Judge: Gary Y. Tanaka, Case: 21TRCP00310, Date: 2022-09-19 Tentative Ruling

Case Number: 21TRCP00310    Hearing Date: September 19, 2022    Dept: B

LOS ANGELES SUPERIOR COURT – SOUTHWEST DISTRICT

 

 

Honorable Gary Y. Tanaka                                                                                                  Monday, September 19, 2022

Department B                                                                                                                                                Calendar No. 6

 

 

PROCEEDINGS

 

Joanna Moran v. Cetera Advisor Networks, LLC   

21TRCP00310

  1. Joanna Moran’s Petition to Confirm Arbitration  

     

     

    TENTATIVE RULING


                Joanna Moran’s Petition to Confirm Arbitration is granted.

     

                Background

               

                Petitioner filed the Petition to Compel Arbitration on August 17, 2021. Petitioner alleges the following facts. Petitioner commenced a FINRA arbitration on or about September 9, 2020, by filing a Petition for Expungement and a FINRA Arbitration Submission Agreement. On June 7, 2021, the arbitrator executed the arbitration award granting Petitioner’s request for expungement of her CRD record.  

     

                Petition to Confirm Arbitration Award  

     

                The procedure by which a prevailing party obtains an enforceable judgment, upon the completion of the arbitration, is to petition to confirm the award.  CCP § 1286; Loeb v. Record (2008) 162 Cal.App.4th 431, 450. 

     

                Service of this petition must meet the requirements of CCP § 1290.4.  CCP § 1290.4 states, in relevant part: 

                “(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. …

                (c) If the arbitration agreement does not provide the manner in which such service shall be made and the person on whom service is to be made has previously appeared in the proceeding or has previously been served in accordance with subdivision (b) of this section, service shall be made in the manner provided in Chapter 5 (commencing with Section 1010) of Title 14 of Part 2 of this code.”  Code Civ. Proc., § 1290.4.

     

                Here, petitioner properly served the petition upon respondent, and provided notice of the hearing date. (Notice of Acknowledgement, dated October 22, 2021; Notice of Continuance, dated May 24, 2022). In the underlying arbitration, the arbitrator made certain rulings and awarded in favor of petitioner.  Petition, Ex 8(c).    

     

                CCP § 1285.4 states:

                “A petition under this chapter shall:

                (a) Set forth the substance of or have attached a copy of the agreement to arbitrate unless the petitioner denies the existence of such an agreement.

                (b) Set forth the names of the arbitrators.

                (c) Set forth or have attached a copy of the award and the written opinion of the arbitrators, if any.”

     

                Petitioner adequately complied with all the requirements of CCP § 1285.4.   Petition, Exs. 4b, 8c.

     

                Therefore, the petition to confirm arbitration award is granted. 

     

                Petitioner is ordered to give notice of this ruling.