Judge: Katherine Chilton, Case: 22STCP01286, Date: 2022-08-16 Tentative Ruling
Case Number: 22STCP01286 Hearing Date: August 16, 2022 Dept: 25
PROCEEDINGS: PETITION
TO CONFIRM ARBITRATION AWARD
MOVING PARTY: Petitioner
Reema Mahtani
RESP. PARTY: Financial Industry Regulatory Authority
(“FINRA”) (Non-Opposition)
PETITION TO CONFIRM ARBITRATION AWARD
(CCP § 1285)
TENTATIVE RULING:
Petitioner Reema Mahtani’s Petition to Confirm
Arbitration Award is CONTINUED
TO SEPTEMBER 19, 2022 at 10:00 a.m. in Department 25 at the SPRING STREET
COURTHOUSE. Petitioner is ordered to
file supplemental papers addressing the issues discussed herein at least 5
court days before the next scheduled hearing.
Failure to do so may result in the Motion being placed off calendar or
denied.
SERVICE:
[X]
Proof of Service Timely Filed (CRC, rule 3.1300) OK
[X]
Correct Address (CCP §§ 1013, 1013a) OK
[X]
16/21 Court Days Lapsed (CCP §§ 12c, 1005(b)) OK
OPPOSITION: Notice of Non-Opposition
filed on April 29, 2022. [ ]
Late [ ] None
REPLY: None filed as
of August 12, 2022. [ ]
Late [X] None
ANALYSIS:
I.
Background
On April 12, 2022, Petitioner filed the instant Verified Petition
to Confirm Arbitration Award (“Petition”) against Respondents Farmers Financial
Solutions, LLC (“FFS”) and Farmers Insurance Exchange (“FIE”), arbitrated by
the Financial Industry Regulatory Authority (“FINRA”) (collectively
“Respondents.”) FINRA filed a Notice of
Non-Opposition to the Verified Petition on April 29, 2022. No reply was filed.
II.
Legal
Standard
Once
arbitration is concluded, “any arbitrator’s award is enforceable only when
confirmed as a judgment of the superior court.”
(O’Hare v. Municipal Resource Consultants (2003) 107 Cal.App.4th
267, 278.). Any of the parties may file a
petition with the court, which must then “confirm the award, correct and
confirm it, vacate it, or dismiss the petition.” (Code of Civil Proc. §§ 1285,
1286; EHM
Productions, Inc. v. Starline Tours of Hollywood, Inc. (2018) 21 Cal.App.5th 1058, 1063.) “It is well settled that the scope of judicial review
of arbitration awards is extremely narrow.” (California
Faculty Assn. v. Superior Court (1998) 63 Cal.App.4th 935, 943.) “Neither the
trial court, nor the appellate court, may ‘review the merits of the dispute,
the sufficiency of the evidence, or the arbitrator’s reasoning, nor may we
correct or review an award because of an arbitrator’s legal or factual error,
even if it appears on the award’s face.”
(EHM Productions, supra, at p.
1063-64.)
III.
Discussion
A.
Filing Requirements (CCP § 1285.4)
Code of Civil Procedure, § 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.”
Here, Petitioner has complied with the
filing requirements. Petitioner has
attached a copy of the Petitioner’s and FFS’s agreements to arbitrate. (Pet. ¶ 4; Exs. 4-5.) Petitioner has provided the name of the individual
and organization arbitrating the dispute – George Frisch and the Financial
Industry Regulatory Authority (“FINRA”) Dispute Resolution. (Pet. ¶ 1, 7; Ex. 1 p. 12.) Petitioner has also attached a copy of the
award and the written opinion of the arbitrator. (Pet. pp. 7-12; Ex. 1.) Thus, Petitioner has satisfied the filing
requirements of § 1285.4.
B. Service of the Arbitration Award & Timeliness of Petition (CCP
§§ 1283.6, 1288, 1288.4)
Code of Civil Procedure § 1283.6
provides that: “The neutral arbitrator
shall serve a signed copy of the
award on each party to the arbitration personally or by registered or certified
mail or as provided in the agreement.” (Emphasis
added.) In addition, a party may seek a
court judgment confirming an arbitration award by filing and serving a petition
no more than four years, but not less than 10 days, after the award is served. (Code
Civ. Proc. §§ 1288, 1288.4.)
Here, the arbitration award states a Date
of Service of February 10, 2022, but does not provide any information as to who
was served and by what method form of service.
(Pet. p. 12.) Although Petitioner
has attached copy of the Arbitration Award to the Petition, § 1283.6 requires
the neutral arbitrator itself to serve a copy of the Award on each party. Thus, this requirement has not been
satisfied.
C. Service of the
Petition, and Notice of Hearing (Code Civ. Proc., §1290.4)
“(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.
On April 19, 2022, Petitioner filed Proof
of Service demonstrating that Respondents were served with the Petition, Notice
of Hearing, and other documents related to the Petition on April 14-15, 2022,
via personal service or by mail. (4-19-22
Proof of Service.) Petitioner has
satisfied service requirements for the Notice and Petition.
However, since there is no proof
that the neutral arbitrator served a copy of the Award on each party, the Court
CONTINUES the hearing to allow Petitioner an opportunity to provide additional
proof that FINRA served the Award on each party.
IV.
Conclusion
& Order
For the foregoing reasons, Petitioner Reema Mahtani’s
Petition to Confirm Arbitration Award is CONTINUED TO SEPTEMBER 19, 2022 at 10:00 a.m. in Department
25 at the SPRING STREET COURTHOUSE. Petitioner
is ordered to file supplemental papers addressing the issues discussed herein at
least 5 court days before the next scheduled hearing. Failure to do so may result in the Motion
being placed off calendar or denied.
Moving party is ordered to give
notice.