HomeMy WebLinkAbout06-13-05
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MARSHALL, DENNEHEY, WARNER,
COLEMAN & GOGGIN
By: Jeffrey J. Chomko, Esq. .~ - ...
Attorney Identification No.: 54337 "
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1845 Walnut Street, 17th Floor
Philadelphia, P A 19103
(215) 575-2632 o'
Re: Mildred J. Gerber Trust COUNTY Of CUMBERLAND
ORPHANS' fOURT DIVISION
No. 21-2002~0540
Re: Fred E. Gerber Trust COUNTY Of CUMBERLAND
ORPHANS' q:OURT DIVISION
No. 21-98-0195
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CHARLES SCHWAB & CO.. INC. 'S AMENDED MOTIO~ TO QUASH SUBPOENAS
AND TO CANCEL HEARING!
Charles Schwab & Co., Inc. ("Schwab"), by and through it$ attorneys, Marshall,
Dennehey, Warner, Coleman & Goggin, files this Amended Moti~ to Quash Subpoenas and to
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Cancel Hearing, and in support thereof, avers as follows:
I. Factual Back2round
1. On or about May 5,2005, Schwab received correspcpndence and subpoenas by
regular mail from Marilyn Gerber, a pro se litigant, and interested ~arty to the above
proceedings. These subpoenas were issued in connection with the two (2) above-captioned
matters presently pending in the Orphans' Court of Cumberland COlInty. The first matter is
captioned as Re: Mildred J. Gerber Trust. Orphans' Court Docket N!o.: 21-2002-0540, and the
second matter is captioned as Fred E. Gerber Trust. Orphans' CourtiDocket No.: 21-98-0195.
2. In response to these subpoenas, counsel for Schwab filed a Motion to Quash with
the Cumberland County Court on May 18,2005. For the reasons set forth in its Motion to
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Quash Subpoenas, the subpoenas issued to Schwab were procedurally invalid under the
Pennsylvania Rules of Civil Procedure. A copy of this Motion is attached hereto, incorporated
herein by reference as though fully set forth at length, and is marked Exhibit "A."
3. Following the filing of Schwab's Motion to Quashl the Honorable J. Wesley Oler,
Jf. issued an Order of Court temporarily quashing the subpoenas and scheduling this matter for a
hearing on Thursday, June 16,2005, at 3:00 p.m., in Courtroom "1," at the Cumberland County
Courthouse. A copy of Judge Oler's Order is attached hereto and is marked as Exhibit "B."
4. In an effort to resolve this matter, counsel consulted with the assigned Auditor on
this matter, William A. Duncan to discuss the possibility of voluntarily producing the complete
Schwab file to resolve this dispute with Ms. Gerber. Production of these materials being
expressly contingent upon obtaining the consent and authorization of Fred E. Gerber, II, the
individual registered as trustee for the accounts.
5. Counsel for Schwab forwarded to counsel for Mr. Gerber record authorizations in
order to obtain consent to produce the subject documents. These authorizations were executed on
June 9, 2005. A copy ofthese authorizations are attached hereto, ipcorporated herein by
reference as though fully set forth at length, and are marked as Exhibit "C."
II. Ar2ument
6. Counsel for Schwab is willing to voluntarily produce all relevant Schwab account
documents which are material and/or germane to the underlying litigation provided the
subpoenas which are pending are quashed.
7. With respect to Ms. Gerber's request for depositions~ it is uncontroverted that at
all times, the accounts in question were self-directed Schwab accounts, and no individual broker
was ever assigned to oversee any of the accounts. Accordingly, none of the individuals sought to
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be deposed through the subpoenas can materially add any information with respect to the account
documents/statements which Schwab will voluntarily produce.
8. In light ofthe above, and Schwab's willingness to produce all account documents
which are material to this matter, counsel for Schwab now requests the Court to execute the
attached Order and cancel the hearing which is scheduled for June 16,2005.
9. Counsel for Schwab will then forward a complete set of account documents to
Marilyn J. Gerber by certified mail, return receipt requested, upon permission from the Court or
the Auditor on this matter, William A. Duncan, or to the auditor directly for dissemination.
10. In the event the Court wishes to proceed with the hearing, Schwab retains all
rights to argue the procedural invalidity of the subpoenas issued by Marilyn A. Gerber in
connection with this matter.
WHEREFORE, Schwab respectfully requests that this Honorable Court execute the
attached Order formally Quashing Marilyn Gerber's subpoenas, arid canceling the hearing
scheduled for June 16,2005.
Respectfully submitt~d,
BY: ~ ,L
Dated: June 10, 2005
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Re: Mildred J. Gerber Trust COUNTY OF CUMBERLAND
ORPHANS' COURT DIVISION
No. 21-2002-0540
Re: Fred E. Gerber Trust COUNTY OF rUMBERLAND
ORPHANS' COURT DIVISION
No. 21-98-0195
ORDER
AND NOW, this day of ,2005, upon consideration of Movant,
Charles Schwab & Co., Inc.'s Motion to Quash Subpoenas pursuantlto Pa. R.C.P. 234.4(b), and
any response, it is hereby ORDERED, ADJUDGED, and DECREIED, that the Motion is
GRANTED and: the subpoenas directed to Charles Schwab & Co.,!Inc., Mf. Benjamin Dum,
and Brian Reahm, in connection with the two above-captioned matters, are hereby QUASHED.
BY THE COURT:
Honorable J. Wesley Oler, Jr.
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MARSHALL, DENNEHEY, WARNER,
COLEMAN & GOGGIN
By: Jeffrey J. Chomko, Esq. ')
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Attorney Identification No.: 54337
1845 Walnut Street, 1 ih Floor I
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Philadelphia, PA 19103 )
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(215) 575-2632 i
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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. ("Schwab"), by and through it~ attorneys, Marshall,
Dennehey, Warner, Coleman & Goggin, files this Motion to Quash Subpoenas, and in support
thereof, avers as follows:
I. Factual Back2round
1. On or about May 5,2005, Schwab received correspondence and subpoenas by
regular mail from an individual named Marilyn Gerber, an interest~d 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 Cum~erland County. The first
matter is captioned as Re: Mildred 1. Gerber Trust, Orphans' CourtiDocket No.: 21-2002-0540,
and the second matter is captioned as Fred E. Gerber Trust, Orpharts' 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 "A."
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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 Mf. 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. RC.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. Le2al Standard
4. Pursuant to Pa. RC.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 serve,d 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 qlUash these subpoenas.
III. Subpoenas were Invalidlv Served
6. The subpoenas were mailed to Schwab's legal depart~ent in San Francisco,
California on May 5, 2005 and were never validly served. Pursuant to Pa. RC.P. 234.2(a):
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(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 requireJlllents of Rule 402(a), service
must be accomplished in person and within the Commonwealth. Pt. R.C.P. 234.2 and 402(a);
see also, Kovalev v. Sowell, 839 A.2d 359, 366 (Pa. Supef. 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 iadult member of the family
with whom he resides; but ifno adultlmember of the family is
found, then to an adult person in charge of such residence; or
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(ii) at the residence of the recipient to th~ 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 ofbusine~s of the recipient to his agent
or to the person for the time being in pharge thereof.
Pa. R.C.P. 402(a).
In lieu of service under Rule 402( a), the recipient "or his au1horized agent" may accept
service of original process by filing "an acceptance of service that s~bstantially conforms with
the form set forth in the rule. Pa. R.C.P. 402(b).
8. Since the subpoenas in the two (2) above-captioned 1natters were not served
validly in compliance with the Rules, they are invalid and must be quashed.
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IV. Form of the Subpoenas are Invalid
9. The subpoenas should also be quashed because the form of the subpoenas are
invalid pursuant to Pa. R.C.P. 234.6. Pa. R.C.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. R.C.P.
234.6.
10. The subpoenas issued in this matter are silent as to ~he 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 ibe quashed. Additionally, no
valid return of service form was ever executed on this mattef.
V. Subpoenas Fail to Comply with the Requirements of R4le 4009.22
II. The issuer of the subpoena, pro-se litigant, Marilyn iGerber, 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. R.C.P.
4009.21 directs that a party seeking production from a person not 4 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. RC.P. 4009.2I.
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
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the court-assigned auditor, William A. Duncan, the subpoenas are invalidly served under Pa.
RC.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 0111 the face of the subpoena,
where the designated documents are to be produced, and to whom.l Pa. RC.P. 4009.26.
13. Counsel for Schwab now moves to quash all of the subpoenas issued in
connection with the two (2) above-captioned actions since they fai~ to comply, legally or
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procedurally, with the Pennsylvania Rules of Civil Procedure. CO}lllsel requests the Court to
execute the attached Order.
WHEREFORE, Schwab respectfully requests that this Hqnorable Court execute the
attached Order and quash the subpoenas issued in connection with! the two (2) above-captioned
matters, with prejudice.
Respectfully submitt~d,
Dated: May 17, 2005
- M,A Y. O. L U U? L:UbPM CORPRATE COUNSEL NO. 842 p, 2
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, April 19,2005
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 Qocuments from Charles
Schwab's Harrisburg Branch and Virginia Branch for all finrcnciaJ documents and
correspondence for the Fred E. Gerber,Sr. Trust and the Mi,dred 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 Rheam, Mr.
Jeffrey Roes, Mr. Garrett Wynne, Mr. Benjamin Dum and aflY 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 f;lnd 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 qlealt 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 10r the Objections for the
Accounting by the Trustee, Frederick E. Gerber,lI was postpOned until later this year.
The Court appointed Auditor, William A. Duncan,Esquire ha~ approved my right to
supoena all manager necessary at Charles Schwab as wen I 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.
In past discovery, Mr. Garrett Wynne's name comes llP In correspondence with
the Trustee and therefore 1 am prepared to depose him in yqur offices.in San
Francisco or by telephone whichever works. If' depose Mr, ~ynne by telephone, I
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.
1 shall require that you disclose the name of the remaining branch managers at
Charles Schwab at either the Harrisburg Branch or the Virgil!lia Branch where
Frederick E. Gerber,1I had assets transferred to.
The last set of supoenas that I served upon Charles ~chwab are technically stl1l
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
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MA Y. 6. 2005 2:07PM CORPRATE COUNSEL NO. 842 P. 3
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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 th~ above stated Trusts,
I don't care if Charles Schwab has to retrieve micronche, or archives that are
stored, I wish all documents and all correspondence and e-mails that exist on the
above stated Trusts.
Recent discovery per the fiUng of the Accounting by the Trustee, Frederick E.
Gerber,lI indicates that Charles Schwab may no have any assets of the above stated
Trusts. If this is true, then I shaH require the disclosure of tt)e final documents
surrounding the sale and/or transfer of all assets from Charlles Schwab to either the
Trustee, Frederick E. Gerber,lI or to any other financial instltution 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 right to examine the orighial documents and I shall
request that I examine all ORIGINAL documents at the HarJ1lsburg Branch of Charles
Schwab. I am sure that originals from the Virginia Branch ~d any other location can
be sent to the Harrisburg Branch for my review. 1 shall examine each copy of
documents submitted against the original.
I shall depose Mr. Brian Rhearn, Mr. Jeffery Roes, M~. 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 qffice that I shall designate
In Harrisburg. If I shall conduct any of the depositions by telephone due to the fact that
some of the Individuals may too far away for me to depose, then I shan depose them
by telephone.
If Charles Schwab should delay or fail to respond, I s~all 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 ttiat the Court may deem
reasonable.
This has been a 10ng,long road for our family over seyen years. My parents
placed their hard earned moneys with Charles Schwab and: I shall expect Charles
Schwab to produce afl the supoened documents that I have I requested. The Trustee
has failed to prOduce all documents up to now and their Is ~rrently a Motion for
Sanctions against him which the Court has asked for a Rul~ to Show Cause. I have
no faith that the Trustee will produce all documents and therefore r am counting on the
good faith of the Institution of Charles Schwab to produce all of the documents that are
associated with the above stated Trusts. I want to make it pc,rfectly clear with Charles
Schwab that I DO NOT INTEND to appear at the upcomIng hearings WITHOUT
'.. MAY, 6, LOO? L:O/PM CORP RATE COUNSEL NO. 842 p, 4
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DOCUMENTS from Charles Schwab nor the cornptlltfonof appropriate depositions.
The Requested Documents shall be due Ofl May 20,2005. I shan have the right
to review the original documents which in the Case 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 SchwabHarrisbu~ Branch.
If you have any questions, please call me at 717 50~-5280 or fax me at 717
737-7116. I shall not have any more patience with any disflay of disrespect that your
legal office has shown me In the past. This is a very simpl matter. I would also
appreciate 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 u~necessary hoops to
accomplish a simple request- documents and a deposition: about these documents for
a family that put their money with Charles Schwab.
Sincerely,
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Ma 'Iyn G rbe ,Prq Se
717 Market Street,W317
Lemoyne, P A 17043
TEL 717 503-528(])
FAX 717 737-711~
ce. William Duncan, Auditor
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. MAY. b. L U U? L:O/~M CORPRATE COUNSEL NO. 842 P. 6
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COMMONWEALTH OF PBNNSYL ANIA
COUNTY OF CUMBERLAN
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: File No. dZl-i- 93.... ()/ fJ
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. SUBPOENA TO PRODUCE DOCUMENTS OR THINGS
FOR DISCOVERYPtJ'RSUANT TO RULE 4009.22
TO: M ~cJ :JwiU- {J~ (({JAIf,/~
(Name of Person or Bntity)
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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(Address)
You may deliver or mail leg,.ole copies of the documents or produce things requested by this
subpoena, together with the certifioate ofoomplianoe, to the party making this request at th~ address listed
above. You have the right to seek in advance the reasonable oost of preparing the copies or producing rhe
things sought
If you fail to produce the documents or things required by this subpoena within twenty (20) days
after its service, the party servinB this subpoena may seek a court order compelling you to comply with it
THIS SUBPOENA WAS ISSUeD AT THE REQUEST OF THE FOLLOWING PERSON:
NAME: ~ iJ
ADDRESS:
TELEPHONE:
SUPREMe COUR
ATTORNEY FOR: -
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Court
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D. L V V ~ L:V/t"1YI ~UK~KAlt CUUNSeL , NO. 842 P. 5
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COMMONWEALTH OF PBNNSYLV
COUNTY OF CUMBERLAND
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SUBPOENA TO PRODUCE DOCUMENTS OR THINGS
FOR DISCOVERY PURSUANT TO RUl-E 4009.22
TO: #t. ~/~ d>VIV\.-e/~ SfJ!ItI/#
(Name of PerSon 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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(Address)
You may deliver Or mail legible copies of the documents or produce things requested by this
subpoena, together with the certificate of complianoe, 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 tbe
things sought.
If you fail to produce the document.9 or things required by this subpoena. within twenty (20) dayS
after its service, the party serving this subpoena roay seek a court order compelling you to comply with it.
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TELEPHONE: fl~7J3-6 Zi7J
SUPREME COUR.T ID fF
A ITORNEY FOR: -
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Date:
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Iflf 1 I. V, L V V,) L. V II III ~V~r~MI[ ~VUN0tL NO. 842 P. 7
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April 19,2005
Mr. Benjamin Dum
Charles Schwab
OffIce of Corporate Counsel
101 Montgomery Street
San Franclsco,CA 94104 I
Dear MGenJa~in ~rian Rheam, Jeffre~ Roes, Garr+tt Wynee at all:
You have been supoened and I am asking that YO~Ubmll the following
documents concerning the Fred E. Gerber, Sr. Trust and t e MfJdred J. Gerber Trust.
I have submitted individual supoenas for both Trusts to co ply 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 jurisQiiction of the Court iin
Pennsylvania.
I am requesting the following documents.
1. All montly statements for all accounts, checkhllg accounts, Investment
accounts, savings accounts for the two mentioned Trusts fr4>m 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 Tru$ts 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 flnan;w detail suCh a
commission payments, charges for selling any account, ass t or closing of any
account in the names of the above stated Trusts. .
4. All explanations of all margin interests that we1e paid for the two stated
Trusts. !
5. All documents, correspondence, e-malls, Jelte~ notes of telephone calls,
thrld party documents, received from anyone connected to t e two Trusts or sent from
Charles Schwab to anyone concerning the two Trusts incud, g Frederick E. Gerber,II,
Mildred Gerber, Marl/yn Gerber, Jane Heflin, PNC Bank, Rh . ads & Sinon, Mr. Richard
RUpp. Mr. Herbert Rupp, Ms Jacqueline Verney, Ms LIndsay Baird, Ms. A.J.
Mendolsohn, or anyone who has corresponded with Charle Schwab or with whom
Charles Schwab has corresponded with concerning the two Trusts.
6. Add documents that list any commissions paid n the sale of the assets
when they were transfered to PNC Bank or to any other instl tion of the Fred E.
Gerber,Sr. Trust or the Mfldred J. Gerber Trust.
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7. All documents of any wire transfers that were ade to or from Charles
Schwab to anyone, any entity, any company, any financial nstitutions from the above
stated Trusts along with copies of the wire transfers, who uthorized such wire
transfers, to whom the wire transfers were sent to, and for ow much.
8. All documents of fees that were paid to Chari s Schwab for managing
the two stated Trusts.
9. All documents that Charles Schwab has In th ir archives, microfiche, or
in their computers that has anything to do with the two stat Trusts.
10. All documents that Charles Schwab has or h d knowledge of that is
related to any amended versions of the two stated Trusts, Icial documents or any
documents which stipulated the dispersal of funds from the two Trusts.
11. Copies of all agenda books, diaries, scraps 0 paper, telephone logs,e-
mails which can be retrieved from corporate IT systems of ny correspondence of any
nature discussing the Fred E. Gerber,Sr. Trust, the Mildred . Gerber Trust, the Trustee
or any other member of the GarberlHeIlin family members ~hO are beneficiaries of the
Fred and Mildred Gerber Trusts, Rhoads & Sinon by and tr ugh their attorneys
especially Joanne Book Christine, A.J. Mendolsohn, Heath r Kelly, Lindsay Baird,
Richard Rupp, Herbert Rupp, Jacqueline Verney, any acco ntants from Gilliland &
Associates, Jane Heflin, the Trustee or any other unknown ~ntity, 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 tfue Trustee.
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12. All documents that list all commissions paid Ot fees paid to any individual
at Charles Schwab regarding any actMty of the two stated. rusts.
13. All tax documents that support whelher Charlf Schwab acted as a
portfolio manager and made independent investments for ,e two Trusts.
14. Copies of all tax documents that were sUbm1d to the Trustee, his
accountants, his attorneys, or any tax revenue agency/dep rtment that were created
by Charles Schwab or provided by Charles Schwab to any entity or person.
15. Copies of all documents that have been subm tted to Frederick E. Gerber,
II over the course of his Trusteeship from the beginning of e formation of the Trusts
until the present
16. Copies of how many accounts ever existed fa Mildred J. Gerber, Fred
E. Gerber,Sr, the Trustee, Frederick E. Gerber,1I or any me ber of the GerberlHeflin
famity who are benefiolaries of the Trusts.
17. Copies of each monthly statement created for e two stated Trusts and
COPIES OF FRONT AND BACK of each check written by th. Trustee.
Hit' I I U. L V V .) L . V U I IYI ~v~r~Hlt ~VUN~tL NO. 842 P. 9
18. This Petitioner resubmits the original Reques for Documents that were
sent to Charles Schwab for Brian Rheam, Jeffrey Roes an Benjamin Dum. These
were for the time period of 1998 to July 2002. The Court h s now extended the
time period from 1998 to the present time.
19. This Petitioner hereby repeats all of the abov stated questions and the
resubmitted Request for Documents and makes It clear tha each question Is to be
repeated, understood as Requested Documents for the Fr E. Gerber,Sr. Trust and
the Mildred J. Gerber Trust. ANY QUESTION, DOCUMEN which Charles Schwab
Interprets as not being appropriate are instructed to inqui of Marilyn Gerber or
address this Issue with the Auditor or this Court.
20. This Petitioner expects each Identified emplo ee of Charles Schwab
known as Brian Rhearn, Jeffrey Roes, Benjamin Dum, and arrett Wynne to answer
each question as Is related to their tenure while present at he Harrisburg Branch. This
Petitioner requests that Charles Schwab identifies any oth r individuals at the Virginia
Branch or the Corporate Office in San Francisco that had a y 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.
Sincerely,
~
/""'0.
~"dl&o-
DATE: 'r ~
6. 2005 2:08PM CORPRATE COUNSEL I NO. 842 P. 10
" MAY.
"
COMMONWEAL TH OFJ>B~SYL
COUNTYOFCUMj~A
:
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SUBPOENA TO PRODUCE DOCUMEN
FOR DISCOVERY PURSUANT TO R
TO: ;t1,f, . ~1fU
CNwneofP~onorBnti~)
Within twenty (20) days after senrice of this subpoena, you are ordered by the court to produce the
following docume:ots or things:
.
+
at
(Address)
You may deliver or mail legible copies of the documents or produce things requested by this
subpoena.. together with the certificate of CQmpliance, to the party maki g this request at the address listed
above. You have the right to seek in advance the rellSonablo cost of pre aring the copies Or producing the
things sought.
If you fail to produce the documents or things required by this ubpoena within twenty (20) days
after its service, the party serving this subpoena may seek a court order c pelling you to ~omply with it,
OLLOWING PERSON:
,
TELEPHONE: 7/7 sm "'t~1
SUPREJI.1E COURT ID #
A TTORNEY FO~ -
Court . . -
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Date: .~ . . .;.--", , , .
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MAY, 6. 2005 2:08PM CORPRATECOUNSEL NO. 842 P. 11
"
COMMONWEALTH OF PENNSYL V
COUNTY OF CUMBERLAND
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:
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SUBPOENA TO PRODUCE DOCUMENT
FOR DISCOVERY PURSUANT TO R
TO: tHJ ~
(Name of Person or Entity)
Within twenty (20) days after service of this subpoena, you are rdered by the court to produce the
following dooumen~ or things:
at
(Address)
You may deliver Or mail legible copies of the documents Or roduce things requested by this
subpoena, together with the certificate of oompliance, to the party Makin this requeSt at the address listed
above. You have the right to seek in advance the reasonable cost of pre aring the copies Or producing the
things sought.
If you fail to produce the documents Or things required by this bpoena within twenty (20) days
after its service, the party serving this subpoena may seek a court order co pelling you to comply wIth it.
LLOWING PERSON:
(
TELEPHONE: Lt.) -J~- r "2-t(Yd
SUPREME COURT ID #
ATTORNEY FOR: -
CQurt "
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Date: .'. "",\ ~ ,,"'~ ...."'. .. ~.. ....,.~
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Seal of the Court fy' '. '..,.' .
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- '~,MAY. 6.2005 2:08PM CORP RATE COUNSEL NO. 842 p, 12
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April 19,2005
Mr. Benjamin Dum
Charles Sohwab
Office of Corporate Counsel
101 Montgomery street
San FrancJsco,CA 94104
Dear Mr. Benjamin Dum Brian Rheam, affrey Roes, Garre Wyneeet all:
You have been supoened and I am asking that you ubmit the following
documents conoeming the Fred E. Gerber, Sr. Trust and th Mildred J. Gerber Trust.
I have submitted individual supoenas for both Trusts to co Iy with regulations. You
are the last known Branch Manager of Charles Schwab at t e Harrisburg Branch and
the Trusts are located in Pennsylvania and under the jUrisdi tion of the Court Un
Pennsylvania.
I am requesting the fOllowing documents.
1. AJI montly statements for all accounts, checkln accounts, Investment
accounts, savings accounts for the two mentioned Trusts fro the origin of the Trust
until the present.
2. All statements and documents that detail the 0 ning, funding and/or
closing of any financial accounts for the two mentioned Trus from the origin of the
Trust until the present.
3. All explanations of all assets that were sold to nyone or entity or
transfered to anyone or any entity Including complete financ al detail such a
commission payments, charges for selling any account, ass t or closing of any
account in the names of the above stated Trusts.
4. All explanations of all margin interests that wer paid for the two stated
Trusts.
5. All documents, correspondence, e-mails, letter notes of telephone calls,
thrld party documents, received from anyone connected to th two Trusts or sent from
Chanes Schwab to anyone concerning the two Trusts Incudl 9 Frederick E. Gerber,II,
Mildred Gerber, Marilyn Gerber, Jane Heflin, PNC Bank, Rh ads & Sinon, Mr, Richard
RUpp, Mr. Herbert Rupp, Ms Jacqueline Verney, Ms Undsay aird, Ms. A.J.
Mendolsohn, or anyone who has corresponded with Charle Schwab or with whom
Charles Schwab has corresponded with concerning the two rusts.
6. Add documents that list any commissions paid n the sale of the assets
when they were transtered to PNC Bank or to any other in . tion of the Fred E.
Gerber,Sr. Trust or the Mildred J. Gerber Trust.
_, .~MAY. 6.2005 2:09PM CORPRATE COUNSEL NO. 842 P.13
7. All documents of any Wire transfers that were ade to or from Charles
Schwab to anyone, any entity, any company, any financial nstlMions from the above
stated Trusts along with copies of the wire transfers, who orized such wire
transfers, to whom the wire transfers were sent to, and for h w much.
8. All documents of fees that were paid to Chari s Schwab for managing
the two stated Trusts.
9. All documents that Charles Schwab has in th ir archives, microfiche, or
In their computers that has anything to do with the two stat Trusts.
10. All documents that Charles Schwab has or h d knowledge of that is
related to any amended versions of the two stated Trusts, iclal documents or any
documents which stipulated the dispersal of funds from the two Trusts.
11. Copies of all agenda books, diaries. scraps paper, telephone logs,e-
malls which can be retrieved from corporate IT systems of ny correspondence 'of any
nature discussing the Fred E. Gerber,Sr. Trust, the Mildred . Gerber Trust, the Trustee
or any other member of the GerberlHeflin family members ho are beneficiaries of the
Fred' and Mildred Gerber Trusts, Rhoads & Sinon by and tr ugh their attorneys
especially Joanne Book Christine, A.J. Mendolsohn, Heath r Kelly, Undsay Baird,
Richard Rupp, Herbert Rupp, Jacqueline Verney, any acco ntants from Gilliland &
Associates, Jane Heflin, the Trustee or any other unknown ntity, person or company
not known to the Petitioner that has made themselves kno to Charles Schwab and
has an association or connection with the Two Trusts and t ,e Trustee.
12. All documents that list all commissions paid 0 fees paid to any individual
at Charles Schwab regarding any activity of the two stated rusts.
13. All tax documents that support whether Chari s Schwab acted as a
portfolio manager and made independent investments for t e two Trusts.
14. Copies of all tax documents that were submitt d to the Trustee, his
accountants, his attorneys, or any tax revenue agency/dep rtment that were created
by Charles Schwab or provided by Charles Schwab to any entity or person.
15. Copies of all documents that have been sub itted to Frederick E. Gerber,
II over the course of his Trusteeship from the beginning of e formation of the Trusts
until the present.
16. Copies of how many accounts ever existed fo Mildred J. Gerber, Fred
E. Gerber,Sr, the Trustee, Frederick E. Gerber, U or any me ber of the GerberlHeflin
family who are beneficiaries of the Trusts.
17. Copies of each monthly statement oreated fo~lthe two stated Trusts and
COPIES OF FRONT AND BACK of each check written by t~e Trustee.
I
I
, ',' MAY. Q. LUU? L:U~~M CORPRATE COUNSEL NO. 842 P. 14
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"
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 ha now extended the
time period from 1998 to the present tIme.
19. This Petitioner hereby repeats all of the abov stated questions and the
resubmitted Request for Documents and makes it clear tha each question Is to be
repeated, understood as Requested Documents for the Fr E. Gerber,Sr. Trust and
the Mildred J. Gerber Trust. ANY QUESTION, DOCUMEN 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 amplo ee of Charles Schwab
known as Brian Rheam, Jeffrey Roes, Benjamin Dum, and arrett Wynne to answer
each question as is related to their tenure while present at e Harrisburg Branch. This
Petitioner requests that Charles Schwab identifies any oth r individuals at the Virginia
Branch or the Corporate Office in San Francisco that had a y 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.
DATE: ~/1 ~r
.
U5/U6/2UU5 18:11 ~AX Ifg UU.l
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*** RX REPORT ***
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RECEPTION OK
TX/RX NO 6454
DESTINATION TEL # 415636
DESTINATION ID
ST. TIME 05/06 18:04
TIME USE 06'16
PGS. 45
RESULT OK
.
VERIFICATION
I, JEFFREY J. CHOMKO, ESQUIRE, being duly sworn a cording to law, do depose and
say that I am counsel for Charles Schwab & Company, Inc., and th t the facts set forth in the
foregoing Motion to Quash are true and correct to the best of my owledge, information, and
belief. This Verification is made subject to the provisions of 18 Pa. .S. 94904, 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 17t day of May, 2005, I served
the foregoing Motion to Quash Subpoenas of Charles Schwab and 0., Inc., upon the following
interested parties by first class mail, postage prepaid, addressed as ollows:
Marilyn Gerber, Pro Se
717 Market Street, #317
Lemoyne, P A 17043
Jacqueline Verney, Esq. Joanne Book hristine, Esq.
44 S. Hanover Street Rhoads & Sin n, LLp
Carlisle, P A 17013 One South Ma ket Square, P.O. Box 1146
Harrisburg, P 17108 '
Richard C. Rupp, Esq. William A. D ncan, Auditor
Rupp & Meikle One Irvine Ro
355 N. 21st St., Suite 205 Carlisle, PAl 013
Camp Hill, P A 17011
\0 1_17\LIAB\JYC\LLPG\695619\MHC\0 1450\00354
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INRE: MILDREDJ. IN THE COURT OF COMMON PLEAS OF
GERBER TRUST, CUMBERLAND COUNTY, PENNSYLVANIA
UNDER AGREEMENT
Dated, December 19, ORPHANS' COURT DIVISION
1997 an incapacitated
PERSONAL NO, 21-2002-0540
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IN RE: FRED E, IN THE COURT OF CO~ON PLEAS OF
GERBER, SR. TRUST, CUMBERLAND COUN , PENNSYL VANIA
UNDER AGREEMENT ORPHANS' COURT DI SION
Dated, July 29, 1994 NO. 21-1998-0195 !
ORDER OF COURT I
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AND NOW, this 20th day of May, 2005, upon considfration of Charles Schwab &
!
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Co, Inc.'s Motion To Quash Subpoenas, a hearing is sche4uled for Thursday, June 16,
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2005, at 3:00 p.m., in Courtroom No.1, Cumberland (jounty Courthouse, Carlisle,
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Pennsylvania. I
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PENDING SAID HEARING the moving party ~eed not comply with the
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subpoenas. !
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BY THE COURT,!
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J.
Jeffrey J. Chomko, Esq.
~SHALL, DENNEHEY, l!+i(I) C> ;"i' Ii \
~.;("J,_.- \.)d\vHcdO
WARNER, COLEMAN & GOGGIN \!ln11
/~U.=:J ~.....
1845 Walnut Street, 17th Floor f; 0 :Z I,Jd 07 Ill!' gno"'
Philadelphia, PA 19105
v,., ",1 uLl
Attorney for Charles Schwab & Co., Inc,
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Marilyn Gerber
717 Market Street, #317
Lemoyne, P A 17043
Petitioner, pro se
Richard Rupp, Esq.
355 North 21st Street
Camp Hill, P A 17011
Jacqueline Verney, Esq,
44 South Hanover Street
Carlisle, P A 17013
Joanne Book Christine, Esq.
One South Market Square I
P.O, Box 1146 I
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Harrisburg; PA 17108 I
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William Duncan, Esq.
One Irvine Row
Carlisle, P A 17013
:rc
.
RE: MILDRED J. GERBER TRUST : COUNTY F CUMBERLAND
.
.
: ORPHAN ' COURT DIVISION
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A o RI ZATI 0 o RELEASE
I Prederick E. Gerber, II, hereby authorize the ecords custodian at
Charles Schawb & Co., Inc., (Schwab) to release any nd all records for me
personally, or In my capacity as trustee of any trust any Schwab location
with respect to account numbers 3628-7280, TV 3441 2954, and 7494-5358
for the time frame between January 1, 1994, throug the present time to
Richard C. Rupp, Esquire or Rupp and Meikle, Llnds Dgre Baird, Esquire, or
Auditor WilUam A. Duncan, Esquire.
These records are released in connection with t e above-captioned
matter and the dissemination of these mgterials to t e parties is to be
directed by my Gbove'named Attorney's or Auditor, lIIam A. Duncan,
Esquir,.
~/ 9 /,;too,}
. . rber, II
Date
RE: FRED E. GERBER, SR. TRUST
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.
: ORPHAN ' COURT DIVISION
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I Frederick E. Gerber, II, hereby authorize the cords custodian at
Charles Schawb & Co., Inc., (Schwab) to release any nd all records for me
personally, or In my capacity as trustee, at any Sch b location with respect
, to account numbers 3628-7280, TV 3441-2954, and
frame between January 1, 1994, through the presen time.
These records are released in connedion with
matters and the dissemination of these materials to
directed by my above named Attorney's or Auditor, IlIia~ A. Duncan,
Esquire.
(, If /,100 S'
Date
.
VERIFICATION
I, JEFFREY J. CHOMKO, ESQUIRE, being duly sworn ac ording to law, do depose and
say that I am counsel for Charles Schwab & Company, Inc., and th t the facts set forth in the
foregoing Amended Motion to Quash are true and correct to the be t of my knowledge,
information, and belief. This Verification is made subject to the pr visions of 18 Pa.C.S. 94904,
which provides for certain penalties for making false statements to authorities.
Dated: June 10, 2005
.
,
CERTIFICATE OF SERVICE
Jeffrey J. Chomko, Esquire hereby certifies that on the lOt day of June, 2005, I served
the foregoing Amended Motion to Quash Subpoenas of Charles S wab and Co., Inc., upon the
following interested parties by first class mail, postage prepaid, ad ressed as follows:
Marilyn Gerber, Pro Se
717 Market Street, #317
Lemoyne, P A 17043
Jacqueline Verney, Esq. Joanne Book hristine, Esq.
44 S. Hanover Street Rhoads & Si on, LLp
Carlisle, P A 17013 One South M rket Square, P.O. Box 1146
Harrisburg, P 17108
Richard C. Rupp, Esq. William A. uncan, Auditor
Rupp & Meikle One Irvine R w
355 N. 21st St., Suite 205 Carlisle, P A 7013
Camp Hill, PA 17011
MARSHALL, DE EHEY, WARNER,
COLEMAN & GO GIN
BY:
KO, ESQUIRE
t, Charles Schwab &
\0 1_17\L1AB\lYC\LLPG\697672\MHC\0 1450\00354