A |
|
|
| A/C |
Account |
|
| ACA |
Advanced Compensation Agreement |
|
| AE |
Account Executive |
|
| AP |
Associated Person |
|
| Arbn |
Arbitration |
|
| Arbr |
Arbitrator |
Top |
B |
|
|
| B/D |
Broker/Dealer |
|
| B&D |
Sympathetic Claimant Category |
|
| BFD |
Breach of Fiduciary Duty |
|
| B/K |
Breach of Contract |
|
| BOM |
Branch Office Manager |
|
| Bot |
Bought |
Top |
C |
|
|
| C/A |
Cause of Action |
|
| CC |
Counterclaim |
|
| Cfms |
Confirms |
|
| Clrg |
Clearing |
|
| CMO |
Collaterized Mortgage Obligation |
|
| Cs |
Claimant |
Top |
D |
|
|
| DOA |
Director of Arbitration |
|
| |
|
Top |
F |
|
|
| FAA |
Federal Arbitration Act |
|
| FTO |
Failure to Obey |
Top |
G |
|
|
| GAO |
General Accounting Office |
|
| GP |
General Partner |
Top |
H |
|
|
Happiness
Letter |
Broker-Dealer inquiry to customer re: satisfaction in broker handling of account |
|
| |
|
Top |
I |
|
|
| IIED |
Intentional Infliction of Emotional Distress |
|
| IPO |
Initial Public Offering |
|
| ISC |
In-house Counsel |
|
| |
|
Top |
J |
|
|
| J&S |
Joint & Several |
|
| |
|
Top |
K |
|
|
| Kr |
Independent Contractor |
|
| |
|
Top |
L |
|
|
| L/P |
Limited Partnership |
|
| |
|
Top |
M |
|
|
| MTD |
Motion to Dismiss |
|
| |
|
Top |
N |
|
|
| No-show |
appear in the hearings or has failed to file an Answer to the Statement of Claim |
|
| None |
Appears in "Professional" field - a registered representative appears on behalf of |
|
| NP |
None Provided |
|
| |
|
Top |
O |
|
|
| Online |
|
|
| OOB |
Out of Business |
|
| OOP |
Out-of-Pocket |
|
| O/S |
Offering Statement |
|
| OSC |
Outside Counsel |
|
| |
|
Top |
P |
|
|
| PAL |
Post-Award Litigation |
|
| PDAA |
Pre-Dispute Arbitration Agreement |
|
| PIABA |
Public Investors Arbitration Bar Association |
|
| PHC |
Pre-Hearing Conference |
|
| PHL |
Pre-Hearing Litigation |
|
| POA |
Power of Attorney |
|
| PP |
On the Papers (generally, small claims proceeding) |
|
Priv Secs
Trans |
|
|
| Pro se |
Representing self in a litigation/arbitration |
|
| |
|
Top |
R |
|
|
| RICO |
Racketeer Influenced & Corrupt Organizations Act, Title 18, U.S. Code |
|
| RR |
Registered Representative |
|
| Rs |
Respondent |
|
| |
|
Top |
S |
|
|
| S/A |
Statement of Answer |
|
| S/Agmt |
|
|
| S/Clm |
Statement of Claim |
|
| SEC |
Securities Exchange Commission |
|
| SIA |
Securities Industry Association |
|
| SICA |
Securities Industry Conference on Arbitration |
|
| S/J |
Motion for Summary Judgment |
|
| S/L |
Statute of Limitations |
|
| SRO |
Self-Regulatory Organization |
|
| |
|
Top |
T |
|
|
| TAA |
Total Amount Awarded |
|
| TAC |
Total Amount Claimed |
|
| TP |
Third Party |
|
| TPC |
Third Party Claim |
|
| T-Pty Cs |
|
|
| T-Pty Rs |
|
Top |
W |
|
|
| WSJ |
Wall Street Journal |
Top |