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Better Business Bureau does nothing to resolve issue

Chronology of Court Case Against TD Ameritrade

FINRA Complaint against TD Ameritrade for violating Maryland's Code requiring consent for recording conversations.

Chronology of FINRA Arbitration Case Against TD Ameritrade

• Essentials of the case

• Statement of Claim

• TDA's Response to Claim

• Discovery Request

• TDA's FINRA discovery

• TDA refuses to provide most of required discovery

• Conflict of Interest Ignored

• 2nd Discovery Request

• Appointed: an arbitrator with no securities experience

• Arbitration schedule distributed.

• Motion to Compel Discovery

• TDA responds to motion

• Response to TDA

• Order on Discovery

• Amended Statement of Claim

• Amended FINRA Claim Form

• TDA Opposes Motion to Amend Claim

• Defense of Motion to Amend Claim

• TDA Request for Documents

• Order Denying Amendment of Claim

• Request for Clarification re: Ruling on Amended Statement of Claim

• Letter Requesting Enforcement of Orders

• Order Granting Requests

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Laurent J. LaBrie v. TDAmeritrade
FINRA Claim 11-03725

Victory! Arbitrator Grants Claimant's Requests

In this order, the arbitrator grants three things:

• I can prosecute claims of Failure to Supervise, Failure to Execute an Order, and Intentional Negligent Misrepresentations.
• TDA must provide their customer communication policies.
• TDA must be served with a subpoena for their phone records.

These were all the requests I made. I felt like I finally had a chance for justice in my case.

Better Business Bureau does nothing to resolve issue

Chronology of Court Case Against TD Ameritrade

FINRA Complaint against TD Ameritrade for violating Maryland's Code requiring consent for recording conversations.

Chronology of FINRA Arbitration Case Against TD Ameritrade

• Essentials of the case

• Statement of Claim

• TDA's Response to Claim

• Discovery Request

• TDA's FINRA discovery

• TDA refuses to provide most of required discovery

• Conflict of Interest Ignored

• 2nd Discovery Request

• Appointed: an arbitrator with no securities experience

• Arbitration schedule distributed.

• Motion to Compel Discovery

• TDA responds to motion

• Response to TDA

• Order on Discovery

• Amended Statement of Claim

• Amended FINRA Claim Form

• TDA Opposes Motion to Amend Claim

• Defense of Motion to Amend Claim

• TDA Request for Documents

• Order Denying Amendment of Claim

• Request for Clarification re: Ruling on Amended Statement of Claim

• Letter Requesting Enforcement of Orders

• Order Granting Requests

• TD Ameritrade Complaints

• Cheated Investors

• Word Press

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