Second Supplemental Omnibus Motion dated November 18, 2022 (the "Second Omnibus Motion"), the Trustee's Third Supplemental Omnibus Motion dated December 21, 2022 (the "Third Omnibus Motion,"), the Trustee's Fourth Supplemental Omnibus Motion dated March 24, 2023 (the "Fourth Omnibus Motion"), the Trustee's Fifth Supplemental Omnibus Motion dated May 15, 2023 (the "Fifth Omnibus Motion") and the Trustee's Sixth Supplemental Omnibus Motion dated August 11, 2023 (the "Sixth Omnibus Motion," and, together with the Advisors 2004 Motion, the Affiliates 2004 Motion, the First Omnibus Motion, the Second Omnibus Motion, the Third Omnibus Motion, the Fourth Omnibus Motion, and the Fifth Omnibus Motion, collectively, the "2004 Motions"), which was granted by Court order dated September 19, 2023 (*see* ECF No. 2210). The discovery requested herein will supplement and augment inquiries the Trustee has already begun, as well as open additional avenues of investigation and potential discovery of assets.

5. In the interest of brevity, the Trustee incorporates the 2004 Motions herein by reference and makes them a part hereof. All capitalized terms not defined herein shall have the meanings ascribed to them in the 2004 Motions.

# **JURISDICTION AND VENUE**

6. 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.

7. This Application is a core proceeding pursuant to, *inter alia*, 28 U.S.C. § 157(b)(2) (A), (E), and (F).

## **THE EXAMINEES**

8. The Examinees are additional banks that may have material information concerning the Debtor's assets and financial condition. It has been reported to the Trustee that the Debtor, along with entities and individuals linked to the Debtor, have done business at multiple banking and financial institutions, which may include Related Persons and transactions described in the 2004 Motions. The Trustee believes these institutions may possess information and documents related to the Debtor's commercial activities and other conduct concerning assets, liabilities, or financial interests potentially relevant to the administration of the Debtor's estate, and may hold assets of the Debtor. These Banks, and their connections to the Debtor and his affiliates, are:

- a. **Community Federal Savings Bank**, at which the Trustee understands the Debtor's Son held an account; - b. **Evolve Bank & Trust**, at which the Trustee understands Lamp Capital LLC (with respect to which 2004 discovery was granted in connection with the Affiliates 2004 Motion) held an account; - c. **First County Bank**, at which the Trustee understands HCHK Property Management Inc. held an account; - d. **Flagstar Bank, N.A.** and/or **Signature Bank, N.A.**, 2 where the Trustee understand the escrow funds (which Hong Kong International Funds Investments (USA) Limited, LLC ("HK USA") posted as a bond in connection with the Lady May) were transferred from; - e. **Trustco Bank,** at which the Trustee understands HCHK Property Management Inc. and Lexington Property and Staffing Inc. held accounts; - f. **Webster Financial Corporation** (d/b/a **Sterling National Bank**),3 at which, among others, the Debtor and Debtor's Daughter affiliated entity Gypsy Mei Food Services LLC held an account.

2 Flagstar Bank acquired substantially all of Signature Bank's deposits, and certain of its loan portfolios, in March 2023.

3 Webster Financial Corporation (d/b/a Sterling National Bank) ("Webster") has also previously been served with a subpoena (the "Webster GL Subpoena") requesting production of documents in connection with the Trustee's action against Greenwich Land and Hing Chi Ngok, *Despins v. Greenwich Land et al.* (Adv. Proc. Case No. 23- 05005). To the extent the subpoena of Webster attached to this Motion (the "Webster 2004 Subpoena") seeks information or documents which Webster has already produced in connection with the Webster GL Subpoena, Webster need not produce such information and documents to the Trustee in response to the Webster 2004 Subpoena.

## **RELIEF REQUESTED**

9. The Trustee seeks entry of an order, in substantially the form of the Proposed Order, pursuant to Bankruptcy Rule 2004(a) and Local Rule 2004-1, authorizing the Trustee to conduct the examination of the Examinees included on Exhibit B.

# **BASIS FOR RELIEF REQUESTED**

10. 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).

11. "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)).

12. 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.

13. The areas for inquiry herein are part of the Trustee's ongoing investigative efforts. As the investigation evolves, new avenues of inquiry become apparent and the need for additional discovery of persons, entities and areas of inquiry arises. Based on all the facts and evidence discussed above and as contained in the 2004 Motions, the Trustee seeks the investigative tools afforded by Rule 2004 to further establish the true ownership of assets and to explore other potential assets about which the Trustee does not yet have knowledge.

14. The Trustee requests that, in furtherance of his examinations, the Court direct the Examinees to provide documentation to the Trustee's counsel, as requested in the forms annexed hereto4 and made a part hereof (the "Proposed Subpoenas"), within thirty (30) days of the service of a subpoena, substantially similar in form and substance to the Proposed Subpoenas, or such other time as agreed upon by the Trustee. These requests seek documents consisting of, among other things, the Examinees' communications with the Debtor regarding his financial condition, asset transfers, and corporate governance issues. The requests also seek the Examinees' internal files and correspondence on these same topics.

4 Included in Exhibit B is an index of Proposed Subpoenas that would be served on the Examinees if this Motion is granted. The Trustee also attaches hereto as **Exhibits C-1 to C-6** the individualized Proposed Subpoenas, including the topics for discovery directed to each Examinee, which are substantially similar in form and substance.

15. The type of discovery that the Trustee will obtain from Examinees is well within the scope of Bankruptcy Rule 2004. 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); *In re Horvath*, No. 13-34137, 2015 WL 2195060 (Bankr. N.D. Ohio May 7, 2015) (approving discovery related to claims on schedule of assets permissible from individual debtor where obtaining such discovery might increase the value of the debtor's estate).

16. The Trustee submits that the facts set forth above constitute sufficient cause for the Court to order the production of documents pursuant to Rule 2004 from the Examinees. Although the Debtor is a necessary source of information and documents to help the Trustee uncover estate assets, seeking discovery from other parties, including the Examinees, is likely to significantly reduce the costs the estate would otherwise incur in identifying and recovering estate property. Indeed, documents in the possession of the Examinees could be among the most valuable to the Trustee's investigation.5

17. 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).

18. No party in interest, including the Debtor, shall suffer undue prejudice upon the granting of the relief sought in this Application.

5 The Trustee also requests authority to serve the Proposed Subpoenas on affiliates or subsidiaries of the Examinees if in the course of the Trustee's investigation it is determined that such affiliates and subsidiaries of the Examinees are the parties in control of documents relating to the Examinees that are relevant to the Trustee's investigation.

# **NO PRIOR REQUEST**

19. No prior application for the relief requested herein has been made. The Trustee filed the prior 2004 Motions, including the Sixth Omnibus Motion, which the Court granted; however, those prior motions did not request to take discovery from the Examinees at issue here.

# **OBJECTION DEADLINE**

20. The deadline to object to this Application is **October 17, 2023**, and in the absence of a timely filed objection, the Proposed Order may enter without further notice and hearing.

*[The rest of this page is intentionally blank.]*

WHEREFORE, 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 the Examinees, and directing the production of certain documents as set forth in the Requests for Production of Documents attached to the Proposed Subpoenas, and for such other and further relief as the Court may deem just and proper.

Dated: October 10, 2023 LUC A. DESPINS,

New Haven, Connecticut CHAPTER 11 TRUSTEE

By: */s/ Patrick R. Linsey* Douglas S. Skalka (ct00616) Patrick R. Linsey (ct29437) NEUBERT, PEPE & MONTEITH, P.C. 195 Church Street, 13th Floor New Haven, Connecticut 06510 (203) 781-2847 dskalka@npmlaw.com plinsey@npmlaw.com

*Counsel for the Chapter 11 Trustee*

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

| ----------------------------------------------------------- x | | | | | |------------------------------------------------------------------|----------------------------------------|--|--|--| | In re: | : : Chapter 11 | | | | | 1 HO WAN KWOK, et al., | : : Case No. 22-50073 (JAM) : | | | | | Debtors. | : (Jointly Administered) : | | | | | ----------------------------------------------------------- | x | | | |

# **NOTICE OF OBJECTION DEADLINE**

Luc Despins, as the appointed Chapter 11 Trustee to the Debtor's Estate (the "Applicant"), has filed an Application for Rule 2004 Examination of certain corporate entities and banking and financial institutions identified in **Exhibit B** (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 October 17, 2023, in accordance with Fed. R. Bankr. P. 2002(a) and 9014 and Local Bankr. R. 2004-1(c). 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).

[*REMAINDER OF THIS PAGE IS INTENTIONALLY LEFT BLANK*.]

Dated: October 10, 2023 LUC A. DESPINS, New Haven, Connecticut CHAPTER 11 TRUSTEE

By: */s/ Patrick R. Linsey*

Douglas S. Skalka (ct00616) Patrick R. Linsey (ct29437) NEUBERT, PEPE & MONTEITH, P.C. 195 Church Street, 13th Floor New Haven, Connecticut 06510 (203) 781-2847 dskalka@npmlaw.com plinsey@npmlaw.com

*Counsel for the Chapter 11 Trustee*

# **Exhibit A**

**Proposed Order**

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

| ----------------------------------------------------------- x | | | | | |------------------------------------------------------------------|-------------|-------------------------|--|--| | In re: | : : | Chapter 11 | | | | 1 HO WAN KWOK, et al., | : : | Case No. 22-50073 (JAM) | | | | Debtors. | : : : | (Jointly Administered) | | | | ----------------------------------------------------------- | x | | | |

# **[PROPOSED] ORDER GRANTING SEVENTH SUPPLEMENTAL OMNIBUS MOTION OF CHAPTER 11 TRUSTEE FOR ENTRY OF ORDER UNDER BANKRUPTCY RULE 2004 AND LOCAL RULE 2004-1 AUTHORIZING DISCOVERY WITH RESPECT TO ADDITIONAL RELEVANT BANKS**

Upon consideration of the Application seeking an order authorizing a Federal Rule of Bankruptcy Procedure 2004 examination of the Examinees listed on Exhibit B thereto (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

**ORDERED**: The Rule 2004 Motion is granted as set forth below.

**ORDERED**: Neubert, Pepe & Monteith, P.C., as counsel for the Trustee, is hereby authorized to sign Subpoenas in a form substantially similar to the Subpoenas attached to the Rule 2004 Motion as Exhibits C-1 to C-6 and to serve the Subpoenas, along with a copy of this Order, in accordance with Bankruptcy Rule 2004 requiring examination and the production of documents by the Examinees listed on Exhibit B to the Application.

**ORDERED**: Subject to any rights under the Federal Rules of Bankruptcy Procedure, the Federal Rules of Civil Procedure, and applicable Local Rules, and unless otherwise ordered by the Court, the Examinees are 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 an Examinee does not produce any documents requested in the Subpoena on the basis of some privilege, the Examinee is hereby directed to produce to the Trustee a privilege log that comports with Fed. R.

Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 14 of 119

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.

**ORDERED**: The Examinees are hereby directed to ensure that all documents and other information, including without limitation in any electronic format, requested in the Subpoenas or otherwise relevant to the Debtor, his business, assets, liabilities, financial condition, or this Chapter 11 case, are properly maintained, are available for production, inspection and copying, and are not destroyed.

**ORDERED**: Neubert, Pepe & Monteith, P.C., as counsel for the Trustee, is hereby authorized, without further order of this Court, to take the testimony of one or more representatives of any Examinee listed on Exhibit B to the Application by examination under Bankruptcy Rule 2004 either at the offices of Neubert, Pepe & Monteith, 195 Church Street, 13th Floor, New Haven, CT 06510, 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 proposed examinee in compliance with the Subpoena and this Order pursuant to Bankruptcy Rule 2004, and such examination shall continue from day to day until completed.

Dated: \_\_\_\_\_\_\_\_\_\_\_, 2023

Julie A. Manning, United States Bankruptcy Judge

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

# **Exhibit B**

| Discovery Party | Address | Subpoena Index | |-------------------------|--------------------------------------------|----------------| | Community Federal | Five Penn Plaza | Exhibit C-1 | | Savings Bank | 14th Floor | | | | New York, New York 10001 | | | | | | | | | | | Evolve Bank and Trust | 123 Main Street | Exhibit C-2 | | | Parkin, AR 72373 | | | | | | | | c/o Corporate Service Company | | | | 2908 Poston Avenue | | | | Nashville, TN 37203 | | | First County Bank | 117 Prospect Street | Exhibit C-3 | | | Stamford, CT, 06901 | | | | | | | | c/o Winship Service Corporation | | | | c/o Shipman & Goodwin LLP | | | | One Constitution Plaza | | | | Hartford, CT, 06103-1919 | | | Signature Bank, N.A. | Signature Bank, N.A. | Exhibit C-4 | | and/or | C/O CSC - Lawyers Incorporating Service | | | Flagstar Bank, N.A. | 251 Little Falls Drive | | | | Wilmington, DE 19808 | | | | Flagstar Bank | | | | c/o Corporation Service Corporation | | | | 1201 Hays Street | | | | Tallahassee, FL 32301 | | | Trustco Bank | 5 Sarnowski Drive | Exhibit C-5 | | | Glenville, NY 12302 | | | | Attn: Michael Hall | | | | | | | | | | | | | | | Webster Financial | c/o Corporation Service Corporation | Exhibit C-6 | | Corporation (d/b/a | 251 Little Falls Drive | | | Sterling National Bank) | Wilmington, DE 19808 | | | | | | | | | |

# Exhibit C-1

#### B2540 (Form 2540 – Subpoena for Rule 2004 Examination) (12/15) Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 18 of

119

UNITED STATES BANKRUPTCY COURT

**District of Connecticut**

In re HO WAN KWOK, *et al*.,

1 Case No. 22-50073 (JAM)

Debtor Chapter 11

(Jointly Administered)

# **SUBPOENA FOR RULE 2004 EXAMINATION**

To: **Community Federal Savings Bank**

(*Name of person to whom the subpoena is directed*)

*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.

| PLACE | DATE AND TIME | |--------------------------------|---------------| | Neubert, Pepe & Monteith, P.C. | | | 195 Church Street | [TBD] | | 13th Floor | | | New Haven, CT 06510 | | | | |

The examination will be recorded by this method: **Court reporter/stenographer**

*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:

## **See Requests for Production of Documents, attached hereto.**

The 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.

Date: **October , 2023**

CLERK OF COURT

*Signature of Clerk or Deputy Clerk Attorney's signature*

The name, address, email address, and telephone number of the attorney representing Luc A. Despins, Chapter 11 Trustee, who issues or requests this subpoena, are:

**Patrick R. Linsey, Esq.; Neubert, Pepe & Monteith, P.C.; 195 Church Street, 13th Floor, New Haven, Connecticut 06510 plinsey@npmlaw.com; (203) 781-2847**

## **Notice to the person who issues or requests this subpoena**

If 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).

Software Copyright (c) 1996-2022 Best Case, LLC - www.bestcase.com Best Case Bankruptcy 1 The Debtors in these chapter 11 cases are Ho Wan Kwok (also known as Guo Wengui, Miles Guo, and Miles Kwok, as well as numerous other aliases) (last four digits of tax identification number: 9595), Genever Holdings LLC (last four digits of tax identification number: 8202) and Genever Holdings Corporation. The mailing address for the Trustee, Genever Holdings LLC, and the Genever Holdings Corporation is Paul Hastings LLP, 200 Park Avenue, New York, NY 10166 c/o Luc A. Despins, as Trustee for the Estate of Ho Wan Kwok (solely for purposes of notices and communications).

| Case 22-50073 Doc 2249 Filed 10/10/23 | | Entered 10/10/23 12:50:15 | Page 19 of | |-------------------------------------------------------------------------|-----|---------------------------|------------| | B2540 (Form 2540 – Subpoena for Rule 2004 Examination) (12/15) (Page 2) | | | | | | 119 | | |

## **PROOF OF SERVICE**

**(This section should not be filed with the court unless required by Fed. R. Civ. P. 45.)**

I received this subpoena for (*name of individual and title, if any*): on (*date*) .

I served the subpoena by delivering a copy to the named person as follows:

on *(date)* ; or

I returned the subpoena unexecuted because:

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 \$ .

I declare under penalty of perjury that this information is true and correct.

Date:

*Server's signature*

*Printed name and title*

*Server's address*

Additional information concerning attempted service, etc.:

## **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)**

#### **(c) Place of compliance.**

*(1) For a Trial, Hearing, or Deposition.* A subpoena may command a person to attend a trial, hearing, or deposition only as follows:

(A) within 100 miles of where the person resides, is employed, or regularly transacts business in person; or

(B) within the state where the person resides, is employed, or regularly transacts business in person, if the person

(i) is a party or a party's officer; or

(ii) is commanded to attend a trial and would not incur substantial expense.

*(2) For Other Discovery.* A subpoena may command:

(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

(B) inspection of premises, at the premises to be inspected.

## **(d) Protecting a Person Subject to a Subpoena; Enforcement.**

*(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.

## *(2) Command to Produce Materials or Permit Inspection.*

*(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.

*(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:

(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.

(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.

## *(3) Quashing or Modifying a Subpoena.*

*(A) When Required.* On timely motion, the court for the district where compliance is required must quash or modify a subpoena that:

(i) fails to allow a reasonable time to comply;

(ii) requires a person to comply beyond the geographical limits specified in Rule 45(c);

(iii) requires disclosure of privileged or other protected matter, if no exception or waiver applies; or

(iv) subjects a person to undue burden.

*(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:

(i) disclosing a trade secret or other confidential research, development, or commercial information; or

(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.

(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:

(i) shows a substantial need for the testimony or material that cannot be otherwise met without undue hardship; and

(ii) ensures that the subpoenaed person will be reasonably compensated.

#### **(e) Duties in Responding to a Subpoena.**

*(1) Producing Documents or Electronically Stored Information.* These procedures apply to producing documents or electronically stored information:

*(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.

*(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.

*(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.

*(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.

#### *(2) Claiming Privilege or Protection.*

*(A) Information Withheld.* A person withholding subpoenaed information under a claim that it is privileged or subject to protection as trial-preparation material must: (i) expressly make the claim; and

(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.

*(B) Information Produced.* If information produced in response to a subpoena is subject to a claim of privilege or of protection as trial-preparation 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.

**(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.

For access to subpoena materials, see Fed.R.Civ.P.45(a) Committee Note (2013)

…

# **Request for Production of Documents**

# **I. INSTRUCTIONS**

1. 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.

2. Electronically stored information must be produced in accordance with the

following instructions:

- 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. - b. Image Load File - 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

name of the native file. The native file must be named after the FIRSTBATES.

- 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. - 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. - 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. - 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. - 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)

Date fields should be provided in the format: mm/dd/yyyy. Date and time fields must be two separate fields. Required metadata listed below:

| Field Name | Sample Data | Description | |--------------|--------------------------|----------------------------------------------------------------------------------------------| | FIRSTBATES | EDC0000001 | First Bates number of native file document/email | | LASTBATES | EDC0000001 | Last Bates number of native file document/email **The LASTBATES field should be populated | | | | for single page | | ATTACHRANGE | EDC0000001 - | Bates number of the first page of the parent | | | EDC0000015 | document to the Bates number of the last page of | | | | the last attachment "child" document | | BEGATTACH | EDC0000001 | First Bates number of attachment range | | ENDATTACH | EDC0000015 | Last Bates number of attachment range | | CUSTODIAN | Smith, John | Email: Mailbox where the email resided | | | | Native: Name of the individual or department | | | | from whose files the document originated | | FROM | John Smith | Email: Sender | | | | Native: Author(s) of document | | | | **semi-colon should be used to separate | | | | multiple entries | | TO | Coffman, Janice; LeeW | Recipient(s) | | | [mailto:LeeW@MSN.com] | **semi-colon should be used to separate multiple | | | | entries | | CC | Frank Thompson [mailto: | Carbon copy recipient(s) | | | frank_Thompson@cdt.com] | **semi-colon should be used to separate | | | | multiple entries | | BCC | John Cain | Blind carbon copy recipient(s) | | | | **semi-colon should be used to separate | | | | multiple entries | | SUBJECT | Board Meeting Minutes | Email: Subject line of the email Native: Title | | | | of document (if available) | | FILE_NAME | BoardMeetingMinutes.docx | Native: Name of the original native file, | | | | including extension | | DATE_SENT | 10/12/2010 | Email: Date the email was sent | | | | Native: (empty) | | TIME_SENT/ | 07:05 PM GMT | Email: Time the email was sent/ Time zone in | | TIME_ZONE | | which the emails were standardized | | TIME_ZONE | GMT | The time zone in which the emails were | | | | standardized during conversion. | | LINK | EDC0000001.msg | Hyperlink to the email or native file document | | | | **The linked file must be named per the | | | | FIRSTBATES number | | FILE_EXTEN | MSG | The file type extension | | | | representing | | | | the Email or | | AUTHOR | John Smith | Email: (empty) | | | | Native: Author of the document | | DATE_CREATED | 10/10/2010 | Email: (empty) | | | | Native: Date the document was created |

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| TIME_CREATED | 10:25 AM | Email: (empty) | |--------------|---------------------------|-------------------------------------------------| | | | Native: Time the document was created | | | | **This data must be a separate field and cannot | | | | be combined with the DATE_CREATED field | | | | | | DATE_MOD | 10/12/2010 | Email: (empty) | | | | Native: Date the document was last modified | | TIME_MOD | 07:00 PM | Email: (empty) | | | | Native: Time the document was last modified | | | | **This data must be a separate field and cannot | | | | be combined with the DATE_MOD field | | DATE_ACCESSD | 10/12/2010 | Email: (empty) | | | | Native: Date the document was last accessed | | TIME_ACCESSD | 07:00 PM | Email: (empty) | | | | Native: Time the document was last accessed | | | | **This data must be a separate field and cannot | | | | be combined with the DATE_ACCESSD field | | FILE_SIZE | 5,952 | Size of native file document/email in KB | | PGCOUNT | 1 | Number of pages in native file document/email | | PATH | | Email: (empty) | | | Agenda.doc | Native: Path where native file document was | | | | stored including original file name. | | INTFILEPATH | Personal Folders\Deleted | Email: original location of email including | | | Items\Board Meeting | original file name. | | | Minutes.msg | Native: (empty) | | INTMSGID | <000805c2c71b\$75977050\$ | Email: Unique Message ID Native: (empty) | | | cb8306d1@MSN> | | | MD5HASH | d131dd02c5e6eec4693d9a0 | MD5 Hash value of the document. | | | 698aff95c | | | | 2fcab58712467eab4004583e | | | | b8fb7f89 | | | OCRPATH | TEXT/001/EDC0000001.txt | Path to extracted text of the native file |

3. Each Request operates and should be construed independently and, unless otherwise indicated, no Request limits the scope of any other Request.

4. 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.

5. 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,

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 25 of 119

including Your counsel or other representatives and advisors. Each Document shall be produced in its entirety.

6. 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.

7. 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.

8. 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

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 26 of 119

such 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). For any part of a Document Request as to which a claim of privilege or work product is not made, responsive documents should be provided in full.

9. 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.

10. 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

11. 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.

12. All references to Entities includes all affiliates thereof.

13. All references to individual names include all alternative names, aliased, or nicknames.

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14. 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.

# **II. RULES OF CONSTRUCTION**

15. 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 other tenses.

16. 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."

# **III. DEFINITIONS**

The 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:

1. "You" or "Your" or "Yourself" means and refers, to Community Federal Savings Bank together with all of its affiliates, divisions, agencies, instrumentalities, departments, offices, partners, officers, directors, agents, attorneys, representatives, employees, and/or anyone acting on its behalf.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 28 of 119

2. "Debtor" means Ho Wan Kwok (a/k/a Miles Kwok, Miles Guo, Guo Wengui, Guo Haoyun, 郭文贵, or any other alias), together with his employees, agents, counsel, advisors, or anyone acting on his behalf.

3. "Debtor's Son" means Qiang Guo (a/k/a Mileson Kwok, 郭强, or any other alias), together with his employees, agents, counsel, advisors, or anyone acting on his behalf.

4. "Debtor's Daughter" means Mei Guo (a/k/a Mei Gui, 郭美, or any other alias), together with her employees, agents, counsel, advisors, or anyone acting on her behalf.

5. "Debtor's Purported Wife" means Hing Chi Ngok (a/k/a Hing Chi Ng, Yue Qingzhi, 岳庆芝, or any other alias), together with her employees, agents, counsel, advisors, or anyone acting on her behalf.

6. "Debtor's Family" means, individually and 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.

7. "2004 Discovery Targets" means, individually and collectively, the Debtor, the Debtor's Family, 17 Miles, LLC, ACA Capital Group Limited, Ace Decade Holdings Limited, AI Group Holdings Inc., Ana C. Izquiedo-Henn, Booming Sail New York LLC, Bingshang Jiao, Bravo Luck Limited, Brent Petro Inc., Crane Advisory Group, Daniel Thomas Podhaskie, Defeng Cao, Eastern Profit Corporation Limited, Genever Holdings Corporation, Genever Holdings LLC, Gettr USA, Inc., Gnews Media Group Inc., G Fashion LLC, Gmusic LLC, Gnews LLC, Geducation, GFNY, Inc., G-Club Investments Limited, G Club Operations LLC, G Club US Operations Inc., G Club US Operations LLC, G Club One, G Club Two, G Club Three, G Live, LLC, Gbroadcast, LLC, Golden Spring (New York) Ltd., Gposts LLC, GTV Media Group, Inc., Gypsy Mei Food Service LLC, Gypsy Mei Productions LLC, Gypsy Mei 27 Vestry, Inc., Dawn

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 29 of 119

State Limited, Greenwich Land LLC, Hamilton Capital Holdings Inc., GS Security Solutions Inc., Han Chunguang, HCHK Property Management, Inc., HCHK Technologies, Inc., HK International Funds Investments (USA) Limited LLC, Freedom Media Ventures Ltd., FungWan Trading Inc., Himalaya New World Inc., Himalaya International Financial Group Ltd., Himalaya International Clearing Ltd., Himalaya International Payments Ltd., Himalaya International Reserves Ltd., Himalaya Ventures LLC, Himalaya Investment LLC, Hudson Diamond Holding, Inc., Hudson Diamond Holding LLC, Hudson Diamond NY LLC, Huk Trading Inc., Infinity Treasury Management Inc., Jesse Brown, Jiaming Liu, Joyord Sportswear Limited, Karin Maistrello, Lamp Capital LLC, Leading Shine NY Ltd., Lexington Property and Staffing, Inc., Linwan "Irene" Feng, Limarie Reyes, Lihong "Sara" Wei Lafrenz, Macaron Limited, Mary Jiang, MOS Himalaya LLC, Maywind Trading LLC, New York MOS Himalaya LLC, Nicholas Savio, Nodal Partners, LLC, Oasis Tech Limited, Pixshow Film Inc., Qu Guo Jiao, Roscalitar 2, Ross Heinemeyer, Rule of Law Society IV Inc., Rule of Law Foundation III, Inc., Rule of Law Fund, Saraca Media Group Inc., Savio Law LLC, Scott Barnett, Sirius Networking Inc., US Himalaya Capital Inc., V.X. Cerda & Associates P.A., Victor Cerda, Voice of Guo Media, Inc., Wencong Wang, William Je, Yongbing Zhang, Yue Zhou, Yvette Wang (a/k/a Yanping Wang, a/k/a Yan Ping Wang), Zhixuan Li, and Zhuoer "Joe" Wang.

8. "Including" or any variant thereof means "including without limitation."

9. "And" and "or" mean "and/or," and shall be construed both conjunctively as well as disjunctively in order to maximize their scope.

10. "Any" and "all" and "each" mean "each and every."

11. "Each" and "every" mean "each and every."

12. "Third Party" means a Person or Entity other than Yourself.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 30 of 119

13. "Transfer" shall have the meaning given to it by section 101(54) of the Bankruptcy Code.

14. "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, 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 compilations of any kind, telexes, facsimiles, emails, text messages, instant messages, 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, punch-cards, 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.

15. "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.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 31 of 119

16. "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 counsel, financial advisors, or any other representative.

17. "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.

18. "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, embodies, reflects, identifies, states, refers directly or indirectly to, or is in any way relevant to the particular subject matter identified.

19. "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, postings to a message board or group chat, social media posts, tweets, videos uploaded to any video platform, telephonic notes, or notes transmitted internally or with third parties.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 32 of 119

20. "Asset(s)" means any item of economic value that is subject to Possession, Custody, or Control. Asset includes all real and personal property, including but limited to, real estate, land, houses, apartments, condominiums, automobiles, yachts, boats, planes, jets, helicopters, cash, bank accounts, cryptocurrencies, securities, accounts receivables, inventory, and other tangible and intangible property.

# **IV. DOCUMENTS TO BE PRODUCED**

1. All Documents related to any account held by, controlled by, on behalf of, or otherwise related to the Debtor's Son, Lamp Capital LLC, or Rising Sun Capital Ltd., including any and all account statements, authorizations, power of attorney, trusts, instructions or forms, copies of cancelled checks, correspondence, and wire transfers and related correspondence and instructions.

2. All Documents related to any funds, securities, property, or assets belonging to, held by, controlled by, on behalf of, or otherwise related to the Debtor's Son, Lamp Capital LLC, or Rising Sun Capital Ltd., including any and all account statements, authorizations, powers of attorney, trusts, instructions or forms, copies of cancelled checks, correspondence, and wire transfers and related correspondence and instructions.

3. All Documents relating to any wire transfer activity relating to the Debtor's Son, Lamp Capital LLC, or Rising Sun Capital Ltd., regardless of the existence of any accounts, including but not limited to all wire transfer receipts, account numbers, balances, authorizations, identification information related to the parties to the transfer, correspondence, instructions, or other records.

4. All Documents related to any account held by, controlled by, on behalf of, or otherwise related to any of the 2004 Discovery Targets, including any and all account statements,

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 33 of 119

authorizations, power of attorney, trusts, instructions or forms, copies of cancelled checks, correspondence, and wire transfers and related correspondence and instructions.

5. All Documents related to any funds, securities, property, or assets belonging to, held by, controlled by, on behalf of, or otherwise related to any of the 2004 Discovery Targets, including any and all account statements, authorizations, powers of attorney, trusts, instructions or forms, copies of cancelled checks, correspondence, and wire transfers and related correspondence and instructions.

6. All Documents related to any business, commerce or financial transactions, including but not limited to any loan, line of credit, bailment, deposit, swap, securities transactions, mortgage, or ISDA, with any of the 2004 Discovery Targets, including any and all account statements, authorizations, powers of attorney, trusts, instructions or forms, copies of cancelled checks, correspondence, and wire transfers and related correspondence and instructions.

7. All Documents relating to any wire transfer activity relating to the 2004 Discovery Targets, regardless of the existence of any accounts, including but not limited to all wire transfer receipts, account numbers, balances, authorizations, identification information related to the parties to the transfer, correspondence, instructions, or other records.

8. All Documents related to any correspondence and communications between you and the 2004 Discovery Targets.

9. All Documents related to any account with any 2004 Discovery Target relating to opening of the account, authorized users of the account and maintenance of the account.

10. All Documents related to any anti-money laundering, know-your-customer, or other compliance activity relating to any of the 2004 Discovery Targets, including but not limited to any information provided by any of the 2004 Discovery Targets, or learned by You.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 34 of 119

11. All Documents relating to any communications with any regulator from any country, including but not limited to the Bank of England, the United States Federal Reserve, the S.E.C., the CFTC, FINRA, China Securities Regulatory Commission, People's Bank of China, Hong Kong Securities and Futures Commission, and the Hong Kong Monetary Authority relating to any of the 2004 Discovery Targets.

# Exhibit C-2

#### B2540 (Form 2540 – Subpoena for Rule 2004 Examination) (12/15) Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 36 of

119

UNITED STATES BANKRUPTCY COURT

**District of Connecticut**

In re HO WAN KWOK, *et al*.,

1 Case No. 22-50073 (JAM)

Debtor Chapter 11

(Jointly Administered)

# **SUBPOENA FOR RULE 2004 EXAMINATION**

# To: **Evolve Bank and Trust**

(*Name of person to whom the subpoena is directed*)

| PLACE | DATE AND TIME | |--------------------------------|---------------| | Neubert, Pepe & Monteith, P.C. | | | 195 Church Street | [TBD] | | 13th Floor | | | New Haven, CT 06510 | | | | |

The examination will be recorded by this method: **Court reporter/stenographer**

## **See Requests for Production of Documents, attached hereto.**

Date: **October , 2023**

CLERK OF COURT

*Signature of Clerk or Deputy Clerk Attorney's signature*

The name, address, email address, and telephone number of the attorney representing Luc A. Despins, Chapter 11 Trustee, who issues or requests this subpoena, are:

**Patrick R. Linsey, Esq.; Neubert, Pepe & Monteith, P.C.; 195 Church Street, 13th Floor, New Haven, Connecticut 06510 plinsey@npmlaw.com; (203) 781-2847**

## **Notice to the person who issues or requests this subpoena**

| Case 22-50073 Doc 2249 | Filed 10/10/23 | Entered 10/10/23 12:50:15 | Page 37 of | |-------------------------------------------------------------------------|----------------|---------------------------|------------| | B2540 (Form 2540 – Subpoena for Rule 2004 Examination) (12/15) (Page 2) | | | | | | 119 | | |

## **PROOF OF SERVICE**

**(This section should not be filed with the court unless required by Fed. R. Civ. P. 45.)**

I received this subpoena for (*name of individual and title, if any*): on (*date*) .

I served the subpoena by delivering a copy to the named person as follows:

on *(date)* ; or

I returned the subpoena unexecuted because:

My fees are \$ for travel and \$ for services, for a total of \$ .

I declare under penalty of perjury that this information is true and correct.

Date:

*Server's signature*

*Printed name and title*

*Server's address*

Additional information concerning attempted service, etc.:

## **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)**

#### **(c) Place of compliance.**

*(1) For a Trial, Hearing, or Deposition.* A subpoena may command a person to attend a trial, hearing, or deposition only as follows:

(A) within 100 miles of where the person resides, is employed, or regularly transacts business in person; or

(B) within the state where the person resides, is employed, or regularly transacts business in person, if the person

(i) is a party or a party's officer; or

(ii) is commanded to attend a trial and would not incur substantial expense.

#### *(2) For Other Discovery.* A subpoena may command:

(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

(B) inspection of premises, at the premises to be inspected.

## **(d) Protecting a Person Subject to a Subpoena; Enforcement.**

## *(2) Command to Produce Materials or Permit Inspection.*

(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.

(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.

## *(3) Quashing or Modifying a Subpoena.*

*(A) When Required.* On timely motion, the court for the district where compliance is required must quash or modify a subpoena that:

(i) fails to allow a reasonable time to comply;

(ii) requires a person to comply beyond the geographical limits specified in Rule 45(c);

(iii) requires disclosure of privileged or other protected matter, if no exception or waiver applies; or

(iv) subjects a person to undue burden.

*(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:

(i) disclosing a trade secret or other confidential research, development, or commercial information; or

(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.

(i) shows a substantial need for the testimony or material that cannot be otherwise met without undue hardship; and

(ii) ensures that the subpoenaed person will be reasonably compensated.

#### **(e) Duties in Responding to a Subpoena.**

*(1) Producing Documents or Electronically Stored Information.* These procedures apply to producing documents or electronically stored information:

*(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.

#### *(2) Claiming Privilege or Protection.*

For access to subpoena materials, see Fed.R.Civ.P.45(a) Committee Note (2013)

…

# **Request for Production of Documents**

# **I. INSTRUCTIONS**

2. Electronically stored information must be produced in accordance with the

following instructions:

name of the native file. The native file must be named after the FIRSTBATES.

Date fields should be provided in the format: mm/dd/yyyy. Date and time fields must be two separate fields. Required metadata listed below:

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3. Each Request operates and should be construed independently and, unless otherwise indicated, no Request limits the scope of any other Request.

4. 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.

5. 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,

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 43 of 119

including Your counsel or other representatives and advisors. Each Document shall be produced in its entirety.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 44 of 119

12. All references to Entities includes all affiliates thereof.

13. All references to individual names include all alternative names, aliased, or nicknames.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 45 of 119

14. 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.

# **II. RULES OF CONSTRUCTION**

15. 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 other tenses.

# **III. DEFINITIONS**

1. "You" or "Your" or "Yourself" means and refers, to Evolve Bank & Trust together with all of its affiliates, divisions, agencies, instrumentalities, departments, offices, partners, officers, directors, agents, attorneys, representatives, employees, and/or anyone acting on its behalf.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 46 of 119

3. "Debtor's Son" means Qiang Guo (a/k/a Mileson Kwok, 郭强, or any other alias), together with his employees, agents, counsel, advisors, or anyone acting on his behalf.

4. "Debtor's Daughter" means Mei Guo (a/k/a Mei Gui, 郭美, or any other alias), together with her employees, agents, counsel, advisors, or anyone acting on her behalf.

6. "Debtor's Family" means, individually and 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.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 47 of 119

8. "Including" or any variant thereof means "including without limitation."

9. "And" and "or" mean "and/or," and shall be construed both conjunctively as well as disjunctively in order to maximize their scope.

10. "Any" and "all" and "each" mean "each and every."

11. "Each" and "every" mean "each and every."

12. "Third Party" means a Person or Entity other than Yourself.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 48 of 119

13. "Transfer" shall have the meaning given to it by section 101(54) of the Bankruptcy Code.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 49 of 119

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 50 of 119

# **IV. DOCUMENTS TO BE PRODUCED**

1. All Documents related to any account held by, controlled by, on behalf of, or otherwise related to any of the 2004 Discovery Targets, including without limitation Lamp Capital LLC, including any and all account statements, authorizations, power of attorney, trusts, instructions or forms, copies of cancelled checks, correspondence, and wire transfers and related correspondence and instructions.

2. All Documents related to any funds, securities, property, or assets belonging to, held by, controlled by, on behalf of, or otherwise related to any of the 2004 Discovery Targets, including without limitation Lamp Capital LLC, including any and all account statements, authorizations, powers of attorney, trusts, instructions or forms, copies of cancelled checks, correspondence, and wire transfers and related correspondence and instructions.

3. All Documents related to any business, commerce or financial transactions, including but not limited to any loan, line of credit, bailment, deposit, swap, securities transactions, mortgage, or ISDA, with any of the 2004 Discovery Targets, including without limitation Lamp Capital LLC, including any and all account statements, authorizations, powers of attorney, trusts, instructions or forms, copies of cancelled checks, correspondence, and wire transfers and related correspondence and instructions.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 51 of 119

4. All Documents relating to any wire transfer activity relating to the 2004 Discovery Targets, including without limitation Lamp Capital LLC, regardless of the existence of any accounts, including but not limited to all wire transfer receipts, account numbers, balances, authorizations, identification information related to the parties to the transfer, correspondence, instructions, or other records.

5. All Documents related to any correspondence and communications between you and the 2004 Discovery Targets, including without limitation Lamp Capital LLC, .

6. All Documents related to any account with any 2004 Discovery Target, including without limitation Lamp Capital LLC, relating to opening of the account, authorized users of the account and maintenance of the account.

7. All Documents related to any anti-money laundering, know-your-customer, or other compliance activity relating to any of the 2004 Discovery Targets, including without limitation Lamp Capital LLC, including but not limited to any information provided by any of the 2004 Discovery Targets, or learned by You.

8. All Documents relating to any communications with any regulator from any country, including but not limited to the Bank of England, the United States Federal Reserve, the S.E.C., the CFTC, FINRA, China Securities Regulatory Commission, People's Bank of China, Hong Kong Securities and Futures Commission, and the Hong Kong Monetary Authority relating to any of the 2004 Discovery Targets.

# Exhibit C-3

#### B2540 (Form 2540 – Subpoena for Rule 2004 Examination) (12/15) Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 53 of

119

UNITED STATES BANKRUPTCY COURT

**District of Connecticut**

In re HO WAN KWOK, *et al*.,

1 Case No. 22-50073 (JAM)

Debtor Chapter 11

(Jointly Administered)

# **SUBPOENA FOR RULE 2004 EXAMINATION**

To: **First County Bank**

(*Name of person to whom the subpoena is directed*)

| PLACE | DATE AND TIME | |--------------------------------|---------------| | Neubert, Pepe & Monteith, P.C. | | | 195 Church Street | [TBD] | | 13th Floor | | | New Haven, CT 06510 | | | | |

The examination will be recorded by this method: **Court reporter/stenographer**

## **See Requests for Production of Documents, attached hereto.**

Date: **October , 2023**

CLERK OF COURT

*Signature of Clerk or Deputy Clerk Attorney's signature*

The name, address, email address, and telephone number of the attorney representing Luc A. Despins, Chapter 11 Trustee, who issues or requests this subpoena, are:

**Patrick R. Linsey, Esq.; Neubert, Pepe & Monteith, P.C.; 195 Church Street, 13th Floor, New Haven, Connecticut 06510 plinsey@npmlaw.com; (203) 781-2847**

## **Notice to the person who issues or requests this subpoena**

| Case 22-50073 Doc 2249 | Filed 10/10/23 | Entered 10/10/23 12:50:15 | Page 54 of | |-------------------------------------------------------------------------|----------------|---------------------------|------------| | B2540 (Form 2540 – Subpoena for Rule 2004 Examination) (12/15) (Page 2) | | | | | | 119 | | |

## **PROOF OF SERVICE**

**(This section should not be filed with the court unless required by Fed. R. Civ. P. 45.)**

I received this subpoena for (*name of individual and title, if any*): on (*date*) .

I served the subpoena by delivering a copy to the named person as follows:

on *(date)* ; or

I returned the subpoena unexecuted because:

My fees are \$ for travel and \$ for services, for a total of \$ .

I declare under penalty of perjury that this information is true and correct.

Date:

*Server's signature*

*Printed name and title*

*Server's address*

Additional information concerning attempted service, etc.:

## **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)**

#### **(c) Place of compliance.**

*(1) For a Trial, Hearing, or Deposition.* A subpoena may command a person to attend a trial, hearing, or deposition only as follows:

(A) within 100 miles of where the person resides, is employed, or regularly transacts business in person; or

(B) within the state where the person resides, is employed, or regularly transacts business in person, if the person

(i) is a party or a party's officer; or

(ii) is commanded to attend a trial and would not incur substantial expense.

*(2) For Other Discovery.* A subpoena may command:

(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

(B) inspection of premises, at the premises to be inspected.

## **(d) Protecting a Person Subject to a Subpoena; Enforcement.**

## *(2) Command to Produce Materials or Permit Inspection.*

(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.

(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.

## *(3) Quashing or Modifying a Subpoena.*

*(A) When Required.* On timely motion, the court for the district where compliance is required must quash or modify a subpoena that:

(i) fails to allow a reasonable time to comply;

(ii) requires a person to comply beyond the geographical limits specified in Rule 45(c);

(iii) requires disclosure of privileged or other protected matter, if no exception or waiver applies; or

(iv) subjects a person to undue burden.

*(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:

(i) disclosing a trade secret or other confidential research, development, or commercial information; or

(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.

(i) shows a substantial need for the testimony or material that cannot be otherwise met without undue hardship; and

(ii) ensures that the subpoenaed person will be reasonably compensated.

#### **(e) Duties in Responding to a Subpoena.**

*(1) Producing Documents or Electronically Stored Information.* These procedures apply to producing documents or electronically stored information:

*(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.

#### *(2) Claiming Privilege or Protection.*

For access to subpoena materials, see Fed.R.Civ.P.45(a) Committee Note (2013)

…

# **Request for Production of Documents**

# **I. INSTRUCTIONS**

2. Electronically stored information must be produced in accordance with the

following instructions:

name of the native file. The native file must be named after the FIRSTBATES.

Date fields should be provided in the format: mm/dd/yyyy. Date and time fields must be two separate fields. Required metadata listed below:

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 59 of 119

3. Each Request operates and should be construed independently and, unless otherwise indicated, no Request limits the scope of any other Request.

4. 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.

5. 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,

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 60 of 119

including Your counsel or other representatives and advisors. Each Document shall be produced in its entirety.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 61 of 119

12. All references to Entities includes all affiliates thereof.

13. All references to individual names include all alternative names, aliased, or nicknames.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 62 of 119

14. 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.

# **II. RULES OF CONSTRUCTION**

15. 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 other tenses.

# **III. DEFINITIONS**

1. "You" or "Your" or "Yourself" means and refers, to First County Bank together with all of its affiliates, divisions, agencies, instrumentalities, departments, offices, partners, officers, directors, agents, attorneys, representatives, employees, and/or anyone acting on its behalf.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 63 of 119

3. "Debtor's Son" means Qiang Guo (a/k/a Mileson Kwok, 郭强, or any other alias), together with his employees, agents, counsel, advisors, or anyone acting on his behalf.

4. "Debtor's Daughter" means Mei Guo (a/k/a Mei Gui, 郭美, or any other alias), together with her employees, agents, counsel, advisors, or anyone acting on her behalf.

6. "Debtor's Family" means, individually and 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.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 64 of 119

8. "Including" or any variant thereof means "including without limitation."

9. "And" and "or" mean "and/or," and shall be construed both conjunctively as well as disjunctively in order to maximize their scope.

10. "Any" and "all" and "each" mean "each and every."

11. "Each" and "every" mean "each and every."

12. "Third Party" means a Person or Entity other than Yourself.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 65 of 119

13. "Transfer" shall have the meaning given to it by section 101(54) of the Bankruptcy Code.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 66 of 119

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 67 of 119

# **IV. DOCUMENTS TO BE PRODUCED**

1. All Documents related to any account held by, controlled by, on behalf of, or otherwise related to the Debtor's Purported Wife, including any and all account statements, authorizations, power of attorney, trusts, instructions or forms, copies of cancelled checks, correspondence, and wire transfers and related correspondence and instructions, including, without limitation, in connection with account number 669867619.

2. All Documents related to any account held by, controlled by, on behalf of, or otherwise related to any of the 2004 Discovery Targets, including any and all account statements, authorizations, power of attorney, trusts, instructions or forms, copies of cancelled checks, correspondence, and wire transfers and related correspondence and instructions.

3. All Documents related to any funds, securities, property, or assets belonging to, held by, controlled by, on behalf of, or otherwise related to any of the 2004 Discovery Targets, including any and all account statements, authorizations, powers of attorney, trusts, instructions or forms, copies of cancelled checks, correspondence, and wire transfers and related correspondence and instructions.

4. All Documents related to any business, commerce or financial transactions, including but not limited to any loan, line of credit, bailment, deposit, swap, securities transactions, mortgage, or ISDA, with any of the 2004 Discovery Targets, including any and all account

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 68 of 119

statements, authorizations, powers of attorney, trusts, instructions or forms, copies of cancelled checks, correspondence, and wire transfers and related correspondence and instructions.

5. All Documents relating to any wire transfer activity relating to the 2004 Discovery Targets, regardless of the existence of any accounts, including but not limited to all wire transfer receipts, account numbers, balances, authorizations, identification information related to the parties to the transfer, correspondence, instructions, or other records.

6. All Documents related to any correspondence and communications between you and the 2004 Discovery Targets.

7. All Documents related to any account with any 2004 Discovery Target relating to opening of the account, authorized users of the account and maintenance of the account.

8. All Documents related to any anti-money laundering, know-your-customer, or other compliance activity relating to any of the 2004 Discovery Targets, including but not limited to any information provided by any of the 2004 Discovery Targets, or learned by You.

9. All Documents relating to any communications with any regulator from any country, including but not limited to the Bank of England, the United States Federal Reserve, the S.E.C., the CFTC, FINRA, China Securities Regulatory Commission, People's Bank of China, Hong Kong Securities and Futures Commission, and the Hong Kong Monetary Authority relating to any of the 2004 Discovery Targets.

# Exhibit C-4

#### B2540 (Form 2540 – Subpoena for Rule 2004 Examination) (12/15) Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 70 of

119

UNITED STATES BANKRUPTCY COURT

**District of Connecticut**

In re HO WAN KWOK, *et al*.,

1 Case No. 22-50073 (JAM)

Debtor Chapter 11

(Jointly Administered)

# **SUBPOENA FOR RULE 2004 EXAMINATION**

# To: **Signature Bank, N.A. and/or Flagstar Bank, N.A.**

(*Name of person to whom the subpoena is directed*)

| PLACE | DATE AND TIME | |--------------------------------|---------------| | Neubert, Pepe & Monteith, P.C. | | | 195 Church Street | [TBD] | | 13th Floor | | | New Haven, CT 06510 | | | | |

The examination will be recorded by this method: **Court reporter/stenographer**

## **See Requests for Production of Documents, attached hereto.**

Date: **October , 2023**

CLERK OF COURT

*Signature of Clerk or Deputy Clerk Attorney's signature*

The name, address, email address, and telephone number of the attorney representing Luc A. Despins, Chapter 11 Trustee, who issues or requests this subpoena, are:

**Patrick R. Linsey, Esq.; Neubert, Pepe & Monteith, P.C.; 195 Church Street, 13th Floor, New Haven, Connecticut 06510 plinsey@npmlaw.com; (203) 781-2847**

## **Notice to the person who issues or requests this subpoena**

| Case 22-50073 Doc 2249 Filed 10/10/23 | | Entered 10/10/23 12:50:15 | Page 71 of | |-------------------------------------------------------------------------|-----|---------------------------|------------| | B2540 (Form 2540 – Subpoena for Rule 2004 Examination) (12/15) (Page 2) | | | | | | 119 | | |

## **PROOF OF SERVICE**

**(This section should not be filed with the court unless required by Fed. R. Civ. P. 45.)**

I received this subpoena for (*name of individual and title, if any*): on (*date*) .

I served the subpoena by delivering a copy to the named person as follows:

on *(date)* ; or

I returned the subpoena unexecuted because:

My fees are \$ for travel and \$ for services, for a total of \$ .

I declare under penalty of perjury that this information is true and correct.

Date:

*Server's signature*

*Printed name and title*

*Server's address*

Additional information concerning attempted service, etc.:

## **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)**

#### **(c) Place of compliance.**

*(1) For a Trial, Hearing, or Deposition.* A subpoena may command a person to attend a trial, hearing, or deposition only as follows:

(A) within 100 miles of where the person resides, is employed, or regularly transacts business in person; or

(B) within the state where the person resides, is employed, or regularly transacts business in person, if the person

(i) is a party or a party's officer; or

(ii) is commanded to attend a trial and would not incur substantial expense.

#### *(2) For Other Discovery.* A subpoena may command:

(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

(B) inspection of premises, at the premises to be inspected.

## **(d) Protecting a Person Subject to a Subpoena; Enforcement.**

## *(2) Command to Produce Materials or Permit Inspection.*

(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.

(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.

## *(3) Quashing or Modifying a Subpoena.*

*(A) When Required.* On timely motion, the court for the district where compliance is required must quash or modify a subpoena that:

(i) fails to allow a reasonable time to comply;

(ii) requires a person to comply beyond the geographical limits specified in Rule 45(c);

(iii) requires disclosure of privileged or other protected matter, if no exception or waiver applies; or

(iv) subjects a person to undue burden.

*(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:

(i) disclosing a trade secret or other confidential research, development, or commercial information; or

(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.

(i) shows a substantial need for the testimony or material that cannot be otherwise met without undue hardship; and

(ii) ensures that the subpoenaed person will be reasonably compensated.

#### **(e) Duties in Responding to a Subpoena.**

*(1) Producing Documents or Electronically Stored Information.* These procedures apply to producing documents or electronically stored information:

*(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.

#### *(2) Claiming Privilege or Protection.*

For access to subpoena materials, see Fed.R.Civ.P.45(a) Committee Note (2013)

…

# **Request for Production of Documents**

# **I. INSTRUCTIONS**

2. Electronically stored information must be produced in accordance with the

following instructions:

name of the native file. The native file must be named after the FIRSTBATES.

Date fields should be provided in the format: mm/dd/yyyy. Date and time fields must be two separate fields. Required metadata listed below:

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 76 of 119

3. Each Request operates and should be construed independently and, unless otherwise indicated, no Request limits the scope of any other Request.

4. 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.

5. 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,

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 77 of 119

including Your counsel or other representatives and advisors. Each Document shall be produced in its entirety.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 78 of 119

12. All references to Entities includes all affiliates thereof.

13. All references to individual names include all alternative names, aliased, or nicknames.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 79 of 119

14. 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.

## **II. RULES OF CONSTRUCTION**

15. 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 other tenses.

# **III. DEFINITIONS**

1. "You" or "Your" or "Yourself" means and refers, to Flagstar Bank, N.A. together with all of its affiliates, divisions, agencies, instrumentalities, departments, offices, officers, directors, agents, managers, attorneys, representatives, employees, professionals, and/or anyone acting for or on its behalf, including, without limitation, New York Community Bancorp, Inc., New York Community Bank, and Signature Bank, N.A., and any successors or assigns of Signature Bank, N.A.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 80 of 119

3. "Debtor's Son" means Qiang Guo (a/k/a Mileson Kwok, 郭强, or any other alias), together with his employees, agents, counsel, advisors, or anyone acting on his behalf.

4. "Debtor's Daughter" means Mei Guo (a/k/a Mei Gui, 郭美, or any other alias), together with her employees, agents, counsel, advisors, or anyone acting on her behalf.

6. "Debtor's Family" means, individually and 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.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 81 of 119

8. "Including" or any variant thereof means "including without limitation."

9. "And" and "or" mean "and/or," and shall be construed both conjunctively as well as disjunctively in order to maximize their scope.

10. "Any" and "all" and "each" mean "each and every."

11. "Each" and "every" mean "each and every."

12. "Third Party" means a Person or Entity other than Yourself.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 82 of 119

13. "Transfer" shall have the meaning given to it by section 101(54) of the Bankruptcy Code.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 83 of 119

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 84 of 119

# **IV. DOCUMENTS TO BE PRODUCED**

1. All Documents related to the transfer of \$37,000,000.00 (thirty-seven million) originated by Prime Trust LLC on or around April 18, 2022, including any and all receipts, account statements, authorizations, power of attorney, trusts, instructions or forms, copies of cancelled checks, correspondence, and wire transfers and related correspondence and instructions related thereto.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 85 of 119

statements, authorizations, powers of attorney, trusts, instructions or forms, copies of cancelled checks, correspondence, and wire transfers and related correspondence and instructions.

6. All Documents related to any correspondence and communications between you and the 2004 Discovery Targets.

7. All Documents related to any account with any 2004 Discovery Target relating to opening of the account, authorized users of the account and maintenance of the account.

# Exhibit C-5

#### B2540 (Form 2540 – Subpoena for Rule 2004 Examination) (12/15) Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 87 of

119

UNITED STATES BANKRUPTCY COURT

**District of Connecticut**

In re HO WAN KWOK, *et al*.,

1 Case No. 22-50073 (JAM) Debtor Chapter 11

(Jointly Administered)

# **SUBPOENA FOR RULE 2004 EXAMINATION**

To: **Trustco Bank**

(*Name of person to whom the subpoena is directed*)

| PLACE | DATE AND TIME | |--------------------------------|---------------| | Neubert, Pepe & Monteith, P.C. | | | 195 Church Street | [TBD] | | 13th Floor | | | New Haven, CT 06510 | | | | |

The examination will be recorded by this method: **Court reporter/stenographer**

## **See Requests for Production of Documents, attached hereto.**

Date: **October , 2023**

CLERK OF COURT

*Signature of Clerk or Deputy Clerk Attorney's signature*

The name, address, email address, and telephone number of the attorney representing Luc A. Despins, Chapter 11 Trustee, who issues or requests this subpoena, are:

**Patrick R. Linsey, Esq.; Neubert, Pepe & Monteith, P.C.; 195 Church Street, 13th Floor, New Haven, Connecticut 06510 plinsey@npmlaw.com; (203) 781-2847**

## **Notice to the person who issues or requests this subpoena**

| Case 22-50073 Doc 2249 | Filed 10/10/23 | Entered 10/10/23 12:50:15 | Page 88 of | |-------------------------------------------------------------------------|----------------|---------------------------|------------| | B2540 (Form 2540 – Subpoena for Rule 2004 Examination) (12/15) (Page 2) | | | | | | 119 | | |

## **PROOF OF SERVICE**

**(This section should not be filed with the court unless required by Fed. R. Civ. P. 45.)**

I received this subpoena for (*name of individual and title, if any*): on (*date*) .

I served the subpoena by delivering a copy to the named person as follows:

on *(date)* ; or

I returned the subpoena unexecuted because:

My fees are \$ for travel and \$ for services, for a total of \$ .

I declare under penalty of perjury that this information is true and correct.

Date:

*Server's signature*

*Printed name and title*

*Server's address*

Additional information concerning attempted service, etc.:

## **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)**

#### **(c) Place of compliance.**

*(1) For a Trial, Hearing, or Deposition.* A subpoena may command a person to attend a trial, hearing, or deposition only as follows:

(A) within 100 miles of where the person resides, is employed, or regularly transacts business in person; or

(B) within the state where the person resides, is employed, or regularly transacts business in person, if the person

(i) is a party or a party's officer; or

(ii) is commanded to attend a trial and would not incur substantial expense.

*(2) For Other Discovery.* A subpoena may command:

(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

(B) inspection of premises, at the premises to be inspected.

## **(d) Protecting a Person Subject to a Subpoena; Enforcement.**

## *(2) Command to Produce Materials or Permit Inspection.*

(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.

(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.

## *(3) Quashing or Modifying a Subpoena.*

*(A) When Required.* On timely motion, the court for the district where compliance is required must quash or modify a subpoena that:

(i) fails to allow a reasonable time to comply;

(ii) requires a person to comply beyond the geographical limits specified in Rule 45(c);

(iii) requires disclosure of privileged or other protected matter, if no exception or waiver applies; or

(iv) subjects a person to undue burden.

*(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:

(i) disclosing a trade secret or other confidential research, development, or commercial information; or

(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.

(i) shows a substantial need for the testimony or material that cannot be otherwise met without undue hardship; and

(ii) ensures that the subpoenaed person will be reasonably compensated.

#### **(e) Duties in Responding to a Subpoena.**

*(1) Producing Documents or Electronically Stored Information.* These procedures apply to producing documents or electronically stored information:

*(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.

#### *(2) Claiming Privilege or Protection.*

For access to subpoena materials, see Fed.R.Civ.P.45(a) Committee Note (2013)

…

# **Request for Production of Documents**

# **I. INSTRUCTIONS**

2. Electronically stored information must be produced in accordance with the

following instructions:

name of the native file. The native file must be named after the FIRSTBATES.

Date fields should be provided in the format: mm/dd/yyyy. Date and time fields must be two separate fields. Required metadata listed below:

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 93 of 119

| TIME_CREATED | 10:25 AM | Email: (empty) | |--------------|---------------------------|-------------------------------------------------| | | | Native: Time the document was created | | | | **This data must be a separate field and cannot | | | | be combined with the DATE_CREATED field | | DATE_MOD | 10/12/2010 | Email: (empty) | | | | | | | | Native: Date the document was last modified | | TIME_MOD | 07:00 PM | Email: (empty) | | | | Native: Time the document was last modified | | | | **This data must be a separate field and cannot | | | | be combined with the DATE_MOD field | | DATE_ACCESSD | 10/12/2010 | Email: (empty) | | | | Native: Date the document was last accessed | | TIME_ACCESSD | 07:00 PM | Email: (empty) | | | | Native: Time the document was last accessed | | | | **This data must be a separate field and cannot | | | | be combined with the DATE_ACCESSD field | | FILE_SIZE | 5,952 | Size of native file document/email in KB | | PGCOUNT | 1 | Number of pages in native file document/email | | PATH | | Email: (empty) | | | Agenda.doc | Native: Path where native file document was | | | | stored including original file name. | | INTFILEPATH | Personal Folders\Deleted | Email: original location of email including | | | Items\Board Meeting | original file name. | | | Minutes.msg | Native: (empty) | | INTMSGID | <000805c2c71b\$75977050\$ | Email: Unique Message ID Native: (empty) | | | cb8306d1@MSN> | | | MD5HASH | d131dd02c5e6eec4693d9a0 | MD5 Hash value of the document. | | | 698aff95c | | | | 2fcab58712467eab4004583e | | | | b8fb7f89 | | | OCRPATH | TEXT/001/EDC0000001.txt | Path to extracted text of the native file |

3. Each Request operates and should be construed independently and, unless otherwise indicated, no Request limits the scope of any other Request.

4. 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.

5. 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,

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 94 of 119

including Your counsel or other representatives and advisors. Each Document shall be produced in its entirety.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 95 of 119

12. All references to Entities includes all affiliates thereof.

13. All references to individual names include all alternative names, aliased, or nicknames.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 96 of 119

14. 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.

# **II. RULES OF CONSTRUCTION**

15. 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 other tenses.

# **III. DEFINITIONS**

1. "You" or "Your" or "Yourself" means and refers, to Trustco Bank together with all of its affiliates, subsidiaries, divisions, agencies, instrumentalities, departments, offices, partners, officers, directors, agents, attorneys, representatives, employees, and/or anyone acting on its behalf.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 97 of 119

3. "Debtor's Son" means Qiang Guo (a/k/a Mileson Kwok, 郭强, or any other alias), together with his employees, agents, counsel, advisors, or anyone acting on his behalf.

4. "Debtor's Daughter" means Mei Guo (a/k/a Mei Gui, 郭美, or any other alias), together with her employees, agents, counsel, advisors, or anyone acting on her behalf.

6. "Debtor's Family" means, individually and 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.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 98 of 119

8. "Including" or any variant thereof means "including without limitation."

9. "And" and "or" mean "and/or," and shall be construed both conjunctively as well as disjunctively in order to maximize their scope.

10. "Any" and "all" and "each" mean "each and every."

11. "Each" and "every" mean "each and every."

12. "Third Party" means a Person or Entity other than Yourself.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 99 of 119

13. "Transfer" shall have the meaning given to it by section 101(54) of the Bankruptcy Code.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 100 of 119

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 101 of 119

## **IV. DOCUMENTS TO BE PRODUCED**

1. All Documents related to any account held by, controlled by, on behalf of, or otherwise related to any of the 2004 Discovery Targets, including, without limitation, HCHK Property Management Inc. and Lexington Property and Staffing Inc., including any and all account statements, authorizations, power of attorney, trusts, instructions or forms, copies of cancelled checks, correspondence, and wire transfers and related correspondence and instructions.

2. All Documents related to any funds, securities, property, or assets belonging to, held by, controlled by, on behalf of, or otherwise related to any of the 2004 Discovery Targets, including, without limitation, HCHK Property Management Inc. and Lexington Property and Staffing Inc., including any and all account statements, authorizations, powers of attorney, trusts, instructions or forms, copies of cancelled checks, correspondence, and wire transfers and related correspondence and instructions.

3. All Documents related to any business, commerce or financial transactions, including but not limited to any loan, line of credit, bailment, deposit, swap, securities transactions, mortgage, or ISDA, with any of the 2004 Discovery Targets, including, without limitation, HCHK Property Management Inc. and Lexington Property and Staffing Inc., including any and all account statements, authorizations, powers of attorney, trusts, instructions or forms, copies of cancelled checks, correspondence, and wire transfers and related correspondence and instructions.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 102 of 119

4. All Documents relating to any wire transfer activity relating to the 2004 Discovery Targets, including, without limitation, HCHK Property Management Inc. and Lexington Property and Staffing Inc., regardless of the existence of any accounts, including but not limited to all wire transfer receipts, account numbers, balances, authorizations, identification information related to the parties to the transfer, correspondence, instructions, or other records.

5. All Documents related to any correspondence and communications between you and the 2004 Discovery Targets, including, without limitation, HCHK Property Management Inc. and Lexington Property and Staffing Inc.

6. All Documents related to any account with any 2004 Discovery Target, including, without limitation, HCHK Property Management Inc. and Lexington Property and Staffing Inc., relating to opening of the account, authorized users of the account and maintenance of the account.

7. All Documents related to any anti-money laundering, know-your-customer, or other compliance activity relating to any of the 2004 Discovery Targets,, including, without limitation, HCHK Property Management Inc. and Lexington Property and Staffing Inc., including but not limited to any information provided by any of the 2004 Discovery Targets, or learned by You.

# Exhibit C-6

#### B2540 (Form 2540 – Subpoena for Rule 2004 Examination) (12/15) Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 104 of

119

UNITED STATES BANKRUPTCY COURT

**District of Connecticut**

In re HO WAN KWOK, *et al*.,

1 Case No. 22-50073 (JAM) Debtor Chapter 11

(Jointly Administered)

# **SUBPOENA FOR RULE 2004 EXAMINATION**

# To: **Webster Financial Corporation d/b/a Sterling National Bank**

(*Name of person to whom the subpoena is directed*)

| PLACE | DATE AND TIME | |--------------------------------|---------------| | Neubert, Pepe & Monteith, P.C. | | | 195 Church Street | [TBD] | | 13th Floor | | | New Haven, CT 06510 | | | | |

The examination will be recorded by this method: **Court reporter/stenographer**

## **See Requests for Production of Documents, attached hereto.**

Date: **October , 2023**

CLERK OF COURT

*Signature of Clerk or Deputy Clerk Attorney's signature*

The name, address, email address, and telephone number of the attorney representing Luc A. Despins, Chapter 11 Trustee, who issues or requests this subpoena, are:

**Patrick R. Linsey, Esq.; Neubert, Pepe & Monteith, P.C.; 195 Church Street, 13th Floor, New Haven, Connecticut 06510 plinsey@npmlaw.com; (203) 781-2847**

## **Notice to the person who issues or requests this subpoena**

| Case 22-50073 | Doc 2249 | Filed 10/10/23 | Entered 10/10/23 12:50:15 | Page 105 of | |-------------------------------------------------------------------------|----------|----------------|---------------------------|-------------| | B2540 (Form 2540 – Subpoena for Rule 2004 Examination) (12/15) (Page 2) | | | | | | | | 119 | | |

## **PROOF OF SERVICE**

**(This section should not be filed with the court unless required by Fed. R. Civ. P. 45.)**

I received this subpoena for (*name of individual and title, if any*): on (*date*) .

I served the subpoena by delivering a copy to the named person as follows:

on *(date)* ; or

I returned the subpoena unexecuted because:

My fees are \$ for travel and \$ for services, for a total of \$ .

I declare under penalty of perjury that this information is true and correct.

Date:

*Server's signature*

*Printed name and title*

*Server's address*

Additional information concerning attempted service, etc.:

## **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)**

#### **(c) Place of compliance.**

*(1) For a Trial, Hearing, or Deposition.* A subpoena may command a person to attend a trial, hearing, or deposition only as follows:

(A) within 100 miles of where the person resides, is employed, or regularly transacts business in person; or

(B) within the state where the person resides, is employed, or regularly transacts business in person, if the person

(i) is a party or a party's officer; or

(ii) is commanded to attend a trial and would not incur substantial expense.

*(2) For Other Discovery.* A subpoena may command:

(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

(B) inspection of premises, at the premises to be inspected.

## **(d) Protecting a Person Subject to a Subpoena; Enforcement.**

## *(2) Command to Produce Materials or Permit Inspection.*

(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.

(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.

## *(3) Quashing or Modifying a Subpoena.*

*(A) When Required.* On timely motion, the court for the district where compliance is required must quash or modify a subpoena that:

(i) fails to allow a reasonable time to comply;

(ii) requires a person to comply beyond the geographical limits specified in Rule 45(c);

(iii) requires disclosure of privileged or other protected matter, if no exception or waiver applies; or

(iv) subjects a person to undue burden.

*(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:

(i) disclosing a trade secret or other confidential research, development, or commercial information; or

(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.

(i) shows a substantial need for the testimony or material that cannot be otherwise met without undue hardship; and

(ii) ensures that the subpoenaed person will be reasonably compensated.

#### **(e) Duties in Responding to a Subpoena.**

*(1) Producing Documents or Electronically Stored Information.* These procedures apply to producing documents or electronically stored information:

*(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.

#### *(2) Claiming Privilege or Protection.*

For access to subpoena materials, see Fed.R.Civ.P.45(a) Committee Note (2013)

…

# **Request for Production of Documents**

# **I. INSTRUCTIONS**

2. Electronically stored information must be produced in accordance with the

following instructions:

name of the native file. The native file must be named after the FIRSTBATES.

Date fields should be provided in the format: mm/dd/yyyy. Date and time fields must be two separate fields. Required metadata listed below:

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 109 of 119

| Field Name | Sample Data | Description | |--------------|--------------------------|--------------------------------------------------| | FIRSTBATES | EDC0000001 | First Bates number of native file document/email | | LASTBATES | EDC0000001 | Last Bates number of native file document/email | | | | **The LASTBATES field should be populated | | | | for single page | | ATTACHRANGE | EDC0000001 - | Bates number of the first page of the parent | | | EDC0000015 | document to the Bates number of the last page of | | | | the last attachment "child" document | | BEGATTACH | EDC0000001 | First Bates number of attachment range | | ENDATTACH | EDC0000015 | Last Bates number of attachment range | | CUSTODIAN | Smith, John | Email: Mailbox where the email resided | | | | Native: Name of the individual or department | | | | from whose files the document originated | | FROM | John Smith | Email: Sender | | | | Native: Author(s) of document | | | | **semi-colon should be used to separate | | | | multiple entries | | TO | Coffman, Janice; LeeW | Recipient(s) | | | [mailto:LeeW@MSN.com] | **semi-colon should be used to separate multiple | | | | entries | | CC | Frank Thompson [mailto: | Carbon copy recipient(s) | | | frank_Thompson@cdt.com] | **semi-colon should be used to separate | | | | multiple entries | | BCC | John Cain | Blind carbon copy recipient(s) | | | | **semi-colon should be used to separate | | | | multiple entries | | SUBJECT | Board Meeting Minutes | Email: Subject line of the email Native: Title | | | | of document (if available) | | FILE_NAME | BoardMeetingMinutes.docx | Native: Name of the original native file, | | | | including extension | | DATE_SENT | 10/12/2010 | Email: Date the email was sent | | | | Native: (empty) | | TIME_SENT/ | 07:05 PM GMT | Email: Time the email was sent/ Time zone in | | TIME_ZONE | | which the emails were standardized | | TIME_ZONE | GMT | The time zone in which the emails were | | | | standardized during conversion. | | LINK | EDC0000001.msg | Hyperlink to the email or native file document | | | | **The linked file must be named per the | | | | FIRSTBATES number | | FILE_EXTEN | MSG | The file type extension | | | | representing | | | | the Email or | | AUTHOR | John Smith | Email: (empty) | | | | Native: Author of the document | | DATE_CREATED | 10/10/2010 | Email: (empty) | | | | Native: Date the document was created |

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 110 of 119

| TIME_CREATED | 10:25 AM | Email: (empty) | |--------------|---------------------------|-------------------------------------------------| | | | Native: Time the document was created | | | | **This data must be a separate field and cannot | | | | be combined with the DATE_CREATED field | | DATE_MOD | 10/12/2010 | Email: (empty) | | | | Native: Date the document was last modified | | TIME_MOD | 07:00 PM | Email: (empty) | | | | Native: Time the document was last modified | | | | **This data must be a separate field and cannot | | | | be combined with the DATE_MOD field | | DATE_ACCESSD | 10/12/2010 | Email: (empty) | | | | Native: Date the document was last accessed | | TIME_ACCESSD | 07:00 PM | Email: (empty) | | | | Native: Time the document was last accessed | | | | **This data must be a separate field and cannot | | | | be combined with the DATE_ACCESSD field | | FILE_SIZE | 5,952 | Size of native file document/email in KB | | PGCOUNT | 1 | Number of pages in native file document/email | | PATH | | Email: (empty) | | | Agenda.doc | Native: Path where native file document was | | | | stored including original file name. | | INTFILEPATH | Personal Folders\Deleted | Email: original location of email including | | | Items\Board Meeting | original file name. | | | Minutes.msg | Native: (empty) | | INTMSGID | <000805c2c71b\$75977050\$ | Email: Unique Message ID Native: (empty) | | | cb8306d1@MSN> | | | MD5HASH | d131dd02c5e6eec4693d9a0 | MD5 Hash value of the document. | | | 698aff95c | | | | 2fcab58712467eab4004583e | | | | b8fb7f89 | | | OCRPATH | TEXT/001/EDC0000001.txt | Path to extracted text of the native file |

3. Each Request operates and should be construed independently and, unless otherwise indicated, no Request limits the scope of any other Request.

4. 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.

5. 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,

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 111 of 119

including Your counsel or other representatives and advisors. Each Document shall be produced in its entirety.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 112 of 119

12. All references to Entities includes all affiliates thereof.

13. All references to individual names include all alternative names, aliased, or nicknames.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 113 of 119

14. 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.

15. To the extent the Requests seek information or documents which You have already produced in connection with the subpoena requesting production of documents in connection with the Trustee's action against Greenwich Land and Hing Chi Ngok, *Despins v. Greenwich Land et al.* (Adv. Proc. Case No. 23-05005), You need not produce such information and documents in response to the Requests.

## **II. RULES OF CONSTRUCTION**

16. 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 other tenses.

17. 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."

## **III. DEFINITIONS**

1. "You," "Your," "Yourself," and "Webster Financial Corporation" mean and refer to Webster Financial Corporation, together with all of its affiliates, divisions, agencies,

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 114 of 119

instrumentalities, departments, offices, officers, directors, agents, managers, attorneys, representatives, employees, professionals, and/or anyone acting for or on its behalf, including, without limitation, Webster Bank, N.A., Sterling National Bank and Sterling Bancorp, and any successors or assigns of Sterling National Bank and Sterling Bancorp.

3. "Debtor's Son" means Qiang Guo (a/k/a Mileson Kwok, 郭强, or any other alias), together with his employees, agents, counsel, advisors, or anyone acting on his behalf.

4. "Debtor's Daughter" means Mei Guo (a/k/a Mei Gui, 郭美, or any other alias), together with her employees, agents, counsel, advisors, or anyone acting on her behalf.

6. "Debtor's Family" means, individually and 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.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 115 of 119

Gettr USA, Inc., Gnews Media Group Inc., G Fashion LLC, Gmusic LLC, Gnews LLC, Geducation, GFNY, Inc., G-Club Investments Limited, G Club Operations LLC, G Club US Operations Inc., G Club US Operations LLC, G Club One, G Club Two, G Club Three, G Live, LLC, Gbroadcast, LLC, Golden Spring (New York) Ltd., Gposts LLC, GTV Media Group, Inc., Gypsy Mei Food Service LLC, Gypsy Mei Productions LLC, Gypsy Mei 27 Vestry, Inc., Dawn State Limited, Greenwich Land LLC, Hamilton Capital Holdings Inc., GS Security Solutions Inc., Han Chunguang, HCHK Property Management, Inc., HCHK Technologies, Inc., HK International Funds Investments (USA) Limited LLC, Freedom Media Ventures Ltd., FungWan Trading Inc., Himalaya New World Inc., Himalaya International Financial Group Ltd., Himalaya International Clearing Ltd., Himalaya International Payments Ltd., Himalaya International Reserves Ltd., Himalaya Ventures LLC, Himalaya Investment LLC, Hudson Diamond Holding, Inc., Hudson Diamond Holding LLC, Hudson Diamond NY LLC, Huk Trading Inc., Infinity Treasury Management Inc., Jesse Brown, Jiaming Liu, Joyord Sportswear Limited, Karin Maistrello, Lamp Capital LLC, Leading Shine NY Ltd., Lexington Property and Staffing, Inc., Linwan "Irene" Feng, Limarie Reyes, Lihong "Sara" Wei Lafrenz, Macaron Limited, Mary Jiang, MOS Himalaya LLC, Maywind Trading LLC, New York MOS Himalaya LLC, Nicholas Savio, Nodal Partners, LLC, Oasis Tech Limited, Pixshow Film Inc., Qu Guo Jiao, Roscalitar 2, Ross Heinemeyer, Rule of Law Society IV Inc., Rule of Law Foundation III, Inc., Rule of Law Fund, Saraca Media Group Inc., Savio Law LLC, Scott Barnett, Sirius Networking Inc., US Himalaya Capital Inc., V.X. Cerda & Associates P.A., Victor Cerda, Voice of Guo Media, Inc., Wencong Wang, William Je, Yongbing Zhang, Yue Zhou, Yvette Wang (a/k/a Yanping Wang, a/k/a Yan Ping Wang), Zhixuan Li, and Zhuoer "Joe" Wang.

8. "Including" or any variant thereof means "including without limitation."

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 116 of 119

9. "And" and "or" mean "and/or," and shall be construed both conjunctively as well as disjunctively in order to maximize their scope.

10. "Any" and "all" and "each" mean "each and every."

11. "Each" and "every" mean "each and every."

12. "Third Party" means a Person or Entity other than Yourself.

13. "Transfer" shall have the meaning given to it by section 101(54) of the Bankruptcy Code.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 117 of 119

kind not found on the original documents or that are otherwise not identical to the original documents.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 118 of 119

communications, voice messages, telegrams, telefaxes, telecopies, telexes, instant messages, chats, text messages, postings to a message board or group chat, social media posts, tweets, videos uploaded to any video platform, telephonic notes, or notes transmitted internally or with third parties.

# **IV. DOCUMENTS TO BE PRODUCED**

1. All Documents related to any account held by, controlled by, on behalf of, or otherwise related to any of the 2004 Discovery Targets, including any and all account statements, authorizations, power of attorney, trusts, instructions or forms, copies of cancelled checks, correspondence, and wire transfers and related correspondence and instructions.

2. All Documents related to any funds, securities, property, or assets belonging to, held by, controlled by, on behalf of, or otherwise related to any of the 2004 Discovery Targets, including any and all account statements, authorizations, powers of attorney, trusts, instructions or forms, copies of cancelled checks, correspondence, and wire transfers and related correspondence and instructions.

# Case 22-50073 Doc 2249 Filed 10/10/23 Entered 10/10/23 12:50:15 Page 119 of 119

statements, authorizations, powers of attorney, trusts, instructions or forms, copies of cancelled checks, correspondence, and wire transfers and related correspondence and instructions.

4. All Documents relating to any wire transfer activity relating to the 2004 Discovery Targets, regardless of the existence of any accounts, including but not limited to all wire transfer receipts, account numbers, balances, authorizations, identification information related to the parties to the transfer, correspondence, instructions, or other records.

5. All Documents related to any correspondence and communications between you and the 2004 Discovery Targets.

6. All Documents related to any account with any 2004 Discovery Target relating to opening of the account, authorized users of the account and maintenance of the account.

7. All Documents related to any anti-money laundering, know-your-customer, or other compliance activity relating to any of the 2004 Discovery Targets, including but not limited to any information provided by any of the 2004 Discovery Targets, or learned by You.