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HomeMy WebLinkAbout13-3223 Supreme Cou fWennsylvania COUP , %Pleas For Prothonotary Use Only: T Clvil ver Sheet Docket No: £ `ST L CUfJIBR7�N6 ° r County 1 , 5 r The information collected on this form is used solely for court administration purposes. This form does not supplement or replace the filing and service of pleadings or other papers as required by law or rules of court. Commencement of Action: 0 Complaint El Writ of Summons 0 Petition S [3 Transfer from Another Jurisdiction 0 Declaration of Taking E Lead Plaintiffs Name: Lead Defendant's Name: C C RICHARD L. JOHNS and JOAN T. JOHNS PRUDENTIAL ANNUITIES T Dollar Amount Requested: Owithin arbitration limits I Are money damages requested? X Yes 0 No (check one) ]outside arbitration limits O N Is this a Class Action Suit? ® Yes IT No Is this an MDJAppeal? 0 Yes X+ No A Name of Plaintiff /Appellant's Attorney: ROB BLEECHER, ESQUIRE L. 0 Check here if you have no attorney (are a Self - Represented Pro Sep Litigant) Nature of the Case Place an "X" to the left of the ONE case category that most accurately describes your PRIMARY CASE. If you are making more than one type of claim, check the one that you consider most important. i i TORT (do not include Mass Tort) CONTRACT (do not include Judgments) CIVIL APPEALS 0 Intentional 0 Buyer Plaintiff Administrative Agencies ' 0 Malicious Prosecution 0 Debt Collection: Credit Card Board of Assessment ® Motor Vehicle Debt Collection: Other © Board of Elections 0 Nuisance 0 Dept. of Transportation Premises Liability Statutory Appeal: Other S 0 Product Liability (does not include i mass tort) [3 Employment Dispute: E 0 Slander/Libel/ Defamation Discrimination 0 C 0 Other: Employment Dispute: Other Zoning Board Other: , ! T El Other: O MASS TORT Insurance Contract ' 0 Asbestos N 0 Tobacco 0 Toxic Tort - DES 0 Toxic Tort - Implant REAL PROPERTY MISCELLANEOUS © Toxic Waste ® Ejectment 0 Common Law /Statutory Arbitration B 0 Other: 0 Eminent Domain /Condemnation 0 Declaratory Judgment 0 Ground Rent 0 Mandamus 0 Landlord/Tenant Dispute 0 Non - Domestic Relations r 13 Mortgage Foreclosure: Residential Restraining Order PROFESSIONAL LIABILITY 0 Mortgage Foreclosure: Commercial El Quo Warranto 0 Dental 0 Partition 0 Replevin 0 Legal 0 Quiet Title 0 Other: © Medical © Other: R Other Professional: �� Updated 111/1011 RICHARD L. JOHNS and : IN THE COURT OF COMMON PLEAS JOAN T. JOHNS, : CUMBERLAND COUNTY, PENNSYLVANIA Plaintiffs V. : CIVIL ACTION - LAW NO. 3 C., . a i3 3 &a � PRUDENTIAL ANNUITIES �- and FULTON FINANCIAL _� ADVISORS, INC., ci CD Defendants r PRAECIPE FOR WRIT OF SUMMONS -"+ TO THE PROTHONOTARY OF CUMBERLAND COUNTY, PENNSYLVANIA: Please issue a Writ of Summons in the above - captioned action: Writ of Summons shall be issued and forwarded to (X) Attorney ( ) Sheriff: Prudential Annuities 1 Corporate Drive Shelton, CT 06484 Writ of Summons shall be issued and forwarded to ( ) Attorney (X) Sheriff: Fulton Financial Advisors, Inc. P.O. Box 7989 One Penn Square Lancaster, PA 17604 Date: June 3, 2013 By: r Ro leecher, Esquire Attorney ID No. 32594 Pecht & Associates, P.C. 650 North Twelfth Street, Suite 100 Lemoyne, PA 17043 (717) 691 -9809 Attorneys for Plaintiffs 2 #a9'�Ya3 RICHARD L. JOHNS and : IN THE COURT OF COMMON PLEAS JOAN T. JOHNS, : CUMBERLAND COUNTY, PENNSYLVANIA Plaintiffs V. : CIVIL ACTION -- LAW :NO. PRUDENTIAL ANNUITIES and FULTON FINANCIAL ADVISORS, INC., . Defendants WRIT OF SUMMONS TO THE ABOVE NAMED DEFENDANTS: Prudential Annuities 1 Corporate Drive Shelton, CT 06484 Fulton Financial Advisors, Inc. P.O. Box 7989 One Penn Square Lancaster, PA 17604 YOU ARE NOTIFIED THAT THE ABOVE -NAMED PLAINTIFFS HAVE COMMENCED AN ACTION AGAINST YOU. 12A� I VAN --I" David D. Buell, Prothonotary Date: June , 2013 By eputy Pecht & Associates, P.C. By: Rob Bleecher, Esquire Attorney ID No. 32594 Attorneys for Plaintiffs Rob Bleecher,Esquire L ED-0 F F I C E' Attorney I.D.No. 32594 THE PROTHONOTARY Pecht&Associates,P.C. 2913 JUN 14 PH 1., 17 650 North Twelfth Street, Suite 100 Lemoyne,PA 17043 CUMBERLAND COUNTY (717)691-9809 F'EN N S Y LVA N I A RICHARD L.JOHNS and : IN THE COURT OF COMMON PLEAS JOAN T. JOHNS, : CUMBERLAND COUNTY,PENNSYLVANIA Plaintiffs V. : CIVIL ACTION-LAW : NO.2013-3223 PRUDENTIAL ANNUITIES and FULTON FINANCIAL ADVISORS,INC., Defendants PROOF OF SERVICE I hereby affirm that I served the Writ of Summons on Defendant Prudential Annuities by U.S. First Class, Priority Mail—Signature Confirmation, addressed as follows: Prudential Annuities I Corporate Drive Shelton, CT 06484 Copies of the PS Form 153 (Signature Confirmation Receipt), letter from USPS with scanned image of the recipient's signature, and the USPS Track & Confirm page are attached hereto and marked as Exhibits "A". Respectfully submitted, PECHT& CIATES, P.C. Dated- June 13,2013 By: Pe6 NeNehm-,1?squire Attorney I.D.No. 32594 650 North Twelfth Street, Suite 100 Lemoyne,PA 17043 (717) 691-9809 Attorney for Plaintiffs CERTIFICATE OF SERVICE I , Rob Bleecher, Esquire, the attorney for Plaintiffs, hereby certify that I have served the foregoing Proof of Service this date by depositing a true and correct copy of the same in the United States mail, first-class postage prepaid, addressed as follows: Prudential Annuities 1 Corporate Drive Shelton, CT 06484 Dated: June 13, 2013 By: RoGffleecher, Esquire EXHIBIT "A" U.S.Postal Service Signature Confirmation Receipt "n Postage and Signature Confirmation fees must be paid before mailing. C� m Cr> Article Sent To: TO be complete_d by_maller) a I ? ........�...,.......�r i� . ......4�..... C3 Waiver IgneN►re—B.Y 19NO OBOOl ni11f1SOd L CUSTOMER: 2 d thi ceipt.For Inquiries: ° Pomark o Acres 'ite et web site at UO s O us ® j 0- -1811 ¢ c� CHECK AL IM 0" v 4 m LA+ ty Matl® ru j Package Services PS Form 199,duly 2M1 (See Reverse). N UNITEDSTATES POSTAL SERVICE, Date: June 13, 2013 Denise Fahringer: The following is in response to your June 13, 2013 request for delivery information on your Signature Confirmation TM item number 23013460000102713975. The delivery record shows that this item was delivered on June 13, 2013 at 12:27 pm in SHELTON, CT 06484 to M JONES. The scanned image of the recipient information is provided below. Signature of Recipient e000Yj Nd Address of Recipient : — :,al. Thank you for selecting the Postal Service for your mailing needs. If you require additional assistance, please contact your local Post Office or postal representative. Sincerely, United States Postal Service USPS.com® - Track& Confirm Page 1 of 1 English Customer Service LISPS Mobile Register!Sign In taVsps com* Search USPS.com or Track Packages Quick Tools Ship a Package Send Mail Manage Your Mail Shop Business Solutions Track & Confirm GET EMAIL UPDATES PRINT DETAILS YOUR LABEL NUMBER SERVICE STATUS OF YOUR ITEM DATE&TIME LOCATION FEATURES 23013460000102713975 Delivered June 13,2013,12:27 pm SHELTON,CT 06484 Signature Confirmation' I I !Proof of Delivery i Out for Delivery I June 13,2013,8:40 am i SHELTON,CT 06484 Sorting Complete June 13,2013,6:30 am SHELTON,CT 06484 j Arrival at Post Office June 13,2013,6:55 am 'SHELTON,CT 06464 I I Depart USPS Sort I June 13,2013 +SPRINGFIELD,MA 01152 Facility Processed through June 12,2013,11:10 pm I SPRINGFIELD,MA 01152 ! j LISPS Sort Facility Arrive USPS Sort June 12,2013,8:53 am SPRINGFIELD,MA 01104 Facility i I i j Depart USPS Sort June 12,2013 PHILADELPHIA,PA 19116 Facility Depart USPS Sort i June 12,2013,3:56 am PHtLADELPHIA,PA 19116 Facility Processed through June 12,2013,2:16 am PHILADELPHIA,PA 19116 USPS Sort Facility i ! I Check on Another Item What's your label(or receipt)number? I Find I 1 LEGAL ON USPS.COM ON ABOUT.USPS.COM OTHER USPS SITES Privacy Policy> Government Services> About USPS Homer Business Customer Gateway> Terms of Use> Buy Stamps&Shop> Newsroom) - Postal Inspectors> FOIA> Print a Label with Postage> Mai!Service Updates> Inspector Genera(> No FEAR Act EEO Data, Customer Service> Forms&Publications> Postal Explorer> Delivering Solutions to the Last Mile> Careers> Site Index) Copyright@ 2013 USPS.All Rights Reserved. https://tools.usps.com/go/TrackConfirmAction input?qtc tLabelsl=230134600001027139... 6/13/2013 SHERIFF'S OFFICE OF CUMBERLAND COUNTY Ronny R Anderson Sheriff Jody S Smith *, Chief Deputy Richard W Stewart " st Solicitor CIS r446OFTN=sW-RIFF CUMBERLAND COUNTY PENNSYLVANIA Richard L Johns(et al.) Case Number vs. Prudential Annuities (et al.) 2013-3223 SHERIFF'S RETURN OF SERVICE 06/06/2013 Sheriff Ronny R Anderson, being duly sworn according to law, states he made diligent search and inquiry for the within named Defendant to wit: Fulton Financial Advisors, Inc., but was unable to locate the Defendant in the Sheriffs bailiwick. The Sheriff therefore deputizes the Sheriff of Lancaster, Pennsylvania to serve the within Writ of Summons according to law. 06/11/2013 11:08 AM -The requested Writ of Summons served by the Sheriff of Lancaster County upon Robert W. Jones, VP Branch Manager, who accepted for Fulton Financial Advisors, Inc., at One Penn Square, Lancaster, PA 17604. Mark S.Reese, Sheriff, Return of Service attached to and made part of the within record. SHERIFF COST: $28.46 SO ANSWERS, c4 June 13, 2013 RON R ANDERSON, SHERIFF (C)CountySuite Sheriff,Toleosott,Inc. SHERIFF'S OFFICE OF LANCASTER COUNTY Mark S. Reese Brad Harris �NLRi Sheriff 4.COCA&x,54 Solicitor Marc Lancaster : Charles Hamilton Chief Deputy{ Lieutenant RICHARD L JOHNS Case Number vs. 2013-3223 FULTON FINANCIAL ADVISORS, INC. SHERIFF'S RETURN OF SERVICE 06/1112013 11:08 AM-SERVED THE WRIT OF SUMMONS(WOSM) BY HANDING A COPY TO ROBERT W JONES,VP BRANCH MANAGER, WHO ACCEPTED AS"ADULT PERSON IN CHARGE" FOR FULTON FINANCIAL ADVISORS, INC. AT ONE PENN SQUARE, LANCASTER, PA 17604. SO ANSWERS: DEPUTY JILL BAUMGARTNER, DEPUTY SHERIFF OF LANCASTER COUNTY, PA. JILL AUMGARTNER, DEPUTY SHERIFF COST: $45.33 SO ANSWERS, June 11, 2013 MARK S. REESE, SHERIFF COSTS DATE CATEGORY MEMO CHK# DEBIT CREDIT 06/10/2013 Advance Fee Advance Fee 0028328 $0.00 $150.00 06/10/2013 Receiving,Docketing&Return $9.00 $0.00 06/1012013 Service $9.00 $0.00 06/10/2013 Affidavit $2.50 $0.00 06/10/2013 Deputy Time $10.00 $0.00 06/10/2013 Copies $6.00 $0.00 06/10/2013 Copies $6.00 $0.00 06/11/2013 Refund $107.50 $0.00 06/11/2013 Service Mileage $2.83 $0.00 $152.83 $150.00 BALANCE: $(2.83) Plaintiff Attomey. PECHT&ASSOCIATES,P.C., 1205 MANOR DR., SUITE 200, MECHANISBURG, PA 17055 (c)CountySuile Sheriff,Teleosoft,Inc. RICHARD L. JOHNS and IN THE COURT OF COMMON PLEAS JOAN T.JOHNS, CUMBERLAND COUNTY, PENNSYLVANIA Plaintiffs, VS. CIVIL ACTION-LAW r, • T PRUDENTIAL ANNUITIES and NO. 2013-3223 FULTON FINANCIAL ADVISORS, �Y``y i g' INC., UP cs ci -�-1f c Defendants. ° = o 2.o CS CD ni Cn ::a MOTION ON BEHALF OF PRUDENTIAL ANNUITIES LIFE ASSURANCE CORPORATION`` FOR PROTECTIVE ORDER RELATING TO PRE-COMPLAINT DISCOVERY COMES NOW Prudential Annuities Life Assurance Corporation (improperly pleaded as 5 Prudential Annuities) ("PALAC") and moves this Court for a protective order concerning pre- complaint interrogatories and document demands propounded by the plaintiff, and in support respectfully states as follows: 1. On or about June 13, 2013, PALAC was served with a Writ of Summons notifying it that the above-named Plaintiffs had commenced an action against it. No complaint was served with the summons and, upon information and belief, none has yet been filed. To PALAC's knowledge, no judge has previously ruled upon any other issue in the same or a related matter. 2. Together with the Writ of Summons, PALAC also received a letter from Plaintiffs' counsel dated June' 11, 2013, a copy of which is attached hereto as Exhibit "A", together with Interrogatories and a Request for Production of Documents, copies of which are also attached as Exhibits`B" and "C"respectively. 3. As set forth in the letter, the foregoing discovery requests were made pursuant to Pa. R.C.P. 4003.8 purportedly "to obtain information which is material and necessary to the filing of a complaint in this matter." 4. As set forth in more detail below, the information requested is either duplicative of information and documents previously provided by PALAC to the Plaintiffs or not necessary for Plaintiffs to file a complaint. Moreover, given the vague nature of Plaintiffs' claims, the demands are overbroad and in all likelihood irrelevant to whatever it is Plaintiffs are claiming PALAC did that is actionable. 5. PALAC believes that it may well have dispositive defenses to some or all of the causes of action identified in Plaintiffs' counsel's June 11, 2013, letter, including, but not limited to, simple statute of limitations:defenses. Plaintiffs should not be permitted to impose the burden upon PALAC of responding to a pre-complaint fishing expedition where the facts they purportedly seek would add nothing material to their ability to plead their claims. See McNeil v, Jordan, 586 Pa. 413 (2006) ("[u]nder no circumstance should a plaintiff be allowed to embark upon a 'fishing expedition' in pre- complaint discovery). 6. The connection between the parties arises by virtue of the plaintiff Richard Johns' purchase of a non-qualified American Skandia Advisors Plan III contract on November 29, 2005 and American Skandia Advisors Plan III - IRA contract on December 13, 2005. American Skandia Life Assurance Corporation is now know as PALAC. 7. The latter, an IRA annuity contract, appears to be the subject of Plaintiffs' alleged claims. That IRA has seen a total investment return of over 20% as of June 30, 2013. (Attached hereto as Exhibit"D" is copy of the June 30, 2013 Quarterly Statement pertaining to the relevant IRA annuity contract.)Accordingly, Plaintiffs certainly cannot be complaining about the performance of the annuity, 2 but then Plaintiffs' June l I letter does not provide any information as to the nature of their alleged harm. 8. Based on Plaintiffs' counsel's June 11, 2013, letter, it appears that the Plaintiffs maintain that plaintiff Richard Johns' purchase of the IRA annuity contract was based upon false statements, misrepresentations or the failure to disclose material information. They appear to believe that those alleged misrepresentations give rise to claims for breach of contract, violation of the Pennsylvania Unfair Trade Practices and Consumer Protection Law, fraud and misrepresentation, but fail to provide any detail or to describe how they believe they have been damaged. 9. Pa. R.C.P. 4003.8 provides that (a) A plaintiff may obtain pre-complaint discovery where the information sought is material and necessary to the filing of the complaint and the discovery will not cause unreasonable annoyance, embarrassment, oppression, burden or expense to any person or party. (b) Upon motion for protective order or other objection to a plaintiff's pre- complaint discovery, the court may require the plaintiff to state with particularity how the discovery will materially advance the preparation of the complaint. In deciding the motion or other objection,the court shall weigh the importance of the discovery request against the burdens imposed on any person or party from whom the discovery is sought. Here,the information sought is neither material nor necessary to the filing of the complaint. 10. It is readily apparent that if the Plaintiffs believe they were given false information or did not receive material information concerning the annuity at issue, they can themselves set forth and identify statements they contend were false or the material information they contend they were not given. None of the information requested from PALAC is necessary in order for them to make such allegations in sufficient manner to support a complaint. Plaintiffs, and only Plaintiffs, can determine whether they relied on any such alleged statements or omissions and were damaged as a result. As for any breach of contract claim, Plaintiffs have the contract, are a party to it, and can hardly need information from PALAC in order to set forth how they believe PALAC breached the contract. 3 11. The information and documents requested are the latest in a series of requests and demands made by one or both of the Plaintiffs upon PALAC. On November 13, 2006, in response to a subpoena issued on behalf of plaintiff Richard Johns in connection with an NASD arbitration against a brokerage service presumably used by Richard Johns and one of its members or employees, PALAC supplied copies of his account applications, account statements, confirmations, notes and correspondence then in existence. A copy of the transmittal letter accompanying those documents is annexed hereto as Exhibit"E". 12. The documents provided pursuant to the NASD arbitration subpoena are at least partially responsive to the documents requested in Plaintiffs' Interrogatory No. 1 and document request no. 1. More importantly, they include the documents generated during Mr. Johns' application for and purchase of the annuity at issue, and that is the period during which any allegedly false statement or material misrepresentation or omission might be relevant. 13. In addition, PALAC has supplied information to Plaintiffs' counsel in response to specific inquiries made by him by letter dated March 11, 2013. A copy of that letter is annexed hereto as Exhibit"F" and a copy of PALAC's response is annexed as Exhibit"G". 14. As to the interrogatories and document demands at issue here, several of Plaintiffs' interrogatories request information identifying specific "agent[s], employee[s] or control person[s]" involved in the sale, servicing, supervision or"involvement" (Interrogatory No. 6) with the annuity at issue or, in some instances, more generally Plaintiffs' accounts. The information sought is so overbroad that it.cannot be construed so as to satisfy the R.C.P.'s requirement that it be "necessary and material" to the filing of the complaint. Moreover, given the nature of the claims Plaintiffs believe they have, y they do not need the names of any PALAC agents, employees or control persons to enable them to file a complaint because the mere allegation that whatever misrepresentation or omission occurred was by a 4 PALAC agent, employee or control person is likely to be enough to support the claim even without the name of the person. ; 15. Similarly, the demand in paragraph 2 of Plaintiffs' document request (duplicated in Interrogatory No. 7)' for copies of"any compliance manual, compliance desktop reference, and branch office managers' compliance manual and compliance supplements or bulletins (or similar notices) together with the entire table of contents and any index for each such document existing during the period from January 2005 through January 2013" is overbroad and seeks documents neither necessary nor material to enable Plaintiffs to file a complaint. Not only is the timeframe far outside of the period when Plaintiffs apparently believe they received false statements or were subjected to material omissions, but no potential claim as identified by Plaintiffs requires reference to any internal PALAC t procedures or materials -- they merely require Plaintiffs to identify allegedly false statements, misrepresentations or omissions. 16. The demand in paragraph 3 of Plaintiffs' document request for copies of "additional documents sufficient to show the organization structure and supervisory chain of command for oversight of the Plaintiffs' account(s) and the way in which the duties of supervision were delegated" has no legitimate connection to Plaintiffs' ability to file a complaint. 17. Paragraph 4 of Plaintiffs' document request demands copies of "all documents establishing the relationship between Defendant Fulton and Defendant PALAC, including but not limited to the financial compensation arrangement." Again, the information is not necessary or material to enable the Plaintiffs to file a complaint. Moreover, the disclosure of the contractual or employment terms of any individual having a relationship with PALAC is sensitive and should not be the subject of pre-complaint discovery, particularly in a matter where the specific terms of such a relationship are potentially irrelevant altogether and at the very least unnecessary to enable Plaintiffs to { 5 state a claim. 18. Finally, if PALAC is required to provide responses to any part of the pre-complaint discovery requests and such requests seek disclosure of privileged and/or confidential information, PALAC reserves the right to assert all such privileges and to seek appropriate protections relating to the disclosure of confidential information. WHEREFORE, PALAC respectfully requests that an order be entered striking all pre-complaint discovery served in connection with Plaintiffs'Writ of Summons. Respectfully submitted, d'Arcambal Ousley & Cuyler Burk, LLP by: clyn DiLascio Malyk, Esq. ( A# 308589) d'Arcambal Ousley& Cuyler Burk, LLP Four Century Drive Parsippany,NJ 07054 Tel.: 973.734.3200 Fax: 973.734.3201 jmalyk@darcambal.com 6 1 V � , � I J! �� I PECHT&ASSOCIATES, P.C. 650 North Twelfth Street Suite 100 Lemoyne,PA 17043 Wayne M.Pecht Telephone 717-691-9809 Member of California Bar Pa= 711-696-6650 CPAILLMin Taxat ton rbleecher@pechtlaw.eom Rob BIeecher www.pechtlaw.com June 11, 2013 Via Priority Mail- Signature Confirmation Prudential Annuities 1 Corporate Drive Shelton, CT 06484 Re: Richard L. Johns and Joan T. Johns v. Prudential Annuities et al. No. 2013-8223 To Whom It May Concern: Richard and Joan Johns have filed a Writ of Summons against you. A true copy of the Writ of Summons is enclosed. Also, enclosed are Interrogatories and a Request for Production of Documents in regard.to that case.. This discovery request is made pursuant to Pa. R.C.P. 4003.8 and is made at this time in order to obtain information:which is material and necessary to the filing of a complaint in this matter. The causes of action are anticipated to be in the nature of, inter alia, breach of contract, violation of the Pennsylvania Unfair Trade Practices and Consumer Protection Law, fraud, and misrepresentation. The matters inquired into by the enclosed interrogatories and request for documents include the nature of the relationship between all of the Defendants named in the Writ of Summons;whether Plaintiffs were induced to enter into an annuity under false pretenses;whether one or more Defendants failed to disclose material information which Plaintiffs had a right to know; whether Defendants subsequently misinformed Plaintiffs concerning features of the annuity; and, whether the Defendants misrepresented facts through non-disclosure of material facts. Further, Plaintiffs win inquire into whether the conduct of Defendants was negligent, reckless or intentional. Plaintiffs'good faith belief in the appropriateness of using the pre-complaint discovery process is based on the fact.that Plaintiffs do not have access to documentation:in the possession and control of Defendants and Plaintiffs believe those documents and that information will provide facts necessary to properly plead the referenced cause of action(s). In addition, Plaintiffs have requested that the names of one or more agents that engaged in a telephone conversation with Plaintiffs be disclosed. Defendant Prudential,has refused, by letter of April 19, 2013, to provide. Prudential Annuities June 11, 2013 Page 2 that information and has asserted that it will only provide such information pursuant to a subpoena. Pennsylvania Rule of Civil Procedure No..4008(a), states in part; "Interrogatories which are to be served prior to service of the Complaint shall be limited to the purpose of preparing a Complaint and shall contain a brief statement of the nature of the cause of action...." Pa.R.C.P. No. 4003.8(a) permits pre-complaint discovery where "the information sought is material and necessary to the filing of the complaint and the discovery will not cause unreasonable annoyance, embarrassment, oppression, burden or expense to any person or party." See also, McNeil v. Jordan, 894 A.2d 1260 (Pa. 2006). PIaintiffs'counsel believes that the information sought is material and necessary to the filing of the complaint and the discovery will not cause unreasonable annoyance, embarrassment, oppression, burden or expense to any person or party.. Counsel for Plaintiffs believes that the information sought will materially advance Plaintiffs' pleading and that "but for" the discovery requested, counsel may be unable to formulate a legally suffficientpleading. Very truly yours, PECHT& IATES, P.C. By: or, Esquire RBtdlf Enclosures cc: Richard and Joan Johns .- -i i i I � , i i I iI I I I i i � � RICHARD L.JOHNS and IN THE COURT OF COMMON PLEAS JOAN T.JOHNS, : CUMBERLAND COUNTY,PENNSYLVANIA Plaintiffs V. : CIVIL ACTION-LAW : NO.2013-3223 PRUDENTIAL ANNUITIES and FULTON FINANCIAL ADVISORS, INC., Defendants PLAINTIFFS'FIRST SET OF INTERROGATORIES TO DEFENDANT PRUDENTIAL ANNUITIES Richard L. Johns and Joan T.Johns(hereinafter individually and/or jointly"Plaintiffs"), by the undersigned attorney,request that Defendant answer under oath the following interrogatories within thirty(30)days of service in accordance with Pa.R.C.P.No.4005 and 4006. These interrogatories are deemed to be continuing to the extent provided in Pa.R.C.P.No. 4007.4: INSTRUCTIONS AND DEFINITIONS Please follow these instructions and use the following definitions in answering these interrogatories. Any term or word that is not defined herein has its usual and customary meaning. a. Each of the following interrogatories shall be answered separately and fully in writing. The answers shall be signed and verified by the person making them. Objections,if any,shall be signed by the attorney making them. b. Where knowledge or information in possession of a party is requested, such request includes knowledge of the party's agents,employees, servants,officers,directors, accountants,attorneys(unless privileged),or other persons acting or purporting to act on behalf of the party to whom these interrogatories are addressed. You must make inquiries of your agents,employees,etc.,whenever such inquiry is necessary to enable you to answer these interrogatories completely and accurately. C. When,after a reasonable and thorough investigation,you are unable to answer any interrogatory,or any part thereof,because of lack of information available to you,specify in full and complete detail the reason the information is not available to you and what has been done to locate such information. In addition,specify what knowledge or belief you have concerning the unanswered portion of the interrogatory and set forth the facts upon which such knowledge or belief is based. d. Where an interrogatory does not specifically request a particular fact,but where such fact or facts are necessary to make the answer to the interrogatory either comprehensible,or complete,or not misleading,you are requested to include such fact or facts as part of the answer, and the interrogatory shall be deemed specifically to request such fact or facts. e. If,in answering these interrogatories,you encounter an ambiguity in a question, instruction,or definition, set forth the matter deemed ambiguous and the interpretation you used in answering. f. If you assert a privilege,work product immunity, or decline to provide an answer on the basis of some other objection,please: i. identify and describe the document or communication in question; ii. describe the basis for the asserted privilege or objection; iii. identify every person to whom the document was sent,or every person present when the communication was made;and iv. identify the present custodian of the document,if any. 2 Include sufficient facts for the court to make a full determination of whether the claim or objection is valid. g. The pronoun"you"refers to the party to whom these interrogatories are addressed,the party's agents,representatives and,unless privileged,the party's attorneys. Additionally,the pronoun"you"refers to each parent,predecessor,subsidiary,affiliate,and each present and former officer,employee,agent,representative,and attorney of a corporate or other business entity. h. The word"person"means any natural individual in any capacity whatsoever or any entity or organization,including divisions,departments,or other units therein,and shall include,without limitation, a public or private corporation,partnership,joint venture,voluntary unincorporated association,organization,proprietorship,trust,state, government agency, commission,bureau, or department. L The term"document"means any medium in which information or intelligence can be recorded or retrieved,and includes,without limitation,the original or copy,regardless of origin and location,of any book,pamphlet,periodical,letter memorandum,(including any memorandum or report of a meeting or conversation), invoice,bill,order,form,receipt,financial statement,accounting entry,diary,calendar,telex,telegram,cable,report,record,contract, study,handwritten note, draft,working paper,chart,paper,print,laboratory record,drawing sketch,graph, index,list,tape,photograph,microfilm,data sheet,electronically stored data,or data processing card,or any other written,recorded,transcribed,punched,taped,filmed,or graphic matter,however produced or reproduced, which is or was in your possession,custody or control. 3 j. The term"communication'means any oral or written utterance,notation,or statement of any nature whatsoever between or among two or more persons,by or to whomsoever made,and including without limitation correspondence,documents,conversations, dialogues,discussions,interviews,consultations,agreements,and other understandings. k. The word"identify"or words of similar import,when used in reference to: i. a natural individual,requires you to state his or her full name,and present or last know residential address,business address,and telephone number; ii. a corporation,requires you to state its full corporate name,and any names under which it does business, its state of incorporation,the address and telephone number of its principal place of business and the address and telephone number(s)of all its officers; iii. a business other than a corporation requires you to state the full name or style under which the business is conducted,its business addresses,its telephone numbers;and the identity of the persons who own,operate,and control the business; iv. a document,requires you to state its title,its date,the names of its authors and recipients,and its present or last known location and custodian, including any documents prepared subsequent to any time period;and V. a communication,requires you,if any part of the communication was written,to identify the documents which refer to or evidence the communication, and, if any part of the communication was non-written,to identify the person participating in or otherwise present during all or part of the communication,and describe the substance thereof. 4 1. When an interrogatory requires you to"describe,"to"state the basis"of'or to "state the facts"on which you rely to support a particular claim, contention,or allegation,state in your answer each and every fact and identify each and every communication or document which you contend supports,refers to,or evidences such claim,contention,or allegation. When an interrogatory requires you otherwise to describe or state the facts relating to any particular set of circumstances,act,event,transaction, occurrence,meeting,purchase,sale,agreement,contract, venture,relationship,conversation,representation,communication,or other item of information, state briefly in your answer the facts(including dates and places)relating to such transaction, occurrence,relationship,set of circumstances,etc.;identify any persons who are or were parties thereto or have knowledge thereof;and identify any communications and documents relating to or evidencing such transaction,occurrence,relationship,or set of circumstances. 5 INTERROGATORIES 1. Identify all the documents)in your possession or control that are related in any way to the Plaintiffs or Prudential Skandia Annuity No.E0439463. ANSWER: 2. Identify the agent,employee or control person of Prudential Annuities (hereinafter"Defendant Prudential"),or subsidiary company or associated company,who serviced the account of the Plaintiffs during the period from January 2005 through January 2013. ANSWER: 3. Identify the agent, employee or control person of Defendant Prudential,or subsidiary company or associated company,who discussed with,or described to the Plaintiffs the features,characteristics,pros and cons of the American Skandia Annuity No. E0439463. ANSWER: 6 4. Identify the specific document or documents that reflect the basis upon which your agent,employee or control person.concluded that American Skandia Annuity No. E0439463 was suitable for the Plaintiffs. ANSWER: 5. Identify all individuals who provided supervision with respect to the Plaintiffs' account(s)and with respect to each agent and/or employee associated with the Plaintiffs' account(s). ANSWER: 6. Identify all salespersons, agents and all managers and supervisors of Defendant Prudential,and as well as and any other employee or agent involved with the Plaintiffs' account(s)at any time from January 2005 through January 2013. ANSWER: 7. Provide a copy of any compliance manual, compliance desktop reference,and branch office managers' compliance manual and compliance supplements or bulletins(or similar 7 notices)together with the entire table of contents and any index for each such document existing during the period from January 2005 through January 2013. ANSWER: Respectfully submitted, PECHT&ASSOCIATES,P.C. Dated: June 11,2013 By: Ro ` er,Esquire Alto ey I.D.No. 32594 650 North Twelfth Street, Suite 100 Lemoyne,PA 17043 (717)691-9809 rbleecher @pechtlaw.com Attorneys for Plaintiffs 8 e. RICHARD L.JOHNS and : IN THE COURT OF COMMON PLEAS JOAN T.JOHNS, : CUMBERLAND COUNTY,PENNSYLVANIA Plaintiffs V. : CIVIL ACTION-LAW : NO.2013-3223 PRUDENTIAL ANNUITIES and FULTON FINANCIAL ADVISORS,INC., Defendants pLAEVIWS,FIRST REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT PRUDENTIAL ANNUITIES TO: Prudential Annuities I Corporate Drive Shelton,CT 06484 In accordance with Pa. R.C.P.4003.1,please furnish at our office within thirty(30)days from service hereof,a photostatic copy or like reproduction of the following matters concerning the above-captioned action or its subject matter,or in the alternative,produce the said materials within said time to permit inspection and copying thereof. Requests for documents include request for copies of email or other electronic communications: 1. Each and every document which you have identified in your answers to Plaintiffs' Interrogatories to Defendants. 2. Provide a copy of any compliance manual;compliance desktop reference,and branch office managers' compliance manual and compliance supplements or bulletins(or similar notices)together with the entire table of contents and any index for each such document existing during the period from January 2005 through January 2013. C 3. Provide a copy of additional documents sufficient to show the organizational structure and supervisory chain of command for oversight of the Plaintiffs' account(s)and the way in which the duties of supervision were delegated. 4. Provide a copy of all documents establishing and/or evidencing the relationship between Defendant Fulton and Defendant Prudential,including but not limited to,the financial compensation arrangement. Respectfully submitted, PECHT&ASSOCIATES,P.C. Dated: June 11,2013 By: Roometeher,Esquire Attorney I.D.No. 32594 650 North Twelfth Street,Suite 100 Lemoyne,PA 17043 (717)691-9809 rbleecher @pechtlaw.com Attorneys for Plaintiffs r � / i `� / � I 1 t � i E0439463,FC E-AC Winner af the DALBAR ANNUITY Prudential .1 SERVICE AWARD ,Raw *2006 through 2012 Annuities Service P.O.Box 13467 Page I of 5 Philadelphia,PA 19176 Advanced Series Advisors Plan III Annuity Statement April 01,2013 through June 30,2013 >09596 2496274 001 092001 Financial Professional: WILLIAM J. PARKER NATIONAL PLANNING CORP RICHARD L.JOHNS 4200 CRUMS MILL RD 4075 BULL RD 2ND FLOOR DOVER, PA 17315 HARRISBURG, PA 17112 Contract Number: E0439463 Type: IRA Contract Issue Date: 12/13/2005 Owner Name(s): Richard L.Johns Annuity Date: 06/01/2031 Annuitant: Richard L.Johns Please review your statement and contact us within 30 days if you find any information you believe to be inaccurate. The living or death benefit values you have are provided in the"Your Benefits"section of this statement. If you do not see a benefit that you selected,please contact us. Your Portfolio n e "Contract Fees and Charges"reflects certain fees and Your Annuity Activity 0 Year-to-Date charges imposed as of this statement date,including but -- 1� '-�� Beginning Account Value XII 684 tS $134,460.70 not limited to Contingent Deferred Sales Charge(CDSC), Purchase Payments .00 transfer fees,annual maintenance fees,or if applicable or Withdrawals 9- ($4,008.18) imposed during the period covered by this statement,other benefit fees or charges. It does not reflect contract fees Contract Fees and Charges* •00 that are included in the daily calculation of the unit price Investment Performance $4,705.16 of the applicable portfolios. Those are reflected in the Ending Account Value" values provided under"Portfolio Detail". Please refer to $135,157.68 your annuity prospectus for information regarding those fees. **"Ending Account Value" is your value prior to the application of any Surrender Charge(CDSC),Market Value Adjustment(MVA)and any Other Fees and Charges that may be applicable to your annuity contract. Your Benefits Lifetime Five Annual Income Amount $8,1116 30 Annual Withdrawal Amount Annual Income Amount(5%Lifetime Income) With your first withdrawal,you have exercised the Lifetime Five benefit. As a result,your Protected Withdrawal Value will generate an. Annual Income Amount equal to$8,016.30 for life. If you do not exceed your Annual Income Amount in any given year,your guaranteed lifetime income will never be less than$8,016.30. Please note that as of 06/30/2013 your remaining Annual Income Amount for the current contract year is$4,008.12.Please refer to the prospectus for more information on how this benefit works. Annuities Service Center: (888)778-2888 Website:www.prudentialannuities.com Hours:Mon-Thurs 8 AM to 7 PM ET, Fri 8 AM to 6 PM ET Join the e-Movement. Enroll in e-Delivery todayl Agent ID#BQ6 1BF Office#ZAAXD 2496274 09596 E0439463 I E0439463,FC Contract Number: E0439463 Page 2 of 5 Your Benefits [continued] Annual Withdrawal Amount(7% Return of Principal) With your first withdrawal,you are also eligible to receive income payments under the Annual Withdrawal Amount option of Lifetime Five. As a result your Protected Withdrawal Value will generate an Annual Withdrawal Amount of$13,884.17 for a period of at least 14.2 years or until the remaining Protected Withdrawal Value has been received(assuming no additional withdrawals in excess of 7%were taken). Please note that as of 06/30/2013 your remaining Annual Withdrawal Amount for the current contract year is$9,875.99.Please refer to the prospectus for more information on how this benefit works. Annuity Death Benefit(Net) $135,157.68 The Annuity Death Benefit amount shown above is the greatest of all applicable death benefits on your contract as of this statement date. This value may fluctuate and may be affected by any ownership or annuitant changes on your contract. The Annuity Death Benefit,shown as a Net amount,does not reflect any Purchase Credits subject to recapture,if applicable,according to state and product limitations. If the Annuity contract is owned by more than one individual,the Annuity Death Benefit shown is based on the oldest designated Owner. If the Annuity is owned by an entity,the Annuity Death Benefit shown is based on the designated Annuitant. For more information on specific scenarios and how benefit values are calculated,please review the terms and conditions detailed in your contract and/or prospectus. Portfolio Detail INVESTMENTS VARIABLE TOTAL INVESTMENT VALUE* As of June 30,2013 $135,157.68 $135,157.68 As of March 31,2013 $138,681.25 $138,681.25 * "Total Investment Value"reflects all charges that have been imposed,as of this statement date,but does not include charges that may be imposed in the future. As of June 30,2013 As of March 31,2013 Variable Investments #of Units Unit Price Portfolio Value #of Units Unit Price Portfolio Value Asset Alloc: AST Balanced Asset Allocation 7,924.55245 12.16070 $96,368.10 8,039.53814 12.22801 $98,307.55 AST RCM World Trends 3,877.02714 10.00498 $38,789.58 3,933.27588 10.26465 $40,373.70 Total Variable Investments $135,157.68 $138,681.25 Withdrawals made prior to the statement date are reflected in the values shown above.The Maturity Date is the end of your Guarantee Period.The surrender value may change daily to reflect the investment performance of the Sub-Accounts in which you are invested and fluctuations in our current fixed rates.Our current fixed rates are sensitive to interest rate fluctuations in the market. Standard Address:Annuities Service, P.O.Box 7960, Philadelphia, PA 19176 Fax Number:(800)207-7806 Overnight Address:Annuities Service,2101 Welsh Road, Dresher, PA 19025 92001A2013SUMMER E0439463.FC Contract Number: E0439463 Page 3 of 5 Investment Transaction Activity April 01,2013 through June 30,2013 Transaction Investments #of Units/ Unit Price/ Value/ Date Unadjusted Account Value MVA Account Value 04/09/2013 Transaction Type: Systematic Withdrawal The following amounts were withheld for taxes and/or deducted for applicable surrender charges from the total amount shown below: Federal Tax:($133.61) State Tax:$0.00 Surrender Charge: $0.00 AST Balanced Asset Allocation (38.77196) 12.21063 ($473.43) AST RCM World Trends (18.96991) 10.25835 ($194.60) Transaction Total: ($668.03) 05/09/2013 Transaction Type: Systematic Withdrawal The following amounts were withheld for taxes and/or deducted for applicable surrender charges from the total amount shown below: Federal Tax:($133.61) State Tax: $0.00 Surrender Charge: $0.00 AST Balanced Asset Allocation (37.91782) 12.53685 ($475.37) AST RCM World Trends (18.54792) 10.38715 ($192.66) Transaction Total: ($668.03) 06/10/2013 Transaction Type: Systematic Withdrawal The following amounts were withheld for taxes and/or deducted for applicable surrender charges from the total amount shown below: Federal Tax:($133.61) State Tax: $0.00 Surrender Charge: $0.00 AST Balanced Asset Allocation (38.29591) 12.43762 ($476.31) AST RCM World Trends (18.73091) 10.23549 ($191.72) Transaction Total: ($668.03) Transactions in your variable annuity contract are priced at the end of the business day(generally 4 p.m.Eastern time)on the day the transaction was processed. Additional Information About Your Annuity ACCOUNT SUMMARY VALUES - Since Issue Date 12/13/2005 Total Purchase Payments $214,49339 "Total Purchase Payments"reflects the total Total Withdrawals ($124,358.18) contributions you have made. "Total Withdrawals" reflects the sum of all amounts you have requested. Neither includes increases to or deductions from your Account Value due to the performance of the applicable portfolios or the application of any fees or charges.See page 1 for Account Value information. Annuities Service Center: (888)778-2888 Website:www.prudentialannuities.com Hours: Mon-Thurs 8 AM to 7 PM ET, Fri 8 AM to 6 PM ET Join the e-Movement.Enroll in e-Delivery today! 2496274 09596 E0439463 E0439463,FC Contract Number: E0439463 Page 4 of 5 Additional Information About Your Annuity [continued] SURRENDER VALUE INFORMATION Surrender Value as of March 31,2013 $134,391.38 "Surrender Value"is the value of your Annuity that Account Value as of June 30,2013 $135,157.68 would have been available if you had surrendered this contract effective as of this statement date.It equals the Surrender Charge(CDSC) ($4,289.87) "Account Value"for the current period,less any applicable Surrender Value as of June 30,2013 $130,867.81 fees and charges and any other adjustments as shown here. Depending on your contract,the charges and adjustments include,but are not limited to:Contingent Deferred Sales Charge(CDSC),MVA,and other miscellaneous fees, applicable recaptured bonus,any charges due for optional benefits provided by rider or endorsement,any applicable maintenance fee and any applicable Credits recoverable The Surrender Value shown on this statement may increase or upon surrender. decrease prior to your next statement. PRIMARY BENEFICIARY INFORMATION Joan T. Johns Complete beneficiary information includes name, address,phone number,social security number and date of birth. If you would like to update your beneficiary information,please contact the Annuities Service Center at the phone number provided on this statement. SPECIAL PROGRAM DETAILS Systematic Withdrawals Some special programs may not be available due to Monthly Systematic Withdrawal of$668.03 age requirements,minimum account value or other optional programs selected. Important Disclosures You have the right to elect not to have Federal or State Income Tax Withholding apply to distributions. You may make this election at the time you request a distribution by completing our withdrawal forms. Please note: if you have already made a withholding election,it will remain effective until revoked and no action is necessary. If you would like to make changes to your current tax withholding selections, please contact our Annuities Service Center. You may wish to talk with your tax adviser regarding whether you should elect to have income taxes withheld from your payments. Because each situation is unique,neither we nor our representatives can provide tax advice. Your annuity may offer some additional features or benefits that are available to you. Please think about your personal situation,and contact your financial professional for additional information and details. For ease of reference,we use a single set of defined terms in this statement.In certain cases,your contract may use a different name for a contract feature than what is used in this statement. Investment performance depicts the change in your contract's value during the period covered by this report due to gains or losses in your variable sub-accounts and any interest you earned in a fixed allocation option.It is shown net of all applicable charges as disclosed in your contract prospectus. Past performance does not guarantee future results. Standard Address:Annuities Service, P.O.Box 7960, Philadelphia, PA 19176 Fax Number:(800)207-7806 Overnight Address:Annuities Service,2101 Welsh Road, Dresher, PA 19025 E0439463,FC Contract Number: E0439463 Page 5 of 5 Important Disclosures [continued] Annuity issued by Prudential Annuities Life Assurance Corporation and distributed by Prudential Annuities Distributors,Inc.,both Prudential Financial Inc., companies located in Shelton,CT. Prudential Annuities Distributors,Inc.is not a member of SIPC. Prudential Annuities Life Assurance Corporation is solely responsible for its financial condition and contractual obligations.The third party broker/dealcr identified on the top of page one of this statement,on whose behalf this confirmation statement is being issued,is the sclling broker/dealcr,and acted as agent in the transaction(s)listed above. For information on that broker-dealer's membership in SIPC,please contact that broker-dealer. Annuities Service Center: (888)778-2888 Website:www.prudentialannuities.com Hours:Mon-Thurs 8 AM to 7 PM ET, Fri 8 AM to 6 PM ET Join the e-Movement.Enroll in e-Delivery todayl � \ e 1 Barbara Meyer American. Senior Customer Service Associate Skandia American Skandia Life Assurance Corporation A Prodililiftl 011012"it'll(-')Inflan�y A Prudential Financial company Annuity Services P 0 Box 7960 Philadelphia,PA 19176 (800)752-6342 www.amedcanskandia.prudential.com MAURA K MCKELVEY Client:Richard L. Johns 19NSHAW&CULBERTSON LLP Contract Number: E0435215 ONE INTERNATIONAL PLACE 3p"'FLOOR E0439463 BOSTON MA 02110 NASD 9: 06-00636 November 13, 2006 Dear Ms.McKelvey: This letter is in response to the Subpoena for Production of Documents sent to American Skandia Life Assurance Corporation dated October 27,2006. Pursuant to our conversation of November 13,2006,the prospectus,duplicate contracts and copies of the telephone recordings are not enclosed for either contract E0435215 or contract E0439463. Richard L. Johns purchased non-qualified American Skandia Advisors Plan III contract E0435215 on November 29. 2005 and American Skandia Advisors Plan M—IRA contract E0439463 on December 13,2005. Please find enclosed documents responsive to the Subpoena: ❑ Account Applications ❑ Account Statements ❑ Confirmations ❑ Notes ❑ Correspondence Additionally,no annuity contracts were found for Joan T. Johns and Richard L. Johns as joint tenants. If you have any questions,please call American Skandia Customer Service at(800)752-6342, We are available Monday through Thursday, 8:00 a.m. to 7:00 p.m.Eastern Time,and Friday between 8:00 a.m. and 6:00 p.m.Eastern Time. Sincerely, Barbara Meyer Senior Customer Service Associate Registered Representative Enclosures Registered Representative American Skandia Mariteting,Inc,and American Skandia Life Assurance Corporation are Prudential Financial companies. American Skandia Marketing,in, American Skandia Life Assurance Corporation is solely responsible for its financial condition and contractual obligations. A Prudential Financial company One Corporate Drive Shelton,CT 06484-0883 t PECHT&ASSOCIATES,PC Suite 200 1205 Manor Drive Mechanicsburg,PA 17055 , 1 Wayne M.Pecht Telephone: 717-691-9809 Member of California Bar Farr: 717-691-2070 CPNLLM in Taxation rbleecher@pechtlaw.com www.pechtlaw.com 1 Rob Bleecher i I March 11, 2013 1' r Prudential Annuities Formerl American American Skandia Life Assurance Corporation I Annuities(Formerly Skandia Life Assurance Corporation) P.0 Box 7960 1 Corporate Drive. Philadelphia, PA 19176 11 Shelton, CT 06484 Re: Richard and Joan Johns Annuity Contract No.E0439463 To Whom It May Concern. I am writing on behalf of Richard and Joan Johns who are policy holders.of.yours. Mr. and Mrs_ Johns have, asked me to assist them in resolving. whai . appears to be a misunderstanding regarding this policy Specifically, they were under the'impresslo'n that the annuity that they purchased was to pay monthly payouts to them for the life of both Mr and Mrs. Johns. They subsequently had conversations with their financial advisors and a representative of your company and received conflicting statements. I am; f� therefore, hoping that you can assist me in resolving several questions. The first question is whether this policy is a policy that will pay a monthly payment to t i! Richard Johns for his life and then, upon his death, will pay a monthly payment to Mrs. I, Johns for the remainder of her life. If this is an incorrect statement, please explain in what way it is incorrect. Secondly, please identify the Prudential person or persons who spoke on the phone with Mr and Mrs, Johns on or about October 24, 2011. I understand*William Parker and/or . j Elizabeth Johnides of Grandview Asset Management were also present for that phone call. In addition, please explain, why the monthly withdrawal rate from this annuity has declined from $1,305 per month in 2007 down to $534.42 per month'.currently _ From what.I am able to determine from the Johns' records, A appears that-on Ior about November 30, 2005 they transferred a total 6f'$215,698.02 from Belco Credit Union to a Fulton Financial Advisors, 589' North 12th Street, Lemoyne, Pennsylvania 17043. . Subsequently, on, or about December 13, 2005, on the advice of Greg Mahn of Fulton Financial Advisors, an annuity (No. E0439463) was purchased from American Scandia, a Prudential Annuities American Skandia Life Assurance Corporation March 11, 2013 Page 2 Prudential financial company Then on or about March 12, 2007, the Johns transferred their account from Fulton Financial Advisors to Grandview Asset Management M Harrisburg, Pennsylvania. I understand this annuity moved with the Johns from Fulton Advisors to GrandView Asset Management. I would appreciate your providing me with the information I have requested, Please respond to me by March 27, 2013. If I do not hear from you by that tune, I will assume you have no interest in discussing this matter with me and I will advise the Johns to take whatever other avenues are available to them, including litigation, FINRA arbitration, and referral to the Pennsylvania Insurance Department. is t ' Very truly yours, PECHT&Xleecher, ES, PC I By' Rob quire RB/dlf cc, Richard and Joan Johns i �I i I IC2 { Prudential Annuities A Business of Prudential Financial,Inc. P.O.Box 7960 Prudential Philadelphia,PA 19176 (888)778-2888 April 19,2013 PECHT&ASSOCIATES PC Contract Owner: Richard L.Johns ATTN: ROB BLEECBER,ESQUIRE Contract Number: E0439463 SUITE 200 1205 MANOR DRIVE MECHANICSBURG PA 17055 Dear Mr. Bleecher: I I am responding to your April 4,2013 correspondence concerning the above referenced annuity contract. Thank you for providing authorization from Richard L. Johns permitting us to release information to you. I apologize for our delayed response. In accordance with your March 11, 2013 letter,we are providing the following information to address your concerns. This Advanced,Series Advisors Plan III contract was issued on December 13, 2005 with qualified transfer proceeds totaling$214,493.39 from Prime Vest Financial Services. Richard L. Johns is the owner/annuitant. Mr. Johns elected the Lifetime 5 living benefit. The Lifetime Five benefit guarantees both a withdrawal option and an income option for the investor. The withdrawal option guarantees the investor can withdraw an amount,referred to as the Annual Withdrawal Amount,each year until the cumulative withdrawals reach the total of the Protected Withdrawal Value. The income option guarantees that the investor can withdraw an amount,referred to as the Annual Income Amount,each year for the annuitant's life. The amount initially guaranteed under each option is equal to a percentage of the initial Protected Withdrawal Value,which is equal to the greatest of three values: 1) The Account Value on the date of the first withdrawal,prior to the withdrawal, 2) The Account Value on the effective date of the benefit,growing at 5%per year from the effective date until the date of the first withdrawal or the 10th anniversary of the benefit effective date,whichever comes first,plus all Adjusted Premiums contributed to the contract,each growing at 5%per year from the date that they are contributed up to and including the date of the first withdrawal or the 10th anniversary of the benefit effective date,whichever comes first. 3) The highest Account Value on each of the first 10 contract anniversaries after the benefit effective date or on each contract anniversary prior to the first withdrawal if the first withdrawal occurs prior to the 10th contract anniversary after the benefit effective date,where each value is increased by the amount of any additional Adjusted Premium that comes in after the anniversary. I The initial Annual Withdrawal Amount is equal to 7%of the initial Protected Withdrawal Value. The initial Annual Income Amount is equal to 5%of the initial Protected Withdrawal Value. Additional Fixed and variable annuities are issued by Prudential Annuities Life Assurance Corporation.Annuities are distributed by Prudential Annuities Distributors Inc.Both are Prudential Financial companies located in Shelton,CT and each is solely responsible for its own financial condition and contractual obligations. premiums after the date of the first withdrawal increase the Protected Withdrawal Value by the amount of the Adjusted Premium, increase the Annual Withdrawal Amount by 7%of the amount of the Adjusted Premium, and increase the Annual Income Amount by 5%of the amount of the Adjusted Premium. Cumulative withdrawals within,a contract year reduce the remaining available Annual Withdrawal Amount and Annual Income Amount for each year, and reduce the Protected Withdrawal Value,all by the amount of the withdrawal. The amount of any withdrawal that exceeds the remaining annual income amount for any contract year reduces the remaining available annual income amount for that contract year to zero, and reduces the annual income amount for future years proportionally by the ratio of the excess withdrawal to the account value immediately prior to the amount of the excess withdrawal being taken. t This is not a spousal benefit. Upon the death of Richard L. Johns,the benefit terminates. As of March 31, 2013 the Annual Income Amount(AIA)totaled $8,016.30 for life. If Mr. Johns does not exceed the AIA in any given year,the guaranteed lifetime income will never be less than$8,016.30. At issue the monthly Automated Withdrawal program was elected with a monthly net payment of$1,305.00. On December 21, 2012,financial professional William J.Parker contacted the service center and instructed us to cancel the automated withdrawal program. On December 21,2012 we received a Systematic Withdrawal Enrollment Form instructing us to start monthly withdrawals based on the Annual Income Amount(AIA)of $668.03 minus withholding for a net payment of$534.42. This withdrawal program was effective with the monthly payment beginning January 9,2013. Financial professional William J. Parker is affiliated with National Planning Corporation,Harrisburg PA 17112. f We are unable to provide you with the person or persons who spoke with Mr. and Mrs. Johns on October 24,2011 without a Subpoena. The purpose of this letter is not to provide a complete explanation of all of your contract terns and benefits. Please review the contract and prospectus for additional details regarding the benefits under the contract. In addition,this letter is not intended to amend or alter any provisions of the contract and it is not a supplement to the prospectus or Statement of Additional information(SAI). If any information presented in this letter is interpreted to conflict with the terms of the contract,prospectus or SAI,the terms of those documents shall control. I hope you find this information helpful. If you have questions,please contact our Annuity Service Center at(888)778-2888. Representatives are available to assist you Monday through Thursday between 8:00 a.m. and 7:00 p.m., and Friday between 8:00 a.m. and 6:00 p.m. Eastern Time. Sincerely, Barbara Meyer Senior Customer Relations Representative c. Richard L. Johns RICHARD L. JOHNS and IN THE COURT OF COMMON PLEAS JOAN T. JOHNS, CUMBERLAND COUNTY, PENNSYLVANIA Plaintiffs, VS. CIVIL ACTION - LAW PRUDENTIAL ANNUITIES and NO. 2013-3223 FULTON FINANCIAL ADVISORS, INC., CERTIFICATION OF SERVICE Defendants. I hereby certify that on August 14, 2013, Defendants, Prudential Annuities Life Assurance Corporation's (improperly pleaded as Prudential Annuities) Motion for Protective Order Relating to Pre-Complaint Discovery with Exhibits A through G, Proposed form of Order and Certification of Service were served via Federal Express upon the Clerk of the Court of Common Pleas, Cumberland County, 1 Courthouse Square— Suite 100, Carlisle, PA 17013 and were served upon the following in the manner indicated below: VIA FEDERAL EXPRESS Rob Bleecher, Esq. 650 North Twelfth Street, Suite 100 ; Lemoyne, PA 17043 Attorney for Plaintiffs, Richard L. Johns and CZ ter;A Joan T. Johns `"'� i P--.Zr Cf7 CD .? Elizabeth Luening Long Esq. §CC-3 Z-7.- C.-)- Buchanan Ingersoll &Rooney, P.C. c,r Two Liberty Place , , 50S. 16`h Street, Suite 3200 Philadelphia, PA 19102 Attorneys for Defendant, Fulton Financial Advisors, Inc. Dated: August 14, 2013 By: /�'•J/'! yn 45il DiLasfio Malyk(PA# 589) RICHARD L. JOHNS and : IN THE COURT OF COMMON PLEAS JOAN T. JOHNS, : CUMBERLAND COUNTY, PENNSYLVANIA Plaintiffs V. : CIVIL ACTION-LAW : NO. 2013-3223 s PRUDENTIAL ANNUITIES, v. and FULTON FINANCIAL , Y ADVISORS, INC., and i- CETERA INVESTMENT SERVICES LLC, �S Defendants PRAECIPE FOR AMENDED WRIT OF SUMMONS TO THE PROTHONOTARY OF CUMBERLAND COUNTY, PENNSYLVANIA: Please issue a Writ of Summons in the above-captioned action: Writ of Summons shall be issued and forwarded to (X) Attorney ( ) Sheriff: Cetera Investment Services LLC 400 First Street, S. Suite 300 St. Cloud, MN 56302 Date: August 15, 2013 By: Rob 1 r, Esquire Attorney ID No. 32594 Pecht& Associates, P.C. 650 North Twelfth Street, Suite 100 Lemoyne, PA 17043 (717) 691-9809 Attorneys for Plaintiffs RICHARD L. JOHNS and : IN THE COURT OF COMMON PLEAS JOAN T. JOHNS, : CUMBERLAND COUNTY, PENNSYLVANIA Plaintiffs V. : CIVIL ACTION - LAW NO. 2013-3223 PRUDENTIAL ANNUITIES, and FULTON FINANCIAL ADVISORS, INC., and CETERA INVESTMENT SERVICES LLC, . Defendants AMENDED WRIT OF SUMMONS TO THE ABOVE NAMED DEFENDANT: Cetera Investment Services LLC 400 First Street, S. Suite 300 St. Cloud, MN 56302 YOU ARE NOTIFIED THAT THE ABOVE-NAMED PLAINTIFFS HAVE COMMENCED AN ACTION AGAINST YOU. 1 David D. Buell, Prothonotary Date: August 1�, 2013 By Deputy Pecht&Associates, P.C. By: Rob Bleecher, Esquire Attorney ID No. 32594 Attorneys for Plaintiffs RICHARD L. JOHNS AND IN THE COURT OF COMMON PLEAS OF JOAN T. JOHNS, CUMBERLAND COUNTY, PENNSYLVANIA PLAINTIFFS rn Co x. rn �E;�o , PRUDENTIAL ANNUITIES AND wr- rl*.) to FULTON FINANCIAL ADVISORS, r-Z: INC., C J DEFENDANTS NO. 13-3223 CIVIL 2:6 IN RE: PRE-COMPLAINT DISCOVERY ORDER OF COURT AND NOW, this 23d day of August, 2013, upon consideration of the Defendants' Motion for Protective Order Relating to Pre-Complaint Discovery; IT IS HEREBY ORDERED AND DIRECTED that: 1. A Rule shall issue upon the Plaintiff to show cause why the Defendants' Motion should not be granted; 2. The Plaintiffs shall file an Answer to the Motion on or before September 20, 2013; 3. Argument/hearing in the matter will be held on Friday, September 27, 2013, at 2:30 p.m. in Courtroom No. 2 of the Cumberland County Courthouse, Carlisle, Pennsylvania. By the Court, M. L. Ebert, Jr., Rob Bleecher, Esquire Attorney for Plaintiffs r Jaclyn DiLascio Malyk, Esquire Attorney for Prudential ✓Elizabeth Luening Long, Esquire Rob Bleecher,Esquire Attorney I.D.No. 32594 } { -';r Pecht&Associates, P.C. ' ,f� J:1 650 North Twelfth Street, Suite 100 -j 1 r���Ib �' Lemoyne,PA 17043 E3r-�L i (717)691-9809 rl1RJC y A IN RICHARD L. JOHNS and IN THE COURT OF COMMON PLEAS JOAN T. JOHNS, CUMBERLAND COUNTY, PENNSYLVANIA Plaintiffs V. : CIVIL ACTION - LAW NO. 2013-3223 PRUDENTIAL ANNUITIES, and FULTON FINANCIAL ADVISORS,INC., and CETERA INVESTMENT SERVICES LLC, Defendants PROOF OF SERVICE I hereby affirm that I served the Amended Writ of Summons on Defendant Prudential Annuities by U.S. First Class, Priority Mail—Signature Confirmation, addressed as follows: Cetera Investment Services LLC 400 First Street, S. Suite 300 St. Cloud, MN 56302 Copies of the PS Form 153 (Signature Confirmation Receipt), letter from USPS with scanned image of the recipient's signature, and the USPS Track & Confirm page are attached hereto and marked as Exhibits "A". Respectfully submitted, PECHT & S IATES, P.C. Dated: August 23, 2013 By: RoVBl cher, Esquire Atlorn o. 32594 650 North Twelfth Street, Suite 100 Lemoyne, PA 17043 (717) 691-9809 Attorney for Plaintiffs EXHIBIT "A" USPS.comg- Track& Confirm Page 1 of 1 English Customer Service USPS Mobile Register/Sign In Ai USPS C Search USPS.eom or Track Packages Quick Tools Track"Confirm Ship a Package Send Mail Manage Your Mail Shop Business Solutions Enter up to 10 Tracking h Find Find USPS Locations Buy Stamps � y R Confirm GYr\ Find a ZIP Code- Hold Mail Change of Address GET EMAIL UPDATES PRINT DETAILS I YOUR LABEL NUMBER SERVICE STATUS OF YOUR REM DATE&TIME LOCATION FEATURES 23130740000036693296 Delivered August 22,2013,10:23 am SAINT CLOUD,MN 56302 Signature Confirmation- . Proof of Delivery Processed through ;August 22,2013,5:07 am WAITE PARK,MN 56387 USPS Sort Facility Depart USPS Sort !August 22,2013 WAITE PARK,MN 56387 Facility Processed through August 21,2013,9:16 pm SAINT PAUL,MN 55121 USPS Sort Facility t Depart USPS Sort .August 21,2013 PHILADELPHIA,PA 19116 Facility I Processed at USPS August 21,2013,2:12 am PHILADELPHIA,PA 19116 Origin Sort Facility Dispatched to Sort August 20,2013,5:00 pm •LEMOYNE,PA 17043 Facility Acceptance August 20,2013,12:20 pm ;LEMOYNE,PA 17043 t I or Postage and Signature Confirmation fees must be paid before mailing_ _ _ .77 w rU � StY 'tes>Eeiifetadts�ta1' r} z ca M I TIE 30 Q z rr „ , Z. UT.USPS.COM OTHER USPS SITES 9- -,.,c�.y.._:, „�=.,.Y� - - _._o-,.,�„�_ .=,Y j,' SPS Home t Business Customer Gateway) C(!S'1'OMEW m> Postal Inspectors> C3 o� OR vilnsaa C arvice Alerts l Inspector General r Z ,� lceipt.For Inquiries: Publica0ons, Postal Explorer met web site at � o � t o � P cam'at 04 r�- o °[�x+ranv -8 -222-1811 `) - Maif"Service �• h Cr1 U3 •Class Malepamell i -- ru _ ��PackageServkesparcei �-. -P https://tools-uses-com/go/TrackConfin Action►input.action?tLabels=23130740000036693... 8/22/2013 92UNITED STATES POSTAL SERVICE, Date: August 22, 2013 Denise Fahringer: The following is in response to your August 22, 2013 request for delivery information on your Signature Confirmation TM item number 23130740000036693296. The delivery record shows that this item was delivered on August 22, 2013 at 10:23 am in SAINT CLOUD, MN 56302 to S WARREN. The scanned image of the recipient information is provided below. Signature of Recipient : Address of Recipient f7 Thank you for selecting the Postal Service for your mailing needs. If you require additional assistance, please contact your local Post Office or postal representative. Sincerely, United States Postal Service CERTIFICATE OF SERVICE I, Rob Bleecher, Esquire, the attorney for Plaintiffs, hereby certify that I have served the foregoing Proof of Service this date by depositing a true and correct copy of the same in the United States mail, first-class postage prepaid, addressed as follows: Cetera Investment Services LLC 400 First Street, S. Suite 300 St. Cloud, MN 56302 Dated: August 23, 2013 By: Ro eecher, Esquire Rob Bleecher,Esquire Attorney I.D.No. 32594 Pecht&Associates,P.C. 650 North Twelfth Street, Suite 100 Lemoyne,PA 17043 (717)691-9809 RICHARD L. JOHNS and : IN THE COURT OF COMMON PLEAS JOAN T. JOHNS, : CUMBERLAND COUNTY, PENNSYLVANIA Plaintiffs V. : CIVIL ACTION - LAW : NO. 2013-3223 , PRUDENTIAL ANNUITIES, and FULTON FINANCIAL ' cnr- ADVISORS, INC., -<> crn and <� CETERA INVESTMENT SERVICES LLC, Cz Defendants RESPONSE TO MOTION OF PRUDENTIAL ANNUITIES LIFE ASSURANCE CORPORATION FOR PROTECTIVE ORDER RELATING TO PRE-COMPLAINT DISCOVERY AND NOW, come Plaintiffs, by and through their counsel, Pecht & Associates, P.C., and respond to Defendant Prudential Annuities Life Assurance Corporation's (hereinafter "Defendant PALAC") Motion for Protective Order Relating to Pre-Complaint Discovery as follows: 1. Admitted. 2. Admitted. 3. Admitted. 4. After reasonable investigation, Plaintiffs are without sufficient knowledge or information as to the truth or falsity of this statement and as such is denied. 5. No response is required. 6. Admitted in part, denied in part. It is admitted that the aforesaid annuity products appear to have been purchased by the Plaintiffs. It is unknown whether said purchases are the only connection between the parties. 7. After reasonable investigation, Plaintiffs are without sufficient knowledge or information as to the truth or falsity of this statement and as such is denied. 8. Plaintiffs counsel's letter of June 11, 2013 speaks for itself. 9. Admitted in part, denied in part. It is admitted that Defendant PALAC has cited to Pa. R.C.P. 4003.8; it is denied that the information sought is neither material nor necessary to filing the Complaint. 10. Pennsylvania Rules of Civil Procedure 4003.8 provides for and permits the Plaintiffs to obtain pre-complaint discovery when information is material and necessary to the filing of the complaint and will not cause unreasonable annoyance, embarrassment, oppression, burden or expense to any person or party. Here the information requested is material and necessary to the filing of the complaint. 10. Pennsylvania Rules of Civil Procedure 4003.8 gives Plaintiffs the right to obtain pre-complaint discovery in spite of a defendant's desire not to provide said discovery. 11. Denied. The letter referred to by Defendant PALAC as a transmittal letter accompanying documents to Plaintiff Richard Johns is, in fact, a letter addressed to Maura K. McKelvey of Hinshaw & Culbertson LLP, counsel for Respondent CUNA Brokerage Services, Inc. in an arbitration filed by Richard L. Johns and Joan T. Johns. Plaintiffs have no recollection at this time of having received either the letter enclosed as Exhibit "E" or any such documents requested by Ms. McKelvey, counsel for the Respondent in that arbitration. 2 12. After reasonable investigation, Plaintiffs are without sufficient knowledge or information as to the truth or falsity of this statement and as such is denied. 13. Admitted in part, denied in part. It is admitted that Defendant PALAC supplied information to Plaintiffs' counsel in response to a letter of March 11, 2013. It is denied that Defendant PALAC. supplied all of the information requested by Plaintiffs' counsel, or even the most important information requested by Plaintiffs' counsel. As an example, Plaintiffs' counsel requested that Defendant PALAC "Secondly, please identify the Prudential person or persons who spoke on the phone with Mr. and Mrs. Johns on or about October 24, 2011." Defendant PALAC's response to that request was that they would not supply that information without a subpoena being issued to them. See letter attached as Exhibit"A". 14. Plaintiffs are given wide latitude by the Rules of Civil Procedure in requesting discovery of information which "may lead to relevant information." As such, whether or not Defendant PALAC sees the requested information as being material or necessary to the filing of the complaint, is not determinative. Plaintiffs are entitled to this information. 15. Denied. Such information is material and necessary to the filing of a complaint by Plaintiff. 16. Denied. The issue of supervisory responsibility is always an important element in determining the liability of an employer or control entity. 17. Defendant Fulton Financial Advisors, Inc. has made the claim that it is not connected in any way with Defendant PALAC or other entities. The relationship between the parties, especially ;the financial arrangement, becomes material and necessary to the filing of a complaint which will withstand preliminary objections. 3 18. No response is required. Respectfully submitted, PECHT & ASS ATES, P.C. Dated: September 5, 2013 By: Rob Bleecher, Esquire Attorney I.D. No. 32594 650 North Twelfth Street, Suite 100 Lemoyne, PA 17043 (717) 691-9809 Attorney for Plaintiffs 4 EXHIBIT "A" AM 2.4 2013 Pru,oAtiai Annuities A Business of Prudential Financial,Inc. P.O.Box 7960 *,Yj Prudential Philadelphia,PA 19176 1qvMP1 (888)778-2888 April 19, 2013 PECHT&ASSOCIATES PC Contract Owner: Richard L.Johns ATTN: ROB BLEECHER,ESQUIRE Contract Number: E0439463 SUITE 200 1205 MANOR DRIVE MECHANICSBURG PA 17055 Dear Mr. Bleecher: I am responding to your April 4,2013 correspondence concerning the above referenced annuity contract. Thank you for providing authorization from Richard L. Johns permitting us to release information to you. I apologize for our delayed response. In accordance with your March 11,2013 letter,we are providing the following information to address your concerns. This Advanced Series Advisors Plan III contract was issued on December 13, 2005 with qualified transfer proceeds totaling$214,493.39 from Prime Vest Financial Services. Richard L.Johns is the owner/annuitant. Mr. Johns elected the Lifetime 5 living benefit, The Lifetime Five benefit guarantees both a withdrawal option and an income option for the investor. The withdrawal option guarantees the investor can withdraw an amount,referred to as the Annual Withdrawal Amount, each year until the cumulative withdrawals reach the total of the Protected Withdrawal Value. The income option guarantees that the investor can withdraw an amount,referred to as the Annual Income Amount, each year for the annuitant's life. The amount initially guaranteed under each option is equal to a percentage of the initial Protected Withdrawal Value, which is equal to the greatest of three values: 1) The Account Value on the date of the first withdrawal,prior to the withdrawal. 2) The Account Value on the effective date of the benefit, growing at 5%per year from the effective date until the date of the first withdrawal or the 10th anniversary of the benefit effective date,whichever comes first, plus all Adjusted Premiums contributed to the contract, each growing at 5%per year from the date that they are contributed up to and including the date of the first withdrawal or the 10th anniversary of the benefit effective date,whichever comes first. 3) The highest Account Value on each of the first 10 contract anniversaries after the benefit effective date or on each contract anniversary prior to the first withdrawal if the first withdrawal occurs prior to the I Oth contract anniversary after the benefit effective date,where each value is increased by the amount of any additional Adjusted Premium that comes in after the anniversary. The initial Annual Withdrawal Amount is equal to 7%of the initial Protected Withdrawal Value, The initial Annual Income Amount is equal to 5% of the initial Protected Withdrawal Value. Additional premiums after the date of the first withdrawal increase the Protected Withdrawal Value by the amount of Fixed and variable annuities are issued by Prudential Annuities Life Assurance Corporation.Annuities are distributed by Prudential Annuities Distributors,Inc,Both are Prudential Financial companies located in Shelton,CT and each is solely responsible for its own financial condition and contractual obligations, the Adjusted Premium, increase the Annual Withdrawal Amount by 7%of the amount of the Adjusted Premium, and increase the Annual Income Amount by 5% of the amount of the Adjusted Premium. Cumulative withdrawals within a contract year reduce the remaining available Annual Withdrawal Amount and Annual Income Amount for each year, and reduce the Protected Withdrawal Value, all by the amount of the withdrawal. The amount of any withdrawal that exceeds the remaining annual income amount for any contract year reduces the remaining available annual income amount for that contract year to zero, and reduces the annual income amount for future years proportionally by the ratio of the excess withdrawal to the account value immediately prior to the amount of the excess withdrawal being taken. This is not a spousal benefit. Upon the death of Richard L. Johns,the benefit terminates. As of March 31, 2013 the Annual Income Amount(AIA)totaled $8,016.30 for life. If Mr. Johns does not exceed the ALA in any given year,the guaranteed lifetime income will never be less than $8,016.30. At issue the monthly Automated Withdrawal program was elected with a monthly net payment of$1,305.00. On December 21, 2012, financial professional William J.Parker contacted the service center and instructed us to cancel the automated withdrawal program. On December 21, 2012 we received a Systematic Withdrawal Enrollment Form instructing us to start monthly withdrawals based on the Annual Income Amount(ALA)of $668.03 minus withholding for a net payment of$534.42. This withdrawal program was effective with the monthly payment beginning January 9, 2013. Financial professional William J. Parker is affiliated with National Planning Corporation,Harrisburg PA 17112. We are unable to provide you with the person or persons who spoke with Mr. and Mrs. Johns on October 24, 2011 without a Subpoena. The purpose of this letter is not to provide a complete explanation of all of your contract terms and benefits. Please review the contract and prospectus for additional details regarding the benefits under the contract. In addition,this letter is not intended to amend or alter any provisions of the contract and it is not a supplement to the prospectus or Statement of Additional information(SAI). If any information presented in this letter is interpreted to conflict with the terms of the contract,prospectus or SAI,the terms of those documents shall control. I hope you find this information helpful. If you have questions, please contact our Annuity Service Center at(888) 778-2888. Representatives are available to assist you Monday through Thursday between 8:00 a.m. and 7:00 p.m., and Friday between 8:00 a.m. and 6:00 p.m.Eastern Time. Sincerely, Barbara Meyer Senior Customer Relations Representative c. Richard L. Johns CERTIFICATE OF SERVICE 1,Rob Bleecher, Esquire, the attorney for Plaintiffs, hereby certify that I have served the foregoing document this date by depositing a true and correct copy of the same in the United States mail, first-class postage prepaid, addressed as follows: Jaclyn DiLascio Malyk, Esquire d'Arcambal Ousley& Cuyler Burk, LLP Four Century Drive Parsippany,NJ 07054 Attorneys for Prudential Annuities Elizabeth Luening Long, Esquire Buchanan Ingersoll &Rooney, PC Two Liberty Place 50S. 16 1h Street, Suite 3200 Philadelphia, PA 19102 Attorneys for Fulton Financial Advisors, Inc. Cetera Investment Services LLC 400 First Street, S. Suite 300 St. Cloud,MN 56302 Dated: September 5,2013 By: Rob B(eecher Esquire RICHARD L. JOHNS and IN THE COURT OF COMMON PLEAS JOAN T.JOHNS, • CUMBERLAND COUNTY, PENNSYLVANIA Plaintiffs, • • vs. • CIVIL ACTION - LAW `® cn PRUDENTIAL ANNUITIES and • NO. 2013-3223 '•' :, FULTON FINANCIAL ADVISORS, ` rte INC., ,r2Ca • Defendants. cp MOTION ON BEHALF OF PRUDENTIAL ANNUITIES LIFE ASSURANCE CORPORATION FOR CONTINUANCE OF SEPTEMBER 27,2013 ORAL ARGUMENT DATE REGARDING PROTECTIVE ORDER RELATING TO PRE-COMPLAINT DISCOVERY COMES NOW Prudential Annuities Life Assurance Corporation (improperly pleaded as Prudential Annuities) ("PALAC") and moves this Court for a continuance of the September 27, 2013 oral argument date relating to PALAC's motion for a protective order concerning pre-complaint interrogatories and document demands propounded by the Plaintiffs, and in support respectfully states as follows: 1. On or about August 28, 2013, this Honorable Court specially set a September 27, 2013 oral argument date regarding PALAC's motion for a protective order concerning pre-complaint interrogatories and document demands propounded by plaintiff. PALAC's motion for a protective order is scheduled to be heard before the Honorable Merle L. Ebert, Jr. 2. PALAC respectfully requests a continuance of the September 27, 2013 oral argument date due to a conflict that has arisen with a case counsel for PALAC is handling in the Superior Court of the State of New Jersey("New Jersey Case"). 3. The court in the New Jersey Case recently rescheduled to September 27, 2013 oral argument • on a previously pending dispositive summary judgment motion that was filed in June. Discovery in the New Jersey Case is closed and a trial date has been set for November 12, 2013. 4. Because of the conflict between the oral argument date in this case and the summary judgment argument date in the New Jersey Case, counsel for PALAC contacted Plaintiffs' counsel in this case to seek Plaintiffs' consent to seek a continuance of the September 27, 2013 oral argument date for the protective motion in this case. 5. Plaintiffs' counsel consented to PALAC's counsel's request for a continuance. 6. Therefore, counsel for PALAC respectfully requests that this Court reschedule the September 27, 2013 argument date at its convenience, but notes that Plaintiffs' counsel is not available on October 4-8th, and PALAC's counsel has a personal commitment on October 2nd and another Court appearance on October 11th. WHEREFORE, PALAC respectfully requests that an order be entered rescheduling the September 27, 2013 oral argument date for the motion seeking a protective order. Respectfully submitted, by: � /O• Q� Glyn D' ascio Malyk, Esq A# 308589) d'Arcambal Ousley& Cuyler Burk, LLP Four Century Drive Parsippany,NJ 07054 Tel.: 973.734.3200 Fax: 973.734.3201 jmalyk@darcambal.com Dated: September 19, 2013 2 RICHARD L. JOHNS and • IN THE COURT OF COMMON PLEAS JOAN T. JOHNS, : CUMBERLAND COUNTY, PENNSYLVANIA • • Plaintiffs, • • vs. • CIVIL ACTION - LAW PRUDENTIAL ANNUITIES and • NO. 2013-3223 • FULTON FINANCIAL ADVISORS, INC., • CERTIFICATION OF SERVICE • Defendants. • I hereby certify that on September 19, 2013, Defendants, Prudential Annuities Life Assurance Corporation's (improperly pleaded as Prudential Annuities) Motion for Continuance of September 27, 2013 Oral Argument Date Regarding Protective Order Relating to Pre-Complaint Discovery, Proposed form of Order and Certification of Service were served via Federal Express upon the Clerk of the Court of Common Pleas, Cumberland County, 1 Courthouse Square — Suite 100, Carlisle, PA 17013 and were served upon the following in the manner indicated below: VIA FEDERAL EXPRESS Rob Bleecher, Esq. 650 North Twelfth Street, Suite 100 Lemoyne, PA 17043 Attorney for Plaintiffs, Richard L. Johns and Joan T. Johns Elizabeth Luening Long Esq. Buchanan Ingersoll &Rooney, P.C. Two Liberty Place 50 S. 16`h Street,'Suite 3200 Philadelphia, PA 19102 Attorneys for Defendant, Fulton Financial Advisors, Inc. "1.dp ,44,!, Dated: September 19, 2013 By: faclyn DiLascio Malyk (PA# 308589) RICHARD L. JOHNS AND IN THE COURT OF COMMON PLEAS OF JOAN T. JOHNS, CUMBERLAND COUNTY, PENNSYLVANIA PLAINTIFFS V. , .: PRUDENTIAL ANNUITIES AND FULTON FINANCIAL ADVISORS, -v 7 INC., � ry --a ' '., CD DEFENDANTS NO. 13-3223 CIVIL ` IN RE: PRE-COMPLAINT DISCOVERY ORDER OF COURT _ ti AND NOW, this 24th day of September, 2013, upon consideration of the Defendants' Motion for Continuance of oral argument scheduled for September 27, 2013 at 2:30 p.m., IT IS HEREBY ORDERED AND DIRECTED that the Motion is GRANTED. Argument in the matter will now be held on Monday, November 4, 2013, at 9:30 a.m. in Courtroom No. 2 of the Cumberland County Courthouse, Carlisle, Pennsylvania. By the Court, M. L. Ebert, Jr., J. Rob Bleecher, Esquire Attorney for Plaintiffs Jaclyn DiLascio Malyk, Esquire Attorney for Prudential lizabeth Luening Long, Esquire bas 0-6 t E.S ` ` t - C k a(4 /1-2 �� t