On 08/08/2019 IN THE MATTER OF HELEN E ANDREOLI was filed as an Other - Other Judicial Review lawsuit. This case was filed in Los Angeles County Superior Courts, Spring Street Courthouse located in Los Angeles, California. The Judge overseeing this case is SERENA R. MURILLO. The case status is Pending - Other Pending.
*******3390
08/08/2019
Pending - Other Pending
Los Angeles County Superior Courts
Spring Street Courthouse
Los Angeles, California
SERENA R. MURILLO
ANDREOLI HELEN E.
TENNEY STEVEN E.
POWERS JOSEPH W.
PIPER JOHN M.
RUSSELL REBECCA AKA JESSICA RUSSELL
RUSSELL REBECCA
UBS FINANCIAL SERVICES INC.
KIMBALL JULIE Z.
9/30/2020: Notice (name extension) - Notice Notice of Scheduled Hearing
9/28/2020: Minute Order - Minute Order (Order to Show Cause Re: filing and service of an Amended Pet...)
4/17/2020: Notice (name extension) - Notice of Continuance of Hearing
4/9/2020: Notice Re: Continuance of Hearing and Order - Notice Re: Continuance of Hearing and Order
3/13/2020: Summons - Summons on Petition
3/13/2020: Amended Complaint - Amended Complaint
12/11/2019: Notice Re: Continuance of Hearing and Order - Notice Re: Continuance of Hearing and Order
1/9/2020: Notice of Rejection - Application for Default Judgment by Court - Contract or Tort - Notice of Rejection - Application for Default Judgment by Court - Contract or Tort
10/2/2019: Notice of Rejection Default/Clerk's Judgment - Notice of Rejection Default/Clerk's Judgment
10/3/2019: Request for Entry of Default / Judgment - Request for Entry of Default / Judgment
8/28/2019: Notice and Acknowledgment of Receipt - Notice and Acknowledgment of Receipt
8/29/2019: Proof of Service (not Summons and Complaint) - Proof of Service (not Summons and Complaint)
8/8/2019: First Amended Standing Order - First Amended Standing Order
8/8/2019: Summons - Summons on Petition
8/8/2019: Petition to Confirm Arbitration Award - Petition to Confirm Arbitration Award
8/8/2019: Civil Case Cover Sheet - Civil Case Cover Sheet
8/8/2019: Notice of Case Assignment - Limited Civil Case - Notice of Case Assignment - Limited Civil Case
8/8/2019: Notice of Hearing on Petition - Notice of Hearing on Petition
Hearing12/07/2020 at 09:30 AM in Department 26 at 312 North Spring Street, Los Angeles, CA 90012; Status Conference
Hearing12/07/2020 at 09:30 AM in Department 26 at 312 North Spring Street, Los Angeles, CA 90012; Non-Appearance Case Review
DocketUpdated -- Petition to Confirm Arbitration Award: Filed By: Steven E. Tenney (Petitioner),Helen E. Andreoli (Petitioner),John M. Piper (Petitioner),Joseph W. Powers (Petitioner); Result: Granted in Part; Result Date: 10/28/2020
DocketStatus Conference re Rebecca Russell scheduled for 12/07/2020 at 09:30 AM in Spring Street Courthouse at Department 26
DocketNon-Appearance Case Review re lodging of proposed judgment as to defendant USB Financial Services scheduled for 12/07/2020 at 09:30 AM in Spring Street Courthouse at Department 26
DocketMinute Order (Hearing on Motion to Confirm Arbitration Award)
DocketHearing on Motion to Confirm Arbitration Award scheduled for 10/28/2020 at 10:00 AM in Spring Street Courthouse at Department 26 updated: Result Date to 10/28/2020; Result Type to Held - Motion Granted
DocketNotice Notice of Scheduled Hearing; Filed by: Steven E. Tenney (Petitioner); Joseph W. Powers (Petitioner); John M. Piper (Petitioner); Helen E. Andreoli (Petitioner); As to: Rebecca Russell (Defendant); UBS Financial Services, Inc. (Respondent)
DocketHearing on Motion to Confirm Arbitration Award scheduled for 10/28/2020 at 10:00 AM in Spring Street Courthouse at Department 26
DocketMinute Order (Order to Show Cause Re: filing and service of an Amended Pet...)
DocketProof of Service (not Summons and Complaint); Filed by: Helen E. Andreoli (Petitioner); John M. Piper (Petitioner); Joseph W. Powers (Petitioner); Steven E. Tenney (Petitioner); As to: Rebecca Russell (Defendant)
DocketNotice and Acknowledgment of Receipt; Filed by: Helen E. Andreoli (Petitioner); John M. Piper (Petitioner); Joseph W. Powers (Petitioner); Steven E. Tenney (Petitioner); As to: Rebecca Russell (Defendant)
DocketHearing on Petition Petition to Confirm Arbitration Award scheduled for 12/12/2019 at 08:30 AM in Stanley Mosk Courthouse at Department 94
DocketCase assigned to Hon. Serena R. Murillo in Department 94 Stanley Mosk Courthouse
DocketFirst Amended Standing Order; Filed by: Clerk
DocketNotice of Case Assignment - Limited Civil Case; Filed by: Clerk
DocketNotice of Hearing on Petition; Filed by: Clerk
DocketSummons on Petition; Issued and Filed by: Helen E. Andreoli (Petitioner); John M. Piper (Petitioner); As to: Joseph W. Powers (Petitioner); Steven E. Tenney (Petitioner)
DocketCivil Case Cover Sheet; Filed by: Helen E. Andreoli (Petitioner); John M. Piper (Petitioner); Joseph W. Powers (Petitioner); Steven E. Tenney (Petitioner); As to: Joseph W. Powers (Petitioner); Steven E. Tenney (Petitioner)
DocketPetition to Confirm Arbitration Award; Filed by: Helen E. Andreoli (Petitioner); John M. Piper (Petitioner); Joseph W. Powers (Petitioner); Steven E. Tenney (Petitioner); As to: Joseph W. Powers (Petitioner); Steven E. Tenney (Petitioner); Rebecca Russell (Defendant)
Case Number: 19STCP03390 Hearing Date: October 28, 2020 Dept: 26
In the Matter of:
Helen E. Andreoli, et al. PETITION
TO CONFIRM ARBITRATION AWARD (CCP § 1285,
et seq.) TENTATIVE RULING: ANALYSIS: Petitioners
Helen E. Andreoli, John M. Piper, Joseph W. Powers, and Steven E. Tenney
(“Petitioners’) filed a Petition to Confirm an Arbitration Award (“the first
Petition”) issued by the Financial Industry Regulatory Authority (“FINRA”)
Office of Dispute Resolution served on February 12, 2019 (the “Award”). (Pet.
Exh. A.) The initial Petition named Rebecca Russell aka Jessica Russell (“Respondent Russell”) as
the sole Respondent. Following Respondent’s failure to file a responsive
pleading, Petitioners obtained entry of default against Respondent. On March 2, 2020,
the Court denied the first Petition without prejudice to Petitioners filing an
Amended Petition that included the other parties to the arbitration proceeding.
Petitioners filed an Amended Petition to Confirm Arbitration Award against
Respondent Russell and USB Financial Services, Inc. (“Respondent USB”) on March
13, 2020. On April 17, 2020, Respondent USB filed a notice of non-opposition. To
date, Defendant Russell has not filed an opposition. Legal Standard “Regardless
of the particular relief granted, 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.) “Once
a petition to confirm an award is filed,
the superior court must select one of only four courses of action: it may
confirm the award, correct and confirm it, vacate it, or dismiss the petition.” (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. Instead, we restrict our review to whether the
award should be vacated under the grounds
listed in section 1286.2. [Citations.]’” (Id.) Discussion A.
Filing Requirements of a Petition to Confirm Arbitration Award (CCP
§ 1285.4) Code
of Civil Procedure section 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.” (Code Civ. Proc., § 1285.4
(emphasis added).) Petitioners have submitted a copy
of the Arbitration Agreement, the name of
the arbitrator, and a copy of the Arbitration Award (Pet., ¶¶2-4 and Attachment
4(c)). Therefore, the Court finds that Petitioners have satisfied Code of Civil
Procedure section 1285.4, subdivisions (a)-(c). B. Service of the Petition and Notice of Hearing (CCP § 1290.4) Code of Civil Procedure
section 1290.4 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.) On April 1, 2020, Petitioners filed a Notice
and Acknowledgment of Receipt from Respondent USB with respect to the Amended
Petition. Petitioners filed a Notice of Hearing on Amended Petition
demonstrating service of the notice of hearing on Respondent USB. (Notice of
Hearing, filed 9/30/20.) However, there is no proof of service of the either
the Amended Petition or Notice of Hearing on Respondent Russell. Therefore, the
Court cannot find that Petitioner has satisfied Code of Civil Procedure
section 1290.4 with respect to Respondent Russell. C. Service of
the Arbitration Award (CCP § 1283.6) 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.” (Emphasis added.) This requirement
may be satisfied by service by the arbitration, or upon proper service of the
Award with the Petition. (See Murry
v. Civil Service Employees Ins. Co. (1967) 254 Cal.App.2d 796, 799-800.) The Award was served by the
arbitrator on February 12, 2019, but the manner of service is not indicated.
(Pet., Exh. 1.) However, as the Award was also served with the first and
Amended Petitions, the Court finds Code of Civil Procedure section 1283.6 is
satisfied. D. Timing
of Service of Petition (CCP §§ 1288, 1288.4) Furthermore, 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.) Petitioners have
demonstrated that the first and Amended Petitions were served less than four
years after service of the signed copy of the Award, thereby complying with
Code of Civil Procedure section 1288. Proof of service of Award also demonstrates
it was served prior to service of the Petition. Therefore, the Court finds Petitioners
have complied with Code of Civil Procedure 1288.4. E. Merits of the Petition to Confirm
Arbitration Award The court must
confirm the award as made, unless it corrects or vacates the award, or
dismisses the proceeding. (Code Civ.
Proc., § 1286; Valsan Partners Limited Partnership v. Calcor Space Facility,
Inc. (1994) 25 Cal.App.4th 809, 818.) Petitioners have submitted the
nature of the Arbitration Agreement, name
of the arbitrator, and a copy of the Arbitration Award (Amended Pet., ¶¶2-4 and
Attachment 4(c)). Conclusion Petitioners Helen E. Andreoli,
John M. Piper, Joseph W. Powers, and Steven E. Tenney’s Amended Petition to
Confirm Arbitration Award and Enter Judgment is GRANTED AS TO RESPONDENT USB
FINANCIAL SERVICES, INC. AND DENIED AS TO RESPONDENT REBECCA RUSSELL AKA
JESSICA RUSSELL. Moving party is to give notice.
Case Number: 19STCP03390 Hearing Date: March 02, 2020 Dept: 26
In the Matter of: Helen E. Andreoli, et al.
MOTION TO CONFIRM ARBITRATION AWARD
(CCP § 1285, et seq.)
TENTATIVE RULING:
The Petition is DENIED. Petitioners fail to satisfy Code of Civil Procedure sections 1285 and 1285.4(a).
The Court sets an OSC re filing and service of an Amended Petition for MAY 4, 2020 AT 8:30 AM IN DEPARTMENT 26 IN THE SPRING STREET COURTHOUSE.
ANY AMENDED PETITION IS TO BE FILED ON JUDICIAL COUNCIL OF CALIFORNIA ADR-106 FORM, WHICH IS SPECIFICALLY CREATED FOR A PETITION TO CONFIRM CONTRACTUAL ARBITRATION AWARD.
ANALYSIS:
I. Background
Petitioners Helen E. Andreoli, John M. Piper, Joseph W. Powers, and Steven E. Tenney filed this Petition to confirm an award from FINRA Office of Dispute Resolution served on February 12, 2019 (the “Award”). (Pet. Exh. A.) The Petition names Rebecca Russell aka Jessica Russell as the sole Respondent.
Petitioners are employees of UBS Financial Services, Inc. In the underlying arbitration, Jessica Russell commenced the proceeding against UBS, alleging UBS unsuitably recommended annuities and a credit line and otherwise failed to provide a financial plan. Petitioners were unnamed parties in the arbitration. The arbitration action against UBS settled. But, the proceeding the case remained open to allow Petitioners’ request for expungement (because FINRA rules require them to disclose the Arbitration on their FINRA records as the advisors who serviced Russell’s account, even though they were not named as parties to the Arbitration).
On October 3, 2019, the clerk entered default against Respondent Rebecca Russell aka Jessica Russell.
II. Legal Standard
Any party to an arbitration in which an award has been made may petition the court to confirm, correct, or vacate the award. (Code Civ. Proc., § 1285.) The petition shall name as respondents all parties to the arbitration and may name as respondents any other persons bound by the arbitration award. (Ibid.) The petition must be filed and served no less than ten days and no more than four years after the award is served on the party seeking confirmation. (Code Civ. Proc., §§ 1288, 1288.4.)
The petition also must:
(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 names of the arbitrators.
(c) Set forth or have attached a copy of the award and the written opinion of the arbitrators, if any.
(Code Civ. Proc., § 1285.4.)
If a petition is unopposed after being duly filed and served on a respondent, its allegations are deemed admitted. (Code Civ. Proc. § 1290.)
Until an arbitration award is confirmed or vacated, it has the same force and effect as a contract in writing between the parties to the arbitration. (Code Civ. Proc., § 1287.6.) If confirmed, judgment shall be entered in conformity with the award. (Code Civ. Proc., § 1287.4.) Such judgment has the same force and effect as, and is subject to all the provisions of law relating to a judgment in a civil action of the same jurisdictional classification. If the petition is duly served and filed, the court shall confirm the award as made, whether rendered in this state or another state. (Code Civ. Proc., § 1286.)
III. Analysis
While Petitioners contend the requirements of FINRA Rule 2080(a) have been satisfied, the applicable law is Code of Civil Procedure sections 1285, et seq. The requirements under California law must be satisfied to obtain an order confirming the subject Award.
1. Petition Does Not Name All Parties to the Arbitration
The named parties to the arbitration were Jessica Russell and UBS Financial Services, Inc. Petitioners Helen E. Andreoli, John M. Piper, Joseph W. Powers, and Steven E. Tenney were unnamed parties. (See Pet. Exh. A [Award] p. 2 [under “Other Issues Considered and Decided”].)
The Petition names the following parties: Petitioners Helen E. Andreoli, John M. Piper, Joseph W. Powers, Steven E. Tenney, and Respondent Rebecca Russell aka Jessica Russell.
Based on the foregoing, Petitioners were parties to the arbitration and thus may bring this Petition to confirm the Award. (Code Civ. Proc., § 1285.) However, the Petition does not name UBS Financial Services, Inc. as a party. Therefore, Petitioners do not satisfy section 1285. (Code Civ. Proc., § 1285 [“The petition shall name as respondents all parties to the arbitration and may name as respondents any other persons bound by the arbitration award.”].)
The Court notes Petitioners obtained FINRA’s permission to not name FINRA as a party in the judicial proceeding to confirm the arbitration award. (Pet. Exh. B.)
2. Petition is Timely
The Award was served on February 12, 2019. The Petition was filed on August 8, 2019. Thus, the Petition is timely filed because it was filed more than ten days and less than four years after the date the Award was served.
3. Copy of Agreement to Arbitrate is Not Attached
The Petition does not set forth the substance of or have attached a copy of the agreement to arbitrate or deny the existence of such an agreement. Thus, Petitioner do not satisfy section 1285.4(a).
4. The Arbitrators are Identified
The Petition identifies the arbitrators: Susan M. Thevenet, Ronald L. Cheney, and Peter L. Murray. (Pet. ¶ 24.) Therefore, Petitioners satisfy section 1285.4(b).
5. The Arbitrators’ Opinion and Award is Attached
The Petition attaches a copy of the award and the written opinion of the arbitrators. (Pet. Exh. A.) Therefore, Petitioners satisfy section 1285.4(c).
IV. Conclusion
For the stated reasons, the Petition is DENIED. Petitioners fail to satisfy Code of Civil Procedure sections 1285 and 1285.4(a).
The Court sets an OSC re filing and service of an Amended Petition for MAY 4, 2020 AT 8:30 AM IN DEPARTMENT 26 IN THE SPRING STREET COURTHOUSE.
ANY AMENDED PETITION IS TO BE FILED ON JUDICIAL COUNCIL OF CALIFORNIA ADR-106 FORM, WHICH IS SPECIFICALLY CREATED FOR A PETITION TO CONFIRM CONTRACTUAL ARBITRATION AWARD.
Moving party is ordered to give notice.
Parties may submit via e mail until Monday at 10 a.m.