Judge: Peter A. Hernandez, Case: 25STCP00290, Date: 2025-04-28 Tentative Ruling

Case Number: 25STCP00290    Hearing Date: April 28, 2025    Dept: 34

Petitioner Saturna Brokerage Services, Inc.’s Petition to Confirm Arbitration Award and Entry of Judgment is GRANTED.

Background

            On January 27, 2025, Petitioner Saturna Brokerage Services, Inc. (“Petitioner” or “Saturna”) filed a petition to confirm the arbitration award against Respondents Mohamed Faty and Wafaa S. Ambrossi (“Respondents”) arising from Respondents initiating an arbitration against Petitioner alleging an unauthorized liquidation of the securities in their Saturna account.

            On March 26, 2025, Petitioner filed this petition. No opposition or other responsive pleadings have been filed.

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¿Civ.¿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, 21 Cal.App.5th at p. 1063-64.)

Discussion

Filing Requirements (Code Civ. Proc., §1285.4) 

Code of Civil Procedure, section 1285.4 states: “A petition under this chapter shall:  

1. 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.  

2. Set forth the names of the arbitrators.  

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

(Code Civ. Proc., §1285.4) 

The court finds that Petitioner has satisfied the filing requirements of section 1285.4, as Petitioner describes and attaches a true and correct copy of the arbitration provision in the Financial Industry Regulatory Authority (“FINRA”) Arbitration Submission Agreement between the parties, has named the arbitrators selected under FINRA, Stephen Howard Marcus, Brent J. Rosenbaum, and Jack R. Goetz, and included the copy of the final award by the arbitrators, dated November 19, 2024. (Petition, p. 3; O’Leary Decl., ¶¶ 2, 5, 10, Exhs. A-B, D.)

Service of the Arbitration Award & Timeliness of Petition (Code Civ. Proc., §§ 1283.6, 1288, 1288.4)¿ 

Code of Civil Procedure section 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.” (Code Civ. Proc., § 1283.6.) 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.)¿ 

The court notes that the final arbitration award was served on November 19, 2024, to the parties. (O’Leary Decl., ¶ 10, Exh. D.)  Petitioner also filed proofs of service on February 11, 2025, indicating that the petition was served on Respondents through their agent for service of process, Andrew M. Greenidge, according to Respondents’ executed Appointment of Agent and Consent to Service of Process. (Proof of Service, dated February 11, 2025; O’Leary Decl., ¶ 10, Exh. C.)

Service of the Petition, and Notice of Hearing (Code Civ. Proc., §1290.4)¿¿ 

Code of Civil Procedure section 1290.4, the statute governing proper service of this petition states, in pertinent 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.¿ 

¿ 

(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.)

Petitioner’s proof of service indicates that the petition, notice of the hearing on the petition, and all supporting documents were served on Respondents on March 26, 2024, through their agent for service of process, Andrew M. Greenidge, according to Respondents’ executed Appointment of Agent and Consent to Service of Process. (Proof of Service, dated March 26, 2025.) As such, Petitioner has met the requirements of section 1290.4.

Conclusion

Petitioner Saturna Brokerage Services, Inc.’s Petition to Confirm Arbitration Award and Entry of Judgment is GRANTED.