Case 1:06-cv-00247-WSD Document 18 Filed 04/04/2006 Page 1 of 15

IN THE UNITED S TATES DISTRICT COURT

FOR THE NORTHERN DISTRICT OF GEORGIA i4, P , 0 4 2006
ATLANTA DIVISION
LUTHER D. THOMAS, Clerk
i
De ty clerk
;
JAMES B. STEGEMAN, )
JANET D. MCDONALD, )

Plaintiffs
}
v. ) C IVIL ACT ION
3 FILE NO.: 1 :06-CV-00247-WSD
WACHUVIA BANK, NATIONAL }
ASSOCITAION, et al )
WACHOVIA SECU RITIES }

Defendants }
. . . . .?

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

LR 16-2.
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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

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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 .

(c) Legal I ssues to be Tried are as follows: Unauthorized reversal

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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 f Ms. Caffrey . Fal sifyi ng 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 .

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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, II
Jodi Emmert Zysek
1500 Marquis Two Tower

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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 T his 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 .

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6. Ame ndments 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

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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 Fo r 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.

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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

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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 W achovia 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 .

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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 mp laint by the defendants, the Plaintiffs would

like to reserve the option to add discovery aterial to include if and when

Wachovia answers.

11 . Discov ery 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

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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, pet itions,

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

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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

staring
g 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 .

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Respectfully

821 Sheppard Rd.

Stone Mountain, GA 30083
(770) 879-8737

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,Sworn
Before me this -day
3
Of April, 2006 .

Notary Publ i c
My Commission Exp '

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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 :
PARKER, HUDSON, RAINER, DOBBS, LLP
William J . Holley, 11
Jodi Emmert Zysek
1500 Marquis Two Tower
285 Peachtree Center Avenue, N.E.
Atlanta, GA 34303

,IAMES _Br. SZ WMAN, Pro Se

821 Sheppard Rd
Stone Mountain, GA 3008. 3
(770) 879-8737

821 Sheppard Rd
Stone Mountain, GA 30083
(770) 879-8737

Subscribed to aQwworn
Before me this 3 • clay
Of April, 2006 .

?" 110
My C ommission Expires : pob1c ' ~~ ~

J
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