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HomeMy WebLinkAbout00-06280 ~ '\- 1 C 2 3 4 5 6 7 8 9 10 11 12 13 0 14 15 16 17 18 19 20 21 22 23 24 25 C ..~"~ ~- '~..iIil!i""'\!l1"1lll - -'",<U__j""",,,,!,~.tl!-.{, IN THE COURT OF COMMON PLEAS OF THE 9TH JUDICIAL DISTRICT, PENNSYLVANIA CUMBERLAND COUNTY BRANCH Robert L. O'Brien, David A. Baric: and Michael A. Scherer t/d/b/a O'Brien, Baric & Scherer CIVIL ACTION VS Randall L. Valk In Equity No. 2000 6280 APPEARANCES: Gregory B. Abeln, Esquire, appears on behalf of the plaintiffs. ORDER OF COURT May 23, 2002, the Court is not going to find Mr. Valk in contempt today but is going to give him ten days from today's date to answer interrogatories 2, 3, 5, 13 and 15. The Court further orders that a confidential protective shield shall cover these answers, and they shall be delivered directly to Mr. Abeln, and no one else but the firm of O'Brien, Baric and Scherer and Mr. Abeln shall have access or reveal the contents of those interrogatories. 1 Melissa J. Little Official Court Reporter -'" - -, , ~ ~ ~____;i_..~M \ 1 The interrogatories that are filed with the 0 2 prothonotary shall be sealed in an envelope and marked 3 confidential not to be opened without order of court. 4 5 6 7 8 c: 9 10 11 12 13 0 14 15 16 17 18 19 20 21 22 23 24 25 0 2 Melissa J. Little Official Court Reporter , " '.~ L ' 111 t'-~ ~ltiiM;!!f;~'i~~;\-'i-J~~~r~~<il84f,;~~~~~ili5iI_I~lS:iIfA 0>- cr:: is ll..lC) C)..::~:- g~t~' C'\('" td,,:, ff!;~} ,-1..- ~-- $..J.~ O,".itl>' "" .:c <"'\1 C) Q,\ c\: 0;; Q: ee) C\J , ,~. ~!i !l~l ~...:Cl... ~ ::J () . ~"~ - , -- ~~~ ~ ~~..> A....-~-'iI1~~"'~ f Q 0,' ,: , .0........... , r > >r~~' '''''~ <. 1~lw"~,","_.Jli-H"" ROBERT L. O'BRIEN, DAVID A. BARIC and MICHAEL A. SCHERER tfd/b/a O'Brien, Baric & Scherer Plaintiffs IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA NO. 2000-6280 EQUITY v. RANDALL L. VALK, CIVIL ACTION-EQUITY Defendant ORDER OF COURT ~ .J1hV. -1~ I AND NOW, this J day of I\lG,'illl.Ia_'l" 1000, upon consideration of the Plaintiffs Motion To Compel Discovery From Defendant As To Plaintiffs' First Set of Interrogatories and Document Request, a Rule is issued upon Defendant to show cause if any there be why the relief requested in this Motion should not be granted. Rule returnableM days from service. BY THE COURT, J, COj:>l~ n\~ils.c.C --16 I).J..,L {)bE-l.J '( " It ~(L L/2Lt //~/O( - ':::r7r\ 0 c~, C ??: '- -00, "; .T~ rl1rn ~,)~ ~e~ 0','- , (j),L:" tII -<. ,<c :~ ~>c" .-r' ; Z -~' , >~ -- .. " r- ::;:~' ~ co) ~ ~ _~d"""~,'~t;~'"t"<_. ROBERT L. O'BRIEN, DAVID A. BARIC and MICHAEL A. SCHERER Ud/b/a O'Brien, Baric & Scherer Plaintiffs IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA NO. 2000-6280 EQUITY v. RANDALL L. VALK, Defendant CIVIL ACTION-EQUITY PLAINTIFFS MOTION TO COMPEL DISC,OVERY FROM DEFENIDANT , i,', ",I:, - , , AS TO PLAIfr.lTIFFS'FfIRST SET OF INTERROGA TORliES 'AND DOCUMENT REQUEST 1. Plaintiffs, Robert L. O'Brien, David A. Baric and Michael A. Scherer Ud/b/a O'Brien, Baric & Scherer, bring this motion pursuant to Rule 4019 and Rule 4006(a) of the Pennsylvania Rules of Civil Procedure which authorizes this Court to: (a) Compel Defendants to file full and complete responses to Plaintiffs interrogatories; (b) Compel Defendants to respond fully and completely to document requests contained in Plaintiffs request for production of documents to Defendant ("document requests"). 2. On or about September 27, 2000, Plaintiffs served upon Defendant interrogatories and document requests. 3. True and correct copies of Defendants' interrogatories and document requests are attached as Exhibits "A" and "B" and are incorporated by reference. 4. On or about October 24, 2000, Plaintiffs received responses to the interrogatories and document requests. True and correct copies of these responses , , - -~' jilt' ~~" '",",,_,.I,'':'~,'',,_I are attached as Exhibit "C" and is incorporated. WHEREFORE, Defendants respectfully requests the Court to compel Defendant to file and serve full and compete responses to the interrogatories and document requests of Plaintiffs. Respectfully submitted, BY: 1?1Sd1ck Gregory B. Abeln, Esquire 37 East Pomfret Street Carlisle, PA 17013 (717) 245-2851 rlo.dir/clientlvalklcompel.mot " - .!iIIii. .....,,---~-, . , ROBERT L. O'BRIEN, DAVID A. BARIC and MICHAEL A. SCHERER, tld/b/a O'BRIEN, BARIC & SCHERER, Plaintiffs IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA NO. 2000- CIVIL TERM vs. RANDALL L. VALK, Defendant :CIVIL ACTION - EQUITY INTERROGATORIES TO DEFENDANT and REQUEST FOR PRODUCTION OF DOCUMENTS TO AID IN PREPARATION OF COMPLAINT AND NOW, come the plaintiffs, Robert L. O'Brien, David A. Baric and Michael A. Scherer, tld/b/a O'Brien, Baric and Scherer, and file the following Interrogatories and Request for Production of Documents to be answered by the above named defendant under oath within thirty (30) days from the date of service hereof. ' These interrogatories are continuing and any additional information which becomes known to the party or party's counsel after answers are filed shall be set forth in supplementary answers which are to be filed, without demand by the defendant's attorneys, as soon as the additional information is known. . DEFINITIONS A. The term "document" as used herein shall mean the original and any copy, marked up copy, revision, amendment, modification, non-identical copy and/or draft, or any written, printed, typed, drawn or other graphic matter of any kind or nature, however, produced or reproduced, whether or not sent or received, including without limitation; memoranda, reports, computations, estimates, communications, financial reports or statements, notes, transcripts, letters, correspondence, intra or inter office communications, envelopes, telegrams, cables, telephone messages, messages, summaries or records of telephone conversations, summaries or records of personal conversations or interviews, minutes, notes, notations, tabulations, studies, analyses, reports, evaluations, projection, work papers, summaries, journals, statistical records, calendars, appointment books, diaries, plans, drawings, blue prints, modules, specifications, data, sketches, maps, boring logs, soil tests, soil charts, soil reports, sketch books, quantity books, material books, time log sheets, purchase orders, invoices, checks, receipts, payroll records, summaries or records of meetings or conferences, minutes or tape recordings of meetings or conferences, summaries or reports of investigations, opinions or reports of consultants, questionnaires, surveys, charts, graphs, books, notebooks, note charts, articles, magazines, newspapers, booklets, circulars, bulletins, press releases, notices, instructions, manuals, photographs, schedules, network diagrams, bar-charts, line-charts, motion picture film, microfilms, photographs, tapes or other recordings, punch charts, computer programs, -J....>; J:lii ~_,_""",.*,*", magnetic tapes, discs, data cells, drums, printout and other data computations from which information can be obtained, and margin'al comments appearing on any documents, and all other writings in the possession, custody or control of Defendant or his agents, officers, employees or attorneys. B. "Propounding Plaintiff" means Robert L. O'Brien, David A. Baric and Michael A. Scherer, tld/b/a O'Brien, Baric and Scherer. C. "Person" or "Persons" shall mean any natural individual or corporation, firm, partnership, proprietorship, association, joint venture, governmental entity or any other business or government organization. D. "Meeting" shall mean any assembly, convocation, encounter or coincidence of two or more persons for any purpose, whether or not planned, arranged or scheduled in advance. E. "Comml:lnication" shall mean any utterance made, human speech heard, overheard, or intended to be heard by any person, whether in person, by telephone, by means of sounding recording, or otherwise. F. "Identify" means: (a) When used in reference to a document, describe with sufficient particularity to form the basis for a Request for Production under Pa. R.C.P. 4009, including but not limited to the date it was prepared or created, the identity of its author or originator, the type of document (~, letter, telegram, chart, photograph, sound recordings, etc.), the identity of its addressee, its present location and the identity of its present custodian(s). If such document was, but is no longer, in your possession or subject to your control, state what disposition was made of it; (b) When used in reference to a natural person or business entity, "identify" means to state his or her or its full name, present or last known home address, present or last known business address, present or last known home telephone number, present or last known position or affiliation. G. "Occurrence" means anything pertaining to litigation arising out of: Randall L. Valk, et ai, vs. Richard P. Valk, et ai, No. 717 Equity 1994 in the Court of Common Pleas of Cumberland County, Pennsylvania and Randall L. Valk vs. Dauphin Deposit Bank and Trust Company, et ai, No 21-95-612 Orphans' Court Division of the Court of Common Pleas of Cumberland County, Pennsylvania. H. "You" means, Randall L. Valk or any representative, agent, servant, or attorney thereof. INSTRUCTIONS If you object to the production of any documents on the grounds that the attorney-client, attorney work product or any other privilege is applicable thereto, with respect to that document: (a) State its date; . .;..,...- ~ _' :......."~ __-,",,_&d',.c,",-"=~''', (b) Identify its author; (c) Identify each person who prepared or participated in the preparation of the documents; (d) Identify each person who received it; (e) Identify each person from whom the documents were received; (f) State the present location of the document and all copies thereof; (g) Identify each person who has ever had possession, custody or control of it or copy thereof; and (h) Provide sufficient information concerning the document and the circl,lmstances thereof to explain the claim of privilege and to permit the adjudication of the propriety of that claim. FACTS On or about November 22, 1993 the Defendant entered into a Power of Attorney! Contingent Fee Agreement with the Plaintiffs. The Plaintiffs represented the Defendant in the actions identified as the "occurrence" until the Defendant terminated their representation on or about April 17, 1998. INTERROGATORIES 1. State: a) Your full name and your occupation. ANSWER: b) State on what authority you make these answers to Interrogatories: ANSWER: 2. Please identify any and all documents in your possession, custody, or control that pertain to the settlement or disposition of the actions identified as the occurrence that have been produced in the year 2000. ANSWER: " - I""",~""","_;'-'rr.!il.}", 3. Please state why the aforesaid equity action was discontinued. ANSWER: 4. Please state whether the appeal to the Superior Court of the aforesaid Orphans' Court action is still active. ANSWER: 5. Did you receive any consideration for the discontinuance of the aforesaid equity action? If you received consideration please indicate what it consisted of and provide any documents reflecting it. ANSWER: 6. Were all other minority shareholders notified of the discontinuance of the equity action? ANSWER: 7. Did all other minority shareholders consent to the discontinuance of the equity action? ANSWER: 8. Why did you not seek court approval in conjunction with the discontinuance of the equity action? ANSWER: 9. Why did you not request that the Court consider the validity of the shareholders agreement in connection with the discontinuance of the equity action? ...... ~~_~","-,",,","~k,,~.,j . ANSWER: 10. Why did you not request that the Court consider the impact of the shareholders agreement on the buy-sell agreement between Ted P. Valk and Richard P. Valk in connection with the discontinuance of the equity action? ANSWER: 11 . Why did you not request that the Court consider any tax ramifications in conjunction with the discontinuance of the equity action? ANSWER: 12. Why did you not request that the Court determine if the discontinuance of the equity action was in your best interest? ANSWER: 13. In conjunction with the discontinuance of the equity action did you surrender your shares in Valk Manufacturing company? ANSWER: 14. If you surrendered your shares, did you receive book value for them? ANSWER: 15. If you signed any documents involving some or all of the Defendants in connection with the discontinuance of the equity action, why did you not seek Court approval prior to signing? ANSWER: -- --"' - -~,,,,-,*;j,lii. DOCUMENT REQUEST 1. Any and all documents identified in you answers to interrogatories. O'BRIEN, BARIC & SCHERER '. ~a6 U-....J. --- Date: Robert L. O'Brien, Esquire 1.0. # 28351 17 West South Street Carlisle, PA 17013 (717) 249-6873 ~~ <~Mili'=-.;.1.U,",'"". ~ '" ROBERT L. O'BRIEN, DAVID A. ) BARIC and MICHAEL A. SCHERER, ) tld/b/a O'BRIEN, BARIC & SCHERER, ) Plaintiffs ) ) Ys. ) ) RANDALL L. V ALK, ) Defendant ) IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYL VANIA NO. 2000-6280 EQUITY TERM IN EQUITY DEFENDANT'S ANSWERS TO INTERROGATORIES OF PLAINTIFFS and REQUEST FOR PRODUCTION OF DOCUMENTS ~6t'r U Defendant 17 Cold Springs Road Carlisle, PA 17013 _. u - ~ " "~ h,_-.-.*,;., INTERROGATORIES 1. (a) Randall L. Valk (b) Defendant 2. See documents of public record filed to No. 717 Equity 1994 and to No. 21-95- 612 Orphans' Court Division. All other documents that may respond to this Interrogatory are deemed confidential and/or are covered by the attorney/client privilege. 3. The answer to this Interrogatory is confidential other than that I deemed it appropriate to discontinue the action. 4. No. 5. The answer to this Interrogatory is confidential and may not be disclosed. 6. Unknown. 7. Unknown. 8. Not necessary; the matter was discontinued and withdrawn with prejudice. 9. Not necessary; the matter was discontinued and withdrawn with prejudice. 10. Not necessary; the matter was discontinued and withdrawn with prejudice. II. Not necessary; the matter was discontinued and withdrawn with prejudice. 12. Not necessary; the matter was discontinued and withdrawn with prejudice. 13. The answer to this Interrogatory is confidential. 14. The answer to this Interrogatory is confidential. 15. The answer to the first part of this Interrogatory is confidential. The answer to the second part of this Interrogatory is that the matter was discontinued and withdrawn with prejudice, which does not need court approval. DOCUMENT REQUEST I. All documents identified in these Answers to Interrogatories are public record and may be obtained by the Plaintiffs. . . CERTIFICATE OF SERVICE 1 JtiIo!!.--= ~~, ~''l:<~>>>:\ I HEREBY CERTIFY that I have this day served the foregoing Defendant's Answers to Plaintiffs' Interrogatories and Request for Production of Documents by depositing a copy of same in the United States mail, postage prepaid, at mr J.htlj , Pennsylvania, addressed to the following: !;. 1'/I4;'I>f.s Robert L. O'Brien, Esquire O'Brien, Baric & Scherer 17 West South Street DATE1.';l2'7~C~llil0'PA 17~,PE M- RANDALL L. V ALK ". 1- ."".,.,t.' >" l. ~,~*~'if*3i.Wi\;6'~~'i"f;"""'-""*&~'i!l\t",~Ji!i;illIiitffi;l.,!!A~ :lIJ(IlA< [lo~~~~Jf.l.r::\.!1i ~ .' '" > Jt () C::-' ~ '':=,: .,,," 1:] ~"~.\ ~] nl Z L:. t,o'" ~, cr' " '::J -< r:::: C~j -0 -,H ~;....,.. -.--'-,' <,0; i,::) ~7'- J . .?'~, , ~L) C:r n >c r.:? ~ ~ ::0 ..,.- -< =" . ~ .' . 1o:Il>..u.."",,,,~ri.;~,:,,'; ROBERT L. O'BRIEN : IN THE COURT OF COMMON PLEAS : CUMBERLAND COUNTY, PENNSYLVANIA V. : NO. 00-6280 CIVIL TERM RANDALL L. VALK : CIVIL ACTION - EQUITY ORDER OF COURT AND NOW, this 27 day of December, 2000, the Cumberland County Court of Common Pleas hereby relinquishes jurisdiction over this matter due to a conflict of interest. Argument on the case shall be heard by the Honorable Carol L. Van Horn of the Court of Common Pleas of Franklin County. By the Court, 'resident Judge cc: Gregory B. Abeln, Esq. Randall L. Valk ~ :r' i , ROBERT L. O'BRIEN, DAVID A. BARIC and MICHAEL A. SCHERER, tld/b/a O'BRIEN, BARIC & SCHERER, Plaintiffs IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA NO. 2000-6280 EQUITY v. RANDALL L. VALK, Defendant CIVIL ACTION-EQUITY PRAECIPE FOR ENTRY OF APPEARANCE TO THE PROTHONOTARY: Please enter my appearance on behalf ofthe Plaintiffs, Robert L. O'Brien, David A. Baric and Michael A. Scherer tld/b/a O'Brien, Baric & Scherer, in the above-captioned matter. Date: \ t~c:b Re'~;Bm~ Gregory B. Abeln, Esquire 37 East Pomfret Street Carlisle, PA 17013 (717) 245-2851 " CERTIFICATE OF SERVICE I hereby certify that on November K, 2000, I, Darlene Cramer, secretary to Gregory B. Abeln, Esquire, did serve the Praecipe for Entry of Appearance, by first class u.S. mail, postage prepaid, to the party listed below, as follows: Randall L. Valk 17 Cold Springs Road Carlisle, Pennsylvania 17013 ;J~ 1( ~ Darlene Cramer ~ II ',' "-~"r- "" ",,' >", _~'''~''''_H U ~. ~,-". ".",~,",',.-, ~'.,".,.~' .J, '""~',' -.,~ "" ",' p, ,," ~'C,,". " .;,..~ " i I 0 C) c:, c C) , , $: 2 -oc-:-; 0 m p -"'- ~S:: U-; d \,., " , {-) -< /.. " r:::C -..,..., -, )';; '~,,'~ '" -,7 C",? ::,:;,: C) "=rJ ~,? ,-', n-j >-c c,~ '-4 Z .1'....: :::.! Xl C.) -< ._,"' ~ ~ ~ .- "" "~ _~~~~"' =~IIIll>l_~I_!I<ilJk"". SHERIFF'S RETURN - REGULAR q, CASE NO: 2000-06280 P COMMONWEALTH OF PENNSYLVANIA: COUNTY OF CUMBERLAND O'BRIEN ROBERT L ET AL VS VALK RANDALL L CH. DEPUTY RONALD ANDERSON , Sheriff or Deputy Sheriff of Cumberland County,Pennsylvania, who being duly sworn according to law, says, the within WRIT OF SUMMONS IN EQUITY was served upon VALK RANDALL L the DEFENDANT , at 0014:35 HOURS, on the 27th day of September, 2000 at CUMBERLAND CO. SHERIFFS' DEPT 1 COURTHOUSE SQUARE CARLISLE, PA 17013 by handing to RANDALL L. VALK a true and attested copy of WRIT OF SUMMONS IN EQUITY together with INTERROGATORIES and at the same time directing His attention to the contents thereof. Sheriff's Costs: Docketing Service Affidavit Surcharge 18.00 3.10 .00 10.00 .00 31. 10 So Answers: ~..d r~""~~ R. Thomas Kline 09/28/2000 O'BRIEN, BARIC Sworn and Subscribed to before me this .s'E- day of (A.aA-L-. d/.-iJ7f7) A. D . ~ {l7hd":,~ rothonotary , , , .~,:,,,,. . " Commonwealth of Pennsylvania County of Cumberland ROBERT L. 0' BRIEN DAVID A. BARIC AND MICHAEL A.SCHERER, T/D/B/A O'BRIEN, BARIC & SCHERER Plaintiffs Court of Common Pleas VI. No, __?99_Q:~}_~Q_~~!~__~~__________ 19____ RANDALL L. VALK 71 COLD SPRINGS ROAD CARLISLE PA 17013 Defendant In ___~Y_I_~___________________________________ RANDALL L. VALK To _____________________________________________ You are hereby notified that ROBERT L. 0' BRIEN, DAVID A. BARIC AND MICHAEL A. SCHERER, T/D/B/A O'BRIEN, BARIC -&-E(liEREJ<;------------------------------------------------------------------------------------- the Plaintiff ha commenced an action in __hu_.5!JMl110N._"'_EQ.QITI'_______h_____nnnn_n_nn_ against you which you are required to defend or a default judgment may be entered against you. (SEAL) Date _!?~_~_~'3_}.j_,_39_0_<!._______ ~n__ ~rJ~_B~__~~~________________________________ Prothonotary' By __~_!!i_~~!tJJf,; _om Deputy Tj : U~lU!i!lJ~tRW~!!~I~lmili&"'!iii.liI1M\\)>1~.m~~!ltiO~i@;,'lll"WlL""ifkl."il:';;';!f<l:f.~IK~,-,t!,.H'k~~~~_!ll!riJl,~~~.<!~ .~ .. er =1 ~ -..J~""'O; ..... -..J- -..J to I r:-<;g:;o NHtlJH::O ... enent>:l..., ~r:-<...,z , t>:I . r:-< ~ ~~~~ I--'~Hto -..J n:;o oen H .....:;j"'t>:I w~f 1ll :;0 <~" ., ~ ",- ~.~- " - ., ".' ,,',~-" , I , , i~ IH :::1 I ( Wi~ bj~~ &l1r >u;Br :Jj'H Ii? ~<~ ~ ..".....en (1)-..J "'0:0 0......0 ~ wE; rt ... = -'~ _. ~ '~'l-""""""~' ~~~~; ~ 0:;0 t>:I ..., zr:-<> . . r:-< > . 'd~~' ~~ I-'H Hto Ill() ():;o ~"'1ll~i f-'.~:;oo. .." . .." en ..., 1ll"O :;0"- to "- > ~''"'''''"'~<~'''Ili!!iIl@iI!C[i , . H ... Ii z 1) IN '0 '0 10 " IN 1(Jl 'N ~ If-'. ~ I , , I I I - :-0 I , I I i I , < , , ."''''''--4"",~ l. ROBERT L. O'BRIEN, DAVID A. BARIC and MICHAEL A. SCHERER, Ud/b/a O'BRIEN, BARIC & SCHERER, Plaintiffs IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA NO. 2000- &,;80 CIVIL TERM vs. RANDALL L. VALK, Defend8>>t '7-/ CoidSfr'<'&)SK-oorJ Cefl/t,lll m 11013- :CIVIL ACTION - EQUITY Dear Prothonotary: Please issue a Writ of Summons in the above captioned action. ~b~ Robert L. O'Brien, Esquire ~1liH!iiIIll~L~lIlllti!!!,"~I'~MI;:IlWif'~:l!WJ",~~ih!;",,\2,;';~,*')<$dl..;.ci;;'~~'il!ltilll\!;I~~"~~' !ill 1f. C"> ~ '% V, 0 VI 0 - -<..:I G \:) ...0 eN l.I\ ----D s:;" J:> ..,... Y ~. ~--, . ".. - -- ~'. ~ -~, ~~ ~~- ."-~~ 0 C) c; p ~ V) '"00:; r<1 sg!r -0 ..c. Zr;: .r. \.!) C) ~2.: , ;<'0 Ci '8 -0 ~O z :i>g '" z U'l Sl. ~ ~ :p -l--' Y \2 ~ (;" 0, yo ~ ". "/. ~ S' '" " '" '" , h-.l;c.,:\,j ~ " II II ii I .. ~ n :;-h "~:;, J,: .,'-' '~T~ -_.qP=; JV '''' , -~1() ~~ Ci~TI -. :; ::.c . ]'_..~~ ~'i"AJ ~ -~~~. c'-':' < "~ ~"~~,,,~,~," ROBERT L. O'BRIEN, DAVID A. BARIC and MICHAEL A. SCHERER t/dIb/a O'Brien, Baric & Scherer Plaintiffs IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA NO. 2000-6280 EQUITY v. RANDALL L. V ALK, Defendant CIVIL ACTION - EQUITY CERTIFICATE OF SERVICE I hereby certifY that I have this day served the foregoing ORDER OF COURT by mailing a true and exact copy addres~ed to the following: Randall L. Valk 17 Cold Springs Road Carlisle, PA 17013 Respectfully submitted, ABELN LAW OFFICES Date / ~c.?J -01 arlene F. Cramer Legal Assistant 37 East Pomfret Street Carlisle, PA 17013-3313 717/245-2851 l\i.1"l 'j''-~~~IillIIiI~~__J!~"~%w"~'1<J;'i,;;"f;\!~~,,,,~,",I;I.",~~-libi.lli,,"~.!!iIid,;;\ot.-,iW$"iil:I;k''\'.Mii,"lt'IL~*,~_liIi/;j;tIIf!!c;a1:llli - -""',,",'- -: J . E ~,to,UJ.r_' ''''~~_ ~. ", C,"_. 0'- ~-~'.. , LI () 0 ~ C <" '- '4 -005 > I" fT1-fT1 :z :~'1 ::h Z;:n , zC N -OfT1 (/)-" .;:- =00 ~z: "::) L 2-jC} ._0 -0 -iI, j; :::ll; ":''')-'1 zO ~("5 -='0 Pc ~ Om ~ U'I ~ '0 -~ 1; !;t " '--' " ~" _."~ d """ I~ . ROBERT L. O'BRIEN, et aI., Plaintiffs IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA v. NO. 2000-6280 EQUITY RANDALL L. VALK, Defendant CIVIL ACTION-EQUITY ORDER OF COURT AND NOW, this -i- day of ~tf;rJt/1fJt1200~ument is set for '1H1J..R.S!>AY ,the 7-r1-t dayof FUf7.v..'"K'f ,200~at /1'00 a.m.~ in Courtroom No. ~ of the Franklin County Courthouse, Chambersburg, Pennsylvania on the Plaintiffs' Motion To Compel Discovery from Defendant as to Plaintiffs' First Set of Interrogatories and Document Requests. BY THE COURT, I I II I I:! I ji II I Gregory B. Abeln, Esquire Abeln Law Office 37 East Pomfret Street Carlisle, Pennsylvania 17013 Copy PWO{)(fi!f jlv;n {~II~ot2 Randall L. Valk P.O. Box 105 Mai/€d I-Iro~ Mt. Holly Springs, Pennsylvania 17065 il ... , .--,. " .. ,,< ~'" OF T!, ,.....yl'R" . .-~..,' Il,' f O~' li\'i) II l- "',1.,1< P'I"I il'. ".,'.>1 J.-{j , . ,( .... "'II "~"". """,, I\/TV \';UP/iDth!J',; (JU~'I~ J I PENNSYLVANiA .. R!I'Imf r1'~"'~'" - . ~- "" ,>1ffill'ill!ill,., !. ''-,1>,,,',,,','. "('-,,- t ~,'l, ~ '_~ ".1, " ",.,', "J''-''j('' ";'-"i;''<<';':~'''yt'',~~'i1; f . .....~ " J ,,;,, ".,O"i".'-'~-' _',' '~~'; . ROBERT L. O'BRIEN, et aI., Plaintiffs v. IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA NO. 2000-6280 EQUITY RANDALL L. VALK, Defendant CIVIL ACTION-EQUITY MOTION TO LIST CASE FOR ARGUMENT 1. On January 3, 2001, the Honorable John R. Walker, specially presiding in this case due to a conflict of interest with the Cumberland County Court, signed an Order issuing a Rule To Show Cause on the Defendant why he should not be compelled to respond to Plaintiffs' First Set of Interrogatories and Document Requests. 2. On January 26, 2001, Defendant filed an Answer With New Matter to the Rule issued upon him by Judge Walker, wherein Defendant asserts Plaintiffs have no legal right to obtain the information requested. 3. This discovery matter is contested and court intervention is necessary to resolve the discovery dispute. WHEREFORE, undersigned counsel respectfully requests that this Honorable Court schedule an argument to resolve this discovery matter. Respectfully submitted, ~e,~ Gregory B. Abeln, Esquire 37 East Pomfret Street Carlisle, Pennsylvania 17013 (717) 245-2851 dab.dir/litigation/valklobs/argument.mot il . " ".,;,",~,,,,,,, . ,',,,',=-- -""d,--"~ ,~t': . CERTIFICATE OF SERVICE I hereby certify that on January 4, 2002, I, Gregory B. Abeln, Esquire, did serve a copy of the Motion To List Case For Argument, by first class U.S. mail, postage prepaid, to the party listed below, as follows: Randall L. Valk P.O. Box 105 Mt. Holly Springs, Pennsylvania 17065 5<'fB~ " Gregory B. Abeln, Esquire II II ,.1 ""'0" ,'> nt'iU.!IIffi';:'- ROBERT L. O'BRIEN : IN THE COURT OF COMMON PLEAS : CUMBERLAND COUNTY, PENNSYLVANIA V. : NO. 00-6280 CIVIL TERM RANDALL L. VALK : CIVIL ACTION - EQUITY ORDER OF COURT AND NOW, this 27 day of December, 2000, the Cumberland County Court of Common Pleas hereby relinquishes jurisdiction over this matter due to a conflict of interest. Argument on the case shall be heard by the Honorable Carol L. Van Horn of the Court of Common Pleas of Franklin County. By the Court, cc: Gregory B. Abeln, Esq. Randall L. Valk ~ ~ t, (',fl. <i!l!l -1 i ,{ f ~ j .'J;__ ,,~ - ~ ~ "'_ h , ~- " ,-'- - ~. '~H"' ~" -""_ OF 00 DEe 28 llld j'lo ., I dlj lO.). cu."",~"" I'JJi::tt'ii....F,j\Ci (;n! 1,'\/'\/ P'-'J' ~ "~~'" CJ\ j'~0YL\l,/!i\i1A ' '" -^- "i.I'~""rtl]r r: ~........ 'P'I'I~~'!lI!!!!,"'.J:{'!.'Irp"I!!i'Lf;';!r,~~Pf.<""'W1l9fi!'''''",__Jl..'l'}$''''T'ffj._~;"f"\$.""'!%I--,;-"""~~;'''''''''''I<'',,;,~''''m',i'n~~~,,..,~. ~.!Il ~". " . .". :,,,. . ..'"'' .~ :,.., . ~~:" V ALK ANSWER AND NEW MAlTQl TO PLAINTIFF'S MOTION TO COMPEL DTSCOVERY ROBERT L. O'BRIEN, DAVID A. BARIC and MICHAEL A. SCHERER, tldlb/a O'Brien, Baric & Scherer, Plaintiffs vs. ) ) ) ) ) ) ) ) ) IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA NO. 2000-6280 EQUITY CIVIL ACTION - EQUITY RANDALL L. V ALK, Defendant DEFENDANT'S ANSWER AND NEW MATTER TO PLAINTIFFS' MOTION TO COMPEL DISCOVERY 1. Denied. Defendant is not familiar with which Rules of Civil Procedure that mayor may not authorize Plaintiffs' Motion and therefore denies the contents of this paragraph. 2. Admitted. 3. Admitted. 4. Admitted. WHEREFORE, Defendant respectfully requests this Honorable Court to dismiss Plaintiffs' Motion for the reasons stated herein. NEW MATTER 5. Answers to Paragraphs 1 through 4 are incorporated herein. 6. Defendant believes that the discovery requests in this case will be used to formulate a claim for damages against Defendant that Plaintiffs allege are due as a result of legal representation provided to Defendant in the following actions: 1 ~, ,_~ _",,' ~ ~,",c,,;,_ ,'_ .~::. ',<,,1 VALKANSWERAND NEW MATIER TOPLAINTIFF'S MOTION TO COMPEL DISCOVERY A. Randall 1. Valk vs. Dauphin Deposit Bank and Trust Company, and Richard p, Valk, in the Court of Common Pleas of Cumberland County, Orphans' Court Division, Docket No. 21-95-612; and B. Randall 1. Valle, individually and on behalf ofValk Manufacturing Company vs. Richard P. Valle, Ted P. Valle, Elliott K. Braverman, and James F Hay, in the Court of Common Pleas of Cumberland County, Docket No. 717 Equity 1994. 7. Defendant originally hired Plaintiffs to prosecute these matters and entered into a contingent fee arrangement with Plaintiffs. 8. In December, 1997, Plaintiffs attempted to settle the matters on behalf of the Defendant without Defendant's authorization. 9. Thereafter, the Plaintiffs filed a Motion to Enforce Settlement in the Court of Common Pleas of Cumberland County. 10. The Plaintiffs abandoned representation of Defendant that resulted in Defendant having to file answers to the Motion to Enforce Settlement pro se, and to represent himself. 11. The Plaintiffs did not seek leave to withdraw prior to abandoning Defendant and ultimately advised Defendant, by letter of April 1 , 1998, that they would testify as witnesses against Defendant and would indicate that they were authorized to enter into an agreement on his behalf when they were not so authorized. Attached hereto and marked as Exhibit A is a true and correct copy of Plaintiffs' letter of April 1, 1998. 12. During this period of time, Defendant was not able to obtain separate counsel and was faced with the unenviable task of having to represent himself against not only the defendants 2 '.-., '-~" . ^~."'- "'~ _,~M"-'70 '.,_~ . ,_ "./_ _ '_ '~ ' .,,"'- VALK ANSWER AND NEW MATIER TO PLAINTIFF'S MOTION TO COMPEL DISCOVERY in the former actions but also his own attorneys, the Plaintiffs herein, who were attempting to force the settlement upon Defendant that he had not authorized, and who would not represent Defendant even though Plaintiffs were still his counsel. 13. Ultimately Kevin A. Hess, the Honorable Judge of the Court of Common Pleas of Cumberland County, admonished Plaintiffs and counsel for the defendants concerning their continued willingness to testify against Defendant and at the same time act as his counsel. Attached hereto and marked as Exhibit B is a true and correct copy of the letter of April 24, 1998, from Judge Hess to counsel and Defendant. 14. Thereafter, the Plaintiffs filed a Motion To Withdraw their representation of Defendant in both actions, said Motion being filed May 7,1998. Attached hereto and marked as Exhibit C are true and correct copies of the Orders evidencing the filing of those Motions. 15. The Honorable Kevin A. Hess granted Plaintiffs' Motion to Withdraw on May 29, 1998. Attached hereto and marked as Exhibit D is a true and correct copy of the Order issued for both cases. 16. On or about June 3, 1998, after having been granted leave to withdraw, Plaintiffs filed a Petition for Attorney's Charging Lien in reference to both actions. 17. Thereafter, Defendant was able to obtain legal counsel and hired Michael L. Bangs, Esquire, to represent him. 18. The former defendants in the Cumberland County actions continued with the Motion to Enforce Settlement which resulted in several hearings and ultimately ended in an Order of Court dated December 15,1998, entered by Judge Hess denying the Petition for Specific Performance and Enforcement of Settlement. In that Opinion, Judge Hess ruled that the 3 "-'- , ",",,'.__ _" O_~_,,",~,_,,".'_ ''''''", .."""". ">-.~~'''_. ".',,~.' C__._"'-- c'.;s-"'-"'~"';"''''_''''~'''''X''^.'~\~~"' 'C,,,,,- - VALK ANSWER AND NEWMATIER TOPLAfflTIFF'SMOTION TO COMPEL DISCOVERY Plaintiffs were not authorized and in fact did not enter into a complete settlement agreement on Defendant's behalf. Attached hereto and marked as Exhibit E is a true and correct copy of the Order and Opinion of Judge Hess dated December 15, 1998. 19. Plaintiffs, over Defendant's objections, testified against him at the hearing to enforce settlement and disclo$ed to opposing counsel the fee agreement that Plaintiffs and Defendant had prior to Plaintiffs' abandonment of representation of the Defendant. 20. Plaintiffs took no action to enforce their alleged Attorney's Charging Lien. 21. The matter docketed to the Orphans' Court thereafter proceeded through more extensive discovery and ultimately went to trial in March, 2000. That case was subsequently appealed to the Superior Court. 22. The parties continued to litigate the Equity matter thereafter. 23. The Equity matter was withdrawn by Defendant in September, 2000, and the appeal to the Superior Court was withdrawn by Defendant in September, 2000. 24. Defendant submits that Plaintiffs are not entitled to any of the discovery that they have requested in this matter because they abandoned their representation of Defendant and voluntarily chose to withdraw their appearance on his behalf. To the extent that the discovery relates in any way to their claim for attorneys' fees, they lost their right to receive any attorneys' fees from Defendant when they chose to voluntarily withdraw from their representation of Defendant and abandoned Defendant through the litigation. 25. The Plaintiffs abandoned their right, if any, to receive attorneys' fees when they did not pursue their Charging Lien prior to the withdrawal of the actions. The issue of attorneys' fees should have been resolved through their Charging Lien if they had any claim and they 4 . ., , "'~" .,.'" -~ -'"'&'-''''', "'''.'' " ",,,, *. ~_.",,, -", ." '" V ALK ANSWER AND NEW MA T1'ER TO PLAINTIFF'S MOTION TO COMPEL DISCOVERY should have pursued since it related to the now-withdrawn litigation in the Equity Court and the Orphans' Court of the Court of Common Pleas of Cumberland County. 26. The Plaintiffs do not have a legal right to receive information about any resolution of the matters that Defendant may have made with the former defendants in the litigation in Cumberland County since Plaintiffs have no right to attorneys' fees. 27. In the event that this Court believes that Plaintiffs somehow have a right to view any documents that may exist or receive any information other than that which has been disclosed by Defendant already in the Interrogatories, then the Defendant submits that those matters are confidential and may not be disclosed without the express written permission of all parties. 28. The Defendant was involved in contentious, expensive, and massive litigation with the former defendants lasting in excess of 7 years and cannot disclose any portion of any resolution of the matters between Defendant and the former defendants in the Equity action and the Orphans' Court action without the prior and express written permission of those parties which has not been given. 29. Plaintiffs must join the former defendants of the prior Equity and Orphans' Court actions in this Motion to Compel because without their express written permission and this Court hearing their objections to the request for disclosure, the Defendant is put at risk of further litigation with the former defendants of the Equity and Orphans' Court actions. WHEREFORE, Defendant request this Honorable Court to order and direct the following: A. Rule that Plaintiffs have no legal right to obtain the information requested because they have no valid attorneys' fee claim since they abandoned 5 _ . ~ "" Ji! , ,. ~ "<- ""~~.-c.., >"'''''''=',,,,,,,~ ,~""'cf-",,,_," ,."" '~"_ = ""'-,.'",,"',,' '~h VALKANSWERAND NBW MATIER. TOPLAINTIFf'SMOTIQN TO COMPEL DISCOVERY representation of Defendant and voluntarily withdrew their representation of Defendant during the pendency of the action in question; B. Deny Plaintiffs' Motion to Compel for the reasons stated; or C. In the alternative if the Court believes that the Plaintiffs have a right to have further information about the resolution of the matters between Defendant and the former defendants, that the Plaintiffs be required to join the former defendants in their Motion so that Defendant does not breach the non-disclosure and confidentiality provisions of the resolution and subject himself to additional litigation. Respectfully submitted, RANDALL L. V Defendant, pro se 6 - " .",~--'" 0'- "-.~: ,,' _'~_,~"" ,~--"- , "',," ._'",,'" ..., ~ v'i:_ '__ "- ?';" V ALK ANSWER AND NEW MATTER TO PLAINTIFF'S MOTION TO COMPEL DISCOVERY CERTIFICATE OF SERVICE I HEREBY CERTIFY that I have this day served the foregoing Defendant's Answer and New Matter to Plaintiffs' Motion to Compel Discovery by depositing a copy of same in the United States mail, postage prepaid, at "'I: lI.&I., .Qt..r~, Pennsylvania, addressed to the following: 1ia' T ~.~. , ~. ~,u~.A.1f 13. ,41JB.AlJ l'.itIJIt.&Md [r~' ,~ . - ^ [ , ..,;7 eb 4.""'Pite-r S1ilb~ . - m llh I IT ;J ., ,.. r ,., . -. nllU tift 14::St6, "A. r7./~ DATE: ,. "1.'.01 ~~~ ALL L. V ALK 7 _ . w_ EXHIBIT A -'.~,,"~, I ~, ""'_,p-"-",,._,' ""-' ;;;:,:<i:, .-,- _f(; "~~ - "'"""' ~ ~ '~^ ~.Boi;"'j"'j,,,''',,,,.,,:,;', ,/ " Law Offices / c_"- O'BRIEN, BARIC & SCHERER 17 West South Street Carlisle, Pennsylvania 17013 Steven 1. Fishman a/Counsel Robert L. O'B,'ien David A. Baric Michael A, Scherer (717) 249-6873 FAX (717) 249-5755 April 1, 1998 Mr. Randall L. Valk P.O. Box 105 Mt. Holly Springs, PA 17065 Dear Mr. Valk, I left a message on your machine in reference to Mr. Finio and Mr, French asking for copies of the letters you intend to present to the Court. In the event you did not receive the message, this letter will serve as a follow-up. Please advise at your earliest convenience. I would note also, that a recently decided case that was reported in the local paper involving Big Spring School District, reinforces my feeling that both Dave and I will be called as witnesses in the specific performance hearing. As we have expressed to you, neither he nor I have any hesitation in testifying that in our estimation, we were fully authorized to settle the case as the matter now stands. This is a rebuttable presumption that you can overcome. It will entail all of us testifying and as this matter is explored by the defendants and the court, certain matters of our analysis and assessments of the strong and weak points may be inquired into. At that point, it becomes critical that this analysis be shielded under the attorney-client privilege. The advisory opinion that J received, suggested that Mike Scherer of this office may be able to serve as your counsel in this regard. Nonetheless, even with Mike's, assistance to protect the attorney client privilege, it still places Dave and me in the unenviable position of testifying contrary to your interests. It also creates a certain j!fsk in reference to the settlement or prosecution of the cases, irrespective of the Court's approval of specific performance of the settlement agreement. This office is certainly Willing to continue to pursue this case against Mr. Braverman and the other defendants if the cases are not deemed settled. However, we cannot do that until we get over the hurdle of the current impasse. We are also concerned about your statements that having your mother's estate secured that your level of interest in resolving the current cases is greatly reduced. , I would suggest that ,. ~ J ~ . -' . " ,---, "'''''''-' -2- Mr. Randall L. Valk April 1, 1998 you arrange to meet with Dave, Mike and me to see if we can reach a reasonable solution to the current situation, I look forward to your response. Very truly yours, O'BRIEN, BARIC & SCHERER ~ Robert L. O'Brien, Esquire RLO/au Enc .' ,. --- .-','~' - "' [."'.. '^I.~ ~_",,,-,' -" "<"~";i-'-'~",,,,"',, , .,,-,>: :,;. - EXHIBIT B L, , fC~~ "'!li4>i1ili - ~~ COMMONWEALTH OF PENNSYLVANIA COURTHOUSE 1 COURTHOUSE SQUARE CARLISLE. P A 17013 KEVIN A. HESS JUDGE (71 7) 240.6296 April 24, 1998 Robert L. O'Brien, Esquire 17 West South Street Carlisle, PA 17013 Thomas French, Esquire One South Market Sq\Jare P. O. Box 1146 Harrisburg, PA 17108-1146 Randy Valk P. O. Box 105 Mt. Holly Springs, P A 17065 Gentlemen: As you are aware, I have been somewhat perplexed by the dual representation of the plaintiff in recent proceedings in this case. I entered my last order, setting argument on a pro se motion, on the suggestion that the case of Rockey v. Bi~ Sprin~ School District, 699 A.2d 1331 (1997) permitted such a procedure. I have read the Rockey case carefully. I am completely satisfied that this case from the COl11l11onwealth Court does not remotely condon~ the procedure being adopted by counsel in the present case. It is obvious to me that Mr. Randy Valk's counsel must decide whether or not they agree with the position he is taking and either defend it or not. Whether counsel will withdraw their appearance depends, of course, on this assessment. In the meantime, the litigants in this case, as in an other cases, will either proceed pro se or with counsel but not both. Discussions with counsel seem to suggest that they are at ease with testifying in this case. This would appear to be prohibited by Rule of Professional Conduct 3.7. The withdrawal of counsel appears to be particularly advisable in light of Rule of Professional Conduct 1.1 6. I render no opinion with respect to the applicability of Professional Rule of Conduct 1.6 to this " case. ~~ " -~ . Page 2, 1998 April 24, 1998 In accordance with the above, I have entered the enclosed order. Very truly yours, -/ . Ad.. KAHlrlm encl. ,. . l.ii..;'~. ~"ii2~~U"'i V' EXHIBIT C RANDALL L VALK, Individually and on behalf of Va\k Manufacturing Company, : Plaintiffs INfHE cdU~ib COMMONPL'SGF CUMBERLAND COUNTY, PENNSYLVANIA No. 717 EQUITY 1994 v. RICHARD P. VALK, TED P. VALK, ELLIOTT K. BRAVERMAN and JAMES F. HAY, CIVIL ACTION-EQUITY Defendants ORDER-"bF COURT AND NOW, this 7t.A. day of May, 1998 upon review the attached Motion To Withdraw, IT IS ORDERED, the law firm of O'Brien, Baric and Scherer, and the partners of that firm, Robert L. O'Brien, Esquire, David A. Baric, Esquire and Michael A. Scherer, Esquire individually and all other interested parties to this case shall have .1) days from service of this Order to show cause why said Motion should not be granted, BY THE COURT, IS/ ~a..~ J. ". ,. ....--..----- ........,.."~'"'-~"..".".I...",."............,., _,I '. .' c . itfilllitii,J RANDALL L. VALK, Petitioner v. NO 21-95-612 DAUPHIN DEPOSIT BANK and TRUST COMPANY, a division of DAUPHIN DEPOSIT CORPORATION and RICHARD P. VALK Respondents ORPHANS' COURT DIVISION ORDER OF COURT AND NOW, this 7 t:Iv day of M~y, 1998 upon review the attached Motion To Withdraw, IT IS ORDERED, the law firm of O'Brien, Baric and Scherer, and the partners of that firm, Robert L. O'Brien, Esquire, David A. Baric, Esquire and Michael A. Scherer, Esquire individually and all other interested parties to this case shall have S- days from service of this Order to show cause by said Motion should not be granted. BY THE COURT, IS! ~fJ.~ J. ~' ,. &L EXIllBIT D :; - ,-,' ,....--- "",,"_l"'""~"'.'J:,j, ............ '.-'" .---'~ RANDALL L. V ALK, individually and on behalf of V ALK MANUFACTURING COMPANY, Plaintiffs IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA NO. 717 EQUITY 1994 vs. RICHARD P. VALK, TED P. V ALK, ELLIOTT K. BRAVERMAN and JAMES F, HAY, Defendants CIVIL ACTION. EQUITY ORDER AND NOW. this :? '1' day of May, 1998, the petition of the law firm of O'Brien, Baric and Scherer to withdraw its appearance as counsel in this case is GRANTED. Pro Se filings of the plaintiff are reinstated and/or approved for filing. BY THE COURT, . Ai Randall Valk Plaintiff Robert L. O'Brien, Esquire For the Plaintiff Thomas French, Esquire Michael A. Finio, Esquire For the Defendants " :rlm ,. _. ~~~ , ~- , 'i_~<0''''-<<''''''j; , RANDALL L. V ALK, Plaintiff IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA vs. ORPHANS' COURT DIVISION. 21-95-612 DAUPHIN DEPOSIT BANK AND TRUST COMPANY, a division of DAUPHIN DEPOSIT CORP. and RICHARD P. VALK, Defendant ORDER AND NOW, this ZJ'. day of May, 1998, the petition of the law firm of O'Brien, Baric and Scherer to withdraw its appearance as counsel in this case is GRANTED. Pro Se filings of the plaintiff are reinstated and/or approved for filing. BY THE COURT, Randall Valk Plaintiff /Ii . Hess. J, Robert L. O'Brien, Esquire For the Plaintiff R. Stephen Shibla, Esquire For the Defendants ~' :rlm 'tfd "oJ pUBu9qLlIn:) "".\u"I'"' lJnOJ ' , ,-' A T'R'UE CO'PY FROM RECORD 1(1 TfIe1tmoo,; '~ffl'O'f, I her&unlo S9t my h&nd and tM lIOOl ~ Ilzld COUrt al Ce:r1lg1s, PA ThI8 .:<9 f::I.... dzy of m~ 19~ p~ Bn.lJ.9~ \\ .. ,.-h:. CIeri< oUoo ... Ooufl ......-- . \ Cl.tmberland Coooly O~: ll~ 6l mw 86. ,. SI!!M ;0 181S!58tl )0 9:J1],::) p20J008t1 EXHIBIT E t] RANDALL L. V ALK, Plaintiff vs. DAUPHIN DEPOSIT BANK AND: TRUST COMPANY, a division of DAUPHIN DEPOSIT CORP. and RICHARD P. VALK, Defendant RANDALL L. V ALK, individually : and on behalf of V ALK MANUFACTURING COMPANY, : Plaintiffs vs. RICHARD p, VALK, TED P. V ALK, ELLIOTT K. BRAVERMAN and JAMES F. HAY, Defendants -- -' ~""",-.. IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA ORPHANS' COURT DIVISION 21-95-612 IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA NO. 717 EQUITY 1994 CIVIL ACTION - EQUITY IN RE: MOTION TO ENFORCE SETTLEMENT AND NOW, this BEFORE HESS. J. ORDER I ';)+ day of December, 1998, the petition of the settling defendants for specific performance and enforcement of a settlement agreement is DENIED BY THE COURT, r Michael Bangs, Esquire For the Plaintiff Thomas French, Esquire Michael A. Finio, Esquire R. Stephen Shibla For the Defendants : rim ,. - ~~ '. 1IiIIlIll~-~-~"-'",~a'ili!<u,,",",,,,,,l,-,,,,,,:,,,' i - ~ ~-. l'_4>>l~u4-. RANDALL L. V ALK, Plaintiff IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA vs. ORPHANS' COURT DIVISION 21-95-612 DAUPHIN DEPOSIT BANK AND: TRUST COMPANY, a division of DAUPHIN DEPOSIT CORP. and RICHARD P. VALK , Defendant RANDALL L. V ALK, individually: and on behalf of V ALK MANUFACTURING COMPANY, : Plaintiffs IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA NO. 717 EQUITY 1994 vs. RICHARD P. VALK, TED P. V ALK, ELLIOTT K. BRAVERMAN and JAMES F. HAY, Defendants CIVIL ACTION - EQUITY IN RE: MOTION TO ENFORCE SETTLEMENT BEFORE HESS. J. MEMORANDUM AND ORDER In the captioned cases, certain defendants have petitioned for specific performance seeking the enforcement of an alleged agreement to settle these matters. , The evidence at our recent hearing was to the effect that the plaintiff, Randall L. Valk, authorized his attorney, Robert L. O'Brien, Esquire, to send a letter dated December 11, 1997, informing the settling defendants of his willingness to settle both the equity and Orphans' Court actions in return for payment on behalf of the settling defendants of $629,500.00. The proposed settlement would J'. ~ .J..!!tilli'i ,,," 21-95-612 ORPHANS' COURT 717 EQUITY 1994 also include an agreement on the part of these defendants to cooperate in attending any proceedings against Elliott Braverman. The settlement also involved the repurchase of Randall Valk's shares of Valk Manufacturing Company at "book value." Mr. O'Brien's letter went on to say: The settlement would im;lude other items discussed such as a return of all copies of your records, confidentiality agreement for the nonderivative case and a complete mutual release to be executed by all parties. By letter dated on or about December 18, 1998, the settling defendants, through their attorney, R. Stephen Shibla, Esquire, accepted, "the settlement proposal as set forth in your second letter of December II, 1997 (copy attached)." At the hearing of this matter, Mr. Randall Valk confirmed that he had authorized his attorney to send a letter on December 11, 1997. This, however, was the first letter sent by Mr. O'Brien. It was Mr. Valk's intention, at that time, that a monetary amount be proposed and that other matters would be the subject of continued negotiation. Having received Mr. O'Brien's first letter, Mr. Shibla contacted Mr. O'Brien the same day requesting a more comprehensive proposal. While Mr. O'Brien no doubt felt that he had the authority to extend an offer of final settlement, the plaintiff through his testimony has repudiated the proposal stating adamantly that he had no knowledge of the second letter and that it was his intention to reserve certain other issues for another day. These issues included the tax treatment of the monies payable to him under the agreement and the mechanism whereby his lawsuit would be 2 ,. " ' ^-. ~- ,- ";1.1: 21-95-612 ORPHANS' COURT 717 EQUITY 1994 continued against defendant Elliott K. Braverman. Mr. Valk admits that he first discussed the matter of tax treatment with his accountant in January of 1998, after the December exchange of letters. Because of his position that he had not, as yet, agreed to a final settlement, he felt at liberty to insert into a proposed final settlement agreement reference to tax treatment. It is this provision in the subsequently proposed settlement agreement which was not acceptable to the settling defendants. The legal principles applicable to this case were set out in Rockey v. Big Springs School District. Therein the court noted: Settlement agreements are higWy favored. Muhammad v. Strassburger, 526 Pa. 541, 546-52, 587 A.2d 1346, 1348-51 (1991). There is a presumption that a settlement entered into by an attorney has been authorized by the client, although rebuttal of the presumption will render the purported settlement ineffective, See generally Annotation, Authority of Attorney to Compromise Action, 30 A.L.R.2d 944 (1953); Garabedian v. Allstates Engineering Co., 811 F.2d 802,803 (3d Cir. 1987). This presumption is fundamental to the effective functioning of our adversary system which is grounded, in part, upon two interrelated understandings: (1) that attorneys speak for their clients, both to the court and to opposing counsel, and (2) that attorney-client communications are privileged. Being able to rely upon counsels' representations of their clients' positions serves the salutary purpose of avoiding intrusion into the attorney-client relationship, Of course, there will be occasional situations where an attorney, by mistake or otherwise, will misrepresent a client's position. This can easily be determined and 3 r -~ ~ "_n:l liI~~M<"",,~ 21-95-612 ORPHANS' COURT 717 EQUITY 1994 addressed by a fact-finding exercise, once the client has come forward to deny the attorney's representations. Otherwise, no inquiry into the conversations or understandings between clients and their counsel is warranted.... Rockey v. Bili Spring School District, 699 A.2d 1331, 1334 (Pa.Cmmwlth. 1997). An extremely important aspect of the settlement of this case with certain defendants was Mr. Valk's insistence that this matter proceed against defendant Elliott Braverman. Even as recently as our hearings on the matter of specific performance, there was no agreement between the parties as to how this would be accomplished. To the extent that a settlement was reached, it failed to include some material terms. This lawsuit has been pending for several years. The complexity of the case is exacerbated by animosities that are familial and personal in nature. That the attorneys involved would be eager to settle the case is understandable. In Rockey, the disagreement between the parties involved the amount of just compensation in a condemnation proceedings. Essentially, it was alleged that the parties, through counsel, had reached an agreement concerning the amount to be paid. In the matter sub judice there are actually two cases; one in the Orphans' Court and one in Equity. This case includes a stockholder's derivative action which cannot be dismissed or compromised without court approval. This matter is far more complicated than the one in Rockey. Settlement here cannot be accomplished piecemeal. We do not believe that the plaintiff assented, on December 11th, to all the material terms necessary to settle this litigation. To the extent that he bears the burden of proving his 4 I" ,'" '-, d~ ;--". ',~. , l', lilhr:i'~o . . 21-95-612 ORPHANS' COURT 717 EQUITY 1994 repudiation of the purported settlement in December, he has met that burden, Moreover, at least one aspect of the plaintiff's proposal in January of 1998 was not acceptable to the defendants. ORDER AND NOW, this IS" day of December, 1998, the petition of the settling defendants for specific performance and enforcement of a settlement agreement is DENIED BY THE COURT, Michael Bangs, Esquire For the Plaintiff Thomas French, Esquire Michael A. Finio, Esquire R. Stephen Shibla For the Defendants : rim 5 ,. ~~Ul!;j ~~~ ~' :;f.]tl~!!IiO':'llIili!~'l..~~~~:Jil~i_~""'''''' d ." < ",. " - t~": f-~' ~?2': r-E-----l ~'~~ ~-:::: [-) J>C Z =2 !?lUJ 5;~ ~, r::;:, () ~n. ;"'-..1 0'\ r ':i ,":'~: <:-,j't} ~~ 'hl ~ ~': :..> (1\ :if;;- . . ..J, ROBERT L. O'BRIEN, et aI., Plaintiffs v. RANDALL L. VALK, Defendant '" -~ r, ~,,' ".",,:,,,,,,,,,," "',,'. "~~',>-" ,~~ " "-~" ,1,,:,-- , IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA NO. 2000-6280 EQUITY CIVIL ACTION-EQUITY AND NOW, this Motion To Compel Discovery from Defendant as to Plaintiffs' First Set of Interrogatories and Document Requests; IT IS HEREBY ORDERED AND DECREED that the Defendant shall answer Interrogatory Numbers 2.,3.,5.,13.,15. and 17. within fourteen (14) days hereof; AND FURTHER, the Defendant shall furnish Plaintiffs with all documents in his possession, custody or control that pertain to the settlement or disposition of the actions docketed to 717 Equity 1994 and 21-95-612 Orphans Court Division, filed in the Court of Common Pleas of Cumberland County, Pennsylvania, as well as any other documents identified in Defendant's answers to interrogatories within fourteen (14) days hereof. c: 6y Abeln, Esquire ~dall L. Valk, Defendant P. O. Box 105 Mt. Holly Springs, PA 1706 ~' BR\eJ' II BY THE COURT, L~ 63-07-()Z l J ~ ('W ,- h j:n.!:D-C+TICc' T~~_ -T~-~("'\JnTt.:'R. v """'.---"'" I 0</ ~j~;) - '7 ... r,J""'\ ('\ ~_A "). I '1 ;"'ri t",' t. CU:\i18EFiUv'D COUNTY PENNSYt.\;t"NIA ,--- ~- f , ,,' "!\O""~ Ulli!l,.="~,, ., . ,'~.- '"""'"'""~~~~"'-~- " ,',"-' ~...." .,,,,,,,,"',, '"~,,,.,~. .~. J$l~./l'NWII, J!" ~, ,~ ~l: ~. ~ ~"'"" ~'.u-",; '~''''''''.'~ - "'--' .,.'~;; ","", . IN THE COURT OF COMMON PLEAS OF THE 39= JUDICIAL DISTRICT PENNSYLVANIA - CUMBERLAND COUNTY BRANCH ROBERT L. O'BRIEN, DAVID A. BARIC and MICHAEL A. SCHERER t/dlb/a O'BRIEN, BARIC & SCHERER, CIVIL ACTION - EQUITY Plaintiffs NO. 2000 - 6280 vs. RANDALL L. V ALK, Defendant ORDER OF COURT February ~ 2002, after hearing argument on plaintiffs' motion to compel discovery from defendant as to plaintiffs' first set of interrogatories and document request, Randall L. Valk is ordered to answer the plaintiffs' interrogatories regarding the terms of the final settlement in Robert L. Valk et aI. vs. Richard P. Valk et aI., No. 717 Equity 1994 in the Court of Common Pleas of Cumberland County, Pennsylvania, and Randall L. Valk vs. Dauphin Deposit Bank and Trust Company et aI., No. 21-95-612 Orphans' Court Division of the Court of Common Pleas of Cumberland County, Pennsylvania. Other parties to the confidentiality agreement as to the terms ofthe settlement may file objections, and the court will hear argument on the objections. , c: Gregory B. Abeln, Esquire Randall L. Valk, Defendant J. ",,-,--,. ihillll~~li~~~~i~~~~j~~~~ , ., .~- " .~=~ 0 c:-; r 1--""::' L_ S: ...,., -U CJ "'~l OJ [;"j CD L: .,," Z c:;, Cf) ("'"-~ -< c,. ., , Ce- .' ::'..-.:-- " ~f~ C:? , z ~ -~ ~ ::D " C:> -~ -< , <il; ,1; ii' I, i' ;) (i Ii \j ii " I: I, , '"""""~ I , . ~' _ . A . -: :,,_, ' 1," ' . , . --" '",. 7U ~ .d A~ cJ_~ z))&-a4A E~ cndM. ~~ ~, tl/v-e ~/J7~c/ -I- ct:tt.r ~-+- W~ (~0./311)(t5 7iitlJJ4 ~f2I?t<.'70bi) ~~ ~~J ,:J2~. -y- - ^ >. n;;" -" .. -,-;;i,j- ~." '. . h~~:, IN THE COURT OF COMMON PLEAS OF THE 39TH JUDICIAL DISTRICT PENNSYLVANIA - CUMBERLAND COUNTY BRANCH ROBERT L. O'BRIEN, DAVID A. BARIC and MICHAEL A. SCHERER t1d/b/a O'BRIEN, BARIC & SCHERER, CIVIL ACTION - EQUITY Plaintiffs NO. 2000 - 6280 vs. RANDALL L. V ALK, Defendant ORDER OF COURT April I, 2002, upon consideration ofthe motion for sanctions pursuant to Pa.R.C.P. 4019, and in addition, the court will hear any objections; A hearing is set for Thursday, May 23,2002, at I :30 p.m. in Courtroom NO.1 of the Franklin County Courthouse, Chambersburg, Pennsylvania. By the Court, c: Gregory B. Abeln, Esquire Randall L. Valk, Defendant Bridget E. Montgomery, Esquire 'I/2/0;Z - C?Opl~:S prwL>/'CbL --!o del pddl>C:S Ivy JudcrL c0a-~ 6-P-Ql:.C ~~~IH"lM;~~!I...-'*li"iU~X1'II1Ji1t[~~~~"-i:~l4i!,'!micia~iIlIlIIiBIJ."JL lilill.)'jj'1iiii " ~ ~~~ , "',~ . ..',' c. , ~ , ~~..., 'I if'L '1 1,1 U " !.j ii I! II 'I II 'I II :' ;,1 i' ,I !I il II Ii ,! II II II 'I I I I ~ 0 0 ,.... " ",.. -~--l -00) " ;;fr:n q;lfn ;;>j r ~.:D I ~-a rn tJj'~ W -00 ;;-') I ?-L "'.0 Q "'" .."".. -;~ ~O "b-n :::Jl; ~O j;;8 w ~-'m ., 8 ,~ $:"' ~ N '< 55 81/ .t ROBERT L. O'BRIEN, eta!., Plaintiffs v. RANDALL L. VALK, Defendant , ' " -'''' " .' ""'0<.'0, -'" ".,,~._,"", ._._. '__,__ , '~'~'.~01ih IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA NO. 2000-6280 EQUITY CIVIL ACTION-EQUITY ORDER OF COURT AND NOW, this day of April, 2002, upon consideration of the attached Answer to Objections of Valk Manufacturing Company, et.a!., the Objections of Valk Manufacturing Company, et.a!. are hereby DENIED, and the Defendant, Randall L. Valk is directed to comply with this Court's Order dated March 6, 2002 within five days. BY THE COURT, Gregory B. Abeln, Esquire 37 East Pomfret Street Carlisle, Pennsylvania 17013 Randall L. Valk P.O. Box 105 Mt. Holly Springs, Pennsylvania 17065 Bridget E. Montgomery, Esquire Eckert, Seamans, Cherin & Mellot, LLC 213 Market Street Harrisburg, Pennsylvania 17101 John R. Walker, P.J. "- ~".~, ~. . . - " ' N,_'"~"_"; -~-\>U';-~ . '. ~,' _, . __,~~" ROBERT L. O'BRIEN, et aI., Plaintiffs v. IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA NO, 2000-6280 EQUITY RANDALL L. VALK, Defendant CIVIL ACTION-EQUITY ANSWER TO OBJECTIONS OF VALK MANUFACTURING COMPANY. ET.AL. TO DISCOVERY REQUESTS DIRECTED TO THE DEFENDANT. RANDALL L. VALK AND NOW, come the Plaintiffs, by and through their attorney, Gregory B. Abeln, Esquire, and respectfully represent as follows: 1. On or about March 25, 2002, Valk Manufacturing Company, etal. (hereinafter "Valk") filed objections to discovery requests made by plaintiffs to Randall L. Valk. 2. The basis for the objections is a confidentiality provision in a settlement agreement between the defendant Randall L. Valk and Valk Manufacturing Company, et. al. 3, The discovery sought by plaintiffs has already been the subject of a motion to compel and this Honorable Court already directed the defendant to produce the information requested by plaintiffs. 4. Pa.R.C.P. 4012 sets forth the parameters for protective orders, and provides in part that "Upon motion by a party or by the person from whom discovery or deposition is sought, and for good cause shown, the court may make any order which justice requires to protect a party or person from unreasonable annoyance, embarrassment, oppression, burden or expense.." . " ;;" -. -- ,,~' , , '--<... '~' t:lilJ1b': 5. Valk is not a party, nor is discovery sought from them, and as such, Valk has no standing to object to the discovery sought from the defendant. 6. Valk has not shown unreasonable annoyance, embarrassment, oppression, burden or expense, nor can they, since the discovery request has not been directed to them, but rather, to the defendant. 7. Pa.R.C.P. 4003.1 sets forth the scope of discovery, and provides in part that: "(a) Subject to the provisions of Rules 4003.2 to 4003.5 inclusive and Rule 4011, a party may obtain discovery regarding any matter, not orivileaed, which is relevant to the subject matter involved in the pending action.." (Emphasis added). 8. The objection offered by Valk is not supported by a claim of privilege. WHEREFORE, undersigned counsel respectfUlly requests this Honorable Court to deny Valk's objections and direct the defendant to produce the materials requested within five days. Gregory B. Abeln, Esquire 37 East Pomfret Street Carlisle, Pennsylvania 17013 (717) 245-2851 litigation/valklobs/answer.obj "'.,".' -'~ "~ .'1"" '_,,". L.L '<i!<K"itl' CERTIFICATE OF SERVICE I hereby certify that on April 11 , 2002, I, Jennifer S. Lindsay, did serve a copy of the Answer To Objections Of Valk Manufacturing Company, et al. To Discovery Requests Directed To The Defendant, Randall L. Valk, by first class U.S. mail, postage prepaid, to the party listed below, as follows: Randall L. Valk P.O. Box 105 Mt. Holly Springs, Pennsylvania 17065 ~~~~ ~. . 1 :~I I i :1 :i [I , i 'I II - '" " - .'"..- '~ "~- ~ ,"" F!LE[)",-o;~'F:ICE 0- TI ".. r-,"\~""'" "'\~"-(rl'RY 'Ok ,,1'-:: 1";';,.;;:'---:'_"i\\.;ll"" 02 ~PR II Pi") 2: 29 CUM!:3EFLAND COUNTY PENNSYLVANIA _l!IIJo, ,~lJl~llr ",Il1fJJl!I.Wrr_l,~ "<-,~. - .,~ .'. "ollllll!_ " ~ I~ '1ll!III'i!L. "f . 1 0 2 3 4 5 6 7 8 9 10 11 12 13 0 14 15 16 17 18 19 20 21 22 23 24 25 .~ -0-'"'-''' ~~ .fiit '''!!tl;J,t..I"J.f'-,,"~~ IN THE COURT OF COMMON PLEAS OF THE 9TH JUDICIAL DISTRICT, PENNSYLVANIA CUMBERLAND COUNTY BRANCH Robert L. O'Brien, David A. Baric: and Michael A. Scherer t/d/b/a O'Brien, Baric & Scherer CIVIL ACTION VS Randall L. Valk In Equity No. 2000 6280 APPEARANCES: Gregory B. Abeln, Esquire, appears on behalf of the plaintiffs. Bridget E. Montgomery, Esquire, appears on behalf of Valk Manufacturing. ORDER OF COURT May 23, 2002, the Court after hearing arguments orders that Randall L. Valk shall within ten days of today's date provide the firm of O'Brien, Baric and Scherer and Gregory Abeln, Esquire with a copy of the confidential settlement of his case versus Valk Manufacturing. The Court further enters a protective order that Mr. Abeln and O'Brien, Baric and Scherer shall not reveal the contents of that to anyone other than themselves and if it becomes public knowledge, the Court will impose appropriate sanctions at that time. The Court further orders that if Mr. Valk fails to produce this within ten days from today's date the Court will impGse a fine of $250 a day for each day that he fails 1 Melissa J. Little Official Court Reporter , 1 0 2 3 4 5 6 7 8 9 10 11 12 13 0 14 15 16 17 18 19 20 21 22 23 24 25 0 -" - ;=- to provide it and the Court expects him to make weekly payments $1750 at the end of each week that he fails to produce the copy to the firm of O'Brien, Baric and Scherer. c: Gregory B. Abeln, Esquire (2) 2 Melissa J. Little Official Court Reporter ~~~"'iIA'lill~~ilar~~~m,/;\""",~~">~J!i~~"",g~~~.~IiII:!iotl.~ '- 6:; t:2 L"l ':.::'-~ (,~-- !:C C? r:~~; ~}t-,~ C::.:'.,.! F--': u"" o t..o ,'- ?: ?~ ~~;~ ~~i~ .:-~\Z (~~as rt20- d' :::> U N (..L co ('-1 >- c;;;:.\'. ::c C\J C> . -- ~"-,-< . o o ,0 - -~': - - -- , '"",,,' C OIf}!=1 Dei17 /A-L- DOCUMENTS PRESENT 2000- (, ~ YI DCC'S I I . .: