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Resources: Glossary of Terms
To enable you to read and interpret SAC ARBchek reports, SAC has prepared this list of definitions, codes, and abbreviations that are unique to SAC's encoding procedures. Commonly used or self-evident abbreviations are not included. We have attempted to provide an exhaustive list. If we have overlooked a definition or abbreviation, or if you still need clarification of a term, please call us at 973-761-5880 or e-mail us at help@sacarbitration.com.
*NOTE: All damage amounts with a decimal point need to be multiplied by 1000.
Example: 10.0 = $10,000.00
| A/C | Account |
| ACA | Advanced Compensation Agreement |
| AE | Account Executive |
| AP | Associated Person |
| Arbn | Arbitration |
| Arbr | Arbitrator |
| 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 |
| C/A | Cause of Action |
| CC | Counterclaim |
| Cfms | Confirms |
| Clrg | Clearing |
| CMO | Collaterized Mortgage Obligation |
| Cs | Claimant |
| DOA | Director of Arbitration |
| N/A |
| FAA | Federal Arbitration Act |
| GAO | General Accounting Office |
| GP | General Partner |
| Happiness Letter |
Broker-Dealer inquiry to customer re: satisfaction in broker handling of account |
| IIED | Intentional Infliction of Emotional Distress |
| IPO | Initial Public Offering |
| ISC | In-house Counsel |
| J&S | Joint & Several |
| Kr | Independent Contractor |
| L/P | Limited Partnership |
| MTD | Motion to Dismiss |
| No-show | Appears in “Professional” field — a party in an arbitration proceeding does not appear in the hearing or has failed to file an Answer to the Statement of Claim. |
| None | Appears in “Professional” field — a registered representative appears on behalf of himself or herself, or a member/member firm has no representative in an arbitration proceeding. |
| Online | |
| OOB | Out of Business |
| OOP | Out-of-Pocket |
| O/S | Offering Statement |
| OSC | Outside Counsel |
| 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 |
Private Securities Transaction (Selling Away) |
| Pro se | Representing self in a litigation/arbitration |
| N/A |
| RICO | Racketeer Influenced & Corrupt Organizations Act, Title 18, U.S. Code |
| RR | Registered Representative |
| Rs | Respondent |
| S/A | Statement of Answer |
| S/Agmt | Submission Agreement |
| 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 |
| TAA | Total Amount Awarded |
| TAC | Total Amount Claimed |
| TP | Third Party |
| TPC | Third Party Claim |
| T-Pty Cs | Third Party Claimant |
| T-Pty Rs | Third Party Respondent |
| N/A |
| N/A |
| WSJ | Wall Street Journal |
| N/A |
| N/A |
| N/A |
| A | AMEX | American Stock Exchange |
| C | CBOE | Chicago Board Options Exchange |
| F | NFA | National Futures Association |
| J | JAMS | Judges in Arbitration and Mediation Services |
| M | MSRB | Municipal Securities Rulemaking Board |
| N | FINRA | Financial Industry Regulatory Authority |
| N | NASD | National Association of Securities Dealers |
| P | PCX | Pacific Exchange (n/k/a NYSE Arca) |
| S | Court Annexed | |
| T | CBOT | Chicago Board of Trade |
| W | MSE | Midwest Stock Exchange |
| X | PHLX | Philadelphia Stock Exchange |
| Y | NYSE | New York Stock Exchange |
| Z | AAA | American Arbitration Association |
| DLJ Secs | Donaldson Lufkin & Jenrette Securities Corp. |
| DWR | Dean Witter Reynolds, Inc., Morgan Stanley DW, Inc., Morgan Stanley & Co., Morgan Stanley Smith Barney |
| Everen | Everen Securities, Inc., First Union Securities, Inc., Wachovia Securities, Inc., Wells Fargo Advisors |
| MLPFS | Merrill Lynch Pierce Fenner Smith |
| PruBache (PSI) | Wachovia Securities, LLC. |
| PWI | PaineWebber, Inc., UBS Financial Services, Inc. |
| SLH | Smith Barney, Inc. (Shearson/American Express, Shearson Lehman Bros., Smith Barney Shearson, and Salomon Smith Barney), Citigroup Global Markets, Inc. |
| TMcK | Thomson McKinnon Securities |
| Abbreviation | Professional Field | Meaning |
|---|---|---|
| * | Any | used where the Award should have provided but did not provide required information |
| 0 | Amount Claimed, Counterclaim, Third Party Claim, Cross-claim |
used where the amount could not have been known or was a discretionary number to be provided by the arbitrators at the end of the hearing |
| 1 | Amount Claimed, Amount Awarded |
amount not quantifiable, or resolution is other than monetary award; i.e., declaratory judgment, rescission (a 1 here signifies a damage theory and prevents duplication of claimed damage numbers), judgment of non-liability, reformation of Form U-5, etc. |
ALLEGATIONS
| BlueSky | Unregistered Brokers or Securities |
| BreachContract | Breach of Contract |
| BreachFiducDty | Breach of Fiduciary Duty |
| Compensatn | Compensation |
| FailToObey | Failure to Obey |
| MarginLiqdn | Margin Liquidation |
| Misappropriatn | Misappropriation/Conversion |
| Misreprestn | Misrepresentation/Omissions |
| Operations | Clearing Error |
| TakingRecords | Removal of Client Records |
| UnauthTdg | Unauthorized Trading |
| WrongTerm | Wrongful Termination |
PRODUCTS
| ARS | Auction Rate Securities |
| CDs | Certificates of Deposit |
| CDOs | Collateralized Debt Obligations |
| CommFutures | Commodities Futures |
| CommOptions | Commodities Options |
| CorpDebt | Corporate Debt |
| DirectInvesmts | Direct Investments |
| EqOptions | Equity Options |
| Equity | Stock |
| ETFs | Exchange Traded Funds |
| FinanFutures | Financial Futures |
| GovtSecs | Federal Government Securities |
| Money Mkt A/C | Money Market Accounts |
| MuniSecs | Municipal or State Securities |
| NP | No Product |
| PrivSecTrans | Private Securities Transactions (Selling Away) |
| REITs | Real Estate Investment Trusts |
| UITs | Unit Investment Trusts |
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