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Whitmore v. Innovation Ventures, LLC (In re Roman)

Citation: 599 B.R. 87Docket: Case No.: 6:13-bk-22482-MH; Adv. No.: 6:14-ap-01183-MH

Court: United States Bankruptcy Court, C.D. California; March 27, 2019; Us Bankruptcy; United States Bankruptcy Court

Narrative Opinion Summary

This case involves a dispute over whether a fund transfer constitutes a preferential transfer avoidable under 11 U.S.C. § 547(b) in the context of bankruptcy proceedings. Initially, plaintiffs filed an anti-counterfeiting lawsuit, leading to asset restraining orders. Following a series of agreements, funds were transferred to a trust account and then to defendants' counsel shortly before the debtors filed for Chapter 7 bankruptcy. The bankruptcy trustee sought to recover the funds, arguing they were preferential transfers. The court ruled against the trustee, determining that the funds were not property of the estate under 11 U.S.C. § 541(a) because the debtors lacked control over them, as established by the First Agreement Order. The ruling was partially affirmed, vacated, and remanded by the Bankruptcy Appellate Panel, which emphasized the need to consider nonbankruptcy law to determine property interests. The court addressed the custodia legis doctrine and clarified that the funds were not protected under this doctrine. Ultimately, the court concluded that the funds, due to the stipulations in place, were not subject to avoidance as a preferential transfer, affirming the defendants' position.

Legal Issues Addressed

Custodia Legis Doctrine

Application: The court evaluated whether the funds were held in custodia legis, impacting their status as estate property, and concluded that they were not, despite the Defendants' assertions.

Reasoning: The Court concludes that the Funds were not held in custodia legis upon their deposit into the Account.

Nonbankruptcy Law and Property Interests

Application: The court stated that property interests are determined by nonbankruptcy law, which typically involves state law, yet the First Agreement Order was deemed sufficient to address property interest issues without traditional state law references.

Reasoning: The estate's and debtor's interest in property is governed by nonbankruptcy law, typically state law. The bankruptcy court incorrectly determined that state law was not applicable.

Preferential Transfers under Bankruptcy Code 11 U.S.C. § 547(b)

Application: The court examined whether the transfer of funds from the Debtors' account to the Defendants' counsel constituted a preferential transfer that could be avoided under 11 U.S.C. § 547(b).

Reasoning: Trustee contends that the transfer of Funds from the Debtors' Account to Defendants' counsel on July 19, 2013, constituted a transfer of the Debtors' interest, which can be avoided under 11 U.S.C. § 547(b).

Property of the Estate under Bankruptcy Code 11 U.S.C. § 541(a)

Application: The court determined that the funds in question were not property of the estate as the Debtors lacked control over them due to the stipulations of the First Agreement Order.

Reasoning: The Court concludes that there is no genuine issue of material fact, ruling that the Plaintiff cannot avoid the transfer under the Second Agreement.