Department 58

Hearing Date: November 20, 2023

Case Name: Williams v. Cetera Advisor Networks LLC

Case No.: 23STCP03881

Matter: Petition to Confirm Arbitration Award

Moving Party: Petitioner James J. Williams

Responding Party: Unopposed

Tentative Ruling: The Petition to Confirm Arbitration Award is granted.

This case arises from an underlying FINRA arbitration. The arbitration involved a request by Petitioner James J. Williams (Petitioner) to expunge a customer complaint that was filed in a FINRA arbitration against his associated broker dealer firm. On September 13, 2023, the arbitrator granted Petitioner’s request for expungement of the customer complaint and FINRA arbitration from his Central Registration Depository (CRD) record.

On October 10, 2023, Petitioner filed a Petition to Confirm Arbitration Award. No opposition was filed.

Timeliness

No petition may be served and filed until at least 10 days after service of the signed copy of the award upon petitioner. (Code Civ. Proc., § 1288.4.)

The proof of service indicates that all parties were served with the arbitration award on September 13, 2023. (Trotter Decl., 8, Ex. F.) This petition was filed on October 10, 2023 and is, therefore, timely.

Compliance under Code of Civil Procedure section 1285.4

Petitioner seeks to confirm the arbitration award issued by Arbitrator Robert D. Sussin.

The Petition complies with Code Civil Procedure section 1285.4. Petitioner attaches a copy of the agreement to arbitrate in Paragraph 4(b) of Form ADR-106 Petition to Confirm Contractual Arbitration Award. (Code Civ. Proc., § 1285.4, subd. (a).)

The other requirements under Code of Civil Procedure section 1285.4 are met. That is, the award provides the name of the arbitrator, Robert D. Sussin, and a copy of the award and opinion is attached to the petition. (Code Civ. Proc., § 1285.4, subds. (b)-(c).)

Accordingly, the petition is granted.