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HomeMy WebLinkAbout05-0982.ANCINO & ROVNER, P.C. Neil J. Rovner, Esquire Attorney Me : 22108 4503 North Front Street Harrisburg, PA 17110-1708 (717) 238-6791 FAX (717) 238-5610 Attorneys for Plaintiff(s) STEVEN P. LEONARD, Plaintiff V. SHAWN MURPHY, Defendant IN THE COURT OF COMMON PLEAS CUMBERLAND COUNTY, PA CIVIL ACTION - LAW / NO. nS" ' 9 ?2 ?! Ut felt--k" -A JURY TRIAL DEMANDED NOTICE TO DEFEND 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. 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 32 South Bedford Street Carlisle, PA 17013 1-800-990-9108 ANGINO & ROVNER, P.C. Neil J. Rovner, Esquire Attorney ID# : 22108 4503 North Front Street Harrisburg, PA 17110-1708 (717)238-6791 FAX (717) 238-5610 Attorneys for Plaintiff(s) STEVEN P. LEONARD, Plaintiff V. SHAWN MURPHY, Defendant IN THE COURT OF COMMON PLEAS CUMBERLAND COUNTY, PA CIVIL ACTION - LAW NO JURY TRIAL DEMANDED NOTICIA Le ban demandado a usted en la corte. Si usted quiere defenderse de estas demandas expuestas en las paginas sug uientes, usted tiene viente (20) dias de plazo al partir de la fecha de la demanda y la notificacion. Usted debe presentar una apariencia escrita o en persona o por abogado y archivar en la corte en forma escrita sus defensas o sus objeciones a Ns 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 o notificacion y per cualquier queja o alivio que es pedido en la peticion de demanda. Usted puede perder dinero o sus propiedades o otros derechos importantes para usted. LLEVE ESTA DEMANDA A UN ABOGADO IMMEDIATEMENTE. SI NO TIENE ABOGADO 0 SI NO TIENE EL DINERO SUFICIENTE DE PAGAR TAL SERVICIO, VAYA EN PERSONA O LLAME POR TELEFONO A LA OFICINA CUYA DIRECCION SE ENCUENTRA ESCRITA ABAJO PARA AVERIGUAR DONDE SE PUEDE CONSEGUIR ASISTENCIA LEGAL. Cumberland County Bar Association 32 South Bedford Street Carlisle, PA 17013 1-800-990-9108 291124 Neil J. Rovner, Esquire AttorneylD#: 22108 4503 North Front Street Harrisburg, PA 17110-1708 (717) 238-6791 FAX (717) 238-5610 Attorneys for Plaintiff(s) STEVEN P. LEONARD, Plaintiff V. SHAWN MURPHY, Defendant IN THE COURT OF COMMON PLEAS CUMBERLAND COUNTY, PA CIVIL ACTION - LAW NO.nS- 9cP?,, -Er_tl - E Jln JURY TRIAL DEMANDED COMPLAINT 1. At the time of the accident, Plaintiff Steven Leonard was an adult resident of Perry County, Commonwealth of Pennsylvania. Currently Mr. Leonard resides in Myrtle Beach, South Carolina. 2. Defendant Shawn Murphy is an adult individual and citizen of the Commonwealth of Pennsylvania who resides in 532 W. Main Street, Hummelstown, Dauphin County, PA 17036 3. The facts and occurrences hereinafter related took place on or about September 29, 2003. 4. At that time and place, Plaintiff Steven Leonard was sitting parked in his 2000 Toyota Celica in the parking lot of A&A Auto Parts Store on Market Street in Lemoyne, Cumberland County, Pennsylvania. 5. At that time and place, Defendant Shawn Murphy backed his vehicle out of a parking space at the Munn's Diamond Gallery and backed his car int the Plaintiffs vehicle. 291124 6. Asa result of this accident, Plaintiff suffered severe and permanent injuries to his back resulting in severe permanent impairment of his day to day life. 7. As a result of this injury, Plaintiff suffered an injury to his spine requiring a discectomy on May 17, 2004. 8. This is an aggravation of a pre-existing mildly herniated disc which was not causing severe symptoms. 9. Asa result of this operation, Plaintiff Steve Leonard suffered severe complications of infection requiring extensive treatment and hospitalization. CLAIM I Steven Leonard v. Shawn MgMhy 10. Paragraphs 1 through 11 of the Complaint are incorporated herein by reference. I 1. The aforesaid collision was solely the result of the negligence of Defendant Murphy as follows: a. failing to assure himself that he could back up with safety; b. failing to keep his vehicle under such control so as to avoid hitting Mr. Leonard's vehicle; C. traveling at an excessive rate of speed under the circumstances; and d. failing to keep a proper lookout when backing up. 12. Plaintiff Steven Leonard sustained painful and severe injuries which include, but are not limited to, injuries to his back and spine. 11 As a result of the aforementioned injuries and resulting pain, Plaintiff Steven Leonard has incurred liability for medical treatment, medications, hospital treatment, physical therapy, and similar miscellaneous expenses in an effort to restore himself to health, and claim is made therefor. 291124 14. Because of the nature of his aforementioned injuries and resulting pain, Plaintiff Steven Leonard has been advised, and therefore avers, that he will incur similar expenses in the future, and claim is made therefor. 15. As a result of the aforementioned injuries and resulting pain, Plaintiff Steven Leonard has and will continue to undergo physical and mental suffering, inconvenience in carrying out his daily activities, loss of life's pleasures and enjoyment, and claim is made therefor. 16. As a result of the aforementioned injuries, Plaintiff Steven Leonard has been and in the future may continue to be subject to humiliation and embarrassment, and claim is made therefore. 17. As a result of the aforementioned injuries and resulting pain, Plaintiff Steven Leonard has sustained work loss, loss of opportunity and a permanent diminution of her earning power and capacity, and claim is made therefor. 18. Plaintiff Steven Leonard continues to be plagued by persistent pain and limitation and has been advised, and therefore avers, that his injuries may be of a permanent nature, causing residual problems for the remainder of his lifetime, and claim is made therefor. WHEREFORE, Plaintiff Steven Leonard demands judgment against Defendant Shawn Murphy in an amount in excess of Twenty-Five Thousand Dollars ($25,000.00) exclusive of interest and costs and in excess of any jurisdictional amount requiring compulsory arbitration. Respectfully submitted, Date: 7 /7 DDr ANGINO & ROVNUR, P.C. Neil J., cfrneskL I.D.1 221 4503 N. Fr n . Street Harrisburg, PA 17110 (717) 238-6791 Counsel for Plaintiff(s) 291124 VERIFICATION I, Steven Leonard, Plaintiff, have read the foregoing Complaint and do hereby swear or affirm that the facts set forth in the foregoing are true and correct to the best of my knowledge, information and belief. I understand that this Verification is made subject to the penalties of 18 Pa.C.S.A. Sectio o4, rel .n unsworn falsification to authorities. Witness Steven Leonard Dated: ; Date: 'L-I(a"05- 291124 _ W O w 409 (rz -Q ^V -4 T C t fJ 4.. STEVEN P. LEONARD. Plaintiff vs. SHAWN MURPHY. Defendant IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA CIVIL ACTION - LAW )10. CJS-?`1? JURY TRIAL DEMANDED PRAECIPE FOR ENTRY OF APPEARANCE TO THE PROTHONOTARY OF CUMBERLAND COUNTY: Please enter the appearance of Buzgon Davis Law Offices whose address is 525 South Eighth Street, P.O. Box 49, Lebanon, Pennsylvania 17042-0049, as attomeys for Shwan Murphy, the Defendant, in the above-captioned case. BUZGON DAVIS LAW OFFICES r DATE: March 2, 2005 BY: _ SCOTT L. GRF? OBLF,, ESQUIRE Attorney I.D. #72808 525 South Eighth Street P.O. Box 49 Lebanon, PA 17042-0049 (717) 274-1421 Attorney for Defendant STEVEN P. LEONARD, IN THE COURT OF COMMON PLEAS Plaintiff OF CUMBERLAND COUNTY, PENNSYLVANIA vs. CIVIL ACTION - LAW SHAWN MURPHY, NO. Defendant JURY TRIAL DEMANDED AFFIDAVIT OF SERVICE COMMONWEALTH OF PENNSYLVANIA) ) ss: COUNTY OF LEBANON ) I, Janelle K. Worcester, an employee of the law firm of Buzgon Davis Law Offices, 525 South Eighth Street, Lebanon, Lebanon County, Pennsylvania, Attorneys for Defendant, being duly sworn according to law, depose and say that on March 3, 2005, I mailed for filing, in the Office of the Prothonotary of Cumberland County, the original PRAECIPE FOR ENTRY OF APPEARANCE and that I mailed, by First Class mail, in a postpaid envelope, a true and correct copy to Neil J. Rovner, Esquire, 4503 North Front Street, Harrisburg, Pennsylvania 17110-1708, Attorney for Plaintiff. JM ELLE K. ORC STER Sworn to and subscribed before me this 3`d day of March. A.D., 2005. / ry Notd Pull is a BUZGON DAVIS LAW OFFICES Scott L. Grenoble, Esquire Attorney I.D. 472808 525 South Eighth Street Post Office Box 49 Lebanon, PA 17042-0049 (717) 274-1421 Fax: (717) 274-1752 E-Mail: sgrenoble@buzgondavis.com A ttnrnevC fnr nefanrlnnt STEVEN P. LEONARD, IN THE COURT OF COMMON PLEA OF Plaintiff CUMBERLAND COUNTY, PENNSYLVANIA VS. CIVIL ACTION - LAW SHAWN MURPHY, NO. 05-982 Defendant ANSWER AND NEW MATTER NOTICE TO PLEAD To: Steven P. Leonard, Plaintiff You are hereby notified to file a written response to the enclosed New Matter thin twenty (20) days from service hereof or a judgment may be entered against you. AND NOW, comes the Defendant, Shawn Murphy, by his attorneys, Buzgoo Davis Law Offices, and files this Answer, averring as follows: I ANSWER 1. Admitted upon information and belief. 2. Admitted. 3. Admitted. 4. Denied. 5. Denied. 6. Denied. 7. Denied. 8. Denied. 9. Admitted in part and denied in part. It is admitted that Plaintiff existing back condition. It is denied that said condition was aggravated as a result of September 29, 2003. CLAIM I Steven Leonard v. Shawn Murphy 10. The answers to paragraphs 1 through 9 are incorporated herein by reel textually set forth at length. 11. a.-d. Denied. Paragraphs IIa.-d. set forth conclusions of law response is required. By way of further response, said allegations are denied, strict demanded at trial. 12. Denied. 13. Denied. 14. Denied. Denied. 15. 16. Denied. 17. Denied. a a pre- incident as if > which no proof being -2- 18. Denied. WHEREFORE, Defendant respectfully requests your Honorable Court Plaintiff's Complaint with prejudice. II. NEW MATTER 19. Plaintiff has failed to state a cause of action upon which relief can be 20. Defendant was not negligent, reckless, or careless with respect to regarding the injuries and damages alleged by Plaintiff. 21. Plaintiff was not inside the vehicle at the time of the incident. 22. Any acts or omissions of Defendant alleged to constitute substantial causes and did not result in the injuries or losses alleged by Plaintiff. 23. The injuries and damages allegedly sustained by Plaintiff were not caused by Defendant. 24. The injuries and damages allegedly sustained by Plaintiff may to dismiss conduct were not been pre- existing to the date of the within accident. 25. The negligent acts or omissions of other individuals or entitie? may have constituted superseding causes of the damages and/or injuries alleged to have been ustained by Plaintiff. 26. Plaintiff's own comparative negligence, carelessness and recklessijNess exceeds any negligence or carelessness of Defendant, all such negligence or carelessness f Defendant being specifically denied. 27. Plaintiffs' claims are barred by the affirmative defenses identified in Rule of Civil Procedure 1030, including but not limited to (a) waiver; (b ) estoppeH? (c) statutes -3- of limitation; (d) laches; (e) illegality; (f) release; (g) impossibility of performance; assumption of risk; and (j) payment. 28. This action is barred or otherwise limited by the Motor V Responsibility Law, Title 75 Pa. C. S. Section 1701 et sue., either as originally amended. Defendant pleads this law and the amendments thereto as a alternative, partial defense to Plaintiff s civil action. fraud; (i) Financial sated or as or, in the 29. Any claim or request in this action for damages for delay pursuant to ?ule 238 of the Pennsylvania Rules of Civil Procedure is in contravention to and barred by the t and Pennsylvania Constitutions because: (a) the rule exceeds the rule-making authc to the judiciary by the Pennsylvania Constitution; (b) the rule violates the equ, clauses of the United States and Pennsylvania Constitutions; (c) the rule violates the due process guaranteed by the United States and Pennsylvania Constitutions; and violates the excessive fines clause of the United States Constitution. WHEREFORE, Defendant avers that he is not liable to the Plaintiff in whatsoever and prays that the Complaint against him be dismissed and that awarded costs of defense including attorneys fees and Defendant may have further relief as may be just and appropriate. BUZGON DAVIS LAW OFFICES BY: S?Z? Scott L. Grenoble, squire-Attorney I.D. #72808 525 South Eighth Street Post Office Box 49 Lebanon, PA 17042-0049 (717) 274-1421 Fax: (717) 274-1752 E-Mail: srenoble@buzgendavis.com Attorneys for Defendant ited States ty granted protection andards of 1) the rule iy amount nt may be other and -4- VERIFICATION 1, Shawn Murphy, do hereby verify that I am the Defendant in the that the attached Answer and New Matter to the Complaint is based upon information furnished to my counsel and information which has been gathered by my counsel in of the lawsuit. The language of the Answer and New Matter to the Complaint is action; I have of counsel and not of me. I have read the Answers and to the extent that the Answers ar4ased upon information which I have given to my counsel, they are true and correct to the knowledge, information and belief. To the extent that the content of the Answers is I have relied upon counsel in making this Verification. I understand that false made subject to the penalties of 18 Pa.C.S. §4904 relating to unworn falsification to Date: Shawn Murphy of my of counsel, herein are STEVEN P. LEONARD, IN THE COURT OF COMMON Plaintiff OF CUMBERLAND COUNTY, 'i PENNSYLVANIA VS. CIVIL ACTION - LAW SHAWN MURPHY, NO. Defendant JURY TRIAL DEMANDED AFFIDAVIT OF SERVICE COMMONWEALTH OF PENNSYLVANIA) ) ss: COUNTY OF LEBANON ) I, Janelle K. Worcester, an employee of the law firm of Buzgon Davis Offices, 525 South Eighth Street, Lebanon, Lebanon County, Pennsylvania, Attorneys for Def dant, being duly sivorn according to law, depose and say that on March 22, 2005, 1 mailed for fling, in the Office of the Prothonotary of Cumberland County, the original ANSWER and NE MATTER and that I mailed, by First Class mail, in a postpaid envelope, a hue and correct co y to Neil J. ROVner, Esquire, 4503 North Front Street, Harrisburg, Pennsylvania 17110-1708, ttomey for Plaintiff. Sworn to and subscribed before me this 22nd day of March, A.D., 2005. Notar) P he JA1N LL)ORCF TER ,:. COMMONWEALTH OF PENNSYLVANIA Notarial Seel Amanda Lee Snadsr, Notary Publlo City Of Lebanon, Lebanon County My Commission Expires,lan. 3, 2009 Member, Pennsylvania Assodation of Notaries f'?5 1 \l < Itl 03 STEVEN P. LEONARD, IN THE COURT OF COMMO PLEAS Plaintiff OF CUMBERLAND COUNTY PENNSYLVANIA vs. CIVIL ACTION - LAW SHAWN MURPHY, NO. ; 5- Defendant JURY TRIAL DEMANDED AFFIDAVIT OF SERVICE COMMONWEALTH OF PENNSYLVANIA) ) ss: COUNTY OF LEBANON I, Janelle K. Worcester, an employee of the law firm of Buzgon Davis aw Offices, 525 South Eighth Street, Lebanon, Lebanon County, Pennsylvania, Attorneys for Defe dant, being duly sworn according to law, depose and say that on March 22, 2005, I mailed the orig al and one copy of INTERROGATORIES and REQUEST FOR PRODUCTION OF DOCU ENTS OF DEFENDANT DIRECTED TO PLAINTIFF by First Class mail, in a postpaid env lope, a true and correct copy to Neil J. Rovner, Esquire, 4503 North Front Street, Harrisburg, nnsylvania 17110-1708. Attorney for Plaintiff. JANELLkSworn to and subscribed before me this 22nd day of March, A.D., 2005. j Notary Notarial Sea Amanda Lee Snader, Notary Public City Ot Lebanon. Lebanon County My Commission Expires Jan. 3, 2009 Member, Pennsylvania Association of Notaries t:, -.> -= r ?`? _? - R? =? rn'i ,. IV ? t'i-?-? ? co r -? i ? C..? 1? ?..? ANGINO & ROVNER, P.C. Neil J. Rovner, Esquire Attorney (D# : 22108 4503 North Front Street Harrisburg, PA 17110-1708 (717) 238-6791 FAX (717) 238-5610 Attorneys for Plaintiff(s) STEVEN P. LEONARD, Plaintiff IN THE COURT OF COMMON PLEAS CUMBERLAND COUNTY, PA V. SHAWN MURPHY, Defendant CIVIL ACTION - LAW NO. 05-982 Civil Term JURY TRIAL DEMANDED PLAINTIFF'S REPLY TO NEW MATTER OF DEFENDANT SHAWN MURPHY 19. Denied. Plaintiff has adequately set forth a cause of action under the laws of the Commonwealth of Pennsylvania. 20. Denied as more fully set forth in Plaintiff's Complaint which is incorporated herein. 21. Denied. 22. Denied. Defendant's actions were negligent as set forth in Plaintiff's Complaint. 23. Denied. Defendant's actions were negligent as set forth in Plaintiffs Complaint. 24. The injuries and damages which the Plaintiff suffered were caused and aggravated by the Defendant's conduct. 25. Denied. There were no superseding or intervening causes of the injuries to the Plaintiff. Strict proof thereof is demanded at trial. 297238 26. Plaintiff was in no way comparatively or contributorily negligent, careless or reckless in any way. 27. It is denied that there have been any waiver, estoppel, laches, illegality, release, impossibility of performance, fraud, assumption of risk or payment as a defense. Further, it is asserted that this claim is timely filed as set forth in Plaintiffs Complaint. 28. It is denied that this claim is barred by the Motor Vehicle Financial Responsibility Law, Title 75 Pa. C. S. § 1701 et seg. This is an incorrect statement of law to which no answer is necessary. 29. The constitutionality of Rule 238 has been upheld repeatedly against the claims of Defendant herein and therefore this paragraph is denied as an incorrect statement of the law. WHEREFORE, Plaintiff requests Your Honorable Court to DISMISS the New Matter of Defendant and to grant judgment in Plaintiff's favor, including costs and attorneys fees. Respectfully submitted, ANGINO & ROVNER, P Date: 9 /U, )US Neil4.Mfivfi Esqire I.D. No. 2 8 4503 N. Front Stroet Harrisburg, PA 17110 (717) 238-6791 Counsel for Plaintiff(s) 297238 ATTORNEY AFFIDAVIT I, Neil J. Rovner, Esquire, state that I am counsel for Plaintiff, that I am authorized to make this Verification on behalf of said Plaintiff, and have read the foregoing and do hereby declare and affirm that the facts set forth in the foregoing are correctly derived from the discovery record. I understand that this Verification is made subject to the penalties of 28 U.S.C. §1746, relating to unsworn falsification to authorities. Sworn to and subscribed to before me on this day of April, 2005. 297238 CERTIFICATE OF SERVICE I, Megan Moll, an employee of the law firm of Angino & Rovner, P.C., do hereby certify that I am this day serving a true and correct copy of Answer to New Matter upon all counsel of record via postage prepaid first class United States mail addressed as follows: Scott L. Grenoble, Esquire Buzgon Davis 525 South Eighth Street Post Office Box 49 Lebanon, PA 17042 Megan Moll Dated: tl/ (f 10 S 297218 C' c?a C 7 { ?? TI ? J ? 1' - . -_ ? _ -•tit %_ - ? ,?L ?-] ?) , ?. ? t,7 `` i...-t N _ ._? t. r7 ??,7 ` Ca ti SHERIFF'S RETURN - OUT OF COUNTY CASE NO: 2005-00982 P COMMONWEALTH OF PENNSYLVANIA: COUNTY OF CUMBERLAND LEONARD STEVEN P VS MURPHY SHAWN R. Thomas Kline Sheriff or Deputy Sheriff who k duly sworn according to law, says, that he made a diligent searc and inquiry for the within named DEFENDANT , to wit: MURPHY SHAWN but was unable to locate Him deputized the sheriff of DAUPHIN in his bailiwick. He therefore serve the within COMPLAINT & NOTICE County, Pennsylvania un Marcn lltn , 2005 , this office was in receipt attached return from DAUPHIN Sheriff's Costs: Docketing 18.00 Out of County 9.00 Surcharge 10.00 Dep Dauphin County 30.00 Postage .74 67.74 03/17/2005 ANGINO & ROVNER Sworn and subscribed to before me this -F- / 14t day of Y So answers R: Thomas Kline Sheriff of Cumber county ng and to In The Court of Common Fleas of Cumberland County, Steven P. Leonard VS. Shawn Murphy No. 05-98 civil ilia Now, March 1, 2005 , I, SHERIFF OF CUMBERLAND COUNTY, do hereby deputize the Sheriff of Dauphin County to execute this W it, this deputation being made at the request and risk of the Plaintiff. f Sheriff of Cumberland Councy, PA Affidavit of Service Now, within upon at by handing to a and made known to 20, at o'clock M. sewed the copy of the original the contents So answers, Sworn and subscribed before me this day of -20 Sheriff of COSTS SERVICE' MILEAGE AFFIDAVIT oumy, PA a? office Of i ` 4.er- f Mary Jane Snyder Real Estate Deputy William T. Tully Solicitor Dauphin County Harrisburg, Pennsylvania 17101 ph:(717)255-2660 fax:(717)255-2889 Jack Lotwick Sheriff Commonwealth of Pennsylvania LEONARD STEVEN P vs County of Dauphin MURPHY SHAWN Sheriff's Return J. Daniel Michael W. No. 0389-T - - -2005 OTHER COUNTY NO. 05-982 AND NOW:March 9, 2005 at 8:40AM served the within COMPLAINT MURPHY SHAWN to SHAWN MURPHY DEFT of the original COMPLAINT and makinh known to him/her the contents thereof at Dauphin County Sheriff's Office 00000-0000 Sworn and subscribed to before me this 10TH day of MARCH, 2005 1.- NOTARIAL SEAL MARY JANE SNYDER, Notary Public Highspire, Dauphin County My Commission Expires Sept. I, 2006 So Answers, / ;r? Sheriff of Dauphin County, Pa 13Y z v De ty Sheriff Sheriff's Costs:$30.00 PD 03/ /2005 RCPT NO 204481 AR upon by personally handing 01 true attested copy( es) ANGINO & ROVNER, P.C. Neil J. Rovner, Esquire Attorney [D#: 22108 4503 North Front Street Harrisburg PA 17110-1708 (717) 238-6791 FAX (717) 238-5610 Attorneys for Plaintiff(s) STEVEN P. LEONARD, Plaintiff IN THE COURT OF COMMON PLEAS CUMBERLAND COUNTY, PA V. SHAWN MURPHY, Defendant CIVIL ACTION - LAW NO. 05-982 Civil Term JURY TRIAL DEMANDED PLAINTIFF'S COUNSEL'S PETITION TO WITHDRAW AS COUNSEL Plaintiffs counsel, Angino & Rovner, P.C., hereby move for leave of court to withdraw as counsel for the Plaintiff in the above captioned matter. In support of Angino & Rovner's Petition to Withdraw, they aver as follows: 1. Plaintiff filed a Complaint in the above captioned action with present counsel on February 24, 2005. 2. Plaintiffs counsel has made numerous attempts to contact Plaintiff via letters, telephone calls, and e-mail. 3. Plaintiff has not made any attempt to communicate, respond or cooperate with his counsel regarding his case. 4. The undersigned counsel informed Plaintiff that as a result Angino & Rovner, P.C., would no longer be able to represent Plaintiff by certified mail and regular mail, attached as Exhibit A. 5. Undersigned counsel has informed Plaintiff that a Petition to Withdraw would be filed in this matter. 6. Plaintiff's counsel has contacted counsel for Defendant and they do not object to the filing of this Petition. WHEREFORE, Plaintiffs counsel respectfully requests that this Honorable Court allow undersigned counsel to withdraw as counsel of record on behalf of Plaintiff and permit the Plaintiff a period of not less than sixty (60) days to obtain new counsel. Date: Respectfully submitted, ANGINO & ROVNER; P.?C., Neil J. Rovner, Esquire I.D. No. 22108 4503 N. Front Street Harrisburg, PA 17110 (717) 238-6791 Counsel for Plaintiff(s) -??I?. h;f e^ ANGINO & ROVNER, RC. 4503 NORTH FRONT STREET HARRISBURG, PA 17110-1708 717/23"791 PAR 717/238-5610 W W W.ANGINO-ROVNER.COM EMAIL: NROVNER@ANGW6ROVNER.COM RICHARD C. ANGWO MICHAEL E. KOSIK NEIL J. ROVNER RICHARD A. SADLOCK JOSEPH M. MELILLO JOAN L. STEHULAK DAVID L. LUTL LISA M. B. WOODBURN April 21, 2005 Mr. Steve Leonard c/o Lee Leonard 624 Kent Lane Apt. 52C Myrtle Beach, SC 29579 RE: Leonard v. Murphy Cumberland County Dear Mr. Leonard: VIA CERTIFIED MAIL RETURN RECEIPT REQUESTED AND REGULAR MAIL We have made several attempts to get in touch with you via telephone, correspondence and e-mail regarding outstanding issue with your case. As of this date we have not heard from you. Due to your lack of communication and cooperation in your case, enclosed is our Petition to Withdraw as Counsel. Once a Judge has signed the Rule to Show Cause, I will be providing you with a copy. The Rule will state that you have a certain number of days to respond as to why we should not be permitted to withdraw as counsel. If you do not respond within that time frame, the Judge will issue an Order and defense counsel may dismiss your case. NJR\mam Enclosure 298963 CERTIFICATE OF SERVICE I, Megan Moll, an employee of the law firm of Angino & Rovner, P.C., do hereby certify that I am this day serving a true and correct copy of Petition to Withdraw as Counsel addressed as follows: Scott L. Grenoble, Esquire Buzgon Davis 525 South Eighth Street Post Office Box 49 Lebanon, PA 17042 VIA REGULAR MAIL Steve Leonard c/o Lee Leonard 624 Kent Lane Apt. 52C Myrtle Beach, SC 29579 VIA CERTIFIED MAIL RETURN RECEIPT REQUESTED AND REGULAR MAIL Megan Moll J ,r-- Dated:L- (: <.n Ui ti r'p :J -ti LS CRiGiNAL ANGINO & ROVNER, P.C. Neil J. Rovner, Esquire Attorney IM : 22108 4503 North Front Street Harrisburg, PA 17110-1708 (717) 238-6791 FAX (717) 238-5610 Attorneys for Plaintiff(s) STEVEN P. LEONARD, Plaintiff V. SHAWN MURPHY, Defendant IN THE COURT OF COMMON PLEAS CUMBERLAND COUNTY. PA CIVIL ACTION - LAW NO. 05-982 Civil Term JURY TRIAL DEMANDED RULE TO SHOW CAUSE AND NOW, thisQn_day of 2005, a Rule is Issued to the Plaintiff, Steven P. Leonard, to show cause why Angino & Rovner, P.C., should not be permitted to withdraw as counsel. Rule returnable 6?0 days after service, ba ? RECEIVED APR 2 7 2D05Y 2 THE URT: J. 2Z .11 J 2(1 My S'JDZ N1 ?o ANGINO & ROVNER, P.C. Neil J. Rovner, Esquire Attorney ID# : 22108 4503 North Front Street Harrisburg, PA 17110-1708 (717)238-6791 FAX (717) 238-5610 Attorneys for Plaintiff(s) STEVEN P. LEONARD, Plaintiff IN THE COURT OF COMMON PLEAS CUMBERLAND COUNTY, PA V. SHAWN MURPHY, Defendant CIVIL ACTION - LAW NO. 05-982 Civil Term JURY TRIAL DEMANDED PETITION TO MAKE RULE ABSOLUTE AND NOW, Angino & Rovner, P.C. hereby move to make its Motion to Withdraw as Counsel absolute for the following reasons: On April 25, 2005, Petitioner filed a Petition to Withdraw as Plaintiffs Counsel. 2. On April 28, 2005, Your Honor signed a Rule to Show Cause returnable in twenty (20) days as to why Angino & Rovner's Petition to Withdraw as Counsel should not be granted. A copy of said Rule is attached hereto as Exhibit A. 3. On May 2, 2005, The Petition and Rule were served upon the Defendant and Plaintiff Steven Leonard via regular and certified mail. The Rule was received by Plaintiff on May 6, 2005. A copy of the receipts and green cards are attached hereto as Exhibit B. 4. Plaintiff's response to the Petition and Rule to Show Cause was due on or before 301182 May 25, 2005. 5. Plaintiff Steven Leonard has had notice of Angino & Rovner's Petition to Withdraw as Counsel. Steven Leonard has chosen not to file any document in opposition to the withdrawal nor asserted any legal justifiable basis to require Angino & Rovner to continue as his attorney against their will. WHEREFORE, Angino & Rovner, P.C. prays Your Honorable Court will make its Rule Absolute and sign an Order permitting Angino & Rovner, P.C. to withdraw as counsel of record. Respectfully submitted, ANGINO & Neil Y'Ro r, ki4u I.D. No. 22 OS 4503 N. F nt Street Harrisburg, PA 17110 (717) 238-6791 Counsel for Plaintiff(s) Date: 5/2 LG` /('6 301182 RiGINAL V/ RECEIVED APR 272005 ANGINO & ROVNER, P.C. Neil J. Rovner, Esquire Attomey ID# : 22108 4503 North Front Street Harrisburg, PA 17110-1708 (717) 238-6791 FAX (717) 238-5610 Attorneys for Plaintiff(s) STEVEN P. LEONARD, IN THE COURT OF COMMON PLEAS Plaintiff CUMBERLAND COUNTY, PA V. CIVIL ACTION - LAW SHAWN MURPHY, NO. 05-982 Civil Term Defendant JURY TRIAL DEMANDED RULE TO SHOW CAUSE AND NOW, thisQ/6 day of 2005, a Rule is Issued to the Plaintiff, Steven P. Leonard, to show cause why Angino & Rovner, P.C., should not be permitted to withdraw as counsel, Rule returnable 1?() days after service. 9n, "tcsl I here utno _•,t my hard and4a sea. 1 ! " <? { .i ,'oe, 2 THE URT: J. T p;'n Av,i99: ¦ Complete items 1, 2, and 3. Also complete item 4 if Restricted Delivery is desired. ¦ Print your name and address on the reverse so that we can return the card to you. ¦ Attach this card to the back of the mailpiece or on the front if space permits. 1. Article Addressed to: (124 l9? r,e ?r:?ISc 295 2. 7002 3150 PS Form 3811, February 2004 O Agent B. Name) I C. Date of Is delivery address different from Rem I? 0 YeE If YES, enter delivery address below: 0 No 3. Service Type O'Certilied Mall 0 Express Mail 0 Registered $Return Receipt for Merchandise 0 Insured Mall 0 C.O.D. 4. Restricted Delivery? (Extra Fee) 0 Yes 8457 4426 Domestic Return Receipt CERTIFIED MAIL,, RECEIF (Domestic Mail Only; No Insurance Coverall ti 102596-01 ; Ln S Postage $ 7 C3 Certified Fee C3 Poshnarl, M Return Reciapt Fee Hero (Endorsement Required) O O Restricted Delivery Fee (Endowment nt Required) tTl Total Postage 8 Fees ru C3 Sent To .n- eve ------------- Ir- or s Box No. Alt ------ilh! -5.i-A !T - City, state, ZI - PS Form 3800 June 2002 See Reverse for instructions ¦ Complete items 1, 2, and 3. Also complete Item 4 if Restricted Delivery is desired. ¦ Print your name and address on the reverse so that we can return the card to you. ¦ Attach this card to the back of the mailpiece, or on the front if space permits. I . Article Addressed to: A. 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(/t _ ry)/ i PS For. 3800, June 2002 ons See Reverse for tostrust 102596-024&1540 CERTIFICATE OF SERVICE 1, Megan Moll, an employee of the law firm of Angino & Rovner, P.C., do hereby certify that I am this day serving a true and correct copy of Petition to Make Rule Absolute addressed as follows: Scott L. Grenoble, Esquire Buzgon Davis 525 South Eighth Street Post Office Box 49 Lebanon, PA 17042 VIA REGULAR MAIL Steve Leonard c/o Lee Leonard 624 Kent Lane Apt. 52C Myrtle Beach, SC 29579 VIA CERTIFIED MAIL RETURNRECEIPT REQUESTED AND REGULAR MAIL Me?ga4 Moll Dated: ?2-0 301182 ANGINO & ROVNER, P.C. Neil J. Rovner, Esquire AttomeylD#: 22108 4503 North Front Street Harrisburg, PA 17110-1708 (717) 238-6791 FAX (717) 238-5610 Attorneys for Plaintiff(s) STEVEN P. LEONARD, Plaintiff V. SHAWN MURPHY, Defendant RECEIVED JUN 012006 IN THE COURT OF COMMON PLEAS CUMBERLAND COUNTY, PA CIVIL ACTION - LAW NO. 05-982 Civil Term JURY TRIAL DEMANDED ORDER 1-4 AND NOW, this 0 day of 2005, upon consideration of Petition of Angino & Rovner, P.C. to Withdraw as Counsel for Plaintiff and Plaintiff's failure to respond to Rule issued on April 28, 2005, the Rule is hereby made ABSOLUTE and Angino & Rovner, P.C. is permitted to withdraw as Plaintiff's counsel and shall no longer be counsel of record on behalf of Plaintiff Steven Leonard. B HE CO Z ' tribution: J. l J. Rovner, Esquire, Angino & Rovner, P.C., 4503 North Front Street, Harrisburg, PA 17110 v*Scott L. Grenoble, Esquire, Buzgon Davis, 525 South Eighth Street, P.O. Box 49, Lebanon, PA 17042 Ateve Leonard, c/o Lee Leonard, 624 Kent Lane, Apt. 52C, Myrtle Beach, SC 2957 ?- W V?o?,rv 301182 O ?' ??r cv'r? ,... _ 'i ;'? _ ? _„ 3 ??!'JI ANGINO & ROVNER, P.C. Neil J. Rovner, Esquire Attorney 1D# : 22108 4503 North Front Street Harrisburg, PA 17110-1708 (717) 238-6791 FAX (717) 238-5610 Attorneys for Plaintiff(s) STEVEN P. LEONARD, Plaintiff IN THE COURT OF COMMON PLEAS CUMBERLAND COUNTY, PA V. SHAWN MURPHY, Defendant CIVIL ACTION - LAW NO. 05-982 Civil Term JURY TRIAL DEMANDED PETITION TO MAKE RULE ABSOLUTE AND NOW, Angino & Rovner, P.C. hereby move to make its Motion to Withdraw as Counsel absolute for the following reasons: On April 25, 2005, Petitioner filed a Petition to Withdraw as Plaintiffs Counsel. On April 28, 2005, Your Honor signed a Rule to Show Cause returnable in twenty (20) days as to why Angino & Rovner's Petition to Withdraw as Counsel should not be granted. A copy of said Rule is attached hereto as Exhibit A. On May 2, 2005, The Petition and Rule were served upon the Defendant and Plaintiff Steven Leonard via regular and certified mail. The Rule was received by Plaintiff on May 6, 2005. A copy of the receipts and green cards are attached hereto as Exhibit B. 4. Plaintiff's response to the Petition and Rule to Show Cause was due on or before 301182 May 25, 2005. 5. Plaintiff Steven Leonard has had notice of Angino & Rovner's Petition to Withdraw as Counsel. Steven Leonard has chosen not to file any document in opposition to the withdrawal nor asserted any legal justifiable basis to require Angino & Rovner to continue as his attorney against their will. WHEREFORE, Angino & Rovner, P.C. prays Your Honorable Court will make its Rule Absolute and sign an Order permitting Angino & Rovner, P.C. to withdraw as counsel of record. Respectfully submitted, Date: 5/Z405 ANGINO & ROVXEI Neil J. o r, uirA I.D. No. 22 08 4503 N. F nt Street Harrisburg, PA 17110 (717) 238-6791 Counsel for Plaintiff(s) 301182 ?X?, b,? ? RIGiNAL ANGINO & ROVNER, P.C. Neil J. Rovner, Esquire AttorneyJD#: 22108 4503 North Front Street Harrisburg, PA 17110-1708 (717) 238-6791 FAX (717)238-5610 Attorneys for Plaintiff(s) STEVEN P. LEONARD, Plaintiff V. SHAWN MURPHY, Defendant RECEIVED APR 272M.0 IN THE COURT OF COMMON PLEAS CUMBERLAND COUNTY, PA CIVIL ACTION - LAW NO. 05-982 Civil Term JURY TRIAL DEMANDED RULE TO SHOW CAUSE JINA AND NOW, this?a y of 2005, a Rule is Issued to the Plaintiff, Steven P. Leonard, to show cause why Angino & Rovner, P.C., should not be permitted to withdraw as counsel. Rule returnable 2 days after service. TMIF COPY FROM ?W t rv,t In Testa . ; I here UrITO set my hand and/ipe seaj C' pa, THE URT. J. 11 ?rgat?an?i?s?? , • COMPbb Roma 1, 2, end & Al., carripiste: ohd ¦ a Is ,,, ¦ Attedh tde oral to ffia fit of to melpUoo, er on tre h 0if-space pwmfls. 1. AMiclel G (12y NI 2. PS Forrn LCO MW ISc n ? Aged C. Date of Deevay -• "?^'? •ua.ao affaMltaorn eflll l9 13Y" .. K YE% ante deWay Mdmm below: ?No wed MfjV ? 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(Drba Feel 0 Yes ')ii ii: iii OeenseO Rnun lUaryR Postal CERTIFIED MAIL, ,, RECEIP S (DOMestic Mail Only; No Ins urance Cove S i OFFICI AL USE S Postage E 1 C3 CenlOed Fee O C3 Retum Redept Fee PoWmark (Endomeman Required) Here O Reet Fee Lr) (Endorsmement ement Requ Requ ired) M Total Postage 8 Fees $ N 0 ° Car a ? . ?. o------. or PO Box NO. 0? y -.._- -------_ ciN Slate, ZlP+4 _______________________ --------------- -?Y CERTIFICATE OF SERVICE I, Megan Moll, an employee of the law firm of Angino & Rovner, P.C., do hereby certify that I am this day serving a true and correct copy of Petition to Make Rule Absolute addressed as follows: Scott L. Grenoble, Esquire Buzgon Davis 525 South Eighth Street Post Office Box 49 Lebanon, PA 17042 VIA REGULAR MAIL Steve Leonard c/o Lee Leonard 624 Kent Lane Apt. 52C Myrtle Beach, SC 29579 VIA CERTIFIED MAIL RETURNRECEIPT REQUESTED AND REGULAR MAIL Meg Moll Dated: 512LU ILS 301182 ?\n L ?, (") r?' c:i ?,? c,l C'") 'n •-? -?- _ r.?-, -, , ;.-r: ,..? i i w STEVEN P. LEONARD, IN THE COURT OF COMMON PLEAS Plaintiff OF CUMBERLAND COUNTY, PENNSYLVANIA vs. CIVIL ACTION - LAW SHAWN MURPHY, NO. b 5-- 9 F-2- Defendant JURY TRIAL DEMANDED MOTION TO DISMISS 1. This matter involves a motor vehicle accident which occurred on or about February 28, 2002. 2. Plaintiffs initiated suit, through their counsel, Neil Rovner of Angino & Rovner, on or about February 23, 2005. 3. On April 19, 2005, Defendant served Interrogatories and Request for Production of Documents upon Plaintiffs then attorney, Neil Rovner, Esquire. A copy of the Affidavit of Service is attached hereto as Exhibit "A". A copy of said discovery requests are attached hereto as Exhibit "B". 4. The parties agreed that the parties would be deposed on May 10, 2005. Plaintiffs' counsel cancelled the May 10, 2005 depositions because Plaintiffs failed to respond to repeated communications and because Plaintiffs' counsel had filed their Motion to Withdraw. 5. On or about April 22, 2005 Attorney Rovner filed a Motion to Withdraw from the case. 6. This honorable Court issued a Rule to Show Cause regarding Attorney Rovner's withdrawal on April 28, 2005. 7. Plaintiffs failed to respond to said Rule and Attorney Rovner was permitted to withdraw by Order dated June 2, 2005. 8. Plaintiff has failed to respond to outstanding discovery as is required by the Applicable Rules of Civil Procedure. 9. Plaintiff has failed to prosecute the case in a timely and efficient manner. 10. Plaintiff has failed to respond in any manner to the outstanding discovery and have failed to participate in this litigation in any substantive manner. 11. Pa.R.C.P. 4019(a)(i), (viii) and (c)(3) empowers the Court to enter a judgment of non-pros and dismiss a party's action where they have failed to participate in the litigation and failed to respond to discovery requests. 12. Defendant Shawn Murphy's defense of this matter has been irreparably and materially prejudiced as a result of Plaintiffs afore-referenced conduct and lack of participation in this litigation. WHEREFORE, Defendant, Shawn Murphy, respectfully requests this Honorable Court to dismiss Plaintiffs Complaint with prejudice. BUZGON DAVIS LAW OFFICES BY: SCOTT L. G OBLE, ESQUIRE Attorney I.D. 72808 525 South Eighth Street P.O. Box 49 Lebanon, PA 17042-0049 (717) 274-1421 Attorney for Defendant STEVEN P. LEONARD, IN THE COURT OF COMMON PLEAS Plaintiff OF CUMBERLAND COUNTY, PENNSYLVANIA VS. CIVIL ACTION - LAW SHAWN MURPHY, NO. Defendant JURY TRIAL DEMANDED AFFIDAVIT OF SERVICE COMMONWEALTH OF PENNSYLVANIA) ) ss: COUNTY OF LEBANON ) I, Janelle K. Worcester, an employee of the law firm of Buzgon Davis Law Offices, 525 South Eighth Street, Lebanon, Lebanon County, Pennsylvania, Attorneys for Defendant, being duly sworn according to law, depose and say that on March 22, 2005, I mailed the original and one copy of INTERROGATORIES and REQUEST FOR PRODUCTION OF DOCUMENTS OF DEFENDANT DIRECTED TO PLAINTIFF by First Class mail, in a postpaid envelope, a true and correct copy to Neil J. Rovner, Esquire, 4503 North Front Street, Harrisburg, Pennsylvania 17110-1708, Attorney for Plaintiff. Sworn to and subscribed before me this 22nd day of March, A.D., 2005. Amanda Lee Sneder, Notary Pubtlo City Of Lebow, Lebanon comfy Ay Cafheion titres Jan. 3, Zoos bar, Pennsylvania Assoolatton of Notaries EXHIBIT A I S ..r1 i0 1 n iApor avn! hbinnal lisurance CmnpnnyMPd Murphy 'Jnfeno34toria> d w „d05 9' 13 t\M STEVEN P. LEONARD, IN THE COURT OF COMMON PLEAS OF Plaintiff CUMBERLAND COUNTY, PENNSYLVANIA VS. CIVIL ACTION - LAW SHAWN MURPHY, NO. 05-982 Defendant INTERROGATORIES TO: Plaintiff, Steven P. Leonard and Neil J. Rovner, Esquire ANGINO & ROVNER, P.C. 4503 North Front Street Harrisburg, PA 17110 Attorney for Plaintiff We are enclosing herewith Interrogatories propounded by Defendant to be answered by Plaintiff, under oath, within thirty (30) days from the date served upon counsel for Plaintiff, pursuant to Pennsylvania Rules of Civil Procedure. These Interrogatories shall be deemed to be continuing, and if between the time of your answers and the time of trial of this case, you, or anyone acting on your behalf, learn of any further information not contained in your answers, you shall promptly furnish said information to the undersigned by supplemental answers thereto. EXHIBIT B I. DEFINITIONS A. As used herein, the term "YOU" or "YOUR" means the party responding to these Interrogatories, together with its agents, servants, employees, officers, directors, and all other persons acting or purporting to act on its behalf. B. As used herein, the term "IDENTIFY" or the phrase "STATE THE IDENTITY OF" when used in reference to an individual person, requires you to state the full name, present address, the present or last known position and business affiliation and the position and business affiliation at the time in question and when used in reference to a business entity or governmental agency requires you to state the full name and present address of the same. C. As used herein, the term "IDENTIFY" or the phrase "STATE THE IDENTITY OF" when used in reference to a document, means set forth the following information: (1) A general description thereof (e.g., letter, memorandum, report, etc.); (2) A brief summary of its contents; (3) The name and address of the custodian of the original; (4) The name and address of the person(s), if any, who drafted, prepared, compiled or signed it; and (5) Attach copies of all such documents to YOUR Answers to these Interrogatories. D. As used herein, the term "DOCUMENT" refers to any physical thing containing information or from which information can be discerned including, without limitation, any affidavit, agreement, appraisal, bid, book, book of account, check, contract, correspondence (sent or received), deed, disposition, diagram, diary, drawing, instrument, invoice, lease, ledger, memorandum, memorandum of lease, note, notes of conversations (typed or written), outline, -2- partnership agreement, paper, pamphlet, photograph, receipt, recording (whether or not transcribed), report, statement, study, transcript, visual depiction, voucher, and other such physical objects and things. E. As used herein, the term "INCLUDING" means including, but not limited to. F. As used herein, the term "ORAL COMMUNICATION" refers to any oral expression, exchange or transmission of thoughts, messages, information or the like at any time or place, and under any circumstances whatsoever. G. As used herein, the term "STATEMENT" means a written statement signed or otherwise adopted or approved by the person making it or a stenographic, mechanical, electrical or other recording, or a transcription thereof, which is a substantially verbatim recital or an oral statement by the person making it and contemporaneously recorded. H. As used herein, the term "INCIDENT" or "ACCIDENT" refers to events which took place on or September 29, 2003. 1. As referred to herein, "PLAINTIFF" means Steven P. Leonard. J. As referred to herein, "DEFENDANT" means Shawn Murphy. II. INTERROGATORIES 1. State the name, age, home and business addresses, and telephone number of all persons YOU expect to call as expert witnesses at the trial of the above-captioned matter. -3- 1 For all persons identified in answer to the preceding Interrogatory, set forth the subject matter to which the expert is expected to testify; the facts to which the expert is expected to testify; the opinion to which the expert is expected to testify; and a detailed summary of the factual grounds for each such opinion. (NOTE: If the person or persons listed in answer to this Interrogatory has provided you with a report which included the above information, you may attach a copy of same in lieu of answering this Interrogatory.) -4- 3. List the names and addresses of persons known or believed by you, or any person acting on your behalf, to have been within sight or hearing distance of the accident referred to in the Complaint, and with regard to each person, state: his or her exact location at the time of the accident; his or her activity at the time of the accident; and whether he or she witnessed the accident. -5- 4. List the names, addresses and telephone numbers of each fact witness you intend to call at trial, and briefly summarize their anticipated testimony. -6- 5. State in detail the nature of the injury or injuries YOU allege that YOU suffered as a result of the INCIDENT. -7- 6. With respect to the injuries allegedly suffered, state the extent and nature of any disability; describe in detail the location of any pain suffered and the duration and intensity of such pain; whether or not YOU suffered any restraint of YOUR normal activities due to the injuries allegedly suffered and describe in detail the nature of such restraint and the dates YOU suffered the pain; whether or not YOU are suffering any permanent disabilities of any nature whatsoever due to the injuries alleged suffered and describe in detail the nature of such disability; and if YOU have any permanent scars or disfigurement resulting from any injuries sustained in the ACCIDENT, give a description of the scars or disfigurement and state the injury which caused the scar and whether any plastic or reconstructive surgery has been performed or is contemplated. -8- 7. If YOU received any treatment with respect to the injuries alleged suffered, state the name and address of each hospital at which YOU were treated or admitted; the dates on which said treatment was rendered, including the dates of entry into and discharge from said hospitals or hospitals; itemize the charges rendered by each of the hospitals listed above; and state the names and address of each doctor or medical practitioner of any type whatsoever who has examined or treated YOU or conferred with YOU with respect to the alleged injuries; and itemize the nature, cost and expenses of such examinations or treatments by the doctors listed above. -9- 8. Since the date of the INCIDENT, have YOU been treated by or examined by or have YOU conferred with or consulted with any other doctor or medical practitioner of any type whatsoever whose name YOU have not heretofore supplied? . If so, state the name and address of each doctor or medical practitioner of any type whatsoever who has examined, treated, conferred or consulted with YOU and the date of the same; the condition for which said care or treatment or attention was rendered. -10- 9. If YOU are still receiving medical services or treatment of any nature whatsoever, state the name of each such person attending YOU; the approximate frequency of said treatment or service; the date YOU last received said treatment or service. -11- 10. Were YOU an insured (or beneficiary) under any policy of insurance which YOU received benefits or reimbursement for medical expenses, wage loss and/or other expenses resulting from the injuries received in the collision? . If so, state the name and address of the company paying the benefits; whether the company required YOU to assign to it any rights of recovery YOU may have against others; the nature of such benefits and in itemized form, state the exact amount of such benefits received. -12- 11. Have YOU worn any type of orthopedic appliance? If so, state the name of the doctor who fitted or prescribed the appliance; a description of the appliance and its cost; the dates on which YOU started wearing said appliance and which YOU stopped wearing said appliance; and whether said appliance was worn constantly or intermittently during the foregoing period, and, if both, state the period in which it was worn constantly. 12. List all medicine purchased or used by YOU in connection with the treatment of the injuries complained of, the cost thereof, and the store from which purchased. -13- 13. What was YOUR occupation or business at the time of the ACCIDENT in question, the nature of YOUR duties, YOUR rate of compensation and the amount of wages, if any, allegedly lost as a result or injuries sustained in the accident in question and the cause of such loss of time? 14. If employed since the INCIDENT referred to, state the name and address of each employer; the position held and the nature of work being performed for each such employer; hours worked per week; present weekly wages, earnings, income or profits; the name of YOUR immediate boss, foreman or other superior to whom YOU are responsible; and whether a physical examination was required and, if so, state the date, place and person giving the examination. -14- 15. State the name and address of each school, college, or educational institution YOU have attended, listing the dates of attendance and the courses of study. 16. List all hobbies, forms of recreation, social clubs, lodges or associations of any nature in which YOU have participated or were a member in the last ten years. -15- 17. Have YOU ever suffered any injuries in any accident during the ten (10) years prior to this INCIDENT? If so, state the date and place of such injury; a detailed description of all the injuries YOU received; the names and addresses of all hospitals rendering treatment; the names and address of all physicians, surgeons, osteopaths, chiropractors or other medical practitioners rendering treatment; the nature and extent of recovery, and, if any permanent disability was suffered, the nature and extent of the permanent disability; and if YOU were compensated in any manner for any such injury, state the names and addresses of each and every person or organization paying such compensation and the amount thereof. -16- 18. Have YOU ever had any serious illness, sickness, disease, or surgical operations, or other problems of a medical nature, during the period of ten (10) years prior to this INCIDENT or subsequent to this INCIDENT? . If so, state the date and place of each; a detailed description of YOUR symptoms; the names and addresses of all hospitals rendering treatment; the names and addresses of all physicians, surgeons, osteopaths, chiropractors or medical practitioners rendering treatment; and the approximate date of YOUR recovery and when YOUR condition became stationary and a description of YOUR condition at that time. -17- 19. Have YOU sustained any additional financial losses as a result of the INCIDENT complained of, other than those covered by the preceding Interrogatories? . If so, state the name and amount of such losses; the date(s) thereof; the names and addresses of any persons to whom any money so claimed as an additional loss was paid. -18- 20. State in detail the manner in which YOU assert that the INCIDENT occurred, specifying the speed, position, direction and location of each vehicle, whether PLAINTIFF'S vehicle physically contacted DEFENDANT'S vehicle, during its approach to, at the time of the immediately after the collision. -19- 21. Give a detailed description of all of YOUR actions in attempting to avoid the ACCIDENT. -20- 22. Do YOU, YOUR attorney, YOUR insurance carrier or anyone acting on YOUR or their behalf, have or know of any photographs, motion pictures, maps, drawings, diagrams, measurements, surveys or other descriptions concerning the events and happenings alleged, the scene of the ACCIDENT or the areas or persons or vehicles involved made either before, after, or at the time of the events in question, INCLUDING any photographs made of the PLAINTIFF at any time since the INCIDENT? If so, as to each state: (a) Its nature; (b) Its specific subject matter; (c) The date it was made or taken; (d) The name and last known address of the person making it or taking it; (e) What each such item purports to show or illustrate or represent; and (f) The name and address of the person having custody of such item. -21- 23, Did YOU consume any alcoholic beverage of any type, or any sedative, tranquilizer, or other drug, medicine or pill during the forty-eight (48) hours immediately preceding the INCIDENT? If so, state the nature, amount and type of item consumed; the amount of time over which consumed; the names and addresses of any and all persons who have any knowledge as to the consumption of these items; and the name and address of each physician or medical practitioner or other person who gave YOU, purchased or prescribed any of said items. -22- 24. State the full name and last known address, giving the street, street number, city and state, of every witness known to YOU or YOUR attorney who claims to have seen or heard PLAINTIFF make any statement or statements pertaining to any of the events or happenings alleged. -23- 25. Supply the following information with respect to each individual whose name YOU have given in the answer to the preceding Interrogatory; (a) The location or locations where the PLAINTIFF, made any such statement or statements; (b) The name and address of the person or persons in whose presence the PLAINTIFF made any such statement or statements; -24- (c) The time and date upon which PLAINTIFF made any such statement or statements; (d) The full name and address of any other person who was present at the time and place PLAINTIFF made such statement or statements. -25- 26. Have YOU ever been involved in any other legal action, either as a defendant or as a plaintiff? If so, state the date and place each such action was filed, giving the name of the court, the name of the other parry or parties involved, the number of such actions, and the names of the attorneys representing each party; a description of the nature of each such action; the result of each such action, whether there was an appeal and the result of the appeal and whether such case was reported and the name, volume number and page citation of such report. 27. List all violations of the motor vehicle or traffic laws or ordinances to which YOU have pleaded guilty or nolo contendere and of which YOU have been found guilty, the date of such offense, the court in which the case was heard and the nature of the violation charged. -26- NOTE: In accordance with Rule 4003.5 of the Pennsylvania Rules of Procedure, these answers shall be signed by any experts or, in the alternative, a copy of the experts' signed reports shall be attached. These Interrogatories are addressed to such experts as are included within the scope of Rule 4003.5. BUZGON DAVIS LAW OFFICES BY: Scott L. Gr n ble, Esquire Attorney l p/#72808 525 South ighth Street Post Office Box 49 Lebanon, PA 17042-0049 (717) 274-1421 Fax: (717) 274-1752 E-Mail: sgrenoble@buzgondavis.com Attorneys for Defendant -27- ".kwon01`,<I',dlb`,[,iliga[ionlronegal[Vd A Insurnnce Company\DM MurphyWD.doc-31101059.._AM STEVEN P. LEONARD, Plaintiff VS. SHAWN MURPHY, Defendant IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA CIVIL ACTION - LAW NO. 05-982 REQUEST FOR PRODUCTION OF DOCUMENTS OF DEFENDANT DIRECTED TO PLAINTIFF TO: Plaintiff, Steven P. Leonard and Neil J. Rovner, Esquire ANGINO & ROVNER, P.C. 4503 North Front Street Harrisburg, PA 17110 Attorney for Plaintiff AND NOW, comes the Defendant by his attorneys, Buzgon Davis Law Offices, and puts forth the following Request for Production of Documents. This Request for Production of Documents is deemed continuing, so as to require a supplemental answer if the Plaintiff, or Plaintiffs agents or representatives obtain other information between the time the answers are served and the time of trial. Pursuant to Pa.R.C.P. 4009, you are requested to respond to this Request for Production, by one of the three alternative methods stated below: (a) By mailing each of the requested items to Buzgon Davis Law Offices, 525 South Eighth Street, Lebanon, PA 17042-0049. (b) By delivering each of the requested items to Buzgon Davis Law Offices, 525 South Eighth Street, Lebanon, PA, for inspection, photographing, and/or copying. (c) By making arrangements for production of each of the items specified with the undersigned. DEFINITIONS As referred to herein, "DOCUMENT" includes all electronic media or other tangible forms in which information is stored and includes all written or graphic matter of every kind and description, however produced or reproduced, WHETHER DRAFT OR FINAL, original or reproduction, including, but not limited to, computer data, a-mail, letters, correspondence, memoranda, notes, films, transcripts, contracts, agreements, licenses, memoranda of telephone conversations or personal conversations, microfilm, telegrams, books, newspaper articles, magazines, advertisements, periodicals, bulletins, circular, pamphlets, statements, notices, reports, rules, regulations, directives, teletype messages, minutes of meetings, interoffice communications, reports, financial statements, ledgers, books of account, proposals, prospectuses, offers, orders, receipts, working papers, desk calendars, appointment books, diaries, time sheets, logs, movies, tapes for visual or audio reproduction, recordings or materials similar to any of the foregoing, however denominated, and including writings, drawings, graphs, charts, photographs, data processing results, printouts and computations (both in existence and stored in memory components), and other compilations from which information can be obtained or translated, if necessary, through detection devices into reasonable usable form. THE TERM "DOCUMENT" INCLUDES ALL COPIES OF A DOCUMENT WHICH CONTAINS ANY ADDITIONAL WRITING, UNDERLINING, NOTES, DELETIONS, OR ANY OTHER MARKINGS OR NOTATIONS, OR ARE OTHERWISE NOT IDENTICAL COPIES OF THE ORIGINAL. -2- As used herein, the term "STATEMENT" means a written statement signed or otherwise adopted or approved by the person making it or a stenographic, mechanical, electrical or other recording, or a transcription thereof, which is a substantially verbatim recital or an oral statement by the person making it and contemporaneously recorded. DOCUMENTS TO BE PRODUCED 1. The entire claims and investigation file or files, including all insurance policies of the Plaintiff (excluding reference to mental impressions, conclusions or opinions representing the value or merit of the claim or defense, or in respect to strategy or tactics and privileged communications from counsel). 2. All statements obtained from all witnesses or parties, or memoranda of conversations with witnesses or parties made or obtained during the course of the investigation of matters relating to this litigation. For purposes of this request, a "statement" is defined to mean a written statement signed or otherwise adopted or approved by the person making it or a stenographic, mechanical, electrical or other recording, or a transcription thereof, which is a substantially verbatim recital of an oral statement by the person making it and contemporaneously recorded. 3. All photographs, motion pictures, slides, plans, drawings, graphs, writings, blueprints, charts, maps, diagrams or surveys, video tapes, brochures, catalogs, pamphlets, advertising materials and manufacturer's instructions pertaining to the subject of this litigation. -3- 4. Any and all of Steven P. Leonard's medical bills, medical reports and notes, hospital records, physicians and medical professionals' reports, including typed and handwritten notes, and a statement of all tests administered, together with the results thereof. 5. Plaintiff's tax returns for a period of five years prior to the date of said accident. 6. Any and all receipts, credit cards, invoices, statements, or any other documentation reflecting purchases which were made by Plaintiff on the date of the incident, September 29, 2003. 7. Any and all documents, objects, or other things which are identified or in any way referred to or described by Plaintiff in Plaintiffs Answers to the First Set of Interrogatories. If you object to the production of any document on the grounds that the attomey-client, attorney work-product or any other privilege is applicable thereto, you shall, with respect to that document: (a) State its date; (b) Identify its author; (c) Identify each person who prepared or participated in the preparation of the document; (d) Identify each person who received it; (e) Identify each person from whom the document was received; (f) State the present location of the document and all copies thereof; -4- (g) Identify each person who has ever had possession, custody or control of it or a copy thereof; and (h) Provide sufficient information concerning the document and the circumstances thereof to explain the claim of privilege and to permit the adjudication of the propriety of that claim. BUZGON DAVIS LAW OFFICES BY: Scott L. Grenoble, Esquire Attorney I.D. #72808 525 South Eighth Street Post Office Box 49 Lebanon, PA 17042-0049 (717) 274-1421 Fax: (717) 274-1752 E-Mail: Grenoble@buzgondavis.com Attorneys for Defendant DATED: -5- STEVEN P. LEONARD, IN THE COURT OF COMMON PLEAS Plaintiff OF CUMBERLAND COUNTY, PENNSYLVANIA VS. CIVIL ACTION - LAW SHAWN MURPHY, NO. Defendant JURY TRIAL DEMANDED AFFIDAVIT OF SERVICE COMMONWEALTH OF PENNSYLVANIA) ) ss: COUNTY OF LEBANON ) I, Janelle K. Worcester, an employee of the law firm of Buzgon Davis Law Offices, 525 South Eighth Street, Lebanon, Lebanon County, Pennsylvania, Attorneys for Defendant, being duly sworn according to law, depose and say that on June 17, 2005, I mailed for filing, in the Office of the Prothonotary of Cumberland County, the original MOTION TO DISMISS and that I mailed, by Certified Return Receipt mail, in a postpaid envelope, a true and correct copy to Steven P. Leonard, c/o Lee Leonard, 624 Kate Lane, Apt. 52C, Myrtle Beach, SC 29575, Plaintiff. Sworn to and subscribed before me this 17d' day of June, A.D., 2005. (_lJGc?INdtaryNublic (J ?JJ Notarial Seal Kelly L. ENxger. Nom oty of LebanonEx?r? N,y Cgnmfss? pAember. Pennsy':vania Assor+a+ OI NoYdfieS C-, ?, m J T; ? ?, T ,. _ - i? `-j .. ? G? ,, K RECEIVED JUN 211005 STEVEN P. LEONARD, IN THE COURT OF COMMON PLEAS Plaintiff OF CUMBERLAND COUNTY, PENNSYLVANIA vs. CIVIL ACTION - LAW SHAWN MURPHY, NO. Defendant JURY TRIAL DEMANDED ORDER AND NOW this 1:2??date of of Defendant's Motion to Dismiss, 0 5 -\CW-) 2005, after consideration kiji•, i?.,!(? i rN,; t,.IJ.i I-,A JO STEVEN P. LEONARD, IN THE COURT OF COMMON PLEAS Plaintiff OF CUMBERLAND COUNTY, PENNSYLVANIA vs. CIVIL ACTION - LAW SHAWN MURPHY, NO. Defendant JURY TRIAL DEMANDED MOTION TO DISMISS 1. This matter involves a motor vehicle accident which occurred on or about February 28, 2002. 2. Plaintiffs initiated suit, through their counsel, Neil Rovner of Angino & Rovner, on or about February 23, 2005. 3. On April 19, 2005, Defendant served Interrogatories and Request for Production of Documents upon Plaintiffs then attorney, Neil Rovner, Esquire. A copy of the Affidavit of Service is attached hereto as Exhibit "A". A copy of said discovery requests are attached hereto as Exhibit "B". 4. The parties agreed that the parties would be deposed on May 10, 2005. Plaintiffs' counsel cancelled the May 10, 2005 depositions because Plaintiffs failed to respond to repeated communications and because Plaintiffs' counsel had filed their Motion to Withdraw. 5. On or about April 22, 2005 Attorney Rovner filed a Motion to Withdraw from the case. 6. This honorable Court issued a Rule to Show Cause regarding Attorney Rovner's withdrawal on April 28, 2005. 7. Plaintiffs failed to respond to said Rule and Attorney Rovner was permitted to withdraw by Order dated June 2, 2005. 8. Plaintiff has failed to respond to outstanding discovery as is required by the Applicable Rules of Civil Procedure. 9. Plaintiff has failed to prosecute the case in a timely and efficient manner. 10. Plaintiff has failed to respond in any manner to the outstanding discovery and have failed to participate in this litigation in any substantive manner. 11. Pa.R.C.P. 4019(a)(i), (viii) and (c)(3) empowers the Court to enter a judgment of non-pros and dismiss a party's action where they have failed to participate in the litigation and failed to respond to discovery requests. 12. Defendant Shawn Murphy's defense of this matter has been irreparably and materially prejudiced as a result of Plaintiffs afore-referenced conduct and lack of participation in this litigation. WHEREFORE, Defendant, Shawn Murphy, respectfully requests this Honorable Court to dismiss Plaintiff's Complaint with prejudice. BUZGON DAVIS LAW OFFICES BY: SCOTT L. GRE LE, ESQUIRE Attorney I.D. #k.24908 525 South Eighth Street P.O. Box 49 Lebanon, PA 17042-0049 (717) 274-1421 Attorney for Defendant STEVEN P. LEONARD, Plaintiff VS. SHAWN MURPHY, Defendant AND NOW this date of IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA CIVIL ACTION - LAW NO. JURY TRIAL DEMANDED ORDER 2005, after consideration of Defendant's Motion to Dismiss, and Plaintiff's failure to respond thereto, this action is hereby dismissed with prejudice. I. DEFINITIONS A. As used herein, the term "YOU" or "YOUR" means the party responding to these Interrogatories, together with its agents, servants, employees, officers, directors, and all other persons acting or purporting to act on its behalf. B. As used herein, the term "IDENTIFY" or the phrase "STATE THE IDENTITY OF" when used in reference to an individual person, requires you to state the full name, present address, the present or last known position and business affiliation and the position and business affiliation at the time in question and when used in reference to a business entity or governmental agency requires you to state the full name and present address of the same. C. As used herein, the term "IDENTIFY" or the phrase "STATE THE IDENTITY OF" when used in reference to a document, means set forth the following information: (1) A general description thereof (e.g., letter, memorandum, report, etc.); (2) A brief summary of its contents; (3) The name and address of the custodian of the original; (4) The name and address of the person(s), if any, who drafted, prepared, compiled or signed it; and (5) Attach copies of all such documents to YOUR Answers to these Interrogatories. D. As used herein, the term "DOCUMENT" refers to any physical thing containing information or from which information can be discerned including, without limitation, any affidavit, agreement, appraisal, bid, book, book of account, check, contract, correspondence (sent or received), deed, disposition, diagram, diary, drawing, instrument, invoice, lease, ledger, memorandum, memorandum of lease, note, notes of conversations (typed or written), outline, -2- partnership agreement, paper, pamphlet, photograph, receipt, recording (whether or not transcribed), report, statement, study, transcript, visual depiction, voucher, and other such physical objects and things. E. As used herein, the term "INCLUDING" means including, but not limited to. F. As used herein, the term "ORAL COMMUNICATION" refers to any oral expression, exchange or transmission of thoughts, messages, information or the like at any time or place, and under any circumstances whatsoever. G. As used herein, the term "STATEMENT" means a written statement signed or otherwise adopted or approved by the person making it or a stenographic, mechanical, electrical or other recording, or a transcription thereof, which is a substantially verbatim recital or an oral statement by the person making it and contemporaneously recorded. H. As used herein, the term "INCIDENT" or "ACC [DENT" refers to events which took place on or September 29, 2003. I. As referred to herein, "PLAINTIFF" means Steven P. Leonard. J. As referred to herein, 'DEFENDANT' means Shawn Murphy. H. INTERROGATORIES 1. State the name, age, home and business addresses, and telephone number of all persons YOU expect to call as expert witnesses at the trial of the above-captioned matter. -3- 2. For all persons identified in answer to the preceding Interrogatory, set forth the subject matter to which the expert is expected to testify; the facts to which the expert is expected to testify; the opinion to which the expert is expected to testify; and a detailed summary of the factual grounds for each such opinion. (NOTE: If the person or persons listed in answer to this Interrogatory has provided you with a report which included the above information, you may attach a copy of same in lieu of answering this Interrogatory.) -4- 3. List the names and addresses of persons known or believed by you, or any person acting on your behalf, to have been within sight or hearing distance of the accident referred to in the Complaint, and with regard to each person, state: his or her exact location at the time of the accident; his or her activity at the time of the accident; and whether he or she witnessed the accident. -5- 4. List the names, addresses and telephone numbers of each fact witness you intend to call at trial, and briefly summarize their anticipated testimony. -6- 5. State in detail the nature of the injury or injuries 'YOU allege that YOU suffered as a result of the INCIDENT. -7- 6. With respect to the injuries allegedly suffered, state the extent and nature of any disability; describe in detail the location of any pain suffered and the duration and intensity of such pain; whether or not YOU suffered any restraint of YOUR normal activities due to the injuries allegedly suffered and describe in detail the nature of such restraint and the dates YOU suffered the pain; whether or not YOU are suffering any permanent disabilities of any nature whatsoever due to the injuries alleged suffered and describe in detail the nature of such disability; and if YOU have any permanent scars or disfigurement resulting from any injuries sustained in the ACCIDENT, give a description of the scars or disfigurement and state the injury which caused the scar and whether any plastic or reconstructive surgery has been performed or is contemplated. -8- 7. If YOU received any treatment with respect to the injuries alleged suffered, state the name and address of each hospital at which YOU were treated or admitted; the dates on which said treatment was rendered, including the dates of entry into and discharge from said hospitals or hospitals; itemize the charges rendered by each of the hospitals listed above; and state the names and address of each doctor or medical practitioner of any type whatsoever who has examined or treated YOU or conferred with YOU with respect to the alleged injuries; and itemize the nature, cost and expenses of such examinations or treatments by the doctors listed above. -9- 8. Since the date of the INCIDENT, have YOU been. treated by or examined by or have YOU conferred with or consulted with any other doctor or medical practitioner of any type whatsoever whose name YOU have not heretofore supplied? _ . If so, state the name and address of each doctor or medical practitioner of any type whatsoever who has examined, treated, conferred or consulted with YOU and the date of the same; the condition for which said care or treatment or attention was rendered. -10- 9. If YOU are still receiving medical services or treatment of any nature whatsoever, state the name of each such person attending YOU; the approximate frequency of said treatment or service; the date YOU last received said treatment or service. -11- 10. Were YOU an insured (or beneficiary) under any policy of insurance which YOU received benefits or reimbursement for medical expenses, wags: loss and/or other expenses resulting from the injuries received in the collision? . If so;, state the name and address of the company paying the benefits; whether the company required YOU to assign to it any rights of recovery YOU may have against others; the nature of such benefits and in itemized form, state the exact amount of such benefits received. -12- 11. Have YOU worn any type of orthopedic appliance? If so, state the name of the doctor who fitted or prescribed the appliance; a description of the appliance and its cost; the dates on which YOU started wearing said appliance and which YOU stopped wearing said appliance; and whether said appliance was worn constantly or intermittently during the foregoing period, and, if both, state the period in which it was worn constantly. 12. List all medicine purchased or used by YOU in connection with the treatment of the injuries complained of, the cost thereof, and the store from which purchased. -13- 13. What was YOUR occupation or business at the time of the ACCIDENT in question, the nature of YOUR duties, YOUR rate of compensation and the araount of wages, if any, allegedly lost as a result or injuries sustained in the accident in question and the cause of such loss of time? 14. If employed since the INCIDENT referred to, state the name and address of each employer; the position held and the nature of work being performed for each such employer; hours worked per week; present weekly wages, earnings, income or profits; the name of YOUR immediate boss, foreman or other superior to whom YOU are responsible; and whether a physical examination was required and, if so, state the date, place and person giving the examination. -14- 15. State the name and address of each school, college, or educational institution YOU have attended, listing the dates of attendance and the courses of study'. 16. List all hobbies, forms of recreation, social clubs, lodges or associations of any nature in which YOU have participated or were a member in the last ten years. -15- 17. Have YOU ever suffered any injuries in any accident during the ten (10) years prior to this INCIDENT? If so, state the date and place of such injury; a detailed description of all the injuries YOU received; the names and addresses of all hospitals rendering treatment; the names and address of all physicians, surgeons, osteopaths, chiropractors or other medical practitioners rendering treatment; the nature and extent of recovery, and, if any permanent disability was suffered, the nature and extent of the permanent disability; and if YOU were compensated in any manner for any such injury, state the names and addresses of each and every person or organization paying such compensation and the amount thereof. -16- 18. Have YOU ever had any serious illness, sickness, disease, or surgical operations, or other problems of a medical nature, during the period of ten (10) years prior to this INCIDENT or subsequent to this INCIDENT? . If so, state the date and place of each; a detailed description of YOUR symptoms; the names and addresses of all hospitals rendering treatment; the names and addresses of all physicians, surgeons, osteopaths, chiropractors or medical practitioners rendering treatment; and the approximate date of YOUR recovery and when YOUR condition became stationary and a description of YOUR condition at that time. -17- 19. Have YOU sustained any additional financial losses as a result of the INCIDENT complained of, other than those covered by the preceding Interrogatories? . If so, state the name and amount of such losses; the date(s) thereof; the manes and addresses of any persons to whom any money so claimed as an additional loss was paid. -18- 20. State in detail the manner in which YOU assert that the INCIDENT occurred, specifying the speed, position, direction and location of each vehicle, whether PLAINTIFF'S vehicle physically contacted DEFENDANT'S vehicle, during its approach to, at the time of the immediately after the collision. -19- 21. Give a detailed description of all of YOUR actions in attempting to avoid the ACCIDENT. -20- 22. Do YOU, YOUR attorney, YOUR insurance carrier or anyone acting on YOUR or their behalf, have or know of any photographs, motion pictures, maps, drawings, diagrams, measurements, surveys or other descriptions concerning the events and happenings alleged, the scene of the ACCIDENT or the areas or persons or vehicles involved made either before, after, or at the time of the events in question, INCLUDING any photographs made of the PLAINTIFF at any time since the INCIDENT? If so, as to each state: (a) Its nature; (b) Its specific subject matter; (c) The date it was made or taken; (d) The name and last known address of the person making it or taking it; (e) What each such item purports to show or illustrate or represent; and (f) The name and address of the person having custody of such item. -21- 23. Did YOU consume any alcoholic beverage of any type, or any sedative, tranquilizer, or other drug, medicine or pill during the forty-eight (48) hours immediately preceding the INCIDENT? If so, state the nature, amount and type of item consumed; the amount of time over which consumed; the names and addresses of any and all persons who have any knowledge as to the consumption of these items; and the name and address of each physician or medical practitioner or other person who gave YOU, purchased or prescribed any of said items. -22- 24. State the full name and last known address, giving the street, street number, city and state, of every witness known to YOU or YOUR attorney who claims to have seen or heard PLAINTIFF make any statement or statements pertaining to any of the events or happenings alleged. -23- 25. Supply the following information with respect to each individual whose name YOU have given in the answer to the preceding Interrogatory; (a) The location or locations where the PLAINTIFF, made any such statement or statements; (b) The name and address of the person or persons in whose presence the PLAINTIFF made any such statement or statements; -24- (c) The time and date upon which PLAINTIFF made any such statement or statements; (d) The full name and address of any other person who was present at the time and place PLAINTIFF made such statement or statements. -25- 26. Have YOU ever been involved in any other legal action, either as a defendant or as a plaintiff? If so, state the date and place each such action was filed, giving the name of the court, the name of the other party or parties involved, the manber of such actions, and the names of the attorneys representing each party; a description of the nature of each such action; the result of each such action, whether there was an appeal and the result of the appeal and whether such case was reported and the name, volume number and page citation of such report. 27. List all violations of the motor vehicle or traffic laws or ordinances to which YOU have pleaded guilty or nolo contendere and of which YOU have been found guilty, the date of such offense, the court in which the case was heard and the nature of the violation charged. -26- NOTE: In accordance with Rule 4003.5 of the Pennsylvania Rules of Procedure, these answers shall be signed by any experts or, in the alternative, a. copy of the experts' signed reports shall be attached. These Interrogatories are addressed to such experts as are included within the scope of Rule 4003.5. BUZGON DAVIS LAW OFFICES BY: Scott L. Gr n ble, Esquire Attorney l p,/#72808 525 South ighth Street Post Office Box 49 Lebanon, PA 17042-0049 (717) 274-1421 Fax: (717) 274-1752 E-Mail: sgrenoble@buzgondavis.com Attorneys for Defendant -27- \IArro1101`,A'.dlb\Litisation\Donegad lr,. A Insurance Company\DM MorphyTI)DAoc -3110/059... AM STEVEN P. LEONARD, Plaintiff VS. SHAWN MURPHY, Defendant IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA CIVIL ACTION - LAW NO. 05-982 REQUEST FOR PRODUCTION OF DOCUMENTS OF DEFENDANT DIRECTED TO PLAINTIFF TO: Plaintiff, Steven P. Leonard and Neil J. Rovner, Esquire ANGINO & ROVNER, P.C. 4503 North Front Street Harrisburg, PA 17110 Attorney for Plaintiff AND NOW, comes the Defendant by his attorneys, Buzgon Davis Law Offices, and puts forth the following Request for Production of Documents. This Request for Production of Documents is deemed continuing, so as to require a supplemental answer if the Plaintiff, or Plaintiffs agents or representatives obtain other information between the time the answers are served and the time of trial. Pursuant to Pa.R.C.P. 4009, you are requested to respond to this Request for Production, by one of the three alternative methods stated below: (a) By mailing each of the requested items to Buzgon Davis Law Offices, 525 South Eighth Street, Lebanon, PA 17042-0049. (b) By delivering each of the requested items to Buzgon Davis Law Offices, 525 South Eighth Street, Lebanon, PA, for inspection, photographing, and/or copying. (c) By making arrangements for production of each of the items specified with the undersigned. As referred to herein, "DOCUMENT" includes all electronic media or other tangible forms in which information is stored and includes all written or graphic matter of every kind and description, however produced or reproduced, WHETHER. DRAFT OR FINAL, original or reproduction, including, but not limited to, computer data, e-mail, letters, correspondence, memoranda, notes, films, transcripts, contracts, agreements, licenses, memoranda of telephone conversations or personal conversations, microfilm, telegrams, books, newspaper articles, magazines, advertisements, periodicals, bulletins, circular, pamphlets, statements, notices, reports, rules, regulations, directives, teletype messages, minutes of meetings, interoffice communications, reports, financial statements, ledgers, books of account, proposals, prospectuses, offers, orders, receipts, working papers, desk calendars, appointment books, diaries, time sheets, logs, movies, tapes for visual or audio reproduction, recordings or materials similar to any of the foregoing, however denominated, and including writings, drawings, graphs, charts, photographs, data processing results, printouts and computations (both in existence and stored in memory components), and other compilations from which information can be obtained or translated, if necessary, through detection devices into reasonable usable form. THE TERM "DOCUMENT" INCLUDES ALL COPIES OF A DOCUMENT WHICH CONTAINS ANY ADDITIONAL WRITING, UNDERLINING, NOTES, DELETIONS, OR ANY OTHER MARKINGS OR NOTATIONS, OR ARE OTHERWISE NOT IDENTICAL COPIES OF THE ORIGINAL. -2- Y As used herein, the term "STATEMENT" means a written statement signed or otherwise adopted or approved by the person making it or a stenographic, mechanical, electrical or other recording, or a transcription thereof, which is a substantially verbatim recital or an oral statement by the person making it and contemporaneously recorded. DOCUMENTS TO BE PRODUCED 1. The entire claims and investigation file or files, including all insurance policies of the Plaintiff (excluding reference to mental impressions, conclusions or opinions representing the value or merit of the claim or defense, or in respect to strategy or tactics and privileged communications from counsel). 2. All statements obtained from all witnesses or parties, or memoranda of conversations with witnesses or parties made or obtained during the course of the investigation of matters relating to this litigation. For purposes of this request, a "statement" is defined to mean a written statement signed or otherwise adopted or approved by the person making it or a stenographic, mechanical, electrical or other recording, or a transcription thereof, which is a substantially verbatim recital of an oral statement by the person making it and contemporaneously recorded. 3. All photographs, motion pictures, slides, plans, drawings, graphs, writings, blueprints, charts, maps, diagrams or surveys, video tapes, brochures, catalogs, pamphlets, advertising materials and manufacturer's instructions pertaining to the subject of this litigation. -3- STEVEN P. LEONARD, IN THE COURT OF COMMON PLEAS Plaintiff OF CUMBERLAND COUNTY, PENNSYLVANIA vs. CIVIL ACTION - LAW SHAWN MURPHY, NO. 05-982 Defendant JURY TRIAL DEMANDED AFFIDAVIT OF SERVICE COMMONWEALTH OF PENNSYLVANIA) ) ss: COUNTY OF LEBANON ) I, Janelle K. Worcester, an employee of the law firm of Buzgon Davis Law Offices, 525 South Eighth Street, Lebanon, Lebanon County, Pennsylvania, Attorneys for Defendant, being duly sworn according to law, depose and say that on June 30, 2005, I mailed for filing, in the Office of the Prothonotary of Cumberland County, the original MOTION TO DISMISS and that I mailed, by Certified Return Receipt mail, in a postpaid envelope, a true and correct copy to Steven P. Leonard, c/o Lee Leonard, 624 Kate Lane, Apt. 52C, Myrtle Beach, SC 29575, Plaintiff. Sworn to and subscribed before me this 30`h day of June, A.D., 2005. \NotanW seas Kelly L. EXirger, Notary Pubic Qty Of Lebanon, Lebmw County My Commimm Expires Mar. 10, 2007 WORCESTER Member Pennsylvania Ass- tatbn Of Notanes f C3 ?? `? u` `? i ? ? T r?7 l ' Z?? ? [" 'Til. ?'_'} ? . :.. ? ` ,v t f/' j T i_(i 1R ? G? t ?? ? . ?IG . ,, S' ?{ C SJ RECEIVED JUL 200?6 STEVEN P. LEONARD, Plaintiff VS. SHAWN MURPHY, Defendant IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA. CIVIL ACTIQQI - LAW NO. 0,5 '?Y72,_ JURY TRIAL DEMANDED RULE TO SHOW CAUSE AND NOW, this !6 6.1, day of ? , 2005, a Rule is issued to the Plaintiff, Steven P. Leonard, to show cause why Defendant's Motion to Dismiss, should not be granted. Rule returnable ? 0 ob days after service. tiaifV?;nlA^I?!P,d N?r? i t"C.^ s fif1J :6 IN 8- l1r SOOZ ilONOH108d ?Hl JO IOHAIO-{]Dlu M ta70 ?£ :6 aNl ?4 STEVEN P. LEONARD, Plaintiff VS. SHAWN MURPHY, Defendant IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA CIVIL ACTION - LAW NO. 05-982 JURY TRIAL DEMANDED MOTION TO MAKE RULE ABSOLUTE AND NOW, comes the Defendant by his attorneys, Buzgon Davis Law Offices, and files this Motion to Make Rule Absolute averring as follows: 1. On or about June 17, 2005, Defendant's counsel filed a Motion to Dismiss due to Plaintiffs failure to prosecute the case in a timely and efficient manner. 2. Plaintiff has also failed to respond in any manner to outstanding discovery and has failed to participate in this litigation in any substantive manner. 3. On July 8, 2005 a Rule was issued upon Plaintiff to show cause why Defendant's Motion to Dismiss should not be granted. 4. Copies of all Motions and the Court Order were forwarded to Plaintiffs address of record consistent with the applicable Rule of Civil Procedure. 5. Respondent has failed to respond to Defendant's Motion to Dismiss. WHEREFORE, Defendant respectfully requests your Honorable Court to enter an Order dismissing Plaintiff's case with prejudice. BY: BUZGON DAVIS LAW OFFICES Scott L. Grenob] Attorney I.D. #7 525 South Eight Post Office Box Lebanon, PA 17042-0049 (717) 274-1421 Attorneys for Defendant -2- STEVEN P. LEONARD, Plaintiff vs. SHAWN MURPHY, Defendant IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA CIVIL ACTION - LAW NO. 05-982 JURY TRIAL DEMANDED AFFIDAVIT OF SERVICE COMMONWEALTH OF PENNSYLVANIA) ) ss: COUNTY OF LEBANON ) I, Janelle K. Worcester, an employee of the law firm of Buzgon Davis Law Offices, 525 South Eighth Street, Lebanon, Lebanon County, Pennsylvania, Attorneys for Defendant, being duly sworn according to law, depose and say that on August 26., 2005, 1 mailed for filing, in the office of the Prothonotary of Cumberland County, the original MOTION TO MAKE RULE ABSOLUTE and that I mailed, by Certified Return Receipt mail, in a postpaid envelope, a true and correct copy to Steven P. Leonard, c/o Lee Leonard, 624 Kate Lane, Apt. 52C, Myrtle Beach, SC 29575, Plaintiff. Swom to and subscribed before me this 26d' day of August, A.D., 2005. "'Manal seal U L. EIIRW, N00ry PUt*c Lebanon. Lebanon County nis, ion Exppn-s Mar. 10.2007 C] i C.J C: L -? N MICHAEL L. BANGS, ESQUIRE ATTORNEY FOR PLAINTIFF I.D. NO. 41263 429 SOUTH 18' STREET CAMP HILL, PA 17011 (717) 730-7310 HEMPT BROS., INC., ) IN THE COURT OF COMMON PLEAS Plaintiff ) OF CUMBERLAND COUNTY, PENNSYLVANIA Vs. ) NO. 2005-622 CIVIL STARNET ENTERPRISES, INC., ) Defendant ) CIVIL ACTION MOTION FOR SANCTIONS AND NOW comes the Plaintiff by and through its counsel, Michael L. Bangs, Esquire, and files this Motion for Sanctions based upon the following: 1. Plaintiff filed a Motion to Compel Ron Blystone to appear for a deposition on the 18`h day of August, 2005, at 9:00 a.m., and subsequently the Court entered an Order requiring his attendance dated July 26, 2005. Attached hereto and marked as Exhibit A is a true and correct copy of the Order and Motion. 2. Mr. Blystone was sent the Order by regular mail to his corporate office at 1845 Market Street, Camp Hill, Pennsylvania. Attached hereto and marked as Exhibit B is a true and correct copy of the letter. 3. Mr. Blystone failed to appear on that date. 4. This is the second time that Mr. Blystone has failed to appear, first having been subpoenaed to appear on July 6, 2005. 5. Mr. Blystone has blatantly disregarded a subpoena compelling him to testify at a deposition and an Order of this Court compelling him to testify at a deposition. 6. The purpose of the deposition was to conduct discovery in aid of execution as a result of a property claim filed by Mr. Blystone to the above term and number. 7. Plaintiff has incurred unnecessary legal costs as a result of the dilatory tactics employed by Mr. Blystone and his complete disregard for an Order of this Court. 8. Plaintiff has incurred two separate costs each in the amount of $55.00 for the attendance of stenographers at the scheduled depositions. WHEREFORE, Plaintiff requests this Honorable Court impose the following sanctions: 1. Order and direct Ron Blystone to pay Hempt Bros., Inc., the sum of $500.00 to reimburse it for its attorney's costs within ten (10) days of this Order; 2. Order and direct Ron Blystone to pay Hempt Bros., Inc., the sum of $110.00 to reimburse it for costs incurred for the attendance of the stenographer; 3. Preclude Ron Blystone from presenting any evidence or testimony concerning the property claim that he filed; and 4. Such other relief as the Court deems appropriate. Respectfully submitted, MICHAEL L. BA14GS Attorney for Plaintiff 429 South 18th Street Camp Hill, PA 17011 (717) 730-7310 Supreme Court ID 941263 CERTIFICATE OF SERVICE I HEREBY CERTIFY that I have this day served the foregoing PLAINTIFFS' MOTION FOR SANCTIONS by depositing a copy of same in the United States mail, postage prepaid, at Camp Hill, Pennsylvania, addressed to the following: Starnet Enterprises, Inc. 1845 Market Street Camp Hill, PA 17011 ?? Q? l Date: N Y S CHESBRO Legal Ass' tant `rcc LIVED JUL 222005 MICHAEL L. BANGS, ESQUIRE I.D. NO. 41263 429 SOUTH 18TH STREET CAMP HILL, PA 17011 (717) 730-7310 ATTORNEY FOR PLAINTIFF riKUJ., INC;. vs. Plaintiff STARNET ENTERPRISES, INC. Defendant IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA NO. 2005-622 CIVIL CIVIL ACTION nn11 ORDER AND NOW this JCL 4 day of 2005, upon receipt of the attached Motion to Compel, it is ordered an directed that Ron Blystone appear for a deposition on the 18th day of August, 2005, at 9:00 a.m. at the law office of Michael L. Bangs, Esquire, 429 South 18th Street, Camp Hill, Pennsylvania, and bring with him all corporate and/or organizational documents for Stamet Enterprises, Inc., Starnet Technologies, Inc., Caledonia Construction Services, and Starnet Electrical Group. BY THE COURT TRUE. COPY FROM, FZC7F`D In Tesfimony wher-of, ! here unto scP my hand 8rld the s a{ of sai Co rt a Car,?sle, Pa. :.. Pro onotary MICHAEL L. BANGS, ESQUIRE ATTORNEY FOR PLAINTIFF I.D. NO. 41263 429 SOUTH I gTH STREET CAMP HILL, PA 17011 (717) 730-7310 HEMPT BROS., INC. ) IN THE COURT OF COMMON PLEAS Plaintiff ) OF CUMBERLAND COUNTY, PENNSYLVANIA VS. ) NO. 2005-622 CIVIL STARNET ENTERPRISES, INC. ) Defendant ) CIVIL ACTION MOTION TO COMPEL AND NOW comes the Plaintiff, by and through its attorney Michael L. Bangs. Esquire. and files this Motion to Compel based upon the following: 1. Plaintiff obtained ajudgment against Defendant and filed a Praecipe for Writ of Execution or about March 22, 2005. 2. The Sheriff levied on the personal property thereafter. 3. On or about June 27, 2005, there was filed with the Sheriff a Notice of Property Claim wherein Ron Blystone filed the property claim identifying himself as Ron Blystone, CEO, Starnet Technologies, Inc., and the owner of the property that was levied upon. Attached hereto and marked as Exhibit A is a true and correct copy of the document. 4. Ron Blystone, according to the Corporation Bureau, is also the owner of Starnet Enterprises, Inc., as well as another entity called Starnet Electrical Group. 5. Plaintiff scheduled a deposition in aid of execution for Mr. Blystone and served Mr. Blystone with a Subpoena on July 6, 2005 to attend and testify on July 11, 2005. 6. Mr. Blystone failed to appear on July 11, 2005. 7. Mr. Blystone has been unrepresented nor has any counsel who is representing Mr. Blystone personally indicated a reason for his non-appearance. 8. Plaintiff needs to conduct the discovery in aid of execution as a result of the property claim. WHEREFORE, Plaintiff requests this Honorable Court to enter the following Order: A. Order and direct that Ron Blystone appear on the 18`i' day of August, 2005, at 9:00 o'clock a.m. for a deposition at the law offices of Michael L. Bangs, Esquire, 429 South 18`h Street, Camp Hill, Pennsylvania, and bring with him the items requested on the Subpoena previously served. Respectfully submitted, MICHAEL L. BANGS Attorney for Plaintiff 429 South 18th Street Camp Hill, PA 17011 (717) 730-7310 Supreme Court ID 441263 CERTIFICATE OF SERVICE I HEREBY CERTIFY that I have this day served the foregoing MOTION TO COMPEL by depositing a copy of same in the United States mail, postage prepaid, at Camp Hill, Pennsylvania, addressed to the following: Starnet Enterprises, Inc. 1845 Market Street Camp Hill, PA 17011 Mr. Ron Blystone 1845 Market Street Camp Hill, PA 17011 DA' WENDY S. CHESBRO Legal Assistant NOTICE OF PROPERTY CLAIM Hempt Bros., Inc. VS Starnet Enterprises 1845 Market St Camp Hill, PA 17011 In the Court of Common Pleas of Cumberland County, Pennsylvania No. C5-622 Civil Term Writ of Execution TO THE DEFENDANT AND ALL OTHER PARTIES IN INTEREST: You are hereby notified that a property claim, a copy of which is attached hereto has been filed by Ron Blystone claiming property listed therein. Unless an appraisal of the: property is requested within (10) days from the date of this notice, the Sheriff without making an appraisal will accept the value of the property set forth in the claim. ? Date 6/27/05 ??Of Cc Sheri T of Cumberland County ? G Michael Bangs, Atty for Pltff By & a- 1 Starnet Enterprises, Deft. Ron Blystone; Claimant Room-#j Built-in Book Shelf (6 shelves) 500.00 Black Chair 50.00 Office Chair 400.00 Desk (Wood) 400.00 Computer System (Monitor, Keyboard, CPM 1,500.00 Roo M# 2 - Computer System (Monitor, Keyboard, CPLn 1,500.00 Desk 400.00 Office Chair 400.00 Blueprint Plan Hanger 500.00 Room #3 (2) Office Chairs 100.00 Desk 400.00 (2) Four-Drawer File Cabinets (Gray) 1,000.00 Computer Stand 30.00 Computer System (Monitor, Keyboard, CPU) 1,500.00 Book Shelf (3 Shelves, Wood) 200.00 Telephone (GE) 100.00 Room #4 (2) Chairs 100.00 Bookshelf (3 Shelves) 200.00 Office Chair 400.00 Desk 400.00 Plant 30.00 Room #5 Conference Table 1,000.00 Grandfather Clock 200.00 (6) Office Chairs 1,800.00 Drawer Table 200.00 (4) Golf Related Paintings/Shadow Box 1,000.00 Miscellaneous Office Supplies 100.00 Vacuum 300.00 Drv Eraser White Board 100.00 2. The claimant obtained title to the property through the regular course of business. The property is in the possession of, used and controlled solely by claimant. Date: I0? f on Blystone, CEO Starnet Technologies, Commonwealth of Pennsylvania ss: County of Dauphin On this, the W/1?1 day of 2005, before me, a Notary public for the Commonwealth of Pennsylvania, perso y appeared Ron Blystone, known to me (or satisfactorily proven) to be the person whose name is subscribed to the within instrument, and acknowledged that be executed the same for the purposes therein contained. I hereunto set my hand and official sea (SEAL) My commission Expires: v =S= public o?mty 26, '. Me mber, POWW#W t Auogtton d Nawm BANGS LAW OFFICE 429 SOUTH 18TH STREET CAMP HELL, PA 17011 E-mail PHONE: 717-730-7310 FAX: 717-730-7374 MICHAEL L. BANGS, Attorney-at-Law WENDY S. CHESBRO, Paralegal July 29, 2005 Mr. Ronald Blystone 1845 Market Street Camp Hill, PA 17011 RE: Hempt Bros., Inc. vs. Starnet Enterprises, Inc. Dear Mr. Blystone: WILLIAM E. MILLER, JR. Of Counsel Enclosed you will find a certified copy of an Order entered in this case whereby you are directed to appear on August 18, 2005 at 9:00 a.m. at my office for a deposition. You are directed to bring all corporate and/or organizational documents for Starnet Enterprises, Inc.; Stamet Technologies, Inc.; Caledonia Construction Services, and Starnet Electrical Group by the court Order. If you fail to appear at this deposition, as you did for the previous deposition, I intend to file a Motion for Sanctions and request the Court to award attorney's fees. Very truly yours, Michael L. Bangs wsc Enclosure cc: Hempt Bros., Inc. ??, N c_? n ?T'7 ?. ?- -? ,? , _7_ (l7 7 LX Ci l ?[-3 , i' Ti ' 7 ? r; `Y '-C FOX ROTHSCHILD LLP BY: JOSHUA HORN, ESQUIRE IDENTIFICATION NO. 71799 2000 MARKET STREET, TENTH FLOOR PHILADELPHIA, PA 19103-3291 Telephone: (215) 299-2000 Facsimile: (215) 299-2150 JAMES N. SCHEUREN and BARBARA D. SCHEUREN, h/w, Plaintiff, V. AMERICAN EXPRESS FINANCIAL ADVISORS, INC., et al., Defendants. ATTORNEY FOR DEFENDANTS COURT OF COMMON PLEAS CUMBERLAND COUNTY CIVIL ACTION DOCKET NO. 03-3622 DEFENDANTS' MOTION TO COMPEL ARBITRATION PURSUANT TO 42 PA. C.S.A. & 7304 Defendants, American Express Financial Advisors ("AEFA"), IDS Life Insurance Company (n/k/a "Ameriprise Financial Inc.") ("AEFA") and Doris E. Brytz (`Brytz") (collectively, "defendants"), by and through their attorneys, Fox Rothschild LLP, hereby submit the following motion to compel plaintiffs, James N. Scheuren ("Mr. Scheuren") and Barbara D. Scheuren ("Mrs. Scheuren) (collectively, the "Plaintiffs") to submit, to arbitration, pursuant to 42 Pa. C.S.A. § 7304, and request that these proceedings be dismissed and plaintiffs compelled to arbitrate for the following reasons: 1. BACKGROUND:' In or about August 2000, Plaintiffs sought financial planning advice from Brytz, a financial advisor associated with AEFA, with respect to the possible liquidation of a jointly held DRIP account maintained with Mr. Schemen's employer, Pennsylvania Power & Light ("PP&L"). See Affidavit of Faye Atwood attached hereto and made a part hereof as Exhibit "B" ("Atwood Affidavit"). On April 10, 2001, Plaintiffs submitted a written complaint to AEFA alleging inadequate services with respect to their accounts and, in particular, issues surrounding an annuity that Mr. Scheuren purchased, as well as tax liability Plaintiffs purportedly incurred when they liquidated the PP&L jointly held DRIP to fund Mr. Scheuren's annuity with IDS Life Insurance. A true and correct copy of the April 10, 2001 complaint is attached to the Atwood Affidavit as Exhibit "1". 3. AEFA determined that the complaint was not justified and, on or about June 20, 2001, advised Plaintiffs' counsel accordingly. See June 20, 2001 letter from AEFA to Plaintiffs' counsel, a true and correct copy of which (sans attachments) is attached to the Atwood Affidavit as Exhibit "2". 4. On or about August 15, 2002, Plaintiffs filed a complaint with the Pennsylvania Securities Commission ("PSC"), making the same allegations as those set forth in their letter An appearance was originally filed on behalf of Donald Weaver ("Weaver") who was believed to be a defendant in these proceedings because his named appeared on the writ of summons that the Court issued. Further investigation revealed that Weaver was never named as a defendant in these proceedings because the praecipe to issue writ of summons did not name Weaver as a defendant. See Praecipe to issue writ of summons attached hereto as Exhibit "A." As a result of the confusion surrounding Weaver's status in these proceedings, an appearance was complaint to AEFA. A true and correct copy of the August 15, 2002 complaint is attached to the Atwood Affidavit as Exhibit "3" On October 20, 2002, the PSC dismissed Plaintiffs' complaint as not justified. See October 20, 2002 letter from PSC addressed to Mr. Scheuren, a true and correct copy of which is attached to the Atwood Affidavit as Exhibit' 4". 6. On June 3, 2003, Mr. Scheuren executed an American Express Brokerage IRA Application. Attached to the application was the client agreement that would have been provided to Mr. Scheuren at the time he signed the application (collectively, the "Agreement"). A true and correct copy of the Agreement (including the applicable client agreement) is attached to the Atwood Affidavit as Exhibit "5" 7. Immediately above Mr. Scheuren's signature on the application appeared the following acknowledgement: I acknowledge I have received the American Express Financial Advisors Inc. client agreements and agree to abide by their terms s currently in effect or as they may be amended from time to time. This account is governed by a predispute arbitration clause which is found on Page 1 in Section 7 of the client agreement. I acknowledge receipt of the predispute arbitration clause. 8. Notwithstanding Plaintiffs' two prior complaints to AEFA and the PSC respectively, Mr. Scheuren executed the Agreement and agreed to submit to arbitration any and all disputes with AEFA relating to the services that AEFA provided and accounts maintained with AEFA. 9. Specifically, Section 7 of the Agreement provides in relevant part: Arbitration. incorrectly filed on his behalf. Accordingly, a withdrawal of appearance has been filed with this motion. (i) Arbitration is final and binding on the parties. (ii) The parties are waiving their right to seek remedies in court, including the right to a jury trial. (iii) Pre-arbitration discovery is generally more limited than, and different from, court proceedings. (iv) The arbitrator's award is not required to include factual findings or legal reasoning and any party's right to appeal or to seek modification of rulings by the arbitrators strictly limited. (v) The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. Any controversy arising out of, or relating to, my accounts, to transactions with you or your Brokers and/or employees for me or to this agreement or the breach thereof, shall be settled by arbitration and conducted pursuant to the Federal Arbitration Act, before the American Arbitration Association or the National association of Securities Dealers Inc., Chicago Stock Exchange Inc., the New York Stock Exchange, the American Stock Exchange to the extent you may be a member of such exchange or the Municipal Securities Rulemaking Board or the independent nonindustry arbitration forum as I may elect. If I do not make such an election by registered mail addressed to you at your main office within 10 days after demand by you that I make such election, then you may make such election. Judgment upon any award rendered by the arbitrators may be entered in any court having jurisdiction thereof. 10. On or about July 30, 2003, Plaintiffs commenced these proceedings by filing a praecipe to issue a writ of summons. 11. In light of the arbitration provision contained within the Agreement, on October 1, 2004, counsel for AEFA wrote to Plaintiffs' counsel requesting that Plaintiffs withdraw their Writ of Summons and resubmit their claims with the National Association of Securities Dealers ("NASD"), but Plaintiffs declined AEFA's request. A true and correct copy of counsel for AEFA's October 1, 2004 letter is attached to the Atwood Affidavit as Exhibit -6". II. MOTION TO COMPEL ARBITRATION PURSUANT TO 42 PA. C.S.A. $ 7304 12. AEFA incorporates by reference paragraphs 1 through 11 above as if fully set forth at length herein. 13. By commencing these proceeding, rather than initiating an arbitration before the NASD, Plaintiffs breached the Agreement. 14. The Pennsylvania Legislature has endorsed the strong public policy in favor of arbitration by codifying procedures to compel arbitration and to stay litigation pending arbitration. The statute states :2 (a) Compelling arbitration. - On application to a court to compel arbitration made by a party showing an agreement described in section 7303 (relating to validity of agreement to arbitrate) and a showing that an opposing party refused to arbitrate, the court shall order the parties to proceed with arbitration. If the opposing party denies the existence of an agreement to arbitrate, the court shall proceed summarily to determine the issue so raised and shall order the parties to proceed with arbitration if it finds for the moving party. Otherwise, the application shall be denied. (d) Stay of judicial proceedings. - An action or proceeding, allegedly involving an issue subject to arbitration, shall be stayed if a court order to proceed with arbitration has been made or an application for such an order has been made under this section. If the issue allegedly subject to arbitration is severable, the stay of the court action or proceeding may be made with respect to the severable issue only. If the application for an order to proceed with arbitration is made in such action or proceeding and is granted, the court order to proceed with arbitration shall include a stay of the action or proceeding. 42 Pa. C.S.A. § 7304 (a) and (d). z Despite the passage of almost two years, Plaintiffs have not filed a Complaint in these proceedings. Therefore, AEFA is filing a motion to compel arbitration rather than preliminary objections. 15. Similarly, the United States Supreme Court has recognized the importance of and policy reasons behind upholding agreements to arbitrate, including those in standard agreements like the one at issue in these proceedings. See Shearson/American Express v. McMahon, 482 U.S. 220 (1987) (upholding industry-wide agreement for arbitration which is enforceable against investors); and Dean Witter, Inc. v. Byrd, 470 U.S. 213, 213 (1985) (if there is a valid agreement to arbitrate, the court has no discretion, but rather shall direct the parties to arbitration). 16. The fact that Plaintiffs' allegations relate to services performed before Mr. Scheuren executed the Agreement has no impact on the enforceability of the agreement to arbitrate. See Hamilton v. Dean Witter Reynolds, Inc., 1989 WL 89434 (W.D. Pa., July 19, 1989) (holding that scope of an arbitration agreement was not limited to activities after investor signed agreement to arbitrate). 17. Here, the Agreement specifically provides that any controversy arising out of, or relating to, the services that AEFA provided or the accounts maintained with AEFA must be submitted to arbitration. See Agreement. 18. All of the claims and damages that Plaintiffs are pursuing in these proceedings relate to the services that AEFA provided to Plaintiffs and the annuity that Mr. Scheuren purchased. 19. Despite AEFA's demand to submit these proceedings, to arbitration before the NASD, Plaintiffs have failed to do so. 20. Accordingly, this Court should dismiss Plaintiffs' writ of summons and order that this matter be submitted to arbitration before the NASD. WHEREFORE, defendants, American Express Financial Advisors, Inc., IDS Life Insurance and Doris E. Brytz, respectfully request that this Honorable Court grant their motion to compel arbitration pursuant to 42 Pa. C.S.A. § 7304 and dismiss Plaintiffs' writ of summons and compel the submission of these proceedings to arbitration before the NASD. Jos a Horn, Esquire Ide i ication No. 71799 FO ROTHSCHILD I.LP 2000 Market Street, 10`h Floor Philadelphia, PA 19103 Telephone: (215) 299-2000 Telecopier: (215) 299--2150 Attorneys for Defendants Dated: August 29, 2005 7 JAN- 7-05 FRI 4;05 PM 4367913126963 FAX NO, 7177375161 P, 2 ,IAAIES N. SCHEUREN and : IN THE COURT OF COMMON PLEAS Of, BARBARA D. SCHEUREN, his wife : CUMBERLAND COUNTY, PENNSYI..VANI •1 Plaintiffs V5. NO. O .3 (p Z?-_ CIVIL T'ERNI AMERICAN EXPRESS FEVANCIAL ADVISORS, INC.; IDS LIFE INSURANCE C'ONIPANY AND DORIS E. BRYTZ, Defendants :CIVIL ACTION-LA.W ?.' PRAECIPE FOR ISSUANCE OF A WRIT OF SUMMONS 'I o the Prothonotary: Kindly issue a writ of summons in the above-captioned action. Please forward the writ of summons to the Sheriff of Cumberland County for personal %Crn the Defendants as l'ollows: American Express Financial Advisors, hic. and IDS Life Insurance Company Ronald Weaver, Vice President 3500 Market Street, Suite 200 Camp Hill, PA 17011 Doris E. Erytz American Express Advisors, Inc. 5500 Carlisle Pike Mechanicsburg, PA 17050 Date: J _ CO DYNE, ic' 1 RFNRY F- COYNE, QU1ItE J 3901 Market Street Camp Hill, PA 17011.4227 (717) 737-0464 Pa. S. Ct. No. 06250 Attorneys for Plaintiff's COURT OF COMMON PLEAS OF CUMBERLAND COUNTY JAMES N. SCHEUREN and BARBARA D. SCHEUREN, h/w CIVIL ACTION Plaintiffs, NO. 03-36.22 V. AMERICAN EXPRESS FINANCIAL ADVISORS, INC. et al., Defendants. AFFIDAVIT OF FAYE ATWOOD State of Minnesota S.S. County of Hennepin I, Faye Atwood, being duly sworn, depose and say that the following is based upon personal knowledge: I am a manager legal affairs with Amerprise Financial, Inc., formerly American Express Financial Advisors. Inc. ("AEFA") and IDS Life Insurance. 2. I am authorized to take this affidavit on behalf of the defendants in these proceedings. In or about August 2000, Plaintiffs sought financial planning advice from Doris E. Brytz, a financial advisor associated with AEFA, with respect to the possible liquidation of a jointly held DRIP account maintained with Mr. Scheuren's employer, Pennsylvania Power & Light ("PP&L"). 4. On April 10, 2001, Plaintiffs submitted a written complaint to AEFA alleging inadequate services with respect to their accounts and, in particular, issues surrounding an annuity that Mr. Scheuren purchased, as well as tax liability Plaintiffs purportedly incurred when they liquidated the PP&L jointly held DRIP to fund Mr. Scheuren's annuity with IDS Life Insurance. A true and correct copy of the April 10, 2001 complaint is attached hereto as Exhibit "I". AEFA determined that the complaint was not justified and, on or about June 20, 2001, advised Plaintiffs' counsel accordingly. See June 20, 2001 letter from AEFA to Plaintiffs' counsel, a true and correct copy of which (sans attachments) is attached hereto as Exhibit "2". 6. On or about August 15, 2002, Plaintiffs filed a complaint with the Pennsylvania Securities Commission ("PSC"), making the same allegations as those set forth in their letter complaint to AEFA. A true and correct copy of the August 15, 2002 complaint is attached to the Atwood Affidavit as Exhibit ..3., On October 20, 2002, the PSC dismissed Plaintiffs' complaint as not justified. See October 20, 2002 letter from PSC addressed to Mr. Scheuren, a true and correct copy of which is attached hereto as Exhibit' 4". 8. On June 3, 2003, Mr. Scheuren executed an American Express Brokerage IRA Application. Attached to the application was the client agreement that would have been provided to Mr. Scheuren at the time he signed the application (collectively, the "Agreement"). A true and correct copy of the Agreement (including the applicable client agreement) is attached hereto as Exhibit "5". Immediately above Mr. Scheuren's signature on the application appeared the following acknowledgement: I acknowledge I have received the American Express Financial Advisors Inc. client agreements and agree to abide by their terms s currently in effect or as they may be amended from time to time. This account is governed by a predispute arbitration clause which is found on Page 1 in Section 7 of the client agreement. I acknowledge receipt of the predispute arbitration clause. 10. Specifically, Section 7 of the Agreement provides in relevant part: Arbitration. (i) Arbitration is final and binding on the parties. (ii) The parties are waiving their right to seek remedies in court, including the right to a jury trial. (iii) Pre-arbitration discovery is generally more limited than, and different from, court proceedings. (iv) The arbitrator's award is not required to include factual findings or legal reasoning and any party"s right to appeal or to seek modification of rulings by the arbitrators strictly limited. (v) The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. Any controversy arising out of, or relating to, my accounts, to transactions with you or your Brokers and/or employees for me or to this agreement or the breach thereof, shall be settled by arbitration and conducted pursuant to the Federal Arbitration Act, before the American Arbitration Association or the National association of Securities Dealers Inc., Chicago Stock Exchange Inc., the New York Stock Exchange, the American Stock Exchange to the extent you may be a member of such exchange or the Municipal Securities Rulemaking Board or the independent nonindustry arbitration forum as I may elect. If I do not make such an election by registered mail addressed to you at your main office within 10 days after demand by you that I make such election, then you may make such election. Judgment upon any award rendered by the arbitrators may be entered in any court having jurisdiction thereof. 11. On or about July 30, 2003, Plaintiffs commenced these proceedings by filing a praecipe to issue a writ of summons. 12. In light of the arbitration provision contained within the Agreement, on October 1, 2004, counsel for AEFA wrote to Plaintiffs' counsel requesting that Plaintiffs withdraw their writ of summons and resubmit their claims with the National Association of Securities Dealers ("NASD"), but Plaintiffs declined AEFA's request. A true and correct copy of counsel for AEFA.'s October 1, 2004 letter is attached hereto as Exhibit "6". FAME SNOOD Sworn to and Subscribed Before me this it Day of 2005. a. V-O? Notary uMic My Commission Expires: SHIRLEEN A HAGS7ROM Notary Public Minnesota MY CWW W EOM Jawery 31, 2010 X07 hcbert Greet i .::ril o, ZGL1 ?.:ler'can .-.rets i'inarcial >'•.uviscrs CYn_t ?otts i?k;rris Fiel Coccliance birecxr ' Suite 2-1,:m Jol'J ar"et Street Cam HUA', Fa. 17011 'ear Cyn y Fctts orris, 170153 W1 ??'/I ' Q N(/ iAe ic::r,.:in3 is an account of ....at k-.a_; ene: '._ h r: - dealings .Nltit _C_ ._ fi..cn Cial ;,lanner zerican r7CJre5; . m6 a !c +f 2n e i•. ere es_aged to i=e married in 1997. L'oris_ cervincec?thea t0 buy Loris _'rytz "as y ',ilf3 as a client for aJ?rcx. 14 yrs. i :.yet ..Oris through DoCbie, a ter- life insurance _olicy for 5226 (30 quarter in October 1957 and after a short ti.-..e = backee cut of __l rC :Gain VUL policy on aarc 17, 199t r aahiir I had encu,_h insurance Navin. foar other , clicies alread; . C..e has corsis.antl;; been suZgestin_? that I sell PP L stock to do away 7axal Ie divit ends. Z agreed to as lc n,: as this transacticr_ could be done 'aitkout any tax liability for selling the stcck. :e insiste- or, this numerous tires at'meetings with :crisand she assured us that this stock was a rollover and there .!cull be no taxes. She also su nested that I sell t:ky fidelity funds and invest with her in the future. 1 gutright said no to this due to falling stock prices. August 3, 2CQO Te went to Doris for Long Term Care info, and also spoke of r-1 stock sale as as there is no tax liability. de stres3ed this again tc her and she again tcla us this :•iould be a rollover. 1',q:ust 26, Doris at our ljousa , To,.:ic is cellin.- ?L stock an-, rcover into stressec ::O ta;: liacil%lsc she 1 _. ir.. saiic'. no nclr until. the, ccC.s ..a_ck ur_ P, rollover :ur- for ono account for X47,011..0 to f:E yUt into all inn 11 t ^.:. ::e i?oti. Eilgr,e6 a .,,-lover forte for ?91,SL7.26 to .:e yLt i;tc ar.ctiter earl. nity• i:oris recievec: a c!:<c;; _cr `. e `47,ci1.7' a7eur.t cut not t;- _ur c$c. .1 11 - ie She crllec us ei'.G l4ondered where t..e other chec;C eyes. 1 called ?."P1 alLL Lie;,' said that I C:idn''t ss.c for the ct..er a.'..ount to be sold but Loris sail: She and that she sent the rollover for-. to =?l. She called PPL and refaxeLl tiie forts. She callef, me back and said that ??l ;cofec and she wasn't sure if the chec;cwould come to her or a. She said I.. -z if we receive the check that •::e should send it to her. The check came to us frog PPL and sinned it over to her and ih5. Both accounts '::ere c=ened October 1:, 2`.G arch 21, 2CL= =oris ca=ne to our house and saili t!lat r...e lone Term Care Folic-.' ::oulu Cost Sl:......, more t.,ar? She ^•UOtCU twat ? took G Ut on BOO I es a .!hy? I si i:er. a ccrtr act last y ear end she has no 'rnowle_? a for the increase. 1 refuse.: an- -cif 'hat I'm poin6g, to think about it. 'his is :.hen she brc:_e the nuts t- -US a'--out the P:=L stock sale that I lJoUl.l O'se ..a:tes on t,'-:e gains. _ couLln't oel_svo_ this and I was in mock that this 'vas hkp;eninz ever, a-ter re;Jeate_' statenert3 to her not to sell a .;thin. ;at would cost me ta::as at the etc of the year. '::e tole her this over and over a_ain that if this oink to create taxes at the end of the year to leave the ??L stock alone! Her exact z;ords -were that no taxes to gay as long as money ::a= rolled over into arnanities. ,arch 21, 2001 I called Gecrre Kline ( retired 3/30/Gb? investors services He fate, to ce all the information that I wouMd need two do my taxes which I had scheduled with Parks .> Co. on 3/26/2CC1. on 3/2c/01 I called Loris and laic it out, to her that she cause:: Ge to o-we -::cut 000.00 in t€::es. proceeded to tell me that I ee;:lt1 het about .74,00::...0 out of cash r..a_ toe.^.:cut wieici^ s in the one annunit ' : -c;l I have with She •_a::r.'t :=crri•_c _oout :.a or scrr; uncut this 61, r..istakc! I ..?.e .weer !;o u, -set 'Atuaticr then _ b'oc:' ;ressure has Zone u;: ant,-, g _ I Have to neck ctte ration. coctor has :increase;i clco:: . ressure mer?icaticn. :."a-ce: 2',2CO1, 1:B ha:. o-ir taxes done -and our tan: persca :.as ulti ?riSEC w.at Loris had ca.uSe, us such a. ice: lir'bilitJ. She sai:, tt?at Loris 5':Gillic have "zicun that the one account that she sold `:'as not a rollover. Our tax yerson also in- form..ed us that there was also a 25.1/2 state tax d:ue . Our ts:: -,e;;&.rer asked if -".,e could buy back t:.e stock and =c:o this -TL£ annuri-. ? 7hd_ sFoul make 6GaD ,3rf for suc: a large ,stake. . April 2, 001 I calle.. c laver '-.enr_ Coyne anc feel= that ".__ .:av= a •?erv uOliL'. Cate to make for this SEil tz .._its facts or.. ea .:e'rc _a?o :e ::ill fi'_t & l ter, .._.... CQC =..cr is^."?E=i..-c. - ?_ ?...._ .... `.ola zmE t :d?. iR sellin_ ctoc:. ,.c that this ...s F. rc:ilcver __,.... :_ _cccuat to acct::er, an:, pat cr 3L_tin? a yer :as the ri_ to c:c. A^ril I call__,' ?_L investors services s o;:e ::it, Claire who tool: over for George Kjine who retired. She will -zlce a copy c_ ail correspondence and ser.,! us a copy. Our taxes cost us M:5 :-,cre to do tFais year due to this goof up. If re had kno m that there would be tax due on this stock sale we ".rculzl :FCT have sold t.-:is stock. Doris insisted that this 'aas rollover with no tzaes due. l ..'e ?Ia certainl_ ::ou13 have :=_s Ath held instead of f.-:?_stln? the to al a cu%t of the sale in as a enallt;;' :-cr Uith6ra-al oefcre r._turi Cg iLCY; zne e;:; ect u_ to 'lie talCea due because of` '.L Er CSStarie i n of isirj; t":at thin stcc:: Sale woul: _e rollover. 'us to selli a this stock w_ ..a.e not received the '.iv ,-:en- s lfhicl: '.:e ifeulc: have received if ::e ._ad not sold this stock. PL SNARE 111ier,:,__ -_en apt ro;:. _ainAon this stcc;c since the Cale. June 20, 2001 Coyne & Coyne Attn: Henry F. Coyne Attorneys At Law 3901 Market Street Camp Hill, PA 17011-4227 ! 2?1 !r AMERICAN Ei?RE 5 e Financial Advisors IDS Life Insurance Company 50031 AXP Financial Center Minneapolis, MN 55474 RE: IDS Life Retirement Advisor Variable Annuity Contract #9300 665 8273 3 004 Contract Owner & Annuitant: James N. Scheuren l Dear Mr. Coyne: We have completed our review of the concerns raised in your letter dated April 10, 2001. In addition, we have reviewed the documentation provided in your letter dated May 14, 2001. We understand that Mr:'Scheuren is alleging that he and his wife Barbara Scheuren were advised by their financial advisor, Doris Brytz, that the sale of stock in their,jointly- owned dividend reinvestment plan (DRIP) through PPL Electric Utilities Corporation and subsequent purchase of the above-referenced IDS RAVA with the sale proceeds, would be a tax-free rollover. We were unable to substantiate Mr. Scheuren's allegation that he was advised by Ms. Brytz that this transaction would qualify as a tax-free rollover. We base this decision on the following points: n - Enclosed is a copy of the 'Dividend Reinvestment Pla. Statement of A.ceun?' .. which Mr. and Mrs. Scheuren signed requesting a sale of all of their shares in the plan and a check be issued. No place on this form is there information indicating that this plan is some type of qualified plan and would qualify for a tax-free rollover. In addition, the fact that the account is jointly-held indicates it is funded with after-tax monies. ? Enclosed is a copy of the `PP&L Employee Stock Ownership (ESOP) Request to Withdraw Shares - Lump Sum Distribution' which Mr. Scheuren signed requesting a sale of all of his shares in the plan and a check be issued to an IRA Custodian. This form does indicate that the proceeds are eligible for a direct rollover into an IRA. June 20, 2001 James N Scheuren Page 2 ? Enclosed is a copy of a letter dated September 12, 2000 from George Kline addressed to Ms. Brytz stating that a check for $47,811.76, representing a direct rollover of funds from Mr. Scheuren's ESOP was enclosed. Mr. Scheuren was copied on this letter and informed that `enclosed is your check covering the non- rollover portion of your account and your statement of account.' This confirmed that the proceeds from the DRIP were not eligible for a rollover. ? Mr. Scheuren has acknowledged paying taxes on the dividends paid from the DRIP every year. This is another indication that this plan is not tax-qualified. Based on our review of this information, we are unable to confirm Mr. Scheuren's allegation that he was told this transaction would be tax-free. Further, with the enclosed information, it appears that Mr. Scheuren received notice of the tax consequences of this transaction. Therefore, we are not reimbursing Mr. Scheuren for the additional taxes, attorney and accountant fees or the opportunity cost of holding the shares in his DRIP through present. While we realize this is not the resolution you were seeking, we trust you understand our position based on the information we have presented. Sincerely, Dan Olson Compliance Department (612) 671-6925 (612) 671-8947 (Fax) Enclosures .cc James N. Scheuren 607 Robert St Mechanicsburg PA 17055-3457 File: 48734-0-4.doc COYNE & CiOYNE A PROFESSIONAL CORPORATION ATTORNEYS AT LAW Henry F. Coyne Lisa Marie Coyne RECEIVED PENNA. SEC. COMM. AUS 1 5 2002 OFFICE OF THE SECRETARY Pennsylvania Securities Commission ATTN: Office of Secretary 1010 N. Seventh Street, 2nd Floor Eastgate Office Building Harrisburg, PA 17102-1410 Dear Sir or Madam: August 14, 2002 Re: James N. Scheuren 717-737.0464 Fax: 717-737-6161 Enclosed please find Mr. James N. Scheuren's complaint concerning American Express Financial Advisors. Kindly docket the original and return to me a clocked-in and returned to me with the enclosed stamped envelope. Thank you for your assistance. Very truly yours, LMC/cmc Encls. 3901 Market Street Camp Hill, Pennsylvania 17011-4227 & COYNE, P.C. Cc: Mr. James N. Scheuren, w/encl. COMMONWEALTH OF PENNSYLVANIA PET YLVANIA SECURITIES COMMIS, tN COMPLAINT FORM ° Cd Please review the attached instructions before completing this form. 4(169, SFC D This complaint is being filed on behalf of Self (Skip Part A; proceed directly PART A - FILER'S INFORMATION (Complete Part A if you are filing this Complaint on b h it „ °'J NF someone other than yourself. Otherwise, skip Part A and proceed directly to Part B.) PART B - INVESTOR'S INFORMATION James N. Scheuren 4 Gale Road Camp Hill, PA 17011 Home Phone (717) 731-8476 PART C - COMPLAINT IS AGAINST: Firm, business, or company individual American Express Financial Advisors IDS Tower 10 Minneapolis, MN 55440-0010 Telephone: (612) 671-6925 Dan Olson Has the firm, business, or company been made aware of this matter? Yes If yes, person and title to whom you communicated: Dan Olson, Cyndy Potts Morris. What were the results? Rejected our complaint. Overlooking the fact that the advisor convinced us that there would be no tax on transferring my PPL Company stocks. Advisor repeatedly said all were tax free rollovers. 2. Names of individual and her home address: Doris Brytz 11 Triplett Court Dillsburg, PA 17019-9490 Telephone: (717) 432-7722 / 800-3114067 Has the individual been made aware of this matter? Yes If yes, what were the results? American Express handling the case for her with no concern for me as the investor. 3. How long have you dealt with the firm? 10/97 With the individual? 10/97 PART D - DESCRIPTION OF COMPLAINT- See attached statement. Date of initial investment: 9/25100 At the time of your most recent investment, were you age 65 or older? No -- Date of Birth 1119139 Page 2 PART E - RESOLUTION I would like this resolved so that no one else is taken advantage of by Doris Brytz and American Express Financial Advisors. I would like to have refunded to me the taxes I had to pay and the dividends I lost as a result of Ms. Brytz's negligent advice she gave and upon which I relied. Have you brought this complaint to the attention of others? Yes, I tried to resolve this directly with American Express; however, they rejected my challenge. Your attorney: Lisa Marie Coyne, Esq., 3901 Market St., Camp Hill, PA 17011 If necessary, are you willing to appear as a witness, be sworn, testify and be cross-examined concerning the allegations made in this complaint? Yes I have read this complaint, I fully understand its contents, and I certify that it and photocopies of attached documents are true and correct to the best of my knowledge and belief. g // -41 IC 2- J e m Scheuren Date Robert M. Lam, Chafmw ?y ?1, A. Richard Gerber, Esq., Commissioner IA 10. 117 John A. Maher, Commissioner M. Joanna Cummings, Secretary G. Philip Rutledge. Chief Counsel Lynn D. Nastach. Deputy Chief Counsel COMMONWEALTH OF PENNSYLVANIA PENNSYLVANIA SECURITIES COMMISSION October 30, 2002 James N. Scheuren 4 Gale Road Camp Hill, PA 17011 RE American Express Financial Advisors Doris E. Brytz Complaint Docket No. 2002-08-027 Dear Mr. Scheuren: Staff of the Pennsylvania Securities Commission (Commission) has contacted the above-referenced firm concerning your complaint and received their response. American Express Financial Advisors provided a copy of the PP&L Corporation Dividend Reinvestment Plan - Statement of Account, which you signed, requesting to sell all shares held and to mail you a check. American Express Financial Advisors provided a copy of the PP&L Employee Stock Ownership Plan (ESOP) Request to Withdraw Shares - Lump Su rn Distribution, signed by you on August 19, 2000, requesting a sale of all your shares in the plan and a check be issued to an IRA Custodian. Also, you received a copy of a letter from PP&L to Doris Brytz, enclosing a check in the amount of $47,811.76, representing a Direct Rollover of funds from PP&L's Employee Stock Ownership Plan credited to your account #208304606. We are unable to determine a violation of the 1972 Act, that warrants a recommendation for enforcement action against American Express Financial Advisors. Accordingly, our file on this matter will be closed. If you have any questions, please call me at (717) 783-5177. Very truly yours, Cpl . Crystal Roach Securities Compliance Examiner Division of Enforcement, Litigation and Compliance Eastgate Office Building, 2nd Floor, 1010 North Seventh Street, Harrisburg, PA 17102-1410 Telephone 717.787-8001 • Fax 717-783.5122 4 TDOIAT&T Relay Center 1.800-854.5984 American Express Brokerage American Express 9 Financial Advisors Inc. ?cad MIPA A%P 1u*mrlal Ceuux BRA `Yn pli Mmnwymns MN 4.414 .Vf,naraui roust lie completed. Please type or prim ndlx:r: .,,plot 114)(rraoon Corporate Office Use Only Ll cat S ? (?` w" APP TRANS SPO p 1 BENE BA f. AerataN floNerlalararMlgl?`, • + ? ; . - Please complete withthename dthin appficanLA/l invi •i+.mph,-dnnthtmrgh Amercan lxpwss lmonclal Advisosfill. lexcludow landurrs off¢xerf through Arnencan f x/v4rs C'rv#rermt Han,V1 will h¢anared (ryAmerican Fxpe.•sc !•, • .'+::pr;a ,r.. nrshxlea+o! gene !HA Nam oaf. Mnldle I?nnral(1aSl) :Address IPI ,Box Not Suthcientl C.??C5 I C : Road ?'O-rnp I fonie Phone L nail dddwss 73(,'8 47? SrxnaI Srti1ml NUIIIIx), of lax 111 NO 11M , ? v ?3C` bCli? st,nr. AI' PA f r`1 C { Itnanvsa INiune Ri?rlydmrl C ? i ? ?q Ynrvnling Ynur u-marl address to American Expmss will r±nlln• :•i;?a!r.,;?e; signal ngnrs. suurtUu VODU'err!s I V Add like Intenlet access to my account. SMoaey ioltleateatOpIMID- Select from one of the following apllem. ff no portfolio is indicated, American Express Insured Money Market Account IAEIMMAJ will he selected. All portfolios except MURIA are am" market mutual fund portfolios of the Reserve Fund. AEIMMA is an FDIC insured, hateress bearing account. FDIC insurance of up to SIODAD par account on your cash deposits. for more information, see the AEIMMA Tana and Canditions in your Client Agreement. AEIMMA fixtxci .l nod Palrtooo Primary iUS lni:r it US hcasury Dady sweep of unmvesterl c sh balances 4. Type of Cunt 6afico .,U Check the box which describes ON type ofeamribution you are making to Vow IRA and complete the information (check only one). Regular lar:hve] ctu+tobulwn in the amount of S / WRnrlnwr conrn6iurunin the amamt ofF ?-Tx Cluxi meUwd rat funding. Enclosed r.. r i. I Acheck and )Also coakfi , I C.ushxleau lo-custodian transfer from another IAA r• •r hit tax year. 2T I .u.o::i smoulies made Payable to Aunmcau Exnmss Ims1 CumpaNy LI•::.:nill he Sent dinevIIy Iu Ainvocan tx!aess ll(okeirigr. Item My emPinyoi °e' -r by lhnnn Rolkrna tertll Rlcfil .r•r:..nl nr3 _ _ iAlsn rnmpleu: fusnuhal M'to tan), 4,131 f nipluyet contribution under a SEP in the amUnrl .' _ for tax yeas _ Lmpinyer contnoution under a SRA in the amnun' fat tax year .?Li?• f ?: A Nmh conversroo ot$ U11a..? ,if, °«<r:.nmlmm M173R1 (;'r,` .'`?? Ni)a Lil:•llll , Submit a aaparna application Im each IRA type. Check one IRA type below: For Coverdell Education Smilega Account. use Form 4200 Regular (active) IRA Rollover purchases maybe made to a regular IHA lL?nlily pnynleni ui trio " type of Contribution` sectnmi as an active contnliuhuu, lollaver contribution, n1 transfer purchase.. Segregated (rollover) RU Check this box if ft money originates from a qtr rr c-l plan distribution (corporate. Keogh. 401(k). 4031bl) and the client wishes to keep these assets segregated tram other IRA assets. SEP IRA Employer of Employee Name of Company ---- St P Adoption Agreement is with another Irwin, I n invhfubnw Employer ID SIMPLE IRA (SRA) Employe) or Employee Name at Company .. Employer ID Address tit Company Date last participated in an Employer's SIMPI I V%!Pi SIMPtk Plan Adoption Agreement is with ate i , b ,avail institution Beneficial IRA ( 'Traditional IRA or Roth IRA) 1-n1 use with custodial transfer of IRAs after dean- ii try _ as beneficiary tit the deceased IRA Roth Contributory IRA adiaurtory lkrth Only Heqular Roth contributions eaA be made, to Roth Conversion IRA A Regular, Rollover, SEP or SIMPLE (after two yc.1r t IIIA non he converted to a Conversion Floor This 1s a taxable distribution a.r1a1 !11:011 3 l BedMk _ _. _-- Now This Beneficiary Designation Applies to Your IRA(s) (Does not apply to annuities) • This beneficiary designation revokes (reptaces) any previous IRA beneficiary desirmtioss you may bow amde to this IRA Plan. • This beneficiary designation applies to all imosbmnt accounts within this IRA plan held by American Express Trust Company an custodian. For example. R the kfvestsmms under&in MA plan Monte at two mutual tends, cent Hank" partnership, and ore cnfi%cats.usbeneRchry lesignation vn% apply to 80 IMF investment accounts under this IRA plan. • B this beneficiary designation is for a beneticiN M& wow situmme, acknowledges vvi r undo maidkep amt if "a des4mifen is not recognized mdsr the Ism of the jurisdiction whom you am domiciled at the time of your death, the company my, absent Mike from any person claiming to be" on honest in your eccounti transfer dm beneficial IRA to your beneficiary(bra) pmsaaatto this bamliclary designation. lbatlmr sommia admw*itha esmps+ry s'dnatend Wig the caramel homeless from any and all claims, and the provisions of this acknowledgement and bermiiclary form shall be binding upon my It" legatses, Mocutom, administration, personal representatives, assitlw and hensficiaries. Beneficiary Designation for Client (Choose only ONE option) A Spouse if living, if not, Living, Lawful Children WRh Right of Survivorship. Beneficiary is: Owners spouse,' " if living, if not, the beneficiaries are the living lawful children of the owner and they will receive equal shares of the proceeds: provided, however, that if a child of the owner has died before the owner, the share which the child would have received if he or she survived the owner will be equally divided among the surviving children. 1 8. Spouse and Per Sdrpes, Beneficiary is: IRA owner's spouse, " _."if living, if not the tawfut children of the owner equally,the survivors equally, or the survivor; provided, however, that if a child of the owner has died before the owner, the share which the child would have received if he or she survived the owner will be paid to his or her living lawful children or their direct descendants in equal shares. C. Children Living. Lawful, Equally With Rights of Survivorship. Beneficiary is. The living lawful children of the owner and they will receive equal shares of the proceeds: provided, however. that if a child of the owner has died before the owner, the share which the child would have received if he or she survived the owner will be equally divided among the surviving children. 0 Children Per Stirpm. Beneficiary is: The lawful children of the IRA owner equally, the survivors equally, or the survivor, provided, however. that if a child of the owner has died before the owner, the share which the child would have received if he or she survived the owner will be paid to his or her living (awful children or their direct descendants in equal shares. E. Other, Be sure that Primary and Secondary designations pagh total 100%. If an attachment is required to complete the beneficiary designation, make sure that the attachment is signed and dated by the ownedsl- This designation will be considered with rights of survivorship unless otherwise indicated. Primary/ • Full Name of Individual • Relationship of Individual • Date of Trust Secondary (check • Organization or to Owner • Article Number of Will one per line) %• • Name of Trust • Address of Organization for Testamentary Trust Date of Birth SSN/FIN Required Required Required Required Required NR NR P / S 250/0 ? 8..'ff taag4cE A 12.11'65 q!P / S 25°16 mes t{ . SopeWe" SOVI o3•ZZ • 68 vPs 25% }? ijr1aT Sifeuven bayl6r n-o2.74 xP 1! S 25? % / / y? /?-dI (? /^r J / W / S ?S 7U ?r'12T3 ,16, 91yeaJtoR !I yy? Ii(tev I F'{am!/l/1 R'1' I Vrc7f?C?'?i 140), ? pradlik "Both Primary and Secondary must equal 100%. SUMI/iV0ofepC1MY QY `fAL S(,IrVIVQll Sections marked as Required are required for processing form. Sections marked as NR are not required for processing the form, but may provide useful information in the event of a claim. F Text Other. Be sure that Primary and Secondary desigaaderui gosh total 100%. This designation is subject to the approval of the corporate office. (Use of the term "equally" shall be interpreted to mean with Fights of survivorship.) If an attachment is required to complete the beneficiary designation, make sure that the attachment is signed and dated by the owner(s). Ckeek epprepritfte box to iodinate Marital S%iW. 1 1 Single 5(Marned (see Consent of Spousal ' I Widowed or Divorced Cement of Spouse; The Consent of Spouse must be signed if all of the following conditions are present (al the spouse of the IRA owner is living, (b) Aire spouse is not the primary beneficiary named and (cl the IRA owner and spouse are residents of a community property state. (Arizona, California, Idaho, Louisiana, Nevada. New Mexico, Texas. Washington and Wisconsin.) I have reviewed the above beneficiary designation and, as the spouse of the IRA owner, I consent to the beneficiary desi?gnatfon and all contributions of money or property to be used for the purchase of such accounts to be issued in my spouse's name, whether heretofore, now or hereafter. and I relinquish all my statutory or other rights thereto: IRA Owasrs Sposses Signature Dais X e3P3 L II 1 Nr • The Account Holder listed on the front a(tkis application must mad this agreement carefully and then sign sad date this wooden. IiY slplnnq tl?s apphtavml. ymi .1. knowledge the following. • Appointment l appoint American Express Trust Company as co,I.uses"I.:w(1+A.md mmmllstand tlol tin, runwdunr Rrnn'mr•n Ch'.uvhal A, count Aclinil it nl Ynm GuldumlBAs' ' met my IRA Application comprise my custodial agreement with AI,.,'.,. I •pn••:s Pust etnnlrmy • Adequsm Imommic. I acknowledge and agree to be bowl •":I' ...... ,It 'Y!nv 6110n ur IHA' a1X! den"^mt'nl lu nniviosea lilt Me nNpsmmmisldppgw) Inn I mIrnowt, anal ,ilwe to the toes that wilf be charged against my IRA AcMiml • Respwnibiiiry for Tax Consaquancae.l assume all lespun:up, 1, 'ni 'I, i.0l.ansuguem;e> anti Imn iln'•:.'i..o luny ur."h hunt makuxl cmnnhnunns to, hanux:unns wnlh. and !Nulhdmns from my IRA • Traditional lRAto Roth lMeomem4mmiulderstend that'", a?„•?IP,a mvuaWnalaI IRAlua firth IRA, Iwln lm'alrn.nnh: lax nn all lunMx.os'nh; rnlwaind Ihedeenson Wbether to ramved my traditional IRA to a Roth IRA was mane.( •np; "i; n:!rvnm lnk'mcial udnalabm' and m cpnlmx'hml wndl my lxmem.nnal tax advlsm nl.lhmte AmarlCan Excess Trust Company to invest, dmeLtll' ' ,I" Jl) ,, •II:IXp"lIs (q Itsnh n1 11k At11lrIrl:S lbat Inn, "'wmokitdo rlte (If uNOa'sl its ndoleaie Cash sweep wwces • 1, anion, that 1 am at least 13 years of age and of full legalam a'.r, wac n!n•.rchs¢n • ! mttlnurze Amens,( Enterprise Investment Services Inc to b+' . Ld! r o- "Vw", (.,(lull sarwultmry DI Ir uunuunn, any rmhhnq nl nN.Keoat (10 AIIou,t:dn Aiwitcan fxpluus r'nallral Advisors Inc. may be carrying for me. • Ireabic that tlx: clearing agent, American Enterprise lrwasms "1'a;nr. a), .will (chase nrynanr, ,xklpss dlw.net:ul'tY tosaum In ulgiu:solid l:mnluunes mw'htc6 Anelrnn !nlVnnkSC llWeslmenl Services lnC. hold3 sacarltles ire myilrl :n'i n:r^flgn9:?tY OmPAWIGriII Anu:ntiNllxlril•sS hpan'.lill AtYpIG11X!nl' Bank Authorization . I aulfimme Anaru:an Fxpess Pnaneal Advisors Its. to RarcJs• .w ; .e: encl aI t4n tunnrcal msmminm nanx:d:nnwn hl pay Ile: anti,( nn ?ndu.Nful ?nm imy 111A, :Ia'nhtiiie the financial lnsntutinn named above to honor t!n-.'•'•"?q, nnu'Iwm nts, as if tteey were.vnpus!bv mlc alai • I I Way this agreemem will remain in enact unfd I noulIlvol, • ' '': 4'.,(need vedduhnn m wuhrg to r:aruxa': 8i!I1Wp1111(4).SnIa1111: llltll:111.1::: n1: an, ::dm:Ummo • hwestments: I tuxlerstand the inv'estmemobjectivies aril n:: 1'i; nsvru;nmt l am nokrmn llvnr Is nwpk'vanteu that Ilia oh(KAIMS wilt III* anumeed I'uninlSIaIYJ pal its value ul ovetttr"Its 9ll O% daily Inay receive mare or less no, t`.?cl;:.lid Ire du; nvemments Ihwdmhl-and m!nrewi Ilucnata anti :nn lint gmanhnnl • Housaboidmg: l orxie stand Mat you may use and eomdllnu /.Irv rininal tlnn;el VlOg nIVUS611on1s. InSninnlY: ;sin annp'ly mY:anla" Irelmel Try nnellbm u1 l Wlnlely In]IGSetaul Wool fU numda lcatsMdared statement, asW, firtattain podatts of .'...r,.. >. nninetmid pdculll A Immiefv hmisdm4f nnulslst, of msmads (fan mdwnhad. his m Ida Npuosc, m (huneUn; Ixionw.. arld any wxoLnts owned for, by of with tail Tina" 1+•: b'nl"al tnll`I ;MP 21 It Von Waal 1111 WVV a Sldlemmll urvininh foly;IN nunt.c Ilhal you nw, and to not pathu paie. In nut menld pllcing. please call your American Express Einanv,af A..N • 1 acknowledge I beve received the American Express Financial Advisors Inc. client agreements and agree to abide by their terms as currently in effect or as they may be amended from deem time. This exceed is governed by a PredispW animation emme which is found on Page 1 hi Section 7 of the diem agnanent ) acknowledge receipt of the pradispam arblhsUon char. Under paeahiss of perhery, l eMily dot f. The nmabar shown as this fora Is my coact taxpayer identification number, and 2.1 am not subject to backup wigibokgog become (a)1 am exempt from backup withholding, (tit 1 have cwt beret notified by the Internal Revenue Service (IRS) that 1 am subill to backup whirl oli ins of a resin of failure to report all imarmt or ditidereds, or fell the Internal Revenue Service bas rmtilied we got 1 sin no Iongn subject to heckup withholding, and 3.l ma a U.S. Pence (i oct"T4 a US. Midot alien). `:ltd nelslcrrrssnutrtem 2ahove itywil a been nohfird in:.. p't VLn 4'41 AIF. fllll!!Illty\I1111CI;t IU 1NI Agf lMfiltl(IIAl11Q M1f::41n1Y: N111161N!Lldn(I In l(!mlrl atllNL`reS[alid (I(V41t!IIdS <Al 'PIIn IV 11:111111 1)SIvtif.•IIIXJ Vann name below, you signify dot M have "wil1. Nlueln!Ic all ICInis anal I'nnlbanlls"hove PJ&ISe)Vin' Yunl wire; virl;Inrwi1 vlwily ladnhnl In tun smell heluw, and it vole am pitti this page, also earn end dela it !mlml• n.., !,,,I Iii )fill AccoumNddarTawpW ID ?G$ 3o?& The Internal Revenue Service does oat to yam consent to may provision cI this aocumem other Than the Ce1LI1CMnalm required to avoid linkup withholding. - of v t of z.g.o3 Itl --- - Date: TMkN' - --- Cheek One Tram 10 Ada' r) % Anna ORl(elphoneX This apal"hal was Vftd In the stale 01 Advisor ,r Area Onus V' Phone I S team R! SerlNrg Adeear Sipnibrre ?ll x Fair Me UN 0* W'v rwMe the wetwit for trading and attest to I)u` ,n'cnnn dcx:umems we on file with us or are being uhla-' n<.r• Ann,. did attrSlad to byAmencen Express Finn l•; A"? .n I•n Ammtr.xl t pxusa I indnl tai Admuns lilt, I, nth a humk IM the sln:unim•, ollr'.re f by a od'm rum Anmvu'an I Wes" InSUtnd Money Markel Aco'rnmt, are Ile Ikx'kad m guhlalAuhm try any lwix, nnl mn they I SW msumtl InIxImmont.•. aI pen hlnkmanu ArCnlm am whye I In "Iw% rmll lick. Inctudnxi Ills nl puncexil and may Ins': ,.dun .:1.-1111 AnI 7. BaakflatltorWttlon Y- Bank authorization. Client authorizes regular deductions from his or her bank account into the cash portion of the brokerage account. Note: A systematic investment into a mutual fund within a brokerage account may only begin after the initial purchase minimum for that fund has been met. Status of Monthls) IRA Pmt. for Rank Action Frequency Payment' Flip Yr. Thm Mo. of AuthotRatioo Effecnve Date Monthly all Omer Amount F.1, Mot Apf Start Modify `5100 00 Minimum )Form must be received 15 days before effective date.) Once the moral purchase minimum for a mutual fund has been met, systematic investing from a client bank account into a mutual fund held within a brokerage account may be initiated by calling Brokerage Services at 1.800-8724377 To copy existing bank information already established on another AEFA product, indicate the product name and account number in the space provided. Bank Account Information and Typo (Please check me box, either Chocking at Savings( Checking Staple Voided Check Here - Not Deposit Slip --- Ofl - , Savings Savings Account Ownership Savings Account Number Savings Account Routing T'ansit Number 19 Digits) Name of Bank or Ciedit Union Street City State ZIP Authorization (Required for all new requests) By signing this application: • you authorize American Express Financial Advisors Inc. to charge your account at the financial institution named above to pay the amount indicated into the account or on the contract: and • you authorize the financial institution named above to honor these charges for payment, as if they were signed by you. • ynu certify this agreement will remain in effect until you notify us or your financial institution in writing to cancel it, allowing reasonable time to act Off your cancellation. You may stop any payment by notifying the financial institution of us at least three banking days before file charge is to be made. You will receive notice from us of any payment that differs in amount from the prehous payment. L Code" Feaa Please refer to Your Guide to IRAs for IRA fee information A327 U114111 5 4 c Amerl an Empress BroUer "6?, til x ?.a t? Application Forms and Agreement 8,2„„2ro„ AMERICAN EXPRESS BROKERAGE - IRA CLIENT AGREEMENT FOB. BROKERAGE ACCOUNTS CA u AGREEMENT 1. General Information. In consideration of Your accepting my brokerage account I agree to the following with respect to any of my accounts with you. As used in this agreement, the word "you" shall mean Introducing Broker as defined in the client application and/or American Enterprise Investment Services Inc. ("Clearing Broker"), This agreement shall include the Cash Agreement and as appropriate: • Electronic Services Agreement • Electronic Fund Transfer Disclosure Contacting American Express Brokerage • Fee Schedule The account offers integrated financial services including a brokerage account, an income earning account or an eligible money market hand as selected by me, electronic funds u infer services and electronic brokerage services which may be offered. As used in this agreement, the singular shall mean the plural where appropriate For purposes of this agreement, "securities and other property" shall include, but not be limited to, money, securities, financial Instri metal and commodities of ` every kind and nature, and all contracts and options relating thereto, whether for present or fidw'e delivery. I appoint you as my Broker for the purpose of currying out my directions to you in accordance with the terms and conditions of my agreement with you for my account and risk with respect to the purchase or sale of securities To carryout your duties, you are authorized to open or close brokerage accounts. place and cuucet orders and take such olhar steps as are reasonable to carry out my directions. I wtderstand that my Clearing Broker will execute and clear transactions under this agreement and my account will be carried with them. I understand and agree that any telephone conversation with you will be tape recorded and monitored for accuracy and quality assurance and any electronic communication may be similarly maintained or monitored. 2. Applicable Rules and Regulations. All transactions for my account shall be subject to the regulations of all applicable federal, stale and self- I egndatory agencies including the Board of Governors of the Federal Reserve System and the constitution, ntles and customs of the exchange or market (mid its clearing house, if any) where executed. The Clearing Broker will receive remuneration for directing orders to a particular broker or dealer tin ough which my transaction is executed. Such remuneration is considered compensation to you and the source and amount of any compensation will he discussed upon request. 3. Security Interest. All securities and other property now or thereafter held carried or maintained by you in my account, or my trade settlement account or any of my accounts with your affiliates, shall be subject to a general lien for the discharge of my obligations to you, and are to be held by you as security for the payment of any liability or indebtedness of me to you in any of the said accounts. You shall have the right to transfer securities and other property an held by you from or to any other of my above-referenced a counts whenever in your judgment you consider such a transfer necessary for your protection or due to an erroneous transfer. You are hereby authorized to sell and/or purchase any and all property to said accounts without notice to satisfy such general Gen. Shares of any investment, company In which 1 have an interest and for which American Express Financial Corporation serves as investment adviser also are subject to a general lien for the discharge of my obligation to the Introducing Broker or Clearing Broker, and the Introducing Broker and Clearing Broker may redeem any such shares to satisfy my' obligati al without further notice or demand. 4. Settlement. On each sale order, I represent that I own the security, and, if the security is not in your possession at the time of the contract for sale, i agree to deliver the negotiable security to you by settlement date. In tine case of nomdolivery of the security by settlement date, you are authorized to purchase tine security to cover' my position and change any loss Ito my account. It is further agreed that if you fail Cc receive payment for securities purchased, you may sell securities held by you in any of my accounts sufficient to cover the amount owed, and I will be responsible tor any loss resulting. To the extent permitted by the laws of the State of M1linnesuta, the reasonable costs and expenses of collection of the debit balance aid any, wnpaiit deficiency in my accounts with you, including but. not limited to attorney's fees incurred and payable or paid by you, shall be payable to yrou by me. Trading Conditions. I acknowledge that the Introducing Broker will not provide nip with any legal, tax or accounting advice or advice regarding the suitability or profitability of a security or investment wdess I receive advice or securities recommendations from an advisor of the Introducing Broker Dealer. I assume full responsibility with respect to transactions in or for my account and my investment decisions. I acknowledge that trading securities carries substantial risk. that securities ti-riding can be volatile and that investment loss may be substantial in a short period of time. The Introducing Broker and its officers, directors, employees, agents and affiliates will have no liability, with respect to transactions in or for my accoulat and my investment decisions. I agree that I will not use the American Express Brokerage account for extreme trading activity such as day trading, mutual And trading based on market timing, overuse of stop or limit orders, or excessive order splitting of the same stock on the same day. The American Express Brokerage account is not intended for excessive trading activity. If I engage in excessive trading activity (as detemined by American Express Brokerage, in its sole discretion), I may be subject to additional charges, determined on a case by case basis, amber termination of my account. I agree that I will not use this account as a securities broker-dealer, investment advisor, futures commission merchant, commodities introducing broker, or commodity trading advisor, member of a securities exchange or association or futures contract market, or an owner, partner or associated person of any of the foregoing. When you hold on my behalf bonds or preferred stocks in street or bearer form which ate callable in part, I agree to paticipme in the impartial lotteryallocation system of the called securities in accordance with the provisions of the New York Stock Exchange rules, further, I understand that no allocation will be made to any account in which you, your officers, or employees have financial interest win] all other customers are satisfied on an impartial lottery basis. Good LL-canceled orders remain its force for thirty (30) days. At that tittle, you will cancel the order, unless you have executed the transaction or I have canceled the order. This agreement and its terns shall be binding upon my heirs, executors, administrators and assigns. In the event of my death, incompetence or disability, you may cancel, or complete any open orders for the purchase or sale of my property, you may place orders for the sale of property which you may be carrying for me and for which payment has not been made or buy any property of which my accounts; may be shod, or any part thereof, under the same terms and conditions as herein above state, as though I were alive and competent., without prior notice in my heirs, executors, administrators, assigns, committee, or conservators and without prior demand upon any of them. This agreement shall inure to the benefit of my successors and assigns, shall he binding or, me, my heirs, executors, administrators and assigns and shall be governed by the laws of die State of Minnesota Custodial Fee. An annual custodial fee may be charged in an account that is part of a qualified plan including an Individual Retirement Account, and ocher pension or profit-sharing plan. Other incidental service fees may be applied In addition, certain accounts that invest only ill mutual fund securities may be exempt front tine annual administration fee. A trmsactimn fee may be charged on redemptions of mutual fund shares bought with no transaction fee and held for less than 90 days. American Express Service Corporation may assess transaction fees for excessive short -term trading in funds. This agreement and its terms shall be binding upon my heirs, executors, adntinisu'ators aid assigns. In the event of my death, incompetence or disability, you may cancel, or complete any open orders for the purchase or sale of any property, you may place orders for the side of property, Much you may be c arriving for me mid for which payment has not been made or buy any ProPerty of which my accounts may be short, or any part thereof, under the same terms and conditions as herein above stated, as though I were alive mid competent, without prior notice to my heirs, executors, administrators, assigns, cornnuttee, or conservators and without prior demand upon any of them. This agreement shall hoe to the benefit of my successors and assigns. shall be binding on me, my heirs, executors, administrators and assigns and shall be governed by the laws of the State of Minnesota. 932, 11 11 Pi 111 7. Arbitration. 4. (f) Arbitration is final and binding on the parties. (if) The parties are waiving their right to seek remedies in court, including the right to a jury trial. (iii) Pre-arbitration discovery is generally more limited than, and different from, court proceedings. (iv) The arbitrators' award is not required to include factual findings or legal reasoning and any party's right to appeal or to seek modification of rulings by the arbitrators is strictly limited. (v) The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. Any controversy arising out of, or relating to, my accounts, to transactions with you or your Brokers and/or employees for me or to this agreement or the breach thereof, shall be settled by arbitration and conducted pursuant to the Federal Arbitration Act, before the American Arbitration Association or the National Association of Securities Dealers Inc., Chicago Stock Exchange Inc., the New York Stock Exchange, the American Stock Exchange to the extent you may be a member of such exchange or the Municipal Securities Rulemaking Board or the independent nonindustry arbitration forum as I may elect. If I do not make such an election by registered mail addressed to you at your main office within 10 days after demand by you that 1 make such election, then you may make such election. Judgment upon any award rendered by the arbitrators may be entered in any court having jurisdiction thereof. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against say person who bas irdtlated in court a putative class action; or who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until: (1) the class certification is denied; or (B) the class is decertified; or (iii) the customer is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. a Receipt of Communications. A confirmation of orders and statements of my accounts shall be conclusive if not objected to in writing within 30 days after mailing by you to me. Commuricatiora maded to me at the address, shall be deemed to have been personally delivered to me, and I agree to waive all claims resulting from failure to receive such communications. Amendments. I agree that you shall have the right to amend this agreement by modifying or rescinding any of its existing provisions or by adding any new provision. Any such amendment shall be effective as of a date to be established by you. I understand and acknowledge that you may modify or change the terms and conditions by mailing a written notice or a new printed agreement to me or, if I am an online client, by posting such modifications or changes online. My use of the posting constitutes my agreement to be bound thereby. This agreement is not subject to any oral modification. This agreement, along with the Application and any other agreements I have signed, constitutes the entire agreement between me and you. 10. Money Settlement Options. Amounts contributed and received will be invested in available money settlement options such as a money market fund. I understand that you may, as pan of your rompensation for services provided to my account, receive remuneration from available cash in my money settlement account. An investment in a money market fund is not insured or guaranteed by the U.S. government, A money market fund cannot assure that. a $1.00 share price will he maintained. I have received and read copies of prospectuses of funds selected by me. 11. Location of Securities. Securities maybe held by another brokerage firm, bank or financial institution m custodian. IZ. Relationship of Introducing Broker and Clearing Broker. Your Introducing Broker and the Clearing Broker have an agreement in which your Introducing Broker introduces customer accounts to the Clearing Broker on a fully disclosed basis, This means that the Clearing Broker provides execution, n . _.dkeeping, delivery and receipt of securities and funds; receives and distributes payments therefore; and safeguards all funds and securities received The Clearing Broker also receives and distributes dividends and other distribudons and processes exchange offers, tights offerings, warrants, tender offers and redemptions. The Introducing Broker is responsible for the opening, approving and monitoring of your account and for the acceptance of securities orders, 13. Credit Information. I authorize you to snake inquiries for the propose of verifying my creditworthiness. Such inquiries may include verifying information I have given in my new account application, contacting my employer and obtaining credit reports or reviewing any of the foregoing for any legitimate business purpose deemed by you. Upon request, you will inform me. of the name and address of each credit agency from which you obtained a credit report, if any. 19. Taxpayer Identification Number. MY Taxpayer Identification Number (TIN) is important. As with any financial account I open, I must list my current and correct Taxpayer Identification Number (TIN) - either my Social Security or Employer Identification number. The TIN must be certified under penalties of perjury on my application when I open an account at the Introducing Broker. If I don't provide the TIN, or the TIN I report is incorrect, I could be subject to backup withholding of 31% of taxable distributions and proceeds from certain sales and exchanges. I could also be subject to further penalties, such ae: • a $50 penalty for each failure to supply my correct TIN • a civil penalty of $ 500 if I make a false statement that results in no backup withholding • criminal penalties for falsifying information I also could be subject to backup withholding because 1 failed to report interest or dividends on my tax return as required by the Internal Revenue Service. 15. Termination of Account, I understand that my account may be temtinated by me or vou. at any time. Termination will result in the cance0ation of my securities account and all other features or privileges. I understand that I remain ctsponsible for all charges, debit terms or other transactions initialed or authorized by me whether arising before or after onveination. 16. Extraordinary Events. You short not be liable for loss caused directly or indirectly by government restrictions, exchange or market rulings, suspension of trading, win, strikes or other conditions beyond your control, including, but not limited to computer or telephone failure, extreme market volatility or trading volumes. 17. Headings Are Descriptive. The heading of each provision is for descriptive proposes only and shall not be deemed to modify or quality, any of the rights or obligations set forth in each such provision, 13. Separability. If any provision or condition of this agreement shall be held to be invalid or unenforceable by any court, or regulatory or self- regulatory agency or body, such invalidity or umenforceability shall attach only to such provision or condition. The validity of the remaining provisions and conditions shall not be affected thereby and this agreement shall be carried out as if any such invalid or unenforceable provision or condition was not contained herein. 19. The Introducing Broker is not a bank, and securities offered by it are not backed or guaranteed by any bank nor are they insured by the FDIC. I anti aware that my brokerage account is not a bank account. Investments in my brokerage account are subject to investment risk, including loss of principal, and may lose value. The Clearing Broker and Introducing Broker will receive compensation for directing the order equity flow. With respect to OTC transactions, compensation may be in the form of a per share cash payment. The Clearing Broker has selected certain market makers to provide execution of OTC securities transactions who have agreed to accept orders transmitted electronically up to a specified size and to execute them at or better than the national best bid or o0'er (NBBO). On larger orders, or if the designated market makers do not make amtarket, in the subject security, tine Clearing Broker directly contacts market makers to obtain an execution The designated market, makers to whom orders are automatically routed are selected based on the consistently high quality of their execution of their OTC executions in one or more market 8323 L Ill/co segments and their ability to provide opporti-Ries for executions at prices superior to the NBBO. If an older for an exchange-listed security is not immediately executable on the exchange to which it is routed, the Clearing Broker may represent the order in the national marketplace using the various means available for price discovery. 1 agree to pay for brokerage commussions and other fees, as they exist from time to time and as they apply to my account transactions and services I receive. I also agree to pay all applicable state and local excise tales. A fee and commission table is available upon request or on your web site. 20. Other Terms. All securities and other property now or hereafter held, carried or maintained by you in your possession or control in any of my accounts may be pledged and repledged by you from time to time, without notice to me, either separately or in common with other such securities and other property, for any amount due in the accounts of mine, or for any greater amount, and you may do so without retaining in your possession or under your control for delivery a like amount of similar securities or other property. Within the lfm wi om imposed by applicable laws, rules and regulations, you are hereby authorized to lend to yourselves, as principal or otherwise, or W others, any securities held by you on margin for any accounts of mine or as collateral therefore, either separately or with other securities. it is recognized that any losses or other detriments, or gains or other benefits, arising from any such lending of securities shall not accrue to my aceomu. THIS AGREEMENT AND ITS ENFORCEMENT SHALL BE GOVERNED BY THE STATE OF MINNESOTA WITHOUT GIVING EFFECT TO ITS CHOICE OF LAW OR CONFLICTS OF LAW PRINCIPLES; SHALL COVER INDIVIDUALLY AND COLLECTIVELY ALL BROKERAGE ACCOUNTS WHICH I MAY OPEN OR REOPEN WITH YOU, OR WHICH MAY BE INTRODUCED TO YOU, INCLUDING YOUR SUBSIDIARIES AND AFFILIATES, THROUGH THE COURTESY OF THE AFOREMENTIONED INTRODUCING BROKER; SHALL. INSURE TO THE BENEFIT OF YOUR AFFILIATES AND YOUR SUCCESSORS, AND THOSE OF THE AFOREMENTIONED INTRODUCING BROKER, WHETHER BY MERGER, CONSOLIDATION OR OTHERWISE, AND ASSIGNS, AND THEIR RESPECTIVE EMPLOYEES AND BROKERS; YOU MAY TRANSFER MY ACCOUNTS TO YOUR SUCCESSORS AND ASSIGNS AND THOSE OF THE AFOREMENTIONED INTRODUCING BROKER; AND THIS AGREEMENT SHALL BE BINDING UPON MY HEIRS, EXECUTORS, ADMINISTRATORS, SUCCESSORS AND ASSIGNS. By reading and accepting the terms of this agreement, I acknowledge (1) that, in accordance with the Arbitration section, I agree in advance to arbitrate any controversies which may arise with the Introducing Broker or Clearing Broker, and (2) that, certain of my securities may be loaned to you or loaned out to others. AMERICAN EXPRESS INSURED MONEY MNixEf ACCOUNT TERMS AND CONDITIONS By opening an American Express Insured Money Market Account through American Express Financial Advisors ("ArW) I agree to appoint Reserve Management (corporation ("Reserve") as my authorized agent pursuant to the Terms and Conditions set forth below which may be modified by written notice to me. 1. Eligible Depositors. To be eligible for an American Express Insured Money Market Account ("AEINW), I must maintain a brokerage account with AF.FA. Individual, joint corporate, IRA and certain other types of accounts aut horized by AEFA are permitted. 2. New Accounts. When I open a AEIMMA, AEFA will forward my funds to Reserve. As my agent, Reserve will deposit my funds in a FDIC insured money market account ("MMDA") held in Reserve's time as agent for designated clients at American Express Centurion Bank ("AECB"), an FDIC-insured depository institution, and an affiliate of AEFA. Funds placed in the MMDA will be insured up to a maximum of $100,000. If I maintain other fiends in the same legal ownership category with AECB, balances in those deposit accounts will count toward the $100,000 limit. I am responsible for monitoring the total amount of such deposits in order for me to determine the extent of insurance coverage available on my deposits. 3. Annual Perceriave ("APY"). MyAEIMMAwill eam a rate of interest that is tiered based on the balance in my AE vIMA. The rate can fluctuate daily depending on market conditions. Please call 18W-297-7378 for the tiers and current prevailing rates. The daily balance method will be used to calculate interest on my funds. Interest is compounded daily and credited monthly to my AEIMMA There is no minimum period that funds most remain in my account and consequently, there is no penalty for witbdrawals of my entire balance or any part thereof at any time without notice. 4. Contributions. Funds I intend to contribute to my AEIMMA must be placed into my brokerage account and cannot be placed directly with Reserve or AECB. Available cash in my AEFA brokerage account will be swept daily to my AEIMMA- 5. withdrawals mid Transfers. I can make withdrawals at any time m any amount from my AEWAA through my AEFA brokerage account Withdrawals must be made from my AEFA brokerage account and cannot be made directly from Reserve or AECB. The sweep feature will automatically dead, fiords from my AEIMMA to cover withdrawals made from my AEFA brokerage account. If f purchase a security, finds will be automatically swept from my AEIMMA to my AEFA brokerage account on settlement date. The AEIMMA u not transferable. 6. Statements. The activity in my American Express Insured Money Market Account will be included on my AEFA brokerage statement, which will be mailed monthly or quarterly, if there is no activity. 7. Other Terms. The MMDA is solely the obligation of ARCH and not AEFAs or Reserve's, which acts only as the agent for me,. In the event thal. AECB reject,: additional contributions or withdrawals entirely, then Reserve as my agent is authorized by me to transfer my balance to The Reserve Find - Primary Fund and notify me of such action. Subject to applicable law, AECB reserves the right to change the terms of its agreement with Reserve, which may affect the terms of this AEIMMA agreement. AEFA or Reserve may, without. notice, refuse my contribution and close my account or impose a fee if my acbmui become burdensome. AEIMMA is not available for Wealth Management Service accounts. AEFA and Reserve are not banks. Securities made available by AEFA are not guaranteed by any bank and are not insured by the FDIC. Reserve is paid a comprehensive fee, not to exceed 1.10% per anon, of the average daily net assets of my account. Reserve at its own expense may compensate AEFA for providing services such as administrative, clerical, recordkeeping, bookkeeping and servicing account holders. All questions regarding my account should be directed to AEFA at 1-800.297-7378, and not Reserve or AECB. AEFA mid Reserve do not guarantee or any way the financial condition of any institution at which I may establish accounts. Upon request I will be provided with the publicly available summary of financial information that AEFA has relaying to participating institutions. If I have questions about the FDIC insurance coverage, I may obtain information by contacting the FDIC Office of Consumer Affairs, by letter, 55017th St, N. W, Washington, DC 20489; by phone (800) 934-3342 or (202) 0423100; by e-mail (consumer0FDIC.gov) or by visiting the FDIC web site at www.ft ic.gov. ELZMDNIC SERVICES AGREEMENT IMPORTANT`. I most rmd this Electronic Services Agreement before using any of the electronic services offered through my Introducing Broker accounts, which may include ordWir,we ution and financial market information access (hereafter referred to collectively as "The Services"). My use of The Services, or signed acknowledgement, indicates my acceptance of all of the following terms. In consideration of you accepting and carrying one or more accounts for me, in addition to the above, if 1 choose to effect transactions using your electronic services which may include order execution and financial market information access, I hereby consent and agree that. 1. Financial Market Information; Limited Warranty: I acknowledge financial market inkmation accessible through The Services (the "Information") has been independently obtained by vendors, various securities markets, such as stock exchanges, and their affiliates, and 8323 UI1 MI I r others (collectively, "Information Providers") din--gn sources believed to be reliable. The accuracy, completeness, timelines.; or correct sequencing of the Information is not guaranteed by the Introducing Broker, the Information Providers, any parties transmitting the Information ("Information Transmitters") or the vendors, or other service facilitators (the "Service Facili(ators"). I understand there may be delays, omissions or inaccuracies in the Information and I agree that neither the Introducing Broker, the Information Providers, the Information Transmitters nor the Service Facilitators shall have any liability, contingent or otherwise, for the accuracy completeness, timeliness or correct sequencing of the Information, or for any decision made or action taken by you reliant upon the Information or the Service, or for interruption of arty data, information or aspect of the Service. THERE IS NO WARRANT)' OF MERCHANTABILITY, NO WARRAN'T'Y OF FITNESS FOR A PARTICULAR USE, AND NO OTHER WARRANTY OF ANY KIND, EXPRESS OR IMPLIED, REGARDING THE INFORMATION OR ANY ASPECT OF THE SERVICE (INCLUDING BUT NOT LIMITED TO INFORMATION ACCESS AND ORDER EXECUTTON). 2. Limitations of Liability. I AGREE THAT IN NO EVENT WILL THE, INTRODUCING BROKER, THE INFORMATION PROVIDERS, THE INFORMATION TRANSMITTERS OR THE SERVICE FACILITATORS BE LIABLE TO ME OR ANYONE ELSE FOR ANY CONSEQUENTIAL, INCIDENTAL, SPECIAL OR INDIRECT DAMAGES (INCLUDING BUT NOT LIMITED TO LOST PROFITS, TRADING LOSSES AND DAMAGES THAT RESULT FROM INCONVENIENCE, DELAY OR LOSS OF THE USE OF THE SERVICE), EVEN IF THE INTRODUCING BROKER, THE INFORMATION PROVIDERS, THE INFORMATION TRANSMITTERS OR THE SERVICE FACILITATORS HAVE BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES OR LOSSES. I FURTHER AGREE THAT THE LIABILITY OF THE INTRODUCING BROKER, THE INFORMATION PROVIDERS, THE INFORMATION TRANSMITTERS AND THE SERVICE FACILITATORS ARISING OUT OF ANY KIND OF LEGAL CLAIM (WHETHER IN CONTRACT, TORT OR OTHERWISE) IN ANY WAY CONNECTED WITH THE SERVICE OR THE INFORMATION, WILL NOT EXCEED THE AMOUNT I ORIGINALLY PAID FOR THE SERVICE. I acknowledge and agree neither the Introducing Broker, the Information Providers, the Information Transmitters nor the Service Facilitators shall be bable nor any loss resulting from a cause over which such entity does not. have direct control, including but not limited to failure of electronievc mechanical equipment, or communication lines, telephone or other interconnect problems, unauthorized access, theft. operator errors, severe weather, earthquakes, and strikes or other labor problems. SOME STATES DO NOT ALLOW LIMITATIONS ON HOW LONG IMPLIED WARRANTIES LAST, THE EXCLUSION OR LIMITATION OF INCIDENTAL OR CONSEQUENTIAL. DAMAGES, OR THE EXCLUSION OF CERTAIN IMPLIED WARRANTIES, SO THAT THESE DISCLAIMERS AND LIMITATIONS MAY NOT APPLY TO ME. THIS WARRANTY GIVES ME SPECIFIC LEGAL RIGHTS, AND I MAY ALSO HAVE OTHER RIGHTS, WHICH VARY FROM STATE TO STATE. 3. Proprietary Information. The Information is the property of the Information Providers or others and is protected by copyright or other proprietary rights. I agree not to reproduce, retransmit, disseminate, sell, distribute, publish, broadcast, circulate or commercially exploit the Information in any manner without the express written consent of the Introducing Broker acid the relevant Information Provider(s); nor to use the Infornation for any unlawful purpose. I agree to comply with reasonable requests by the. Introducing Broker to protect the Information Providers and the Introducing Broker's respective contractual, statutory and common law rights in the hnformaton and the Service. 4. 1 will use the Introducing Broker electronic services only in accordance with this Agreement and any additional future services will only be used in accordance with this Agreement. 5i 1 shall be the only authorized user under this Agreement. Further, I shall be responsible for the confidentiality and use of my access identification name and password information. I understand that I shall be solely responsible for all orders entered through the Introducing Broker electronic services using my login ID, sign-on password and/or trading password. All orders shall be deemed to be made at the time received and in the form received. G. 1 acknowledge that the Introducing Broker, in providing me with the Introducing Broker electronic service has relied upon my agreement to be bound by the tt...,s of this Agreement, and any user license agreements related to any service software. I further acknowledge that f have read, understand and agree to be bound by the terms of all user license agreements, if any, and hereby reaffirm my acceptance of these terns. 7. 1 further underoamd and agree, that as a condition of using the Introducing Broker electronic service to place orders or send information, I shall immediately notify the Introducing Broker if I become aware of - any loss or theft of my access number(s), password(s) and/or account number(s); or - any unauthorized use of any of my access number(s), password(s) and/or account number(s), or of The Services or army information provided by The Services or any Information; or - any failure by me to receive a message that= order initiated by me through The Services has been received and/or executed through The Services; or - any failure by time to receive accurate written confirmation of an order or its execution within five (5) business days after entering the order through The Services; m - any receipt of confirmation of an older which I did not place, or any similar inaccurate or conflicting report of hfnnnation any discrepancy in the account balance or securities positions. All notifications to the Introducing Broker pertaining to this agreement. shall be mailed to you 8. If I fail to notify the Introducing Broker when any of the above conditions occur neither the Introducing Broker, nor the Clcaring Broker, will have any responsibility or liability to me or to any other person whose claim may arise through me for any claims with respect to the handling, mishandling, or loss of my order or other business. Any liability arming out of any action or omission by the Introducing Broker Dealer to provide services to me hereunder shall be funded n to an amount equal to the benefit which would have resulted from the transaction during the five (5) business days in which I should have acted. 9. I understand if there is z restriction on my account(s) with you, I will not be able to use The Services trading function. Further, the Introducing Broker reserves the right in its sole discretion to request a cash or equity deposit prior no the execution of any transaction through The Services. The Introducing Broker will not be responsible for any delay or failure to provide The Services, including the executor of any securities order in the event there is a restriction on my account or I delay or fail to make such deposit. 10. I understand that the Introducing Broker through The Services may be provided in accordancewith Information Transmitters or Service Facilitators to whose terms I have agreed and those terms shall apply to this Agreement and are incorporated herein by reference, including without limitation, availability of The Services, limitations of liability, and restrictions on the use of the information provided. 11. 1 acknowledge that neither The Services nur any of the Information is intended to supply tax or legal advice. Although The Services may provide access to numerous recommendations about how to invest and what to buy, none of these recommendations are developed or endorsed by the Introducing Broker. In the Services, the Introducing Broker is not recommending any investment advisory service or product, nor does the Introducing Broker offer any advice regarding the nature, potential value or suitability of any particular security transaction or investment strategy. 1 acknowledge that all ordersare at my sole risk. 12. I agree to be liable for an,+and all charges in connection with the use of The Services, including, but not limited to, your regular commission schedule In the event I choose to effect transactions other titan ,is your electronic service. 13. I agree to pay all subscription, service and use lees, hurry, which are charged by you for The Services and agree that such fees may be changed without notice. I agree to pay all costs (including attorney's fees), if any, incurred by the Introducing Broker in collecting overclue fees from me. I also agree to pay all federal, state, and local nixes applicable to my use or receipt of The Services. I hereby grant the Introducing Broker a continuing security interest in the assets in, ow account(s), to secure the timely payment of all fees owed by me for The Services and any other amounts owing under this Agreement. 9323 l m Vell 1 n 14, 1 agree that the Introducing Broker may The Services or change the teens of this Agreement or the Commission Schedule, in whole or in part, upon notice through an electronic service or in writing. 15. All price and security information provided through The Services is believed to be reliable; however, because of the volume of information, and the frequency with which it changes, the information can only be provided on a best efforts basis for the convenience of the user, and neither the Introducing Broker, nor the Clearing Broker, any of its information Providers, nor Service Facilitators is liable for any investment decisions made using the information provided. 16. A- I agree to indemnify and hold the Introducing Broker, the Clearing Broker, Information Providers and Service Facilitators harmless from and against any and all claims, losses, liability costs and expenses (including but not limited to attorney's fees) arising from my violation of this Agreement or any third party's rights, including but not limited to copyright, proprietary, and privacy rights. These indemnification and hold harmless obligations will survive the termination of this Agreement. B. The Introducing Broker reserves the right to terminate my access to The Services or any portion of it in its sole discretion, without notice and without Ihnitations, for any reason whatsoever, including but not limited to the unauthorized use of my access number(s), password(s), and/or account number(s), breach of this Agreement, and discontinuance of the Introducing Broker's access to any Information or data from any Information Provider or Service Facilitator or termination of one or more agreements between the Introducing Broker, the Information Providers, Information Transmitters or Service Facilitators. In the event of a termination by the Introducing Broker, the Information Providers, the Information Transmitters, Service Facilitators, the Introducing Broker and the Clearing Broker shall have no liability to me. EIEMmItC FUND TRANSFER DISCLOSURE Throughout this Disclosure, "you" and "your" refer to the Introducing Broker, Clearing Broker and/or American Express Company. "We", "us," "1," and "our" refer to the brokerage account holder(s) who are obligated on the brokerage account. 1, Applicability of these disclosures. These disclosures, and the rights and obligations contained therein, apply only to customers who are natural persons whose account was established primarily for personal, family or household purposes. They are applicable only to accounts and transactions governed by the Federal Electronic Fund Transfer Act and Federal Reserve Board Regulation E and (for Massachusetts residents) Chapter I67B of the Massachusetts General laws and any regulations promulgated thereunder. 2. Types of Electronic Fund Transfers. If I sign the appropriate documentation as required by you, I may make the following types of electronic funds transfers to or from my account; preauthorized payments from my account to third parties; automatic funds transfer ("AFI"') transactions made through the Automated Clearing House system between my account and accounts at financial institutions; direct. deposit of funds to my account; and telephone transfers. 3. Limits on Electronic Fund Transfers. I cannot make any transfers out of my account that exceed the combined asset value of my account as described in my agreement For any single AFT Transaction, the minimum amount is $100, and the maximum amount is $100,000. All electronic find transfers are limited by the amount of available kinds in any account from which the transfer is requested. For security reasons, there may be other limits on electronic fund transfers that I can make. 4. Fees. There is no charge for AFT Transactions. You may add or change fees for electronic fund transfers by giving notice to me. 5. Error Resolution Notice. In case of errors or questions about my electronic transfers, I shall call or write you at the telephone number or address listed in this Agreement, as soon as I car, if I think my statement or receipt is wrong or if I need more information about a transfer listed on the statement or receipt. You must hear from me no later than 60 days after you sent the FIRST statement on which the problem or error appeared. I must • Tell you my rte...,; and account number (if any). • Describe the error or the transfer I an unsure about, and explain as clearly as I can why I believe it is an error and why I need more information. • Tell you the dollar amount of the suspected error. If I tell you why orally, you may require that I send you my complaint or question in writing within 10 business days. You will detename whether an error occurred within 10 business days (20 business days if the transfer involved a new account) after you hear from me and will correct any error promptly. If you need more time, however, you may take up to 45 days (9b days if the transfer involved a new account, a Point-of-sale transaction, or a foreign-initiated transfer) to investigate rte complaint or question, If you decide to do this, you will credit my account within 10 business days (20 business days if the transfer involved a new account) for the amount I think is in error, so that I will have me of the money during the time it takes you to complete your investigation If you ask me to put my complaint or question in writing and you do not receive it within 10 business days, you may not credit my account. An account is considered a new account for 30 days after the first deposit is made. You will tell me th e results within three business days after completing your investigation. If you decide that there was no error, you will send me a written expLinnion. I may ask for copies of the documents that you used in your investigation by phone or in writing. 6. Business Days. Your business days are Monday through Friday, except days when the New York Stock Exchange, Inc. is closed. i. Record of Transactions. My monthly statemem will list all electronic fund transfers made in connection with my account. 8. My Liability for Unauthorized Transactions. If my statement shows withdrawals or transfers that I did not make or other inaccuracies, I shall tell you at on; . if I do NOT tell you within 60 days after the statement was mailed to me, I may not get back any money I lost after the 60 days if you can prove that you could have stopped someone from taking the money if I had told you in time. If I believe that someone has transferred or may transfer money from my account without my permission, I shall call you between 9:00 am. and 6:00 p.m. Eastern Time or write to you at the Introducing Broker location identified on the client application. 9. Your Liability. You will be liable to me for any achna losses I suffer if you fail to complete a properly requested electronic fund transfer, or to stop payment of a transfer, in accordance with the terms of this Disclosure or any other written agreement you may have with me. However, you will riot be liable in me, if an electronic fund transfer catnut be completed or I receive less cash than you requested if, through no fault of yours, my account or bank account does not have enough money to complete the transaction, the transfer will exceed any credit available to me in my account, the fonds in my account are subject to legal process or other encumbrance restricting the transfer. There may be other exceptions in your agreements with me. 10. Preauthorized Payments. If I have told you in advance to make regular payments out of my account, I can stop any of these payments. Here's how: l shall call or write to you at the Introducing Broker location identified on the client application in time for you to receive my request three business days or more before the payment is scheduled to be made If I call, you may also require me to put my request n writing and send it to you within 14 days after I call. If these regular payments vary in amount, the person I am gong to pay will tell me, 10 days before each payment, when it will be made and how much it will be. If I order you to strip one of these pa?mients three business days or mare before the transfer is scheduled, and you do not do so, you will be liable for my losses or damages. 11. To Find Out if a Preauthorized Transfer Has Been Made. If I have authorized an electronic fund transfer to or from my account, I can call you to find out if the transfer has been made. 12. Changing This Disclosure and These Rights and Responsibilities. You may change this LuSclosnre a any time upon notice to me, or without notice to me, whenever the account description or Fund Prospectus is modified. You or any participating bank, financial 83231.111/011 11 institution or ATM network may add or remove 1, or all A1?& or extend, limit or etintinate the services provided at any or all ATMs without notifying me beforehand. 4}om time to time, the rights and responsibilities with respect to electronic fund transfers may change. I shall be notified of any changes as required by applicable law. However, if the change is necessary for security reasons, I do not have to be notified. NOTE mR MASSACrmS Resipic t The following disclosures apply to Massachusetts residents only. 1. General Disclosure Statement. Arty documentation provided to me that indicates that an electronlc fund transfer was made shall be admissible as evidence of such transfer and shall consdtute prima facie proof that such transfer was made. The initiation by me of certain electronic fund transfers from my account will, except as otherwise provided in this Disclosure, effectively eliminate my ability to stop payment of the transfer. Unless otherwise provided in this Disclosure, I may not stop payment of electronic fond transfers; therefore, I should not employ electronic access for purchases or services unless I am satisfied that I shall not need to stop payment. No interest is paid on the cash balance in my accamt Dividends, at a rate that varies daily, are paid on any mutual fund balances in my aecommt I may terminate this Agreement by notifying you in writing. If a problem or error with respect to my account concerns a transfer to or from a third party (for example a Social Security payment), your investigation may be limited to a review of your own records. If you decide that there was no error, I may want to contact such third party to pursue the matter further. If I comply with the conditions set forth above, in cases in which I think that a transfer from my account was initiated by a third party that was not authorized to initiate any transfers from my account, you will request a copy of the third party's authorization. If you do not request it within 30 calendar days, you will recredit my account for the transfer I think is unauthorized, so I will have the use of my money until we determine whether I had authorized the transfer. 2. Disclosure of Account Information to Third Parties. IfI give you written authorization to disclose Information about me, my account or th e transactions that I make to any person, that authorization shall automatically expire 45 days after you receive it. If an unauthorized disclosure has been made, you most inform me of the particular; of the disclosure within three days after you have discovered that an unauthorized disclosure has occurred. 3. Protected Consumer Use of Electronic Fund Transfer Services. Chapter 167B of the Massachusetts General Laws was enacted to provide a means for financial institutions, businesses and consumers to conduct their business relations mom conveniently. Transferring fords electroncally will supplement. the use of checks, credit and cash and will not replace these methods of doing business. As a consmner, I should be aware of my rights if I choose to utilize this system. • Prohibition of Compulsory Use. No person may require me to use a jimaothnrized electronic food transfer as a rendition for the extension of credit unless the credit is being extended in connection with an overdraft checking plan or is being extended to maintain a specified balance in my account; or require me either to accept a transfer service or to establish an account that is accessed electronically as condition of employment or receipt of governmental benefit; or require me to pay electronically for the purchase of goods or services. If my acco of is to be credited by a preauthorized transfer, I may choose the financial institution to which the transfer may be made if the institution is technically capable of receiving such preauthorized transfer. • Waiver of Rights. No writing or agreement signed by me can waive the rights conferred to me by Chapter 1678 of the Massachusetts General laws unless I decide to waive these rights it settlement of a dispute or action. • Discounts. No store or retail business may offer a discount to me for making payment on any purchase or goods or services by electronic payment, rather than by cash, check or charge. • Refunds. If it is the policy of a store or retail business to give cash refunds in retmn form item purchase with cash, then this policy most also cover refimds for items inuchased by electronic find transfer unless it is clearly disclosed at the tune the transaction is consummated that no cash or credit refunds are given for payments made by electronic fund transfers. • Suspension of Obligations. If a person agrees to accept payment by means of an electrnitic find transfer and the system malfunctions preventing such a transfer, then the consumer's obligation is suspended minW the transfer can be completed, unless that person, in writing, demands payment by other means. • Prohibited Means of Identification. My Social Security number cannot be, used as the primary identification number although it can be used as a secondary aid to identify me. • Criminal Liability. Procuring or using a card, code or other means of electronic access to an account with the intent to defraud is basis for criminal liability. CnNTAMNG MIMIC," Exemss BRmU RAGE I may contact you using the following addresses and phone numbers. I may also write you a the Introducing Broker location identified on the client application. American F,xprem Brokerage 70400 AXP Financial Center Minneapolis, MN 55474 1-800-AXP-SERV (297-7378) a323t 111701) 17 FEES FOR RM11KN EW,, EDUDATroN IRA AND KEOGH AaotmtS Brokerage Service Fees Wire Transfer Out $15 Express Mail Cost of Carrier ReWmed Check or ACH $15 Limited Partnership Transfer $45 per issue Legal Transfers $20 Private Placement $75 annual per account Transfer Out $50 Voluntary PhysicaVReorganiration $35 Certificate Delivery $15 Non-standard Custody/Safekeeping $25 Statement Reprint $5 Trade Related Fees Late Trade Settlement $15 ($30 maximum client charge per settlement date) SEC transfer $0.01 per $300, or fraction thereof, on all equity and options sale transaction' Quotes 500 real-time quotes free with account opening. 100 free quotes for each executed trade. Additional quotes are $0.01 each. 'SEC Transfer fee applies to all non-debt securities subject to prompt lastsals reporting. I agree that you may charge multiple transaction fees and/or commissions if a single order or transaction is executed on multiple days. MONEY SbTfLEFtENT OPTIONS'' Retirement Accounts American Express Insured Money Market Account Daily sweep of uninvested cash balances Reserve Ftmd Money Market portfolios Daily sweep of uninvested cash balances at the opening of the first business day of the week Taxable: Primary U.S. Government U.S. Treasury SPS Advantage Accounts American Express Insured Money Market Account Daily sweep of uninvested cash balances Reserve flmd Money Market portfolios Weekly sweep of uninvested cash balances at the opening of the fast business day of the week Taxable: Primary If no portfolio is indicated, the American Express Insured Manly Market Account will be selected. An portfolios except the American Express Insured Money Market Account are money market mutual find portfolios of the Reserve Fond. American Express Insured Money Market Account is an Interest bearing account. All deposit products and services are offered by American Express Centurion Bank, a federally insured financial banutudon. All transactions securities are cleared by American Enterprise Investment Services, Inc., a wholly owned subsidiary of American Express Fruancial Corporation. American Enterprise Investment Services I. a member of the Natlanai Association of securities Dealers (NASD), Securities Inst. iur Pmtection Carpomtion (SIPC), the Cluenge Stock Exchange, and the Pacific Stock Exchange. All fees and account features subject to change. Other fees may apply. M231111101) 11 } FOX • ROTHSCHILDrrr ATTORNEYS AT LAW 2000 MARKET STREET • TENTH FLOOR • PHILADELPHIA, PA 19103-3291 215.299.2000 • FAX 215.299.2150 www.foxrorhschild.com Joshua Hom Direct Dial: (215) 299-2184 Internet Address: jhom@foxrothschild.com D October 1, 2004 U Henry F. Coyne, Esquire Coyne & Coyne, P.C. 3901 Market Street Camp Hill, PA 17011 Re: Scheuren v. American Express Financial Advisors, Inc., et al. Cumberland County CCP No. 03-3622 Dear Mr. Coyne: I write with respect to your outstanding settlement proposal. As you may recall, I advised you that there was an agreement to arbitrate that would cover this disposition of these proceedings. In that regard, enclosed is an account application that Mr. Scheuren signed. Please note the language in bold above his signature requires the submission of this matter to arbitration. If you have any questions, please do not hesitate to contact me. Thank you. Very truly ?yours, Josh a Horn :jh Enclosure cc: A. Wesley Bridges, Esquire PENNSYLVANIA • NEW JERSEY • DELAWARE CERTIFICATE OF SERVICE I, Joshua Horn, Esquire, hereby certify that a true and correct copy of defendants motion to compel arbitration was served by first-class U.S. mail, postage prepaid, on plaintiff s counsel of record, addresses as follows: Henry F. Coyne, Esquire Coyne & Coyne P.C. 3901 Market Street Camp Hill, PA 17011-4227 Counsel for Plaintiffs James N. Scheuren and Barbara D. Scheuren Horn, :Esquire Dated: August 29, 2005 --x Z: ? y ca ? RECE',-'' AUS 2115 C STEVEN P. LEONARD, IN THE COURT OF COMMON PLEAS Plaintiff OF CUMBERLAND COUNTY, PENNSYLVANIA vs. CIVIL ACTION - LAW SHAWN MURPHY, NO. 05-982 Defendant 11 TRY TRI AL DEMANDED II? OZ?ZIM'w -? AND NOW, this f day oflz st, 2005, upon consideration of the Motion to Make Rule Absolute, IT IS HEREBY ORDERED that Defendant's Motion to Dismiss, is granted and Plaintiff's case is dismissed with prejudice. BY J. ?q, -3- "^J ,;? , ?? ?? b'c; 1~ daS?GO? s?j 3'? t I?id?ih:;iJ''°?; i??i ,,,??-C!:1?:, ?. ?.. a.:' Ma STEVEN P. LEONARD, IN THE COURT OF COMMON PLEAS Plaintiff OF CUMBERLAND COUNTY, PENNSYLVANIA VS. CIVIL ACTION - LAW SHAWN MURPHY, NO. 05-982 Defendant JURY TRIAL DEMANDED PRAECIPE TO SATISFY TO THE PROTHONOTARY OF CUMBERLAND COUNTY: Please mark the judgment entered in the above-captioned matter as satisfied. BY: SCO L. GRENOBLE, ESQUIRE Atto ey I.D. #72808 525 South Eighth Street P. O. Box 49 Lebanon, PA 17042-0049 717 ^l^ , -14 21 Attorney for Plaintiff BUZGON DAVIS LAW OFFICES v'. • STEVEN P. LEONARD, IN THE COURT OF COMMON PLEAS Plaintiff OF CUMBERLAND COUNTY, PENNSYLVANIA vs. CIVIL ACTION - LAW SHAWN MURPHY, NO. 05-982 Defendant JURY TRIAL DEMANDED AFFIDAVIT OF SERVICE COMMONWEALTH OF PENNSYLVANIA) ) ss: COUNTY OF LEBANON ) I, Janelle K. Worcester, an employee of the law firm of Buzgon Davis Law Offices, 525 South Eighth Street, Lebanon, Lebanon County, Pennsylvania, Attorneys for Defendant, being duly sworn according to law, depose and say that on August 28, 2008, I mailed for filing, in the Office of the Prothonotary of Cumberland County, the original PRAECIPE TO SATISFY. Sworn to and subscribed before me this 28th day of August, A.D., 2008. otary Public CQMNQMW--4LTH OF PMSYLVARK Wows" aLobwa% NOWY O?w* *hrominlMon EWfrerr July 3, 2011 Mamb.r, P*nnsylvanN Assoolstlon of Notaries c`a +^v ez? i