Plaintiffs' Perliminary Report and Discovery Plan
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Transcript of Plaintiffs' Perliminary Report and Discovery Plan
IN THE UNITED STATES DISTRICT COURTFOR THE NORTHERN DISTRICT OF GEORGIA
ATLANTA DIVISIONi4, P , 0 4 2006
JAMES B. STEGEMAN, )JANET D. MCDONALD, )
Plaintiffs}
v. )3
WACHUVIA BANK, NATIONAL }ASSOCITAION, et al )WACHOVIA SECURITIES }
Defendants }. . . . .. .?
CIVIL ACTIONFILE NO.: 1 :06-CV-00247-WSD
LR 16-2 .
LUTHER D. THOMAS, Clerk
Die ty clerk;
PLAINTIFF'S PRELIMINARY REPORT AND DISCOVERY PLAN
Plaintiffs answered Wachovia bank's attempt to conduct Rule 2b(f) in
which the Plaintiffs received a letter, two days afterward, Plaintiffs received
Defendant's Preliminary Report claiming the Plaintiffs declined the offer.
Plaintiffs requestedd a meeting on "neutral" grounds. No answer was received
from Wachovia's Counsel. Plaintiffs file this separate statement pursuant to
Case 1:06-cv-00247-WSD Document 18 Filed 04/04/2006 Page 1 of 15
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1. Description of Case:
(a) Nature of Action. Breach of contract, breach of duty, fraud,
slander.
(b) Summary of Facts. Mr. 5tegeman who is a handicapped, 100%
disabled adult, opened a CAP Premier account with his Aunt,
Ms. Caffrey May 1997. A CAP Premier: Capital Asset Protection
account with Mike Peoples at then First Union Bank, the Wesley
Chapel, Decatur, GA branch of First Union . A CAP Premier is a
combination investment brokerage account and Bank account, set up in
such a way as to protect the assets of the customer .
Ms. Caffrey signed and had notarized a special Durable Power of
Attorney to Mr . Stegeman January 1998. Ms. Caffrey signed and had
notarized a Directive relinquishing "all of her share of the Wachovia
accounts" April 1999. Plaintiffs legally transferred the assets to Bank
# : 4802298204 , Investment : 57316672 from Bank #: 4800548691 ,
Investment # : 19524058 June 12, 2002 to accounts into their legal
names .
June 14, 2004, Mr . Joyner was appointed Temporary Guardian of
Property of Ms . Caffrey. Wachovia changed the address on the
Case 1:06-cv-00247-WSD Document 18 Filed 04/04/2006 Page 2 of 15
(c) Legal Issues to be Tried are as follows: Unauthorized reversal
accounts even though the address the accounts were sent to since May
1997 was different than the address of Ms . Caffrey who still had a
Savings account at the bank. Wachovia began sending all of the
Plaintiff s statements to the guardian, denying all access and info to the
Plaintiffs about the accounts. The paperwork used to do this was a
Temporary Guardianship of Property unsigned by a .Tudge. No Court
Order or legal documents were provided to Wachovia .
Attorney Mr . Sam Appel, on or around dune 14 , 2002 requested
to Wachovia that the accounts be frozen . Ms. McDonald found that
the accounts were not frozen late June. Mr. Appel3uly 01, 2002 sent a
letter to Cindy Wall, Regional Manager, to insure and verify that the
accounts were frozen until ownership could be proven . Mr. Appel
received a letter from Joseph Serge, which confirmed .
While accounts were frozen, Wachovia denied all knowledge to
the Plaintiffs of activities in the accounts, re-issued stocks, Mutual
Funds, allowed same to be sold and allowed removal of cash in the
amount of $14,943 .00 by Mr. Joyner .
Case 1:06-cv-00247-WSD Document 18 Filed 04/04/2006 Page 3 of 15
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of legal transfer dated June 12, 2002 . Unauthorized changing of Plaintiff's
address. Unauthorized closing CAP Premier bank accounts two separate
ocassions. Unauthorized re-issuance of stocks and Mutual Funds .
Unauthorized removal of $14,943 .00. Unauthorized addition of Mr. Joyner's
name to accounts . Unauthorized de-linking of accounts and de-linking of Mr .
Stegeman. Refusal to release account Jo int Tenants .With Rights of
Survivorship upon death of Ms . Caffrey. Refusal to release accounts upon
"Memorandum of Understanding" dated March 24, 2004 in which Mr.
Joyner, Mr. Lillig III agreed the accounts had belongedd to Mr . Stegeman and
Ms . McDonald and asked to settle the suit brought by Mr . Joyner as Guardian
of Property o fMs. Caffrey . Fal sifying of document s, Forgeries, .
(d) The cases listed below are :
(1) Pending Related Cases: There are none in The United States
Federal District Courts. The "Order" signed by Judge Hunter 02/22/2006 has
been appealed to Georgia Court of Appeals, case #: 06CV1065-8.
(2) Previously Adjudicated Related Cases: Superior Court Case in
which Mr. Joyner v Mr. Stegeman 0209732-5, settled out of Court which
Wachovia was named as a party .
Case 1:06-cv-00247-WSD Document 18 Filed 04/04/2006 Page 4 of 15
2. This case is complex because it posses one (1) or more of the features
listed below (please check) :
(1) Unusually large number of parties
(2) Unusually large number of claims or defenses
(3) Factual issues are exceptionally complex
(4) Greater than normal volume of evidence
(5) Extended discovery period is needed
(6) Problems locating or preserving evidence
(7) Pending parallel investigation or action by government
(8) Multiple use of experts
(9) Need for discovery outside United States boundaries
.(10) Existence of highly technical issues and proof
3. Counsel.
The following individually-named attorneys are hereby designated as
lead counsel for the parties :
Plaintiffs : Pro Se
Defendant Wachovia Bank, National Association :
William J. Honey, IIJodi Emmert Zysek1500 Marquis Two Tower
5
Case 1:06-cv-00247-WSD Document 18 Filed 04/04/2006 Page 5 of 15
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285 Peachtree Center Ave ., N.E.Atlanta, GA 30303(404) 523-5300(404) 522-8409
4. Jurisdiction:
Is there any question regarding this Court's jurisdiction?
X Yes Attached (1) page, explaining the jurisdictional objection, if
there are multiple claims the Plaintiffs will identify and discuss separately the
claim(s) on which the objection is based, supported by authority .
5. Parties to This Action :
(a) The following persons are necessary parties who have not been joined:
Wachovia Securities .
(b) The following persons are improperly joined as parties : none.
(c) The names of the following parties are either inaccurately stated or
necessary portions of their names are omitted :
(d) The parties have a continuing duty to inform the court of any
contentions regarding unnamed parties necessary to this action or any
contentions regarding misjoinder or parties or errors in the statement
of a party 's name .
Case 1:06-cv-00247-WSD Document 18 Filed 04/04/2006 Page 6 of 15
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6. Amendments to the Pleadings:
Amended and supplemental pleadings must be filed in accordance with
the time limitations and other provisions of Fed.R.Civ .P. 15 . Further
instructions regarding amendments are contained in LR 15 .
(a) List separately any amendments to the pleadings which the
parties anticipate will be necessary : Wachovia continually insists that the
Plaintiffs have failed to state a claim upon which relief can be granted .
Wachovia claims that is the reason for not answering the cqmplaint. The
Plaintiffs did state legally co izable claims . The Plaintiffs realize this is
not a criminal hearing, that Wachovia is not being criminally charged . If
Wachovia would have taken the time to read the complaint, the would
realize that the issues are clearly stated . Wachovia's numerous code
violations shows the malice and contempt for which fraud breach of
contract breach of du are necessary o have a claim for which relief can
be granted as well as punitive damages and attorney's fees added. Not
answering complaint is grounds for Default Judgment which the
Plaintiffs did file for. It was ignored .
(b) Amendments to the pleadings submitted LATER THAN
Case 1:06-cv-00247-WSD Document 18 Filed 04/04/2006 Page 7 of 15
THIRTY (30) DAYS after the Joint Preliminary Report and Discovery
Plan is filed, or should have been filed, will not be accepted for filing,
unless otherwise permitted by law .
7. Filing Times For Motions:
All motions should be filed as soon as possible . The local rules set
specific filing limits for some motions . These times are restated below .
All other motions must be filed WITHIN THIRTY (30) DAYS after the
beginning of discovery, unless the filing party has obtained prior
permission of the court to file later. Local Rule 7-OA(2) .
(a) Motions to Compel : before the close of discovery or within the
extension period allowed in some instances. Local Rule 3 7 . 1 .
(b) Summary Judgment Motions : within twenty (20) days after the close
of discovery, unless otherwise permitted by court order. Local Rule 56.1 .
(c) Other Limited Motions.- Refer to Local Rules 7.2A; 7.2B, and 7.2E,
respectively, regarding filing limitations for motions pending on removal,
emergency motions, and motions for reconsideration .
(d) Motions Objecting to Expert Testimony: Daubert motions with regard
to expert testimony no later than the date that the proposed pretrial order is
submitted . Refer to Local Rule 7 .2F.
8
Case 1:06-cv-00247-WSD Document 18 Filed 04/04/2006 Page 8 of 15
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8. Initial Disclos ures:
The parties are required to serve initial disclosures in accordance with
Fed.R.Civ.P.26. If any party object that initial disclosures are not
appropriate, state the party and basis for the party's objection .
9. Request for Scheduling Conference .
Does any party request a scheduling conference with the court? If so,
please state the issues which could be addressed and the position of each
party-
10. Discovery Pe riod:
The discovery period normally commences thirty (30) days after the
appearance of the first defendant by answer o the complaint . As stated in
LR 26.2A, responses to initiated discovery must be completed before
expiration of the assigned discovery period .
Cases in this Court are assigned to one of the following three (3)
discovery tracks : (a) zero (0)-months discovery period, (b) four (4)-
months discovery period, and (c) eight (8)-months discovery period . A
chart showing the assignment of cases to a discovery track by filing
category is contained in Appendix F . The track to which a particular case
Case 1:06-cv-00247-WSD Document 18 Filed 04/04/2006 Page 9 of 15
is assigned is also stamped on the complaint and service copies of the
complain at the time of filing .
Please state below the subjects on which discovery may be needed :
The Plaintiffs have r nested documentation authorizing Wachovia's
actions on numerous occasions Mr. A olins Burin a le al investi ation
subpoenaed Wachovia Bank and Wachovia Securities in an attempt to gain
the information needed . Wachovia refused the information even after
Jud e Hunter signed an order to produce the documents . Therefore
discovery subjects are: Reversal of June 12, transfer . Legal
authority r documents for Dismissal of Mr. Ste eman's Durable Power of
Attorney. Legal authority r documents disputing s. McDonald's
ownershi . The accounts titled Jean S . Caffre and James B . Ste eman
Joint- Tenants With Rights of Survivorship, authorization for changing the
dates of o enin accounts . The accounts titled Janet D . McDonald and
James B . Ste eman Joint Tenants With Rights of Survivorship . Who gave
authorization to change all dates associated with dividends, who inserted
forged acquisition documents where the came from . Where old Power
of Attorneys came from who submitted to Wachovia documents that
neither Plaintiff ever submitted to Wachovia. Court Order showing Mr.
10
Case 1:06-cv-00247-WSD Document 18 Filed 04/04/2006 Page 10 of 15
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Jo er full authority over accounts and Mr. Ste eman. Documentation
pertaining to Mr. Jo ner and his Social Securi number as sole owner o f
the account . Documents with Mr. Ste eman and or Ms . McDonald's
signatures to close an accounts associated with their names .
Disappearance of $14,943-00 the re-issuance of stocks and Mutual Funds .
Due to lack of answer of c mplaint by the defendants, the Plaintiffs would
like to reserve the option to add discovery aterial to include if and when
Wachovia answers.
11 . Discovery Limitation :
What changes should be made in the limitations on discovery imposed
under the Federal Rules of Procedure or Local Rules of this Court, and
what other limitations should be imposed. Although the normal discovery
period normally commences thirty 30 days after the a earance of the
first defendant b answer to the com Taint Wachovia Bank has re nested
that the discovery period not commence until ten 10 days after the Court
has ruled on Wachovia Bank's Motion to Dismiss the Complaint and The
Court has made an Order on Wachovia's r nest . The Plaintiffs have filed
an Appeal of Judge e Hunter's decision of Wachovia's Notice of Removal .
The Plaintiffs have repeatedly brought this to the attention of the Courts
Case 1:06-cv-00247-WSD Document 18 Filed 04/04/2006 Page 11 of 15
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asking that all Motions, etc be stopped until the Appeal has been decided .
Wachovia has suggested that the Appeal is not real, the Plaintiffs recently
received the AMeal to Court of Appeals showing that the A Meal to
supreme Court has been changed to The Court of Appeals . The fee
associated with such having been paid and Notice to This Court has been
filed. The Plaintiffs request that no other actions, motions, petitions,
discovery, etc be had, filed, or decided until such time the Georgia Court
of Appeais has made a decision .
12. Other Orders :
What other orders do the parties think that the Court should enter under
Rule 26(c) or Rule 16(b) and (c)? See above.
13. Settlement Potential :
(a) Plaintiffs were unable to conduct a Rule 26(f) conference with
defendants .
(b) Wachovia states that a Settlement appears unlikely .
(c) Plaintiffs do not intend to hold additional settlement
conferences among themselves prior to the close of discovery .
(d) The following specific problems have created a hindrance to
settlement of this case: Prior to The Plaintiffs filing the complaint, the
Case 1:06-cv-00247-WSD Document 18 Filed 04/04/2006 Page 12 of 15
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Plaintiffs had suggested arbitration Wachovia refused. The defendants
continue to contend that the Plaintiffs refused to participate in a Rule
26(f) conference. The defendants are misleadin g This Court, March Ob,
2006 Plaintiffs received letter from Wachovia about a meeting . March
QS 2006 Plaintiffs mailed a re 1 suggesting a neutral place for the
meeting that went ignored . March 09, 20Q6 the Plaintiffs received
Wachovia's Initial Disclosure and Wachovia Preliminary Report both
staringg that the Plaintiffs refused to the conference . Wachovia
continually makes misleading statements to This Court.
(d) Trial by Magistrate Judge:
Note: Trial before a Magistrate Judge will be by Jury trial if a party is
otherwise entitled to a jury trial .
(b) The Plaintiffs do not consent to having this case tried before a
Magistrate Judge of this Court .
This 3rd day of April, 2006 .
Case 1:06-cv-00247-WSD Document 18 Filed 04/04/2006 Page 13 of 15
Respectfully
821 Sheppard RdStone Mountain, GA 30083(770) 879-8737
14
821 Sheppard Rd.Stone Mountain, GA 30083(770) 879-8737
The information contained in the above Plaintiff s Preliminary
Report and Discovery Plan are true and correct to belief and knowledge
of the Plaintiffs .
Subscribed to and,SwornBefore me this 3-dayOf April, 2006 .
Notary Publ i cMy Commission Exp '
r
Case 1:06-cv-00247-WSD Document 18 Filed 04/04/2006 Page 14 of 15
PARKER, HUDSON, RAINER, DOBBS, LLPWilliam J. Holley, 11Jodi Emmert Zysek
1500 Marquis Two Tower285 Peachtree Center Avenue, N.E.
Atlanta, GA 34303
,IAMES _Br. SZWMAN, Pro Se
Subscribed to aQwwornBefore me this 3 • clayOf April, 2006.
Jl
fir. .n „w
CERTIFiCA,TE OF SERVICE
I hereby certify that this 3dday of April, 200 served a true and copy
of the foregoing PLAINTIFF'S PRELIMINARY REPORT AND
DISCOVERY PLAN upon the defendants in this matter by causing to be
deposited, in the U.S. Mail proper postage paid to thee defendants through
each attorney separately as listed on file as follows :
821 Sheppard RdStone Mountain, GA 3008.3(770) 879-8737
821 Sheppard RdStone Mountain, GA 30083(770) 879-8737
?" 110My Commission Expires : pob1c ' ~~ ~
Case 1:06-cv-00247-WSD Document 18 Filed 04/04/2006 Page 15 of 15