HomeMy WebLinkAbout05-18-05
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MARSHALL, DENNEHEY, WARNER,
COLEMAN & GOGGIN
By: Jeffrey J. Chomko, Esq.
Attorney Identification No.: 54337
1845 Walnut Street, 17th Floor
Philadelphia, PA 19103
(215) 575-2632
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C.J
, I
Re: Mildred J. Gerber Trust
COUNTY OF CUMBERLAND
ORPHANS' COURT DIVISION
No. 21-2002-0540
Re: Fred E. Gerber Trust
COUNTY OF CUMBERLAND
ORPHANS' COURT DIVISION
No. 21-98-0195
CHARLES SCHWAB & CO.. INC.'S MOTION TO QUASH SUBPOENAS
Charles Schwab & Co., Inc. (nSchwabn), by and through its attorneys, Marshall,
Dennehey, Warner, Coleman & Goggin, files this Motion to Quash Subpoenas, and in support
thereof, avers as follows:
I. Factual Back2:round
1. On or about May 5, 2005, Schwab received correspondence and subpoenas by
regular mail from an individual named Marilyn Gerber, an interested party to the above
proceedings, who identified herself as proceeding pro se in connection with the two (2) above-
captioned matters presently pending in the Orphans' Court of Cumberland County. The first
matter is captioned as Re: Mildred J. Gerber Trust, Orphans' Court Docket No.: 21-2002-0540,
and the second matter is captioned as Fred E. Gerber Trust, Orphans' Court Docket No.: 21-98-
0195. A copy of Ms. Gerber's letter dated April 19, 2005 is attached hereto and is marked as
Exhibit nA.n
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2. It is believed that William A. Duncan, Esquire has been appointed as an Auditor
in both of the above-captioned matters. A copy of this Motion is being forwarded to Mr. Duncan
for review at the same time it is filed with the Court.
3. Ms. Gerber has issued subpoenas under both docket numbers directed to Schwab,
Benjamin Dum, and Brian Rheam, presumably under Pa. R.C.P. 4009.22. The subpoenas
request copies of a host of documents, including correspondence and account statements.
Additionally, Ms. Gerber has asked to question these individuals, as well as other former or
current individuals from Schwab in connection with the account documents she now seeks.
Brian Rheam no longer works for Schwab. A copy of the subpoenas is attached hereto and is
marked as Exhibit "B."
II. Le2:al Standard
4. Pursuant to Pa. R.C.P. 234.4(b):
A motion to quash a subpoena notice to attend or notice to
produce may be filed by a party, by the person served or by any
other person with sufficient interest. After hearing, the court may
make an order to protect the party, witness, or other person from
unreasonable annoyance, embarrassment, oppression, burden or
expense.
Pa. R.c.P. 234.4(b).
5. The subpoenas forwarded are invalid on multiple procedural grounds under the
Pennsylvania Rules of Civil Procedure and Schwab now moves to quash these subpoenas.
III. Subpoenas were Invalidlv Served
6. The subpoenas were mailed to Schwab's legal department in San Francisco,
California on May 5,2005 and were never validly served. Pursuant to Pa. R.C.P. 234.2(a):
(a) upon the request of a party, the Prothonotary shall issue a
subpoena signed and under the seal of the court but otherwise in
blank, substantially in the form prescribed by Rule 234.6.
(b) a copy of the subpoena may be served upon any person
within the Commonwealth by an adult:
(1) in the manner prescribed by Rule 402(a); . . .
In the absence of an agreement to waive the service requirements of Rule 402(a), service
must be accomplished in person and within the Commonwealth. Pa. RC.P. 234.2 and 402(a);
see also, Kovalev v. Sowell, 839 A.2d 359, 366 (Pa. Super. 2003).
7. Pursuant to Pa. RC.P. 402(a), original process may be served:
(1) by handing a copy to the defendant; or
(2) by handing a copy:
(i) at the residence of the recipient to an adult member of the family
with whom he resides; but if no adult member of the family is
found, then to an adult person in charge of such residence; or
(ii) at the residence of the recipient to the clerk or manager of the
hotel, inn, apartment house, boarding house or other place of
lodging at which he resides; or
(iii) at any office or usual place of business of the recipient to his agent
or to the person for the time being in charge thereof.
Pa. RC.P. 402(a).
In lieu of service under Rule 402(a), the recipient "or his authorized agent" may accept
service of original process by filing "an acceptance of service that substantially conforms with
the form set forth in the rule. Pa. RC.P. 402(b).
8. Since the subpoenas in the two (2) above-captioned matters were not served
validly in compliance with the Rules, they are invalid and must be quashed.
IV. Form of the Subpoenas are Invalid
9. The subpoenas should also be quashed because the form ofthe subpoenas are
invalid pursuant to Pa. RC.P. 234.6. Pa. RC.P. 234.6 prescribes the form a valid subpoena
should take. This includes notifying the recipient of the precise time and place they are
designated to appear. Pa. R.C.P. 234.6. The Rule also states that a return of service in the form
designated shall be completed where materials other than documents are requested. Pa. RC.P.
234.6.
10. The subpoenas issued in this matter are silent as to the time, location, and place
where testimony is sought. While the letter which accompanied the subpoena discussed the
issuer's desire concerning questioning Schwab's representatives, the subpoena itself does not
contain the required information. Therefore, it is invalid and must be quashed. Additionally, no
valid return of service form was ever executed on this matter.
V. Subpoenas Fail to Comply with the Requirements of Rule 4009.22
11. The issuer of the subpoena, pro-se litigant, Marilyn Gerber, presumably attempts
to subpoena Schwab records in accordance with Pa. RC.P. 4009.22. See Exhibit "B." However,
this Rule presumably covers situations where the production of documents is sought. Pa. RC.P.
4009.21 directs that a party seeking production from a person not a party to the action must give
written notice to every other party of the intent to serve the subpoena at least twenty (20) days
before the date of service. A copy of the subpoena proposed to be served shall be attached to the
notice. Pa. R.C.P. 4009.21.
12. Here, there is no indication from the materials supplied that the (20) day notice
was provided or supplied to other interested parties. Since there is no indication in these
proceedings that proper notice was ever supplied to any interested party to this action, including
the court-assigned auditor, William A. Duncan, the subpoenas are invalidly served under Pa.
R.C.P. 4009.22, and must be stricken. This is because they fail to contain the requisite certificate
prerequisite for service of the subpoena pursuant to Pa. R.C.P. 4009.25. Additionally, the
subpoenas are improper under 4009.21 since they fail to indicate on the face ofthe subpoena,
where the designated documents are to be produced, and to whom. Pa. R.c.P. 4009.26.
13. Counsel for Schwab now moves to quash all ofthe subpoenas issued in
connection with the two (2) above-captioned actions since they fail to comply, legally or
procedurally, with the Pennsylvania Rules of Civil Procedure. Counsel requests the Court to
execute the attached Order.
WHEREFORE, Schwab respectfully requests that this Honorable Court execute the
attached Order and quash the subpoenas issued in connection with the two (2) above-captioned
matters, with prejudice.
Respectfully submitted,
Dated: May 17, 2005
- MAY. 6.2005 2:06PM
CORPRATE COUNSEL
NO. 842
P. 2
. Apri119,2005
Beth Klugman,Esqulre
Charles Schwab
101 Montgomery Street
San Francisco,CA 94104
.
Dear Ms. Klugman:
I am submitting to you a supoena for Production of Documents from Charles
Schwab's Harrisburg Branch and Virginia Branch for all financial documents and
. correspondence for the Fred E. Gerber,Sr. Trust and the Mildred J. Gerber Trust
from the beginning of the formation of each Trust.
I am also sending you a supoena for the deposition of Mr. Brian Rhearn, Mr.
Jeffrey Roes, Mr. Garrett Wynne, Mr. Benjamin Dum and any other Charles Schwab
manager who had anything with the two stated Trusts as Mr. Dum. Mr. Rheam and Mr.
Roes were Intimately involved with the above stated Trusts and even though they may
not be the current branch manager at the Charles ~wab Harrisburg Branch. I wish to
depose them. I also wish to depose the last manager who dealt with the final
disposition and management of the financial assets of the above stated Trusts.
As I Indicated to you in November 2004, the hearing for the Objections for the
Accounting by the Trustee. Frederick E. Gerber,l1 was postponed until later this year.
The Court appointed Auditor, William A. Duncan.Esquire has approved my right to
supoena all manager necessary at Charles Schwab as wen as anyone at PNC Bank.
I think that this time. Charles Schwab shall have difficulty in quashing my supoenas for
Request for Production of Documents and depositions of Charles Schwab personnel
who were involved with the Fred E. Gerber,Sr. Trust and the Mildred J. Gerber Trust.
1n past discovery, Mr. Garrett. Wynne's name comes up In correspondence with
the Trustee and therefore 1 am prepared to depose him in your offices. in San
Francisco or by telephone whichever works. If I depose Mr. Wynne by telephone, 1
sha11 set up a fax machine and pass and receive documents back and forth. I have
done this very effectively in the past and it works quite wel1.
I shall require that you disclose the name of the remaining branch managers at
Charles Schwab at either the Harrisburg Branoh or the Virginia Branch where
Frederick E. Gerber.1I had assets transferred to.
The last set of supoenas that 1 served upon Charles Schwab are technically stl11
valid as the just the date has changed and the hearing was postponed and approved
by the Court.
In your past correspondence In October and November 2004, you indicated that
MAY, 6.2005 2: 07PM
CORP RATE COUNSEL
NO. 842
P. 3
. ,
some of the documents could not be readily obtainable. I again must insist that
Charles Schwab produce everything that has existed from ALL assets concerning the
.Fred E. Gerber Trust which was created in 1984 and the Mildred J. Gerber Trust which
was created in 1997. If any assets or accounts existed prior to the creation of the Fred
E. Gerber,Sr Trust or the Mildred J. Gerber Trust. , am asking for documents on these
accounts which would have eventually created either of the above stated Trusts.
1 don't care if Charles Schwab has to retrieve microfiche, or archives that are
stored,1 wish all documents and all correspondence and e-mails that exist on the
above stated Trusts.
Recent discovery per the filing of the Accounting by the Trustee, Frederick E.
Gerber,U Indicates that Charles Schwab may no have any assets of the above stated
Trusts. If this is true, then 1 sha11 require the disclosure of the final documents
surrounding the sale and/or transfer of all assets from Charles Schwab to either the
Trustee, Frederick E. Gerber,11 or to any other financial institution such as Salomon
Brothers.
You shall have to produce the requested documents in 30 days which shall be
on May20,2005. I shan have the rtght to examine the original documents and I shall
request that I examine all ORIGINAL documents at the Harrisburg Branch of Char1es
Schwab. I am sure that originals from the Virginia Branch and any other location can
be sent to the Harrisburg Branch for my review. 1 shall examine each copy of
documents submitted against the original.
1 shall depose Mr. Brian Rheam. Mr. Jeffery Roes, Mr. BenjamIn Dum once you
disclose their location. I shall wish to do this during the week of May 23-27,2005 in
either the Charles Schwab offices or if you disapprove, an office that I shall designate
in Harrisburg. 11 I shall conduct any of the depositions by telephone due to the fact that
some of the Individuals may too far away forme to depose, then I shall depose them
by telephone.
If Charles Schwab should delay or fail to respond, I shall seek a Motion to
Compel Charles Schwab to produce documents and for Charles Schwab's employees
to be deposed and I shall ask for Sanctions and any relief that the Court may deem
reasonable.
This has been a long.long road for our family over seven years. My parents
placed their hard earned moneys with Charles Schwab and I shall expect Charles
Schwab to produce a1l the supoened documents that I have requested. The Trustee
has failed to produce all documents up to now and their is currently a Motion for
Sanctions against him which the Court has asked for a Rule to Show Cause. I have
no faith that the Trustee will produce all documents and therefore I am counting on the
good faith of the Institution of Charles Schwab to prodUce atl of the documents that are
associated with the above stated Trusts. I want to make It perfectly clear with Charles
Schwab that I DO NOT INTEND to appear at the upcoming hearings WITHOUT
~ MAY. 6.2005 2:07PM
CORPRATE COUNSEL
NO. 842
P. 4
DOCUMENTS from Charles Schwab nor the com_tiano' appropriate depositions.
The Requested Documenm shall be due on May 20,2005. I shan have the right
to review the original documents which in the c~ of Charles Schwab may be viewing
the computer screen that printed out the requested doouments. I &hall wish to do this
on May 23,2005 In the offices of Charles SchwabHarrisburg Branch.
If you have any questions. please call me at 717 503-5280 or fax me at 717
737-7116. I shall not have any more patience with any display of disrespect that your
legal offJce has shown me In the past. This is a very simple matter. I would also
apprecfate it if you would treat me with the same respect that you have demonstrated
with your friends at PNC Bank, Ms. Joanne Christine or any other attomey involved
with this case. I do not appreciate being treated acerbically, with disdain and
especially being hung up on or ignored and put through unnecessary hoops to
accomplish a simple request- documents and a deposition about these documents for
a family that put their money with Char1es Schwab.
Sincerely,
Ma 'Iyn G rbe ,Pro Se
717 Market Street,#317
Lemoyne, PA 17043
TEL 717 503-5280
FAX 717737-7116
ce. WUliam Duncan, Auditor
. MAY, 6.2005 2:07PM
CORPRATE COUNSEL
NO. 842
P. 6
COMMONWEALTH OF PBNNSYL VANIA
COUNTY OP CUMBERLAND
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. SUBPOENA TO PRODUCE DOCUMENTS OR THINGS
FOR DISCOVERY PURSUANT TO RULE 4009.22
TO: 111!. ~aJ JwIU- (J~ flAlf.(l.#B
(Name of Person or Bntity)
Within twenty (20) days after service of this subpoena, you are ordered by the CQurt to produce the
followins documents or things:
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(Address)
You may deliver or mail legible copies of the documents or produce things requested. by this
subpoena, together with the certificate of eompliance., to the party making this request at the address listed
above. You have the right to seek in advance the reasonable cost of preparing the copies or producing the
things sought
If' you fail to produce the documents or things required by this subpoena within tWenty (20) days
after its service, the party serving this suopoena may seek a court order compelling you to comply with it.
THIS SUBPOENA WAS ISSUeD AT THE REQUEST OF THE FOLLOWING PERSON:
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ADDR.ES~ . I ~ ~
TELEPHONB: 1li7 5?).7-b?~
SUPREME COUR . fD #
ATTORNEY FOR:
Court
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,MAY. 6.2005 2:07PM
CORP RATE COUNSEL
NO. 842
P. 5
COMMONWEALTH OF PENNSYLVANIA
COUNTY OF CUMBERLAND
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SUBPOENA TO PRODUCE DOCUMENTS OR THINGS
FOR DISCOVERY PURSUANT TO RULE 4009.22
TO: ;o/t. ~/~ J>VIV\-{!/~ Sfltltu#
(Name ofPer$on or Entity)
Within twenty (20) days after service of this subpoena, you are ordered by the court to produce the
following documents or things:
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(Ad~s)
You may deliver or mail legible copies of the documents or prOduce thinss requested by this
subpoena, together with the certificate of compliance, to the party making this request at the address listed
aoove. You have the right to seek in advance the reasonable cost of preparing the copies or producing the
things sought.
I f you fail to produce the documents or things required by this subpoena within twenty (20) dayS
after its service, the party serving thi.$ subpoena may seek a court order compelling you to comply with it.
NAME:
ADORES :
Court
BY THE COURT:
b~I,k..1ffllUt.L~, loJ
, Register ofWills/Clerk of e Orphans' I
Date:
Seal of the Court
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MAY. 6.2005 2:07PM
CORPRATE COUNSEL
NO. 842
P. 7
April 19,2005
Mr. Benjamin Dum
Charles Schwab
OffIce of Corporate Counsel
101 Montgomery Street
San Francisco,CA 94104
Dear M~nla~in ~rian Rheam, Jeffrex Roes, Garrett Wynee et all:
You have been supoened and I am asking that you submit the following
documents concerning the Fred E. Gerber. Sr. Trust and the Mildred J. Gerber Trust,
I have submitted individual supoenas for both Trusts to comply with regulations. You
are the last known Branch Manager of Charles Schwab at the Harrisburg Branch and
the Trusts are located in Pennsylvania and under the jurisdiction of the Court iin
Pennsylvania.
I am requesting the following documents.
1. All montly statements for all accounts. checking accounts,investment
accounts. savings accounts for the two mentioned Trusts from the origin of the Trust
until the present
2. All statements and documents that detail the opening, funding and/or
closing of any financial accounts for the two mentioned Trusts from the origin of the
Trust untit the present.
3. All explanations of all assets that were sold to anyone or entity or
transfered to anyone or any entity including complete financial detail such a
commission payments, charges for selling any account, asset or dosing of any
account in the names of the above stated Trusts.
4.
Trusts.
All explanations of all margin Interests that were paid for the two stated
5. All documents, correspondence, e-malls, letters notes of telephone calls,
thrid party documents, received from anyone connected to the two Trusts or sent from
Charles Schwab to anyone concerning the two Trusts incuding Frederick E. Gerber,II,
Mildred Gerber, Marilyn Gerber, Jane Heflin, PNC Bank, Rhoads & Sinon, Mr. Richard
RUpp, Mr. Herbert Rupp. Ms Jacqueline Verney, Ms Undsay Baird, Ms. A.J.
Mendolsohn, or anyone who has corresponded with Charles Schwab or with whom
Charles Schwab has corresponded with concerning the two Trusts.
6. Add documents that list any commissions paid on the sale of the assets
when they were transfered to PNC Bank or to any other institution of the Fred E.
Gerber,Sr. Trust or the Mildred J. Gerber Trust.
· -. MAY. 6.2005 2:08PM
CORP RATE COUNSEL
NO. 842
P. 8
7. All documents of any wire transfers that were made to or from Charles
Schwab to anyone, any entity, any company, any financial institutions from the above
stated Trusts along with copies of the wire transfers, who authorized such wire
transfers. to whom the wire transfers were sent to, and for how much.
8. All documents of fees that were paid to Charles Schwab for managing
the two stated Trusts.
9. All documents that Charles Schwab has in their archives. microfiche. or
In their computers that has anything to do with the two stated Trusts.
10. All documents that Charles Schwab has or had knowledge of that is
related to any amended versions of the two stated Trusts, official documents or any
documents which stipulated the dispersal of funds from the two Trusts.
11. Copies of all agenda books, diaries, scraps of paper, telephone logs,e-
mails which can be retrieved from corporate IT systems of any correspondence of any
nature discussing the Fred E. Gerber,Sr. Trust, the Mildred J. Gerber Trust, the Trustee
or any other member of the Gerbern-teflin family members who are beneficiaries of the
Fred and Mildred Gerber Trusts, Rhoads & Sinon by and trough their attomeys
espectally Joanne Book Christine, A.J. Mendolsohn, Heather Kelly, Lindsay Baird,
Richard Rupp, Herbert Rupp, Jacqueline Verney, any accountants from Gilliland &
Associates, Jane Heflin, the irusteeor any other unknown entity, person or company
not known to the Petitioner that has made themselves known to Charles Schwab and
has an association or connection with the Two Trusts and the Trustee.
12. All documents that list all commissions paid or fees paid to any individual
at Charles Schwab regarding any activity of the two stated Trusts.
13. All tax documents that support whether Charles Schwab acted as a
portfolio manager and made independent investments for the two Trusts.
14. Copies of all tax documents that were submitted.to the Trusteet his
accountants, his attorneys, or any tax revenue agency/department that were created
by Charles Schwab or provided by Charles Schwab to any entity or person.
15. Copies of all documents that have been submitted to Frederick E. Gerber,
II over the course of his Trusteeship from the beginning of the formation of the Trusts
until the present
16. Copies of how many accounts ever existed for Mildred J. Gerber, Fred
E. Gerbef,Sr, the Trustee, Frederick E. Gerber,lI or any member of the GerberlHeflin
family who are beneficiaries of the Trusts.
17. Copies of each monthly statement created for the two stated Trusts and
COPIES OF FRONT AND BACK of each check written by the Trustee.
- MAY. b. i009 2:08PM
CORPRATE COUNSEL
NO. 842
P. 9
18. This Petitioner resubmits the original Request for Documents that were
sent to Charles Schwab for Brian Rheam, Jeffrey Roes and Benjamin Dum. These
were for the time period of 1998 to July 2002. The Court has now extended the
time period from 1998 to the present time.
19. This Petitioner hereby repeats all of the above stated questions and the
resubmitted Request for Documents and makes it clear that each question Is to be
repeated, understood as Requested Documents for the Fred E. Gerber,Sr. Trust and
the Mildred J. Gerber Trust. ANY QUESTION, DOCUMENT which Charles Schwab
Interprets as not being appropriate are Instructed to inquire of Marilyn Gerber or
address this Issue with the Auditor or this Court.
20. This Petitioner expects each Identified employee of Charles Schwab
known as Brian Rheam, Jeffrey Roes, Benjamin Dum, and Garrett Wynne to answer
each question as is related to their tenure whUe present at the Harrisburg Branch. This
Petitioner requests that Charles Schwab Identifies any other individuals at the Virginia
Branch or the Corporate Office in San Francisco that had any dealings or made any
decisions in regard to the two stated Trusts.
If you have any questions, please feel free to call me or write me.
~."
Marilyn Gerber,Pro Se
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DATE: ~ff ~\
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'. MAY. 6.2005 2:08PM
CORPRATE COUNSEL
NO. 842
P. 10
COMMONWEALTH OF PBNNSYL VANIA
COUNTY OF CuMi~R:LAND
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SUBPOENA TO PRODUCE DOCUMENTS OR THINGS
FOR DISCOVERY PURSUANT TO RULE 4009.22
TO: JVtt. 'B~1fI..J ~- ~ ~
(Name of Person or Bntity)
Within twenty (20) days after service of this subpoena, you are ordered by the court to produce the
following documeuts or things:
/4~1_~~ /ta-&r
at
(Address)
You may deHver or mail legible copies of the dOCUO'lenU or produce things requested by this
subpoena.. together with the certificate of compliance, to the party making this request at the address listed
above. You have the right to seclc in advance the reasonable cost of preparing the copies Or producing the
things sought. .
If you fail to produce the documents or things required by this subpoena within twenty (20) days
after itS servioe, the party serving this subpoena may seek a court order compelling you to (:omply with it.
SUED AT THE REQUEST OF THE FOLLOWING PERSON:
,
TELEPHONE: 7/1- 57):3 /~J
SUPREME COURT ID #
ATTORNEY FOR:
BY THE COtJR.T:
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Register of Wilts/Clerk of the Orpbans~ . . '. .
Court
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MAY, 6.2005 2:08PM
CORP RATE COUNSEL
NO, 842
P. 11
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COMMONWEALTH OF PENNSYL V ANlA
COUNTYOPCUMBERLAND
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FileNo. e2/-1f-tJ! r-r-
SUBPOENA TO PRODUCE DOCUMENTS OR THINGS
FOR DISCOVERY PURSUANT TO RULE 4009.22
TO: /h,e &4thJ #~~~~~
(Name of Person or Entity)
Within twenty (20) days after service of this subpoena, you are ordered by the court to produce the
following dooumentS Or things:
Xlh/
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at
(Address)
You may deliver or mail legible copies of the documents or produce things requested by this
subpoena, together with the certificate of compliance, to the party making this re<lue$1: at the address listed
above. You have the: right to seek in advance the reasonable cost of preparing the copies or producing the
things sought.
If you fail to produce the documents or things required by this subpoena within twenty (20) days
after its $ervice. the party serving this subpoena may seek a court order compelling you to comply with it.
ED AT THE REQUEST OF THE FOLLOWING PERSON:
TELBPHONE:
SUPREME COURT ID if
A TTORNBY FOR:
BY THE COURT:
~S)<>~~ '-4O-A..~t>~~<)~
Register of Wills/Clerk of the Orphan$' .
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Court
Date:
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_ '.~ MAY. 6.2005 2:08PM
CORP RATE COUNSEL
NO. 842
P. 12
April 19,2005
Mr. Benjamin Dum
Charles Schwab
Office of Corporate Counsel
101 Montgomery Street
San Francisco,CA 94104
Dear Mr. Benjamin Dum Brian Rheam, affrey Roes, Garrett Wyneeet all:
You have been supoened and I am asking that you submit the following
documents conceming the Fred E. Gerber, Sr. Trust and the Mildred J. Gerber Trust.
I have submitted individual supoenas for both Trusts to comply with regulations. You
are the last known Branch Manager of Charles Schwab at the Harrisburg Branch and
the Trusts are located in Pennsylvania and under the jurisdiction of the Court lin
Pennsylvania.
I am requesting the fallowing documents.
1. All montly statements for all accounts, checking accounts, investment
accounts, savings accounts for the two mentioned Trusts from the origin of the Trust
until the present.
2. All statements and documents that detail the opening, funding and/or
closing of any financial accounts for the two mentioned Trusts from the origin of the
Trust until the present.
3. All explanations of all assets that were sold to anyone or entity or
transferedto anyone or any entity Including complete financial detail such a
commission payments, charges for selling any account, asset or closing of any
account in the names of the above stated Trusts.
4.
Trusts.
All explanations of all margin interests that were paid for the two stated
5. All documents, correspondence, e-mails, letters notes of telephone calls,
thrid party documents, received from anyone connected to the two Trusts or sent from
Charles Schwab to anyone concerning the two Trusts incuding Frederick E. Garber,II,
Mildred Gerber, Marilyn Gerber, Jane Heflin, PNC Bank, Rhoads & Sinon, Mr. Richard
RUpp, Mr. Herbert Rupp, Ms Jacqueline Verney, Ms Undsay Baird. Ms. A.J.
Mendolsohn, or anyone who has corresponded wfth Charles SChwab or with whom
Charles Schwab has corresponded with conceming the two Trusts.
6. Add documents that list any commissions paid on the sale of the assets
when they were transfered to PNC Bank or to any other institution of the Fred E.
Gerber,Sr. Trust or the Mildred J. Gerber Trust.
. MAY. 6.2005 2:09PM
-;
CORP RATE COUNSEL
NO. 842
P. 13
~" .
7. All documents of any wire transfers that were made to or from Charles
Schwab to anyone, any entity, any company, any financial institutions from the above
stated Trusts along with copies of the wire transfers, who authorized such wire
transfers, to whom the wire transfers were sent to, and for how much.
8. All documents of fees that were paid to Charles Schwab for managing
the two stated Trusts.
9. All documents that Charles Schwab has in their archives, microfiche, or
In their computers that has anything to do with the two stated Trusts.
10. All documents that Charles Schwab has or had knowledge of that is
related to any amended versions of the two stated Trusts, offrdal documents or any
documents which stipulated the dispersal of funds from the two Trusts.
11. Copies of all agenda books, diaries, scraps of paper, telephone I09s,e-
malls which can be. retrieved from corporate IT systems of any correspondence of any
nature discussing the Fred E. Gerber,Sr. Trust, the Mildred J. Gerber Trust, the Trustee
or any other member of the GerberIHeflin family members who are beneficiaries of the
Fred. and Mildred Gerber Trusts, Rhoads & Sinon by and trough their attorneys
especially Joanne Book Christine, A.J. Mendolsohn, Heather Kelly, Undsay Baird,
Richard Rupp, Herbert Rupp, Jacqueline Verney, any accountants from Gilliland &
Assodates, Jane Heflin, the Trustee or any other unknown entity, person or company
not known to the Petitioner that has made themselves known to Charles Schwab and
has an association or connection with the Two Trusts and the Trustee.
12. All documents that list all commissions paid or fees paid to any individual
at Charles Schwab regarding any activity of the two stated Trusts.
13. All tax documents that support whether Charles Schwab acted as a
portfolio manager and made independent investments for the two Trusts.
14. Copies of all tax documents that were submitted to the Trustee, his
accountants, his attorneys, or any tax revenue agency/department that were created
by Charles Schwab or provided by Charles Schwab to any entity or person.
15. Copies of all documents that have been submitted to Frederick E. Gerber,
II over the course of his Trusteeship from the beginning of the fonnation of the Trusts
until the present.
16. Copies of how many accounts ever existed for Mildred J. Gerber, Fred
E. Gerber,Sr, the Trustee, Frederick E. Gerber,lI or any member of the GerberlHeflin
family who are beneficiaries of the Trusts.
17. Copies of each monthly statement created for the two stated Trusts and
COPIES OF FRONT AND BACK of each check written by the Trustee.
- .." MAY. 6. 2005 2: 09PM
cORPRATE COUNSEL
NO. 842
P. 14
18. This Petitioner resubmits the original Request for Documents that were
sent to Charles Schwab for Brian Rheam. Jeffrey Roes and Benjamin Dum. These
were for the time period of 1998 to July 2002. The Court has now extended the
time period from 1998 to the present time.
19. This Petitioner hereby repeats all of the above stated questions and the
resubmitted Request for Documents and makes it clear that each question is to be
repeated, understood as Requested Documents for the Fred E. Gerber,Sr. Trust and
the Mildred J. Gerber Trust. ANY QUESTION, DOCUMENT which Charles Schwab
interprets as not being appropriate are instructed to inquire of MarRyn Gerber or
address this issue with the Auditor or this Court.
20. This Petitioner expects each identified employee of Charles Schwab
known as Brian Rhearn, Jeffrey Roes, Benjamin Dum, and Garrett Wynne to answer
each question as is related to their tenure while present at the Harrisburg Branch. This
Petitioner requests that Charfes Schwab identifies any other individuals at the Virginia
Branch or the Corporate Office in San Francisco that had any dealings or made any
decisions in regard to the two stated Trusts.
If you have any questions, please feel free to call me or write me.
Marilyn Gerber,Pro Se
DATE: ~/1 dt>or
VERIFICATION
I, JEFFREY J. CHOMKO, ESQUIRE, being duly sworn according to law, do depose and
say that I am counsel for Charles Schwab & Company, Inc., and that the facts set forth in the
foregoing Motion to Quash are true and correct to the best of my knowledge, information, and
belief. This Verification is made subject to the provisions of 18 Pa.C.S. ~4904, which provides
for certain penalties for making false statements to authorities.
Dated: May 17, 2005
CERTIFICATE OF SERVICE
Jeffrey J. Chomko, Esquire hereby certifies that on the 17th day of May, 2005, I served
the foregoing Motion to Quash Subpoenas of Charles Schwab and Co., Inc., upon the following
interested parties by first class mail, postage prepaid, addressed as follows:
Marilyn Gerber, Pro Se
717 Market Street, #317
Lemoyne, P A 17043
Jacqueline Verney, Esq.
44 S. Hanover Street
Carlisle, P A 17013
Joanne Book Christine, Esq.
Rhoads & Sinon, LLp
One South Market Square, P.O. Box 1146
Harrisburg, P A 17108
Richard C. Rupp, Esq.
Rupp & Meikle
355 N. 21 st St., Suite 205
Camp Hill, P A 17011
William A. Duncan, Auditor
One Irvine Row
Carlisle, P A 17013
MARSHALL, DENNEHEY, WARNER,
OLEMAN & GOGGIN
BY:
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