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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

RANKING FORM

12402. Cases with One Arbitrator
(b) Generating Lists
(1) The Neutral List Selection System will generate a list of 10 public arbitrators from the FINRA chairperson roster.
(2) The Neutral List Selection System will exclude arbitrators from the lists based upon current conflicts of interest identified within the Neutral List Selection System.

Below is the form as we turned it in. It shows Mr. Corey still listed, so we had only 9 arbitrators from which to choose, reducing the chances of finding an objective arbitrator.

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