This case was last updated from Los Angeles County Superior Courts on 08/09/2019 at 00:14:01 (UTC).

ADAM GOLDSTEIN VS AMERIPRISE FINANCIAL SERVICES, INC.

Case Summary

On 04/03/2019 a Other - Arbitration case was filed by ADAM GOLDSTEIN against AMERIPRISE FINANCIAL SERVICES, INC in the jurisdiction of Los Angeles County Superior Courts, Stanley Mosk Courthouse located in Los Angeles, California.

Case Details Parties Documents Dockets

 

Case Details

  • Case Number:

    *******1047

  • Filing Date:

    04/03/2019

  • Case Status:

    Pending - Other Pending

  • Case Type:

    Other - Arbitration

  • Court:

    Los Angeles County Superior Courts

  • Courthouse:

    Stanley Mosk Courthouse

  • County, State:

    Los Angeles, California

Judge Details

JAMES E. BLANCARTE

 

Party Details

Petitioner

GOLDSTEIN ADAM

Respondent

AMERIPRISE FINANCIAL SERVICES INC.

 

Court Documents

Minute Order - Minute Order (Hearing on Petition Petition to Confirm Arbitration Award)

8/7/2019: Minute Order - Minute Order (Hearing on Petition Petition to Confirm Arbitration Award)

Proof of Personal Service - Proof of Personal Service

4/19/2019: Proof of Personal Service - Proof of Personal Service

Declaration (name extension) - Declaration Declaration of Chad Weaver In Support of Petition to Confirm Arbitration Award Granting Expungement of Petitioners Record in the Central Registration Deposit

4/3/2019: Declaration (name extension) - Declaration Declaration of Chad Weaver In Support of Petition to Confirm Arbitration Award Granting Expungement of Petitioners Record in the Central Registration Deposit

Notice of Case Assignment - Limited Civil Case - Notice of Case Assignment - Limited Civil Case

4/3/2019: Notice of Case Assignment - Limited Civil Case - Notice of Case Assignment - Limited Civil Case

Notice of Hearing on Petition - Notice of Hearing on Petition

4/3/2019: Notice of Hearing on Petition - Notice of Hearing on Petition

First Amended Standing Order - First Amended Standing Order

4/3/2019: First Amended Standing Order - First Amended Standing Order

Civil Case Cover Sheet - Civil Case Cover Sheet

4/3/2019: Civil Case Cover Sheet - Civil Case Cover Sheet

Petition to Confirm Arbitration Award - Petition to Confirm Arbitration Award

4/3/2019: Petition to Confirm Arbitration Award - Petition to Confirm Arbitration Award

Summons - Summons on Petition

4/3/2019: Summons - Summons on Petition

 

Docket Entries

  • 08/07/2019
  • DocketMinute Order (Hearing on Petition Petition to Confirm Arbitration Award)

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  • 08/07/2019
  • DocketHearing on Petition Petition to Confirm Arbitration Award scheduled for 08/07/2019 at 08:30 AM in Stanley Mosk Courthouse at Department 94 updated: Result Date to 08/07/2019; Result Type to Held - Taken under Submission

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  • 04/19/2019
  • DocketProof of Personal Service; Filed by: Adam Goldstein (Petitioner); As to: Ameriprise Financial Services, Inc. (Respondent); Service Date: 04/05/2019; Service Cost: 790.03; Service Cost Waived: No

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  • 04/04/2019
  • DocketHearing on Petition Petition to Confirm Arbitration Award scheduled for 08/07/2019 at 08:30 AM in Stanley Mosk Courthouse at Department 94

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  • 04/04/2019
  • DocketCase assigned to Hon. James E. Blancarte in Department 94 Stanley Mosk Courthouse

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  • 04/03/2019
  • DocketPetition to Confirm Arbitration Award; Filed by: Adam Goldstein (Petitioner); As to: Ameriprise Financial Services, Inc. (Respondent)

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  • 04/03/2019
  • DocketDeclaration Declaration of Chad Weaver In Support of Petition to Confirm Arbitration Award Granting Expungement of Petitioners Record in the Central Registration Depository; Filed by: Adam Goldstein (Petitioner); As to: Ameriprise Financial Services, Inc. (Respondent)

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  • 04/03/2019
  • DocketCivil Case Cover Sheet; Filed by: Adam Goldstein (Petitioner); As to: Ameriprise Financial Services, Inc. (Respondent)

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  • 04/03/2019
  • DocketSummons on Petition; Issued and Filed by: Adam Goldstein (Petitioner); As to: Ameriprise Financial Services, Inc. (Respondent)

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  • 04/03/2019
  • DocketNotice of Hearing on Petition; Filed by: Clerk

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  • 04/03/2019
  • DocketNotice of Case Assignment - Limited Civil Case; Filed by: Clerk

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  • 04/03/2019
  • DocketFirst Amended Standing Order; Filed by: Clerk

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Tentative Rulings

Case Number: 19STCP01047    Hearing Date: November 05, 2019    Dept: 94

PETITION TO COMPEL ARBITRATION

(CCP § 1281.2)

TENTATIVE RULING:

Petitioner Adam Goldstein’s Petition to Confirm Arbitration Award is GRANTED.

ANALYSIS:

I. Background

On December 28, 2018, Arbitrator Barbara M. Zak issued an Arbitration Award in favor of Petitioner Adam Scot Goldstein (“Petitioner”) and against Respondent Ameriprise Financial Services, Inc. (“Respondent”), which states in pertinent part:

The Arbitrator recommends the expungement of all references to occurrence number 1904848 from registration records maintained by the CRD, for Claimant Adam Scot Goldstein (CRD# 2853054), with the understanding that, pursuant to Notice to Members 04-16, Claimant Adam Scot Goldstein must obtain confirmation from a court of competent jurisdiction before the CRD will execute the expungement directive.

Unless specifically waived in writing by FINRA, parties seeking judicial confirmation of an arbitration award containing expungement relief must name FINRA as an additional party and serve FINRA with all appropriate documents.

(Weaver Decl., Ex. E, p. 2.)

In a letter, dated February 14, 2019, FINRA states in writing that the requirements of the second paragraph above are waived. (See id., Ex. G.)

Petitioner filed a Petition to Confirm Arbitration Award (the “Petition”) on April 3, 2019.

II. Discussion

At the previous hearing on the Petition, the Court found that Petitioner had satisfied CCP §§ 1285.4 and 1290.4, but not § 1283.6, and the Court was unable to ascertain whether CCP §§ 1288, 1288.4 had been satisfied. (8/7/19 Minute Order.) Accordingly, the Court instructed Petition to file proof that the arbitrator had served the Arbitration Award on Respondent. (Id.) On September 6, 2019, Petitioner filed such proof. Having reviewed the proof, the Court is satisfied and finds that CCP §§ 1283.6, 1288, and 1288.4 have been satisfied.

III. Conclusion & Order

For the stated reasons, the unopposed Petition is GRANTED.

Moving parties are ordered to give notice.

Parties who intend to submit on this tentative must send an email to the Court at SMCdept94@lacourt.org as directed by the instructions provided on the court website at www.lacourt.org. If the department does not receive an email and there are no appearances at the hearing, the motion will be placed off calendar.