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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

• Statement of Claim

• TDA's Response to Claim

• Discovery Request

• TDA's initial response

• 2nd Discovery Request

• Conflict of Interest Ignored

• Appointed: an arbitrator with no securities experience

• Motion to Compel Discovery

• TDA responds to motion

  Note: In responses #3 and #4, TDA refuses to provide documents that it promises to provide in every trade confirmation where they state "6. The name of the other party or broker in the transaction, the date, the time of execution, source and amount of remuneration will be furnished upon request." This proves you can't rely on TDA's written promises

• Response to TDA

• Order on Discovery

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DIVISION OF TD AMERITRADE INC PO BOX 2209 OMAHA, NE 68103-2209

Confirmation Notice

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LAURENT J LA BRIE 5 PLEASANT RIDGE APT #PH-5 OWINGS MILLS MD 21117

Account Number Other Information Transaction Number Capacity Codes Your Representative  881-625499 - 3     04594471136  5  FF Activity Quantity CUSIP Number Price Principal Amount Fees Sales Fee  YOU SOLD  800  902653104  25.0  20,000.00     0.12 As of Trade Date Trade Date Settlement Date Interest Commission Net Amount  01/16/2009  01/20/2009  03/31/2009     19.99  19,979.89 Symbol Trade Description  UDR  UDR INC  COM

CORRECT PREVIOUS CONFIRM ACCOUNT TYPE

THIS IS AN UNSOLICITED TRADE

8 PUTS UDR JAN 25 DELAYED SETTLEMENT

YOU SOLD SHORT

CORRECTION

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

• Statement of Claim

• TDA's Response to Claim

• Discovery Request

• TDA's FINRA discovery

• TDA refuses to provide most of required discovery

• 2nd Discovery Request

• Conflict of Interest Ignored

• Appointed: an arbitrator with no securities experience

• Motion to Compel Discovery

• TDA responds to motion

  Note: In responses #3 and #4, TDA refuses to provide documents that it promises to provide in every trade confirmation where they state "6. The name of the other party or broker in the transaction, the date, the time of execution, source and amount of remuneration will be furnished upon request." This proves you can't rely on TDA's written promises

• Response to TDA

• Order on Discovery

See stories of TDAmeritrade misappropriating funds from other investors:

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

• TD Ameritrade Complaints

• Cheated Investors

• Word Press

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