Judge: Christopher K. Lui, Case: 24STCP01843, Date: 2024-07-16 Tentative Ruling

Case Number: 24STCP01843    Hearing Date: July 16, 2024    Dept: 76

            The hearing on Petitioner Richard Alan Skelton, Jr.’s petition to confirm arbitration award is CONTINUED to August 23, 2024 at 8:30 a.m. Petitioner to properly serve a copy of the petition, as well as notice of the continuance of the hearing on the petition, and to file proof of service.

ANALYSIS

Petition To Confirm Arbitration Award

Discussion

Petitioner Richard Alan Skelton, Jr. brings a petition to confirm FINRA arbitration award.

The petition to confirm must be served and filed no later than four years after the date of service of a signed copy of the award on the petitioner (Code Civ. Proc., § 1288) but may not be served and filed until at least 10 days after service of the signed copy of the award upon the petitioner. (Code Civ. Proc., § 1288.4.)

            Although a petition to confirm arbitration award may be filed after 10 days of the service of the award (Civ. Proc. Code, § 1288.4), the hearing must be at least 100 days after the service of the award (Civ. Proc. Code, § 1288.2), which is the period of time in which the respondent may either file a file a petition to vacate the award, even if that time is beyond the 10 days in which the respondent may file a response to the petition. (Civ. Proc. Code, §§ 1285.2, 1290.6.) As articulated by the California Supreme Court, it appears that a response to a petition to confirm an arbitration award, which response seeks to vacate or reduce the award, may be served within 100 days of the service of the award.(Law Fin. Grp., LLC v. Key (2023) 14 Cal.5th 932, 946-47.)

            Here, the award is dated April 1, 2024, and was served upon the parties on April 2, 2024.

            The 100-day period following the service of the award expires on July 11, 2024. As such, this hearing is after that period in which a petition to vacate may be filed.

            The Court notes that FINRA has obtained a waiver from FINRA of the requirement to name FINA as a part to the action to confirm the arbitration award. (Declaration of Chad Weaver, Exh. E.)

Any party to an arbitration award may petition the court to confirm, correct, or vacate the award. (Code Civ. Proc., § 1285.) “If a petition or response under this chapter is duly served and filed, the court shall confirm the award as made, whether rendered in this state or another state, unless in accordance with this chapter it corrects the award and confirms it as corrected, vacates the award or dismisses the proceeding.” (Code Civ. Proc., § 1286 [bold emphasis added].) A petition to confirm a binding arbitration shall name as respondents all parties to the arbitration and may name any other parties to be bound by the award. (Code Civ. Proc., § 1285.) The petition shall (1) set forth the substance of or have attached a copy of the agreement to arbitrate unless petitioner denies the existence of such an agreement; (2) set forth the name(s) of the arbitrator(s); and (3) set forth or have attached a copy of the award and written opinion of the arbitrator. (Code Civ. Proc., § 1285.4(a)-(c).)

Cal. Civ. Proc, § 1290.4 governs the method of service of the petition to confirm arbitration as follows:

(a) A copy of the petition and a written notice of the time and place of the hearing thereof and any other papers upon which the petition is based shall be served in the manner provided in the arbitration agreement for the service of such petition and notice.

(b) If the arbitration agreement does not provide the manner in which such service shall be made and the person upon whom service is to be made has not previously appeared in the proceeding and has not previously been served in accordance with this subdivision:

(1) Service within this State shall be made in the manner provided by law for the service of summons in an action.

     (Code Civ. Proc., § 1290.4(b)(2) [bold emphasis added].)

Here, the petition was served by e-mail only on June 7, 2024. A copy of the arbitration agreement was not attached to the Petition, so it is unclear whether the arbitration agreement permitted service by e-mail. As such, the Court applies Civ. Proc. Code, § 1290.4(b)(2) to require that the Petition by served by personal service, substituted service or mailing and notice of acknowledgment.

Accordingly, the hearing on the petition to confirm arbitration award is CONTINUED to August 23, 2024 at 8:30 a.m. Petitioner to properly serve a copy of the petition, as well as notice of the continuance of the hearing on the petition, and to file proof of service.