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Chronology of My Case Against TD Ameritrade
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Laurent J. LaBrie v. TDAmeritrade
District Court for Baltimore, MD Civil Case #: 0804-0021814-2010
January 3, 2011
Laurent J. La Brie In the District Court of Maryland
v.
Toronto Dominion Ameritrade Case No. 0804-0021814-2010
TO: TD Ameritrade
Resident Agent: CSC-Lawyers Incorporating
Service Company
7 St. Paul Street, Suite 1660
Baltimore,
MD 21202
FROM: Laurent J. La Brie
5 Pleasant Ridge Drive #205
Owings Mills, MD 21117
Instructions
Pursuant to Rule 2-421, you are required to answer the following interrogatories within 30 days or within the time otherwise required by court order or by the Maryland Rules:
(a) In accordance with Rule 2-421 (b), your response shall set forth the interrogatory, and shall set forth the answer to the interrogatory "separately and fully in writing under oath" or "shall state fully the grounds for refusal to answer any interrogatory." The response shall be signed by you. (Standard Instruction (a).)
(b) Also in accordance with Rule 2-421 (b), your answers "shall include all information available" to you "directly or through agents, representatives, or attorneys." (Standard Instruction (b).)
(c)Pursuant to Rule 2-401 (e), these interrogatories are continuing. If you obtain further material information before trial you are required to supplement your answers promptly. (Standard Instruction (c).)
(d)If pursuant to Rule 2-421 (c), you elect to specify and produce business records of yours in answer to any interrogatory, your specification shall be in sufficient detail to enable the interrogating party to locate and identify the records from which the answer may be ascertained. (Standard Instruction (d).)
(e) If you perceive any ambiguities in a question, instruction, or definition, set forth the matter deemed ambiguous and the construction used in answering. (Standard Instruction (e).)
In these interrogatories, the following definitions apply:
(a) Document includes electronically stored information and any writing, drawing, graph, chart, photograph, sound recording, image, and other data or data compilation stored in any medium from which information can be obtained, translated, if necessary, through detection devices into reasonably usable form.
(b) Identify, identity, or identification, (1) when used in reference to a natural person, means that person's full name, last known address, home and business telephone numbers, and present occupation or business affiliation; (2) when used in reference to a person other than a natural person, means that person's full name, a description of the nature of the person (that is, whether it is a corporation, partnership, etc. under the definition of person below), and the last known address, telephone number, and principal place of business; (3) when used in reference to any person after the person has been properly identified previously means the person's name; and (4) when used in reference to a document, requires you to state the date, the author (or, if different, the signer or signers), the addressee, the identity of the present custodian of the document, and the type of document (e.g., letter, memorandum, telegram, or chart) or to attach an accurate copy of the document to your answer, appropriately labeled to correspond to the interrogatory. (c)Person includes an individual, general or limited partnership, joint stock company, unincorporated association or society, municipal or other corporation, incorporated association, limited liability partnership, limited liability company, the State, an agency or political subdivision of the State, a court, and any other government entity.
1.State the names and telephone numbers of all contacts provided to TDA by me regarding my account and efforts made to contact them, including myself and my mother, Elizabeth Rietz La Brie.
2.Why didn't you attempt to call my mother who was listed as a contact for me? State all contacts available and efforts made to contact them, including myself and my mother.
3.If you knew about the problems with the options and you had decided to not follow my guidance to exercise them, why didn't you sell them for me?
4.If the short position was only in "book entry form" as TDA told the Maryland Assistant Attorney General, where did you inform me of this? Why did my Confirmation Notice state that the reversal of my sale was to correct the account from a Margin account to a Short account? Why was my EIHI position in February listed exactly the same way as the UDR short but it was not reversed?
5.Please verify Exhibits A-B are copies of business records of TDA and explain the contents and meaning of each of those Exhibits.
6.Please state all facts and circumstances associated with the reversal of the transactions performed on Exhibits A and B enclosed.
7.Please state the disposition of proceeds from the reversals of said transactions.
8.The trades made in my account reflected a gain of approximately $14,050. Where did that money go since TDA has made the trades but not posted the gains to my account?
9.Since TDA is obligated to act diligently in my best interests as its client and if TDA believes it needs actual on the spot authorization of the client to exercise the trade in order to obtain thousands of dollars for the client, is it TDA's policy that all TDA is obligated to do to protect the client is to try to make one phone call and not to proceed further if the TDA caller agent hears a busy signal? Is that TDA's standard of "due diligence"? (Nothing in this question is intended to suggest that client agrees that such additional authorization was needed or that client believes that TDA in fact correctly made the call or that it is possible that the TDA agent in fact could have received a busy signal.)
10.Please furnish us a copy of any policy or other written directive to TDA's employees/brokers in effect on the date of the transaction stating the instructions to brokers regarding an option transaction of the type involved.
11.Has any agent or broker been reprimanded for their failure to notify me appropriately or has there been any change in policy or instructions given to the agent since January 20, 2009 regarding notifying a client or requiring authorization in this sort of situation?
12.Furnish to me any records or written communication dated prior to March 17, 2009 stating that the short position was in book entry form.
13.State why a book entry transaction has any greater chance of being reversed than any other transaction.
14.Provide documentation of any communication made to me outlining the risks of book entry transactions, including date and time of such communication.
15.Has TDA received any information from OCC or any advice from any source that TDA has, or would have, committed an administrative or other error if it exercised the option?
16.Please state all actions taken and the precise time and date of those actions with respect to the notices OCC # 25468, #25370 and # 25184 by TDA.
17.Please identify all other reversals that occurred under similar circumstances and state the accounts, security involved, without disclosing client information.
18.Please identify all corporate policies with respect to notification of clients about options issues and pending expirations.
Sincerely,
Laurent J. La Brie
Chronology of My Case Against TD Ameritrade
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