IN THE MATTER OF: HELEN E. ANDREOLI, ET AL.

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.