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Home My WebLink About00-06928 - l i6lL:i T.H.E. FINANCIAL GROUP, LTD.,: Plaintiff IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA v. CIVIL ACTION - LAW RICHARD C. ROOS, Defendant DOCKET NO. 00-6928 CIVIL NOTICE OF HEARING BY BOARD OF ARBITRATORS You are hereby notified that the undersigned Board of Arbitrators, appointed by the Court in the above-captioned case, will sit for the purpose of their appointment in Cumberland County in the Law Offices of Marlin R. McCaleb, at 219 East Main Street, Mechanicsburg, Pennsylvania, on Thursday, September 27, 2001, at 9:30 o'clock A.M., at which time and place you may appear with your respective clients and your witnesses to present such evidence and testimony as you may have in the case. Philip J. Murren, Esquire Jacqueline M. Verney, Esquire ~ McCaleb, Chairman of Arbitrators By: Marlin R. Board July 20, 2001 TO: Guy P. Beneventano, Esquire Attorney for Plaintiff George F. Shovlin, Esquire Ryan C. Blazure, Esquire Attorneys for Defendant Richard C. Roos Defendant LAW OFFICES MARLIN R. McCALEB .' .-,C'''_ , '-I ,- ,--, - ~>-_. '" I " '~"r ,,-,,'-,' ;" ,,~ ".~ ,- ~'''',",-,""_~,,.' '-,,,- ,,-. b-.--, '~'--"'t~'~ T.H.E. FINANCIAL GROUP, LTD., Plaintiff IN THE COURT OF COMMON PLEAS CUMBERLAND COUNTY, PENNSYLVANIA v. CIVIL ACTION . LAW RICHARD C. ROOS, Defendant DOCKET NO. 00-6928.CIVIL ORDER AND NOW, this ~fay of~:Jtf.in consideration ofthe foregoing Petition, the following three attorneys are appointed arbitrators in the above.captioned action as prayed for. ( h(&1h~) )un &Ld; ~ (J~ ~, &f&<~~' :1/'rHb~, /bAAf// t['~\ BY THE COURT: P.J. :245325,1 , '\ ='- '.'.""'('TI"I~'{ _>",l,,)l \i'\ c~ \ j1,r-\ 'I :-, t'-. ,i,'.) II: [.1\ ",I , ~ .... C\jMb~~l<\)"'L<G CCYul>'~TY pajNSY\;JN'~iA , , ,"'""" , -~, ~.,~"""",,A,,,~ .,-'-~ ' '__ ,_,,..._"u._"J~'.-1)~_ l}J" _", ., ~- ~:'" .,. '-,-'H- "-- __ -, _ -,> . "~'--"- ,- ,', ,;,,_ _ '._' "0,',:;_" ,-,-1,,- ~:'-I" -~-, ,"'c___ -~~::<-;-,-;, "'-,-, .- ;;f-.c/~" ;~~JJ .;0.;~ii'>"';;';{- -<:"''"-',,-. ~ ""--'''Th11 T.H.E. FINANCIAL GROUP, LTD., Plaintiff IN THE COURT OF COMMON PLEAS CUMBERLAND COUNTY, PENNSYLVANIA v. CIVIL ACTION . LAW RICHARD C. ROOS, Defendant DOCKET NO. 00.6928-CIVIL PETITION FOR APPOINTMENT OF ARBITRATORS TO THE HONORABLE, THE JUDGES OF SAID COURT: Plaintiff, T.H.E. Financial Group, Ltd. (hereinafter "T.H.E. Financial"), by its undersigned counsel, Mette, Evans and Woodside, respectfully represents that: 1. The above-captioned action is at issue. 2. The claim of the Plaintiff in the action is $12,795.56 with interest from February 22, 1999, plus costs. No counterclaim has been filed. 3. The following attorneys are interested in the case as counselor are otherwise disqualified to sit as arbitrators: Guy P. Beneventano, Esquire Mette, Evans and Woodside 3401 North Front Street P.O. Box 5950 Harrisburg, PA 17110.0950 George F. Shovlin, Esquire Ryan C. Blazure, Esquire Rosen, Jenkins & Greenwald 15 South Franklin Street Wilkes.Barre, PA 18711.0075 ,-" ,-, '~,-, co_. '" _ _. " ,_~__-,__ ,,' ,'--,,- --" .;;..~ ,C ,,; '-I--"-~: l''''--' - :"--,+-_1-,,,-,;6,-,_.'. ;-'-.'_,:''--v_,'^ -' :"I",~, ,,~:~-_ .. '- '__,-,,_ .0_ ~,' , ',"_;.,,-", 'c____ r..'-' :~(::.;,~! WHEREFORE, Petitioner prays your Honorable Court to appoint three arbitrators to whom the case shall be submitted. Respectfully submitted, METTE, EVANS & WOODSIDE By: . Beneventano, Esquire p. Ct. I.D. #43107 3401 North Front Street P.O. Box 5950 Harrisburg, PA 17110-0950 Attorneys for Plaintiff T.H.E. Financial Group, Ltd. //- 1'(.. Date: / 1 ~ .i , 'I , -\", - _ ',' -~ e ~ _', -, "",___ , " '-, -I;-~' -'---,:--~.;":,I,,. ',0:_1 ---I' ~". ,_- ~~.>,--o,,---', -...,:,:t;'''..,'<,..._,,:.;.;,_;.. .C' : ~';'- 'i~:;:li CERTIFICATE OF SERVICE I hereby certify that I am this day serving a copy of the foregoing document upon the person(s) and in the manner indicated below, which service satisfies the requirements of the Pennsylvania Rules of Civil Procedure, by depositing a copy of same in the United States Mail, Harrisburg, Pennsylvania, First Class Mail, postage prepaid, as follows: Ryan C. Blazure, Esquire Rosen, Jenkins & Greenwald 15 South Franklin Street Wilkes.Barre, PA 18711-0075 METTE, EVANS & WOODSIDE By. y P. Beneventano, Esquire up. Ct. I.D. #43107 3401 North Front Street P.O. Box 5950 Harrisburg, PA 17110.0950 Attorneys for Plaintiff T.H.E. Financial Group, Ltd. Date: :245325 ,1 ~- '> =- ~~ ~ -";'''Jii! -," -c-_~'. , I ~_ , '"' .", "', ~ ~ ~ ~ '>-l ~ "I ~< -a - ~ (j c 'i - t o c:: <"'" ~-,. Vi'L) IOIr" 2:: " _.~ :1;1 C;:j,S~ fJ~- ~:>o...... Z"-:;' ~-,( , ~C 2:: ::< ~ <- '^ ~ 2\1 f ~ " '" "-"-'--'-'0- - . 'WI <:> <:> w 1'1 C') ~~? , r' . ~-n ", "_ .:~i (:) -:S[;~ ::'51"('; j,"} :u -< (.J J>. -'._~ 9? ,'\) r", , ~ , --, - -, '~ ,,_ ~"'"_ '--1,,,,,-- ",~''', -,;" '-,l<~,- .-e-'- ~" ',_. ,'" ~ - ,', 0- ,y,,"! JUL 16 Z~'\ IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY T.R.E. FINANCIAL GROUP, LTD., CIVIL ACTION . LAW Plaintiff vs. JURY TRIAL DEMANDED RICHARD C. ROOS, NO.: 00-6928 - CIVIL Defendant RULE ABSOLUTE AND NOW, this H day of July, 2001 upon the failure of Defendant, Richard C. Roos, to comply with this Court's Rule to Show Cause of June 28, 2001, by failing to show cause why this Court should not grant the Motion ofRosenn, Jenkins & Greenwald, L.L.P., to withdraw as counsel, the Rule issued on June 28, 2001 is hereby made ABSOLUTE. The Petition ofRosenn, Jenkins & Greenwald, L.L.P., to withdraw as counsel for Defendant, Richar reby GRANTED. J. .(~ (Ji' ~ ~ t~'lg'OI 315905.1 'I~" , -'-~""I --~' -,- - ,,.___,,~"b_"" "~-",,"" .-=-- ,_ "'~''-"'''-''rH;''''>_";_ "h-~ . . I~UN27.1W IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY T.R.E. FINANCIAL GROUP, LTD., CIVIL ACTION - LAW Plaintiff vs. JURY TRIAL DEMANDED RICHARD C. ROOS, NO.: 00-6928. CIVIL Defendant RULE TO SHOW CAUSE AND NOW, this --t5( day of June, 2001, at . c o'cln~l. -S.1. a RULE is hereby issued upon the Defendant, RICHARD C. ROOS, to aj,pGui'\}~h..~<i dd, e:~~ llltld to show cause why this Court should grant Rosel111, Jenkins & Greenwald, L.L.P.' s, Motion to Withdraw as his counsel in the above.captioned matter. ,':> Rule returnable tkol ~s~~~ a~r nf , 2Q01 ~t o'clock. m _ Com:'t1vVU.l1Te. _ gftb~ ('~lmb9Aana. Cal:tfi" ComtlK>u.6l! ro<!' ~,,\ l/ V'} 1. / 311279.1 1. . 1''''" (r,:: ,0., ..:.: r..~ . '" :5 i'> :S)$ ~} ::::;::.'0:~ ("v '-....; ,;/ i~fl '....j ,;:$ 'J . . ,', .., . .-- -"'" ~'- ~.. "'h' ~' '~'_ .", _c!";;",__,,,_,".,".__.._...ht;l~..._. ,~" ......,,- ",-",,".;~~~ --- '. "'I, " ,,,, '_ ,= _'_~_,'I';' ^,'W,",";~ "',~.' . , '.:';z..,,_,~,"""-'''' ',-"-',, ; "~<';"'",1' ,~,. ,~ :-.' , .,'. 'it'i-I_ IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY T.H.E. FINANCIAL GROUP, LTD., CIVIL ACTION. LAW Plaintiff vs. JURY TRIAL DEMANDED RICHARD C. ROOS, NO.: 00-6928. CIVIL Defendant ORDER AND NOW, this day of ,2001, upon consideration ofthe Motion ofRosellll, Jenkins & Greenwald, L.L.P., to withdraw as counsel in the above case, said Motion is granted, Rosellll, Jenkins & Greenwald, L.L.P., is authorized to withdraw as counsel for Richard C. Roos in the above-captioned matter. J. 311279.1 I -,~ ," -,' - ~ ,~_,'n 'v.t "I' ,-''', ""';'" ,- '~_"~>' -t,',-' '"-<-,,,',~ ,> '0'0." ,N' .c---,::._~,_,-, . ,-",o;..:.,,^\"~ " IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY T.R.E. FINANCIAL GROUP, LTD., CIVIL ACTION - LAW Plaintiff vs. JURY TRIAL DEMANDED RICHARD C. ROOS, NO.: 00-6928 - CIVIL Defendant MOTION BY ROSENN. JENKINS & GREENWALD. L.L.P. TO WITHDRAW AS COUNSEL FOR RICHARD C. ROOS 1. The above referenced case is a breach of contract claim. 2. The Plaintiffdaims that Plaintiff is owed a balance due in connection with a contract which it entered into with Richard C. Roos ("Roos"). 3. An irreconcilable conflict of interest has arisen between Rosenn, Jenkins & Greenwald, L.L.P., and Roos in connection with the handling of the defense in this case. 4. Roos has not only failed to provide full and complete cooperation in connection with the defense of this case, but also has failed to make payment, or to make adequate arrangements for future payment, with respect to counsel fees and costs. 311279.1 , ~'~ ,~ -' ~-r' .', - ,'--.., "'__';"1 0" ^,'" -,~" ,',~ ;f- - ' , ' , ',-,",'--"';"";;'''-''1<o'.;o,i';-''';/;,;;' _ ,,"'- '~~' WHEREFORE, Movant, Rosenn, Jenkins & Greenwald, L.L.P., requests that this Honorable Court grant the within Motion and allow it to withdraw as counsel for Defendant, Richard C. Roos, in the above-captioned matter. ROSENN, JENKINS & G ALD, L.L.P. BY: .SH L Attorn LD. # 50764 RY A C. BLAZURE, ESQUIRE Attor ey LD. # 84034 15 South Franklin Street Wilkes-Barre, P A 18711 (570) 826-5600 Attorneys for Defendant RICHARD C. ROOS 311279.1 .,:~ < - 'I "'~,c - "'-"1='" '"-,~,,-..,- ~'^-- -"~, " '_"~'"__"~<"__'h,;,', ",.'" ;'--,.-!~: . IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY T.H.E. FINANCIAL GROUP, LTD., CIVIL ACTION - LAW Plaintiff vs. JURY TRIAL DEMANDED RICHARD C. ROOS, NO.: 00-6928 - CIVIL Defendant CERTIFICATE OF SERVICE I, RYAN C. BLAZURE, do hereby certify that I forwarded a true and correct copy of the foregoing Motion to Withdraw as Counsel to the following individuals this \ tl~ay of June, 2001 by First-Class Mail, postage prepaid: Mr. Richard C. Roos 167 Laird Street Wilkes-Barre, PA 18706 Guy P. Beneventano, Esquire Attorney for T.H.E Financial Group, LTD. Mette, Evans & Woodside 3401 North Front Street P.O. Box 5950 Harrisburg, P A 1711 0-0950 ROSENN, JENKINS & GREE Bi ~ G F. SlIOVLIN, RE A ey I. D. No.: 501 'I RYANC.BLAZURE, RE Attorney I. D. No.: 84034 15 South Franklin Street Wilkes-Barre, PA 18711-0075 (570) 826-5600 Attorneys for Defendant, RICHARD C. ROOS 31l279.1 '--.....',.[..... >~ ,,' ., ~ CASE NO: 2000-06928 P COMMONWEALTH OF PENNSYLVANIA: COUNTY OF CUMBERLAND _...J-,-~.~ , - " -b>,~ SHERIFF'S RETURN - OUT OF COUNTY THE FINANCIAL GROUP LTD VS ROOS RICHARD C R. Thomas Kline , Sheriff or Deputy Sheriff who being duly sworn according to law, says, that he made a diligent search and and inquiry for the within named DEFENDANT , to wit: ROOS RICHARD C but was unable to locate Him in his bailiwick. He therefore deputized the sheriff of LUZERNE County, Pennsylvania, to serve the within COMPLAINT & NOTICE On October 31st , 2000 , this office was in receipt of the attached return from LUZERNE Sheriff's Costs: Docketing Out of County Surcharge Dep. Luzerne Co 18.00 9.00 10.00 23.00 .00 60.00 10/31/2000 METTE, EVANS :;p~~ R. Thomas Kllne' Sheriff of. Cumberland County & WOODSIDE Sworn and subscribed to before me this f"E. day of run~ :lb-,;-i) A . D . q,r' 0. !'/Iu.lJu~ prothonotar ,'_"~' ~_hO.~. - ,- - I, I ""'." I __,', ___'" _',' ,'_ ",~,L -,~'__, ;,J '".;' _,', =~~(. IIn The Court of Common Pleas of Cumberland County, Pennsylvania T.H.E. Financia~ Group, LTD VS. . Richard C. Roos No. 20-6928 Civil Now, 10/11/00 , 200 C , I, SHERIFF OF CUMBERLAND COUNTY, P A,do hereby deputize the Sheriff of r.ll7.F!:rn~ County to execute this Writ, this deputation being made at the request and risk of the Plaintiff. .' ~~.vA..t:~' Sheriff of Cumberland County, P A Affidavit of Service Now, TUESDAY. OCTOBER 17 20 00 at 6:15 '-' o'clock P. M. served the within NOTICE AND COMPLAINT upon RICHARD C. ROOS at HIS RESIDEI!ICE. 167 LAIRD STREET. WILKES-BARRE. by handing to HIM PERSONALLY a copy of the original and made known to HIM the contents thereof. So answers, DEPUTY County, PA Sworn and subscribed before m~2. 4TH day ofo~ .~ 2'()~ U;~ JI{.' "2-~ -II COST SERVICE MILEAGE AFFIDA VIT $ $ E~~~~ ~ ~ ~ 0' ,I L . I~ ilt1:1i-j-: .. SHERIFF'S RETURN - OUT OF COUNTY I CASE NO: 2000,06956 P COMMONWEALTH OF PENNSYLVANIA: COUNTY OF CUMBERLAND MESSIAH VILLAGE VS KOWALSKI MICHAEL R. Thomas Kline , Sheriff or Deputy Sheriff who being duly sworn according to law, says, that he made a diligent search and and inquiry for the within named DEFENDANT , to wit: KOWALSKI MICHAEL but was unable to locate Him in his bailiwick. He therefore deputized the sheriff of DAUPHIN County, Pennsylvania, to serve the within COMPLAINT & NOTICE On November 6th, 2000 , this office was in receipt of the attached return from DAUPHIN Sheriff's Costs: Docketing Out of County Surcharge DEP. DAUPHIN CO 18.00 9.00 10.00 30.50 .00 67.50 11/06/2000 LATSHA, DAVIS s~~~ R Tomas Kllne Sheriff of Cumberland County & YOHE Sworn and subscribed to before me this lii& day of J:u,,~ ~ A.D. ~Q.~~ , Prothonotary ~~, ~.~ I .-, I , , , . . In The Court of Common Pleas of Cumberland County, Pennsylvania Messiah village VS. Michael Kowalski No. 7.0-ng~n Civi 1 Now, 10/11/00 , 20 0 () , I, SHERIFF OF CUMBERLAND COUNTY, P A, do hereby deputize the Sheriff of nrlllrh i n County to execute this Writ, this deputation being made at the request and risk of the Plaintiff. . ~~~~t:~"# Sheriff of Cumberland County, PA Affidavit of Service Now, ,20 ,at o'clock M. served the within upon at by handing to a copy ofthe original and made lalO'wn to the contents thereof. So answers, Sheriff of County, PA 20 '- COSTS SERVICE MILEAGE AFFIDA VIT $ Sworn and subscribed before rue this day of $ ." """' - I."" "...1.,- 1 ' 'ri'~ -, ' ',' ~'i j @iiitt of tq~ ~4~riff William T. Tully Solicitor Ralph G. McAllister Chief Deputy Mary Jane Snyder Real Estate Deputy Michael W. Rinehart Assistant Chief Deputy Dauphin County Harrisburg, Pennsylvania 1710 I ph: (717) 255.2660 fax: (717) 255.2889 Jack Lotwick Sheriff Commonwealth of Pennsylvania !;lESSIAH VILLAGE vs County of Dauphin KOWALSKI MICHAEL Sheriff's Return No. 2344-T - ,2000 OTHER COUNTY NO. 20-6956 AND NOW: October 31, 2000 at 4:35PM served the within NOTICE & COMPLAINT IN CIVIL ACTION upon KOWALSKI MICHAEL by personally handing to HIM 1 true attested copy (ies) of the original NOTICE & COMPLAINT IN CIVIL ACTION and making known to him/her the contents thereof at DAUPHIN COUNTY SHERIFF'S OFFICE, RM 104 FRONT & MARKET STS. HARRISBURG, PA 17101-0000 Sworn and subscribed to So Answers, JR~ before me this 31ST day of OCTOBER, 2000 ~J:!."Q~ I Sheriff of Dauphin County, Pa. By lJ~f~ Deputy Sheriff Sheriff's Costs: $30.50 PD 10/17/2000 RCPT NO 142271 DMILLER " ,-'. " , _""".0',", " ,'I", ww,'~ ~ ;-1' , .. ,v , -,,"~;,'1',;_ "'" , , .. .. . '. , "-,,," , ,~ , > ..ii'~ 1 --7 i, ( .~ T.R.E. FINANCIAL GROUP, LTD., Plaintiff IN THE COURT OF COMMON PLEAS CUMBERLAND COUNTY, PENNSYLVANIA v. CIVIL ACTION. LAW . < DOCKET NO. (lJ. (A;)g ~ RICHARD C. ROOS, Defendant NOTICE YOU HAVE BEEN SUED IN COURT. If you wish to defend against the claims set forth in the following pages, you must take action within twenty (20) days after this Complaint and Notice are served, by entering a written appearance personally or by attorney and filing in writing with the Court your defenses or objections to the claims set forth against you. You are warned that if you fail to do so the case may proceed without you and a judgment may be entered against you by the Court without further notice for any money claimed in the Complaint or for any other claim or relief requested by the Plaintiff(s). You may lose money or property or other rights important to you. YOU SHOULD TAKE THIS PAPER TO YOUR LAWYER AT ONCE. IF YOU DO NOT HAVE A LAWYER OR CANNOT AFFORD ONE, GO TO OR TELEPHONE THE OFFICE SET FORTH BELOW TO FIND OUT WHERE YOU CAN GET LEGAL HELP. Cumberland County Bar Association 2 Liberty Avenue Carlisle, PA 17013 (71 7) 249.3166 (800) 990.9108 ~ ,_^~ ;,,__n__ ~. ,;,,~ "",'-" _ I" ~ ,,' -' -" ;'"~',,, I ,0 -.' MO_ \" ,;;."., ,,,,~,--,:,, -;" .1,__ - .' ~ - jS-~! A , , T.H.E. FINANCIAL GROUP, LTD., Plaintiff IN THE COURT OF COMMON PLEAS CUMBERLAND COUNTY, PENNSYLVANIA v. CIVIL ACTION . LAW RICHARD C. ROOS, Defendant DOCKET NO. NOTICIA LE HAN DEMANDADO A USTED EN LA CORTE. Si usted quiere defenderse de estas demandas expuestas en las paginas siguientes, usted tiene viente (20) dias de plazo al partir de la fecha de la demanda y la notificacion. Usted debe presentar una apariencia escrita 0 en persona 0 por abogado y archivar en la corte en forma escrita sus defensas 0 sus objeciones alas demandas en contra de su persona. Sea avisado que si usted no se defiende, la corte tomara medidas y puede entrar una orden contra usted sin previo aviso 0 notificacion y por cualquier queja 0 alivio que es pedido en la peticion de demanda. Usted puede perder dinero 0 sus propiedades 0 otros derechos importantes para usted. LLEVE ESTA DEMANDA A UN ABODAGO INMEDIATAMENTA. SI NO TIENE ABOGADO 0 SI NO TIENE EL DINERO SUFICIENTE DE PAGAR TAL SERVICIO, VAYA EN PERSONA 0 LLAME POR TELEFONO A LA OFICINA CUYA DIRECCION SE ENCUENTRA ESCRITA ABAJO PARA AVERIGUAR DONDE SE PUEDECONSEGUlR ASISTENCIA LEGAL. Cumberland County Bar Association 2 Liberty Avenue Carlisle, PA 17013 (71 7) 249.3166 (800) 990.9108 " -",';c,:",,~, " . "1 ':';,1-; , "'- "'" -;-1:, ,~",- ;'<__~,,;,,''',~,:"J~',__~','' ,- -' '< __ "' ~~_~ , , T.H.E. FINANCIAL GROUP, LTD., Plaintiff IN THE COURT OF COMMON PLEAS CUMBERLAND COUNTY, PENNSYLVANIA v. CIVIL ACTION - LAW DOCKET NO. iJ1), t9:l.f 6.;;J ~ RICHARD C. ROOS, Defendant COMPLAINT AND NOW, comes Plaintiff, T.H.E. FINANCIAL GROUP, LTD., through its counsel, Mette, Evans and Woodside, and brings this Complaint before the Court, in support of which it avers as follows: 1. Plaintiff, T.H.E. FINANCIAL GROUP, LTD. (hereinafter "T.H.E. Financial"), is a Pennsylvania business corporation with an office at 1 Kacey Court, Suite 201, Mechanicsburg, Pennsylvania 17055. 2. T.H.E. Financial does business in Cumberland County as a registered investment advisor and stockbroker. 3. Defendant, RICHARD C. ROOS (hereinafter "Roos"), is an adult male residing at 167 Laird Street, Wilkes-Barre, Luzerne County, Pennsylvania 18705. ,,+,,-,",,--- ..''':', -",'1 -, "',.;.,I,'~-"",~:_>- <C"_~","- 0'. "," >',- . 'r:J , , . 4. By written agreement dated June 22,1998, T.H.E. Financial employed Roos to undertake investment transactions with respect to securities and insurance products. A true and correct copy (excluding schedules) of the June 22,1998 Employment Agreement (hereinafter "Agreement") is attached hereto at Exhibit "A" and incorporated herein by reference. 5. Pursuant to the Agreement, the term of Roos's employment was one year, commencing on June 22, 1998 and ending on June 21, 1999; provided, however, T.H.E. Financial reserved the right to terminate Roos's employment at any time in the event that it deemed his services to be unsatisfactory. (See Agreement at paragraphs 1 and 3.) 6. Under the Agreement, Roos's compensation was determined according to a precise written compensation schedule, a true and correct copy of which is attached hereto at Exhibit "B." 7. According to the Agreement, Roos's compensation "reflect[ed] certain payout percentages for and the attainment of certain annual gross commission levels received by [T.H.E. Financial] on account of the investment transactions made by [Roos]." (See Agreement at paragraph 4.) 2 "-~ " . ' ,-.-~,',.: -' . ',,' - I',:~.,,: ':' -,,,, ~,'"' "J ~. .,,' ''"''._ _ ",~'::';;""'- _~,_, --;',<,_, ':"1 , , 8. Under the Agreement, T.H.E. Financial and Roos "establish[ed] a regular draw against such compensation to be payable to [Roos] on a semi.monthly or as otherwise agreed.upon basis. * * * A reconciliation of compensation owing to and the draw(s) received by [Roos] * * * shall be made at least quarterly if not sooner." (See Agreement at paragraph 4.) 9. In the event that Roos failed to attain commission levels sufficient to warrant the payment of his base draw during any given "reconciliation" period, then, "the draw [Roo::;] receives for the following period shall be adjusted to reflect such difference." (See Agreement at paragraph 4.) 10. The part.ies further agreed that a "final reconciliation" of Roos's draw with his gross commissions would be made when the Agreement terminated, at which point Roos would pay T.H.E. Financial "any excess draw received within ten business days of such reconciliation." (See Agreement at paragraph 4.) 11. T.H.E. Financial terminated Roos's employment on February 22, 1999 as a result of his unsatisfactory performance. 3 > ,- - ",-- ',--.. ---> ,', ~~ ~ 'I " ,~--" c'" C." I",;; -:'0_ - ~~ _, n. .. '";';.,":,,' ,',ii~-",~ ",;,j;;:-",',~ _0 lir: . , 12. Pursuant to the Agreement, a final reconciliation was made by T.H.E. Financial which demonstrated that Roos had drawn $12,795.56 more in compensation than what was due and payable to him under the compensation schedule. A true and correct copy of T.H.E. Financial's final reconciliation is attached hereto at Exhibit "C" and incorporated herein by reference. 13. Roos, during a conversation with Thomas Imbler, National Sales Manager for T.H.E., held on February 22, 1999 at the time of his termination, orally acknowledged that he had drawn $12,795.56 against commissions not yet earned and that he owed this sum to T.H.E. Financial. 14. T.H.E. Financial has made a written demand upon Roos for payment of the unearned compensation (plus interest), but Roos has failed and refused (and still refuses) to pay the same or any part thereof. A true and correct copy ofT.H.E. Financial's February 15, 2000 written demand is attached hereto at Exhibit "D" and incorporated herein by reference. 15. T.H.E. Financial's claim does not exceed the jurisdictional amount requiring arbitration referral by local rule. 4 "' .. "^".-',- " ,~,-" - '--", "+'~;'""" <~' '"' '~~,,.o\",' ~"_",,, 1'_ -, --, .-,--'- ~'-" -;1.':".'- . J , , WHEREFORE, T.H.E. Financial Group, Ltd., demands judgment against Richard C. Roos as follows: (a) In the amount of $12,795.56, with interest from February 22, 1999; and (b) Costs, including attorneys' fees, paid or incurred in order to enforce the terms and conditions of the Agreement between the parties. Respectfully submitted, METTE, EVANS & WOODSIDE BY'~~ uy P. Beneventano, Esquire Sup. Ct. I.D. #43107 3401 North Front Street P.O. Box 5950 Harrisburg, PA 17110.0950 Attorneys for Plaintiff T.H.E. Financial Group, Ltd. Date: October 10, 2000 _J" " . - .,^, ~- "" " "<" I,; ,; '~" ,.,,:, '" ' , "i, ':,,,;'~ .' " __<. ' jj;,'-'-j L VERIFICATION I, ERIC A. HUCK, Corporate Secretary for T.H.E. Financial Group, Ltd., have read the foregoing document and to the extent that it contains facts supplied by me, they are true and correct to the best of my personal knowledge, information and belief; however, to the extent that the foregoing document and/or its language is that of counsel, I have relied upon counsel in making this verification. I make this Verification subject to the penalties of 18 Pa.C.S. ~4904 relating to unsworn falsification to authorities. ERIC A. HUCK ~~l - J.. ,I, ~ I; ___ .' , - - 'I .'- ~-' ~, ~,:--~> '," EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT, dated this fbday ofJ v N E .. 1998, between T.H.E. FINANCIAL GROUP, Ltd., a Pennsylvania Business Corporation (hereinafter referred to as "Broker") and Richard C. Roos, hereinafter referred to as the "Professional"). WITNESSETH: In consideration of the mutual covenants and agreements set forth herein and intending to be legally bOWld hereby, the parties further agree as follows: 1. Tenn ofEmnlovrnent. Broker hereby employs Professional, and Professional hereby accepts employment with Broker for a period of one (1) year beginning on the 22nd day ofJune, 1998, and ending on the 21st day of June, 1999, subject, however, to the prior tennination of this Agreement as set forth hereinafter. 2. Duties of Professional. A. Professional is hereby employed as a full time registered representative of Broker to transact securities and insurance product sales ("investment transactions") Wlder the tenns and conditions of this Agreement. Professional will actively engage in making investment transactions at such times and places as Broker shall direct and as further provided herein. ~0.d lS9f? SSl. 1.1.l.=ClI '1'dI:>N'dNld '3'H'~ 69:9t 00-l>t.-l:0 , ~I l,'. "',;,,;,,~.d" -2- B. Professional is to undertake investment transactions in accordanr.e with all applicable federal and state laws, including but not limited to the provision of investment advice and recommendations to an investor, in accordance with such investor's suitability profile. Professional agrees to devote his best efforts in the perfonnance of his duties as an investment representative in accordance with the highest ethical standards of the securities and insurance profession and to perfonn such other duties as are assigned to Professional from time to time by Broker. C. Professional shall devote his entire productive time, ability and attention to the business of the Broker during the term ofthis Agreement. Professional shall not directly or indirectly render any services of a business, commercial or professional nature to any other person or organization, whether for compensation or otherwise, without the consent of Broker. 3. Satisfactory Perfonnance of Duties. The employment relationship created hereby shall continue only as long as the services rendered by Professional are satisfactory to Broker, regardless of any other provisions contained in this Agreement. Broker's officers shall be the sole judge as to whether the services of the Professional are satisfactory. 4. Compensation. During the tenn of this Agreement, Professional shall be entitled to receive as compensation for his services those amounts specified on Schedule A (as attached to this Agreement and made a part hereof). These amounts reflect certain payout percentages for and the attainment of certain annual gross commission levels received by Broker on account of the investment transactions made by Professional pursuant to this Agreement. The parties may from time to time modify Professional's compensation hereunder by the substitution of a revised Schedule A which must be signed by both parties and which must indicate the effective date thereof. E0'd 199"" eel. L1L=CI ~'dI:)N'dNld .a.H.~ 65:5t 00-tol"C;0 -- 0- I, ,'" ~, < ' < " "",- ,-, o~~.;....",~<:; -3- The parties shall establish a regular draw against such compensation to be payable to Professional on a semi-monthly or as otherwise agreed upon basis. Each draw/compensation payment shall be accompanied by a complete record of all investment transactions effected by Professional. A reconciliation of compensation owing to and the draw(s) received by Professional under this paragraph shall be made Elt least quarterly if not sooner. If Professional's compensation exceeds tbe draw received! for the period in question, then Broker will credit such excess to Profes$ional's draw account to be distributed thereafter to Professional as the parties otherwise agree. If Professional's compensation was less than the draw received for the period in question, the draw Professional receives for the following period shall be adjusted to reflect such difference. Upon the termination of this Agreement, a final reconciliation of compensation versus draw shall be made. Within ten business days of such reconciliation, Broker agrees to pay Professional any shortfall in draw and Professional agrees to pay Broker any excess draw received. s. ~ Insurance. Broker agrees to pay up to $300. monthly for hospitalization and major medical insurance with dependent coverage for Professional during the time this Agreement is in effect, which insurances will be in the amounts andl with such companies as determined from time to time by Broker. 6. Pension Plan. Broker presently maintains a simplified employee pension plan with a salary reduction option (the "SAR-SEP"). If Professional remains in Broker's employ for eighteen (18) months from the effective date of this Agreement, Professional shall be eligible to participate in the SAR-SEP, subject to the tenns and provisions of the SAR-SEP then existing. "'00d 15517 eel. 1.11.=C1 i~I~N~Nld .30Ho~ 00:81 00-~1-~0 I~" - ~ l'" '-' "c" "-,',,' ;:'~;';",,""', ',,",-,, -",:;""''''-~'''';''ru:-L; -4. 7. Malnractice Insurance. Broker will pay for Professional's occurrence basis malpractice insurance coverage up to a certain claim limit and deductible as detennined by Broker. The deductible amount as detennined hereunder shall be the Professional's responsibility to pay in the event a judgment, settlement or award is entered or made against Professional. 8. Investment Transaction LiCeIlllinll and Continuinl;! Education, Broker agrees to pay for Professional's annual NASD registration costs and insurance license fees. Professional shall at his own expense meet all continuing education requirements necessary to maintain his licenses to make investment transactions which continuing education includes NASD finn element programs and Broker's annual compliance meeting. Within eighteen months from the date of this Agreement, Professional agrees to undertake courses for his designation as a certified financial planner ("CFP"). Upon Professional's attainment of the CFP designation, Broker agrees to reimburse Professional for fifty (50%) percent of the tuition costs incurred, excluding however any tuition costs for any certification course which is taken more than once. 9. investment Clients and Records. It is specifically agreed that any investors served by Professional pursuant to this Agreement are the exclusive clients of Broker. Professional further agrees that, he will not, for a period offive (5) years following the termination of this Agreement, either directly or indirectly, solicit investment business from, divert investment business from, or attempt to convert to other methods of using the same or similar products or services as provided by Broker, any investment client with whom Professional has had any contact as a result of his employment by Broker under this Agreement. If Professional violates the foregoing provision, Professional agrees that Broker shall be entitled, as a matter of right, without posting bond, to injunctive relief, S0'd tSSI> BBl. l.tl.=OI ~~I~N~Nld "g"H"L 10:91 00-~1-~0 .~ . , ~ ,I L ~ __ " "J" """,,, -',(j." -5- ex-parte or otherwise. This remedy shall be in addition to, and in no way in limitation of, any and all other remedies Broker shall have in law and equity. The parties further agree that all data, records and other materials or information relating to an investment client are the property of Broker and that upon tennination of this Agreement, Professional covenants and agrees to deliver to Broker all such property which has come into Professional's possession during his employment with Broker or which he holds for Broker. 10. Entire Agreement. This Agreement contains the entire agreement of the parties with respect to the subject matter hereof and shall not be modified or changed in any respect except in writing duly signed by the parties hereto. 11. Governing Law. This Agreement shall be governed by, interpreted, construed and enforced in accordance with the laws of the Commonwealth of Pennsylvania. 12. Interoretation of Provisions. Wherever possible. each provision of this Agreement shall be interpreted in such manner as to be effective and valid under applicable law, but if any provision of this Agreement shall be prohibited by or invalid under applicable law, such provision shall be ineffective to the extent of such prohibition or invalidity. without invalidating the remainder of such provision or the remaining provision of this Agreement. If any court of competent jurisdiction shall bohl that the restrictions contained in the Agreement are unreasonable as to time or geographic area, said restrictions shall be deemed to be reduced to the extent necessary, in the opinion of such court, to make them reasonable. 80"d t551> aal. l.tl.=QI ~~J~N~NJd "a.H"~ 10:81 00-~1-~0 .^~'~~' ~ o J ,j", - "', ~ "- l'j' .6- IN WITNESS WHEREOF, each of the p8;11ies hereto have signed this Agreement on the day and year ftrst above written. Attest: D ~.. Eric A. HUCk,~ T.H.E. Financial Group, Ltd: By: \~ Anthony T . 0, President Witness: ~jJ2J Professional: ~~.~ Richard C. Roos 1.00d tSSb eel. 1.11.=CI ~~I~N~Nld oaaHo~ ~0:el 00-bl-~0 "'...- ~ ..~ 02-14-00 18:02 T.H.E. FINANCIAL ~ o 0:: () CO'EO mmW """.cO .(,)W N'-W ",D:::Z ~u:.Z ::3..JO ""')::)- -o(/) OW(/) tnZ:e em () :E ~(/)O -CD Z 0 30(/) "O-(/) CD~O J::WD::: (,) Z In WW...... a. ::!: o () ;1.......,.- ~~88. ~~It)g .... N CQ. CQ. Cb :::l :J IOj' Cb f CJ) am i!:g c..1lI~~ ! CJ) If. .!l C1..!l CI. 13 1Il-:::l =- U; ~ C1.~ 1Il1ll_ jji~ ~;1.;1.i .~fil - "lilt . .~ N.....MN N .... (\0. ~ all QCI) .l!l iJ~ I'll Q) CI) c..11.= Q.C1.1Il III :::l ~ ~o:: i-= Q &0 III lIli-.e I/) ~$ ~c(ii::t c .- c ~ .2:l ('0. Q. i- re III CI) ~ III ]5 'm == w 2- 0:: IliiIII . ~ ID=717 788 4551 .- S 8 tIIon :5 Il'l ~ Q 0 '$. O;f.lI 13 0 ~ ..... (') Il'l ~ ~~ ..... ~ m (') ..... ca_ - ~ ca tII .. s & tII Il'l Q Q ~ 0 It) "#. 0; f.lI 18 It) &I Cl - tII (') Cl ~ r-: r-: ..: 0 0> a> II) ca - - N ..... ..... 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Vt:;;~~} {~~ lii~~...:>q:: ~}; , . t .. METTE. EVANS .. WOODSIDE A PROll'ESSIONAL CORPORATION ATTORNEYS AT LAW .. . ~ . HOWELL C. METTE JA,,\-IES W. Ev,4NS ROBERT MooJlE CHARLES B. Z-WALLY PETEaJ. REssUR LLOYD R. PERSUN CRAIG A. SroJllE JAMES A. VLSB: DANIEL L. SULLIVAN STEVEN D. SNYDER CHRISTOPHER C. CONNER ELYSE E. ROGERS JEFFREY A. ERNICO KAmRYN L. SIMPSON P. DANIEL ALTLAND ANDREW H. DOWLING MICHAEL D. REED PAULAJ.LEICHT GARY J. HElM DAVID A. FlTlSlMONS 3401 NORTH FRONT STREET P.O. BOX 5950 HARRISBURG, PA 17110-0950 FAX ('117) 286.1816 MICHAEL D. PIP" Guy P. BENEVENTANO THOMAS F. SMlOA ROBVN KATZMAN BoWMAN JOHN F. Y ANINEK'" VICKY ANN TRIMMER KATHLEEN DoYLE Y ANINEK ELIZABETH J. GoLDSTEIN" BRADLEY A. WALKER DoNNA L. GAREIS-SMITH"- JAMES M. STROI~G BRYAN S. MtCAttY** JOHN M. HARTZELL MOHAMMAD A.1(;HIASUDDIN RANDALL G. UUIRST IRS NO. 23-1985005 TELEPHONE (71.'7> 232-5000 "*DELAWAItE BAR -MARYLAND BAR "NEW JERSEY BAR httfJ://www.mene.com February 15, 2000 QBRTIFIED AND REGULAR MAIL Richard Roos 167 Laird Street Wilkesbury, PA 18705 He: T.R.E. Financial Group, Limited - Richard Roos Dear Mr. Roos: Please be advised that we represent T.H.E. Financial, Limited ("T.H.E."). We are prepared to fIle a complaint to recover monies advanced to you during your employment with our client. Please allow this letter and the attached documents to serve as T .H.E.'s formal demand. During your employment with T.H.E., you were permitted to draw against commissions not yet earned. Indeed, on your last day of employment on February 22, 1999, you acknowledged as much. As of February 22, 2000, the total amount including interest which you owe T.H.E. is $13,764.30. Please advise our offices when and how you intend to repay this sum. Please let us hear from you at your earliest convenience. Should you fail to respond by March 1, 2000 our office is prepared to fIle suit. Under such circumstances, you may be liable for attorneys' fees and other costs of collection. I look forward to speaking to you. Very truly yours, .J1t\LiUl...-' t.t 0l(L\,Ll) -Stu..,h,,_ Donna L. Gareis-Smith DLG-S:bsk cc: Eric Huck :214:;08,1 ~i~~~_jllili&ilm,"i:t"'Ii!:'--,,;,;~~%tl~;i,j"lilt;aili,;k~:li!;ci&~~iiilimI"'-'~"1iiiiJl.J' ,~ ~ '''-~~'lIM~ I.~~.....~ ~i( ri .. . '. . .. __ ,_~ __" _ ,~" ~' J ......... ~ ~ ~ 'II' ", ~ ~ ~ ~ ~~ ~ \ l \ , ~ \ ~~ ~ ~ ~ ~ ~ " <~ . . o ,..,~ ~':'--: ---r) f~i [TI;'1 f.;:,1 c.~5 '".. ,- ~ J~~; ."- '=~"-"~ ~-j -< h'....;' .- ' ~ ,0 (~ o ---;-r 'J C) ._.~ =J ", (::> ,,''', -' -,.~,; !,~) -,- 1-, ;-':_.:3 I~s~ri :-..::--1 ..p. :".1 -< "-l~ "_'_i. h) '0 l~ "~ +'" '" .-'<>" '-'-' ," '0-"-" ,'I 1';,-. , ,0 ,.;.."'" " ",' ,-_"~,,j _'_',,,~; "fO' ".. ' ,-'''',,"" ",~""",,"" ,_, __ , , ' ':~~: . IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY T.H.E. FINANCIAL GROUP, LTD., CIVIL ACTION . LAW Plaintiff vs. JURY TRIAL DEMANDED RICHARD C. ROOS, NO.: 00-6928 - CIVIL Defendant NOTICE TO PLEAD TO: T.H.E. FINANCIAL GROUP, LTD., Plaintiff c/o Guy P. Beneventano, Esquire 3401 North Front Street P.O. Box 5950 Harrisburg, PA 17110-0950 YOU ARE HEREBY NOTIFIED THAT YOU MUST FILE A WRITTEN RESPONSE TO THE ENCLOSED NEW MATTER WITIDN TWENTY (20) DAYS FROM SERVICE HEREOF OR OTHERWISE A JUDGMENT MAY BE ENTERED AGAINST YOU. ROSENN, JENKINS & GREENWALD, L.L.P. BY: E F. SHOVL, RE Atto e . D. No.: 50764 RYAN C. BLAZURE, ESQUIRE Attorney I. D. No.: 84034 15 South Franklin Street Wilkes.Barre, P A 18711-0075 (570) 826.5600 Attorneys for Defendant, RICHARD C. ROOS 287059.1 ~ " ._ 1,< - - , 'I~""-",,, C'~'"~_,,, --"L,~' ''',"'''''''',,''';. '~.~, ", ""'eo- ,* '....:." '~"'"llij:J IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY T.H.E. FINANCIAL GROUP, LTD., CIVIL ACTION - LAW Plaintiff vs. JURY TRIAL DEMANDED RICHARD C. ROOS, NO.: 00-6928 - CIVIL Defendant ANSWER AND NEW MATTER OF DEFENDANT. RICHARD C. ROOS. TO THE COMPLAINT OF PLAINTIFF. T.H.E. FINANCIAL GROUP. LTD. ANSWER NOW COMES, Defendant, RICHARD C. ROOS ("Roos"), through counsel, Rosellll, Jenkins & Greenwald, L.L.P., and hereby answers the Complaint of Plaintiff, T.H.E. FINANCIAL ("T.H.E. Financial"), as follows: I. Denied. Roos, after reasonable investigation, is without knowledge or information sufficient to form a belief as to the truth of the averments contained within Paragraph 1, and thus these allegations are denied. 2. Denied. Roos, after reasonable investigation, is without knowledge or information sufficient to form a belief as to the truth of the averments contained within Paragraph 2, and thus these allegations are denied. 3. Admitted. 4. Admitted in part and denied in part. It is admitted that the Roos was employed by T .H.E. Financial, pursuant to a written agreement dated June 22, 1998, a copy of which, excluding 287059.1 - 1''--- '''--',',';'' 1,"~"" "";.-- "-,, ""J_'r~"""o;\,20~."'"',"-"",;, ,""j~,'"" "",' --l"-~h1 schedules, is attached to the Complaint as Exhibit "A." However, the characterization of the il II fl l.i " Ii ~j Ii :1 I Ii Employment Agreement is denied, as the document speaks for itself. ~'j 5.-10. Denied. The allegations set forth in Paragraphs 5 through 10 are denied as they ~i :1 Ii ii constitute conclusions oflaw to which a responsive pleading is not required. For further response, the Agreement speaks for itself, and any characterization of it is expressly denied. tJ " jl 11. Admitted in part and denied in part. It is admitted that T.H.E. Financial terminated Roos' employment on February 22, 1999. However, it is specifically denied that Roos' work performance was "unsatisfactory" as alleged. Specific proof is demanded at trial. 12. Denied. The allegations set forth in Paragraph 12 are denied as they constitute conclusions oflaw to which a responsive pleading is not required. Moreover, Exhibit "C" attached to the Complaint speaks for itself, and any characterization of it is expressly denied. " ~i ;1 13. Admitted in part and denied in part. It is admitted that on February 22, 1999, Roos had a conversation with Thomas Ibler ofT.H.E. Financial; however, it is specifically denied that Roos made an oral acknowledgment "that he had drawn $12,795.56 against commissions not yet earned and that he owed this sum to T.H.E. Financial" as alleged. Specific proof is demanded at trial. 14. Admitted in part and denied in part. It is admitted that T.H.E. Financial's February 15,2000 letter attached to the Complaint as Exhibit "D" was forwarded to Roos. However, any characterization of the letter is specifically denied, as the letter speaks for itself. Moreover, the remaining allegations set forth in Paragraph 14 are denied as they constitute conclusions of law to which a responsive pleading is not required. 287059.1 -2- . ~_. .1' I , ,'-".",;~"J,,-"'~, __,-'""" ,-,;,"'_'",""m"~,_" - '\'-'~--i';] 15. Admitted in part and denied in part. It is admitted that T.R.E. Financial's claim does not exceed the jurisdictional amount requiring arbitration by local rule. However, it is specifically denied that said claim is meritorious. Specific proof is demanded at trial. WHEREFORE, Defendant, RICHARD C. ROOS, respectfully requests that this Honorable Court grant judgment in his favor and against that of the Plaintiff, T.H.E. FINANCIAL GROUP, L YD., together with all costs of suit and any other relief which this Court deems just and equitable. NEW MATTER NOW COMES, Defendant, RICHARD C. ROOS ("Roos") and hereby sets forth as his New Matter to the Complaint of Plaintiff, T.H.E. FINANCIAL GROUP, L YD. ("T.H.E. Financial"), the following: 16. T.H.E. Financial's Complaint fails to set forth a claim upon which relief can be granted. 17. T.H.E. Financial's claim against Roos, the validity of which is specifically denied, is for an alleged breach of an employment agreement, which is attached to T.H.E. Financial's Complaint. 18. The agreement does not provide for Roos to pay T.H.E. Financial's attorney's fees under any circumstances. 19. Attorney's fees are not recoverable by T.H.E. Financial against Roos as a matter of law. 20. The agreement does not provide for the payment ofinterestto T.H.E. Financial under any circumstances. 287059.1 -3- ~ 0.. , I" ""I , ,".~', ,_ ., '~.~H"~"_"C,__~,'-."_>'_'",,,""'___' ,- ,'~ --. 21. T.H.E. Financial's claim, in whole or in part, is barred by applicable Statutes of Limitation and/or the Doctrine of Laches. 22. Any alleged damages sustained by T.R.E. Financial as alleged in its Complaint, the existence of which is specifically denied, were caused in whole or in part by persons or entities other than Roos and over whom Roos had no control and for whose actions Roos is not liable. 23. T.H.E. Financial's claim is barred, in whole or in part, by virtue of its failure to mitigate its damages. 24. T.H.E. Financial's claim is barred, in whole or in part, by virtue of its failure to provide fair and reasonable consideration to Roos. 25. T.H.E. Financial's claim is barred, in whole or in part, by the Doctrines of Estoppel and/or Waiver. 26. The employment agreement which is the subject of the Complaint is unenforceable and/or unconscionable. 27. At all times relevant hereto, Roos fully and satisfactorily performed his obligations to T.R.E. Financial under the employment agreement attached to T.R.E. Financial's Complaint. 28. The Court of Common Pleas of Cumberland County lacks jurisdiction over the present controversy. 29. Venue is improper in the Court of Common Pleas of Cumberland County as Roos' obligations under the alleged employment agreement were performed outside Cumberland County. 30. Venue is proper in Luzeme County. 31. T .R.E. Financial has benefitted from Roos' services performed for T.R.E. Financial at the direction of T.R.E. Financial. 287059.1 -4- .', ~, ,';.. ., , ~ --' ,-, ->""-' ~", ,''--"'-;;-:-"'',~,,,.'c .,'';''__,''',c-''~ ,,"''' ,.~_>.;,,_,_--,--_; , ..~q ",,,,,,,;,. ;,:j " l' j 'I 'I 'I " il ii' , II 11 II :1 il il II !i 11 I' II 1'.1.. ',1 f-1 '.1 il 32. As T.H.E. Financial has benefitted from Roos' services, any recovery by T.H.E. Financial against Roos for the claim asserted in its Complaint would result in unjust enrichment to T.H.E. Financial. 33. Roos hereby demands ajury trial. WHEREFORE, Defendant, RICHARD C. ROOS, respectfully requests that this Honorable Court enter judgment in his favor and against that of the Plaintiff, T.H.E. FINANCIAL GROUP, LTD., together with all costs of suit and any other relief which this Court deems just and equitable. ROSENN, JENKINS & GREENWALD, L.L.P. EF. SHOV RE . D. No.: 50764 R C. LAZURE, ESQUIRE Attorney I. D. No.: 84034 15 South Franklin Street Wilkes.Barre, PA 18711-0075 (570) 826-5600 II II I' ,J 'I Ii ,I 11 , i Attorneys for Defendant, RICHARD C. ROOS 287059.1 -5- '''---.,,.c' "01, , . ~ ' ,''-''-,----- ~' 'e' ~,'""',,, ~ --, VERIFICATION I, RICHARD C. ROOS, the Defendant herein, do hereby certify that the statements contained in the foregoing Answer and New Matter are true and correct to the best of my knowledge, information and belief and are subject to the penalties of 18 Pa. C.S. 94904, relating to unsworn falsification to authorities. fLW r!, k RICHARD C. ROOS I' , , 287059.1 ^-^'., "'I " ~I ,,,,j,,'.~ -'-'''-'~~"-i,,;,,,<~,_," ,', "',", '. _ , .,;. '~; IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY T.H.E. FINANCIAL GROUP, LTD., CIVIL ACTION - LAW Plaintiff vs. JURY TRIAL DEMANDED RICHARD C. ROOS, NO.: 00-6928 - CIVIL Defendant CERTIFICATE OF SERVICE I, RYAN C. BLAZURE, do hereby certify that I forwarded a true and correct copy of the a'1'11 foregoing Answer and New Matter to the following counsel of record this ~ day of November, 2000 by First-Class Mail, postage prepaid: Guy P. Beneventano, Esquire Mette, Evans & Woodside 3401 North Front Street P.O. Box 5950 Harrisburg, P A 17110-0950 ENWALD, L.L.P. Attorneys for Defendant, RICHARD C. ROOS 287059.1 ".,,' it;' -;. --",&,-' fl.[L"~,, _ :"1'_' "Y~""""""~~__~_,;"=~""'",O-'" "~I, ,""-. ';i_ ,'. 'J'I.IiR.;Bi.~it"" ,,~,' ~ n, ~ ,'~", ",,\-<_ "r " ":~r"- c_ '-'~'-"'-~ ,- " ,~". c;', " 'j " ~,-- '-'" I" . ~-~ '" "" C) ~~; \Jt_~,r:r !"l\r;--; -.- ~"'1 ~~.; ;-:: ~[; >'C) 20 PS;;; ~,- :~ :,,':;--1": c;2 "'- "Tj ,-- .~~- .. :~:i ;,:j i:>:~ (''') --'1,,,0. ~;~~ Cy '!;! "D -< !:: \.0 ':.~) (1'> F.!t ~--- - - .--~' .w, .. ~~' _,'__C -"0_","','-""",0 '- '<,',.- ii_ .- . i-"I-'-.. '-" ,-" ,-,_~i" d' "'~"~ . ''"" ','i_-~~~',' ;;';;;';-';;~~i , -~ , I' , !, i I' ! T.H.E. FINANCIAL GROUP, LTD., Plaintiff IN THE COURT OF COMMON PLEAS CUMBERLAND COUNTY, PENNSYL VANIA , i I I v. CIVIL ACTION. LAW RICHARD C. ROOS, Defendant DOCKET NO. 00.6928.CIVIL !' I I REPLY OF T.RE. FINANCIAL GROUP. LTD. TO NEW MATTER OF RICHARD C. ROOS , ! i , :! I'i 1,1 ii i:1 I, Plaintiff, T.H.E. Financial Group, Ltd. (hereinafter "T.H.E. Financial"), by its "~d :1 :i 11 i ~ i'i " " " i ij ;1 I" undersigned counsel, Mette, Evans and Woodside, hereby files the following Reply to the New Matter filed by Defendant, Richard C. Roos (hereinafter "Roos"). REPLY TO NEW MATTER i" 1'1 Ii Ii I, ~ i:J Ii :,j I 16. Denied. This averment constitutes a conclusion of law to which no responsive pleading is required. In further reply, T.H.E. Financial has pleaded the material facts in support of its breach of contract action against Roos. In addition to pleading the material facts in support of its cause of action, T.H.E. Financial has complied with Rule 1019(h), Pa,R.C.P. No.1019(h), by attaching to the Complaint a copy of the writing (i.e., the written Employment Agreement) upon which its claim is based. In further reply, by questioning whether T.H.E. Financial has stated a cause of action on which relief can be granted, Roos is attempting to demurrer to T.H.E. Financial's Complaint. According to Rule 1028(a)(4), Pa.R.C.P. No. . ~,--, "- '=- "-~ '~,,~ ," -- ~. - -" ; ,I " I",;:, ""h'>>'-","'<6'-'2J.l- -,,"',h' 1028(a)(4), a demurrer must be raised by preliminary objection. A demurrer cannot be raised in new matter. Pa.R.C.P. No. 1030. Therefore, Roos has waived his right to demurrer to the Complaint. 17. Admitted in part and denied in part. This averment is admitted to the extent that T.H.E. Financial's breach of contract action is predicated on the terms and conditions of a written Employment Agreement between the parties, a copy of which is attached to the Complaint. To the extent that this averment denies the validity ofT.H.E. Financial's cause of action, the averment constitutes a conclusion of law to which no responsive pleading is required. To the extent a reply is deemed required, T.H.E. Financial denies that its claim is somehow invalid. It has pled the material facts in support of its cause of action. 18. Denied. This averment constitutes a conclusion of law to which no responsive pleading is required. To the extent is reply is deemed required, the written Employment Agreement speaks for itself and should be construed in accordance with Pennsylvania law; any other characterization of it is denied. 19. Denied. This averment constitutes a conclusion of law to which no responsive pleading is required. To the extent a reply is deemed required, the reply to paragraph 18, set forth above, is incorporated herein by reference. 2 if,', '''''i , I I i ,I I II ,1 ii :1 ii 'I ;1 I ,I I Ii :,1 II II 'I I " II I' I' ,I Ii .1 II , ii 'I II I, ~I I II il r, " Ii II rl 'I t, II ^ , '~, _~ ,,,,, c_ " "1-"-' " - ,<; "."'___ "~d",,~,;_ '" "_" ti';" , ,~,~, .- ''f':-/1 [; h Ii , i, " , ii , i, F 20. Denied. This averment constitutes a conclu~ion of law to which no responsive pleading is required. To the extent a reply is deemed required, the reply to paragraph 18, set forth above, is incorporated herein by reference. I , I , il 21. Denied. This averment constitutes a conclusion of law to which no 'I i il :1 responsive pleading is required. To the extent a reply is deemed required, T.H.E. "~I Financial specifically denies that its Complaint is barred by either a statute of ;', limitations or laches. Roos has failed to plead any facts whatsoever in support of l; ~'I , 1'[ r: t; , '" [,: , i l! the affirmative defenses of the statute of limitations and laches. In further reply, T.H.E. Financial has not exhibited a want of due diligence in prosecuting its claim. i'I r~ Roos has averred no facts whatsoever in support of such an allegation, or in support of any allegation that he has suffered injury as the result of an alleged delay in I" i! II I' , I"~ prosecution. 22. Denied. Roos was terminated as a result of his unsatisfactory performance. Complaint at par. 11. He has drawn $12,795.56 more in compensation than what was due and payable to him under the applicable compensation schedule. Complaint at par. 12. He has failed and refused to pay T.H.E. Financial the excess compensation which he received but did not earn. Complaint at par. 14. Roos alone is responsible for breaching the terms and conditions of the written Employment Agreement. 3 ,." ", " . .... ~ ~ 1,':"'''-"-' -',-- '^',;" k, c _.; "'-' ", __, ~ '" "''"'i~i,i 23. Denied. This averment constitutes a conclusion of law to which no responsive pleading is required. To the extent a reply is deemed required, T.H.E. Financial denies that it failed to mitigate damages. Roos has failed to plead any facts whatsoever in support of such an allegation and strict proof thereof is demanded at trial. 24. Denied. Under the written Employment Agreement, Roos's compensation was determined according to a precise compensation schedule. Complaint at par. 6. Regular draws against such compensation were established and a "final reconciliation" of Roos's draw with his gross commissions was made when his employment terminated, at which point Roos was contractually obligated to pay T.H.E. Financial "any excess draw received within ten business days of such reconciliation." Complaint at pars. 8 and 10. Roos executed the written Employment Agreement of his own free will; he has not pled duress anywhere in his new matter. Therefore, he is contractually bound by the terms and conditions of the written Employment Agreement. 25. Denied. This averment constitutes a conclusion of law to which no responsive pleading is required. To the extent a reply is deemed required, T.H.E. Financial specifically denies that it is estopped from filing the Complaint or that it has waived its right to file the Complaint. Roos has failed to plead any material 4 ."", ~ "__0,,, ,_ , ~ ,,~.^,,- " '" 1",:- ,,; ~-~";- - "I, - -' ,;, ".--,~ :"''-''0'' i' '"'-.,-~c',," ~li,!;:,,: ,; <" " t; i~j facts whatsoever in support of these affirmative defenses and strict proof thereof is [:: demanded at trial. ~,! 26. Denied. This averment constitutes a conclusion of law to which no responsive pleading is required. To the extent a reply is deemed required, T.H.E. Financial specifically denies that the written Employment Agreement is either unenforceable or unconscionable. Roos has failed to plead any material facts ,,; ',:i whatsoever in support of this averment and strict proof thereof is demanded at t,j trial. v 27. Denied. T.H.E. Financial terminated Roos's employment on !:; ;;, February 22,1999 as a result of his unsatisfactory performance. Complaint at par. 11. In further reply, the reply to paragraph 22, set forth above, is incorporated herein by reference. 28. Denied. This averment constitutes a conclusion of law to which no responsive pleading is required. To the extent a reply is deemed required, Roos has waived his right to question the jurisdiction of this Court over the subject matter. Under Rule 1028(a)(I), Pa.R.C.P. :No. 1028(a)(I), a party must raise the issue oflack of jurisdiction by means of a preliminary objection. Roos has failed to file such a 5 ,- .- " ,,~;,~, ,I.. .-, ,- ;',''i--,- "'.""<~ ~-7,,;',.. -", ,_''5-','', .- .<__"~"',> --cc;, '-\'___,,' ..A ,",I :1 II il ~ j preliminary objection; therefore, he has waived his right to question the jurisdiction 29. Denied. This averment constitutes a conclusion of law to which no :fJ II '. ;:1 :'1 "I ,. :'1 :~I 'II II ,I 'iJ i! )! I :[1 ;'i :1 :1 , ~1 :.:..111 , :11 :!1 :1 "."..1 . " . of this Court over the cause of action. responsive pleading is required. To the extent a reply is deemed required, Roos has waived his right to question the venue in which T.H.E. Financial has brought its cause of action. Under Rule 1028(a)(1), Pa.R.C.P. No. 1028(a)(1), a party must raise the issue of improper venue by means of a preliminary objection. Roos has failed to file such a preliminary objection; therefore, he has waived his right to question the venue in which T.H.E. Financial has brought its cause of action. 30. Denied. T.H.E. Financial incorporates by reference the reply to ;, 'jj 11 \1 II )1 'i 'I Ii Ii " Ii II !; i' ,I II I paragraph 29, set forth above. 31. Denied. Roos's employment was terminated as a result of his unsatisfactory performancl'l. Complaint at par. 11. He has received "excess draws" which, under the terms and conditions of his written Employment Agreement, he is required to pay to T.H.E. Financial. Complaint at pars. 8 .10. T.H.E. Financial has more than paid Roos the value of whatever services he rendered as an employee. 6 ,,- ~.,,-~- ,.,' -'"' '. ,.,,- I. I'~";;-"'- : "'<" d -. ci,'_"'_ ~lj;]Jli_:~1 ] 1 'I 32. Denied. T.H.E. Financial incorporates by reference its reply to paragraph 31, set forth above. 33. Denied. T.H.E. Financial's claim does not exceed the jurisdictional amount requiring arbitration referral by local rule. Complaint at par. 15. WHEREFORE, Plaintiff, T.H.E. Financial Group, Ltd., demands judgment against Richard C. Roos as follows: (a) In the amount of $12,795.56, with interest from February 22, 1999; and (b) Costs, including attorneys' fees, paid or incurred in order to enforce the terms and conditions of the written Employment Agreement between the parties. Respectfully submitted, METTE, EVANS & WOODSIDE .~~ BY~/" "'e>' uy P. Beneventano, EsqUlre Sup. Ct. LD. #43107 3401 North Front Street P.O. Box 5950 Harrisburg, PA 17110.0950 Attorneys for Plaintiff T.H.E. Financial Group, Ltd. Date: November 27,2000 ...; - I, , 1 -. ...;;. 11-24-00 17:08 T.H.E. FINANCIAL ID:::717 786 4551 P.02 VERIFICATION I, ERIC A. HUCK, have read the foregoing document and to the extent that it contains facts supplied by me, they are true and correct to the best of my personal 'i knowledge, infonnation and belief; however, to the extent that the foregoing ., ,I document and/or its language is that of counsel, I have relied upon counsel in making this verification. it I make this Verification subject to the penalties of 18 Pa.C.S. ~4904 relating to unsworn falsification to authorities. " Date: 1/-;2. 3-00 i: j: 'I :i I' Vl - ','< ''-'' ~ I' ~ "'(,"--'" ~ - ',~_, - _".,0 ", "" ,~.c, , t::; ~, : 1 I, I' I' I, CERTIFICATE OF SERVICE T'; I hereby certify that I am this day serving a copy of the foregoing document I, upon the person(s) and in the manner indicated below, which service satisfies the requirements of the Pennsylvania Rules of Civil Procedure, by depositing a copy of ," " same in the United States Mail, Harrisburg, Pennsylvania, First Class Mail, postage prepaid, as follows: Ryan C. Blazure, Esquire Rosenn, Jenkins & Greenwald, L.L.P. 15 South Franklin Street Wilkes.Barre, PA 18711.0075 METTE, EVANS & WOODSIDE By: 7~ . Beneventano, Esquire up. Ct. I.D. #43107 3401 North Front Street P.O. Box 5950 Harrisburg, PA 17110-0950 Attorneys for Plaintiff T.H.E. Financial Group, Ltd. Date: November 27, 2000 ~ .'" __i "-,~__ _ ,,'. ~: - - IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY T.H.E. FINANCIAL GROUP, LTD., CIVIL ACTION - LAW Plaintiff vs. JURY TRIAL DEMANDED RICHARD C. ROOS, NO.: 00-6928 - CIVIL Defendant PRAECIPE FOR WITHDRAWAL OF APPEARANCE TO THE PROTHONOTARY: Pursuant to this Court's Rule Absolute issued on July 18, 2001, kindly withdraw our appearance as counsel for Defendant, Richard C. Roos, in the above-captioned matter. ROSENN, JENKINS & GREENWALD, L.L.P. HOVL , S o Y I. D. No.: 5 7 N C. BLAZURE, ESQUIRE Attorney I. D. No.: 84034 15 South Franklin Street Wilkes-Barre, P A 18711-0075 (570) 826.5600 BY: WITHDRAWAL OF APPEARANCE Rosenn, Jenkins & Greenwald, L.L.P. is hereby withdrawn as counsel for D fendant, Richard C. RODS. 323143.1 1'- ,,_ ,,', ~, " , -",' ,;'C, '{',"'_ 't' - - IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY T.H.E. FINANCIAL GROUP, LTD., CIVIL ACTION . LAW Plaintiff vs. JURY TRIAL DEMANDED RICHARD C. ROOS, NO.: 00.6928 - CIVIL Defendant CERTIFICATE OF SERVICE I, RYAN C. BLAZURE, do hereby certify that I forwarded a true and correct copy of the foregoing Praecipe for Withdrawal of Appearance to the following individuals this I ?day of September, 2001 by First-Class Mail, postage prepaid: Guy P. Beneventano, Esquire Mette, Evans & Woodside 3401 North Front Street P.O. Box 5950 Harrisburg, P A 17110.0950 Jacqueline M. Verney, Esquire 44 South Hanover Street Carlisle, PA 17103-3306 Marlin R. McCaleb, Esquire Law Offices of Marlin R. McCaleb 219 East Main Street Mechanicsburg, P A 17055 Philip 1. Murren, Esquire 2303 Market Street Camp Hill, P A 170 II ROSENN, JENKINS & GREENWALD, L.L.P. BY: 323143.1 ,.:.',\- ':"''';''';;''''' .',,'" ~~---'"..;."".~-" ,', , '~ .. .',',"-",-,< ~ "- I I I I I I I 0 C) () C ~n ::S': (/') -atL r"1 mrl: '"1j 1'''- Z".T -r'i-l :ZC CJ e,0]::-: ,.0 -=< ;;~. i_~) ~C} ~0 ., eel _.~ .~~~ ~~ r;? z >=;; ~ (,.) ~ , ,~'~"""'~'''w ~""~'~1'1~'" - l.fllij- I.. i " ", ,- ~ -, !J,\" T.H.E. FINANCIAL GROUP, LTD. , ) In The Court of Cornman Pleas of Plaintiff ) } Cumberland County, Pennsylvania v. ) J ~o. 00 6928 129< ) RICHARD C. ROOS, ) CIVIL ACTION - LAW Defendant ) v OATH /~ l~e do solemnly swear (o,.r a'f'firm) the Constitution of the United ~tates wealth and that we will discharge the that we will support, obey and derend and the Constitutio~ or this Common- duties 7tr;;;;? ~ /EIJ; :::!~ AWARD 'ile, the undersigned arbitrators, having been duly appointed and sworn (or affirmed), make the following award: (Note: If damages for delay are awarded, they shall be separately stated.) td:J -h~;~ ~ ~ ~~;JrlI" ~;I: ~~ ~d.kcW- ~ ~ U#t~J pT ;f /...{ fS-/. C7 3',~ ~, /~;t ~~ ,42; ~ diu:l Ch-A q,C J?UY NOTICE OF ENTRY OF AWARD Now, then'"' day Of~ award was entered upon the docket and parties or their attorneys. , JsII ;l()(J(, at /:J. ;:l'(, P. M., the above notice thereof given by mail to the e~ 12 .f~, f:: ~ . ot onotary a.~ Deputy Arbitrators' compensation to be paid upon appeal: $ 29o,av By: 1~JWi"O~~'.~~;;;1 . 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