This case was last updated from Los Angeles County Superior Courts on 03/31/2020 at 00:03:58 (UTC).

ISIDRO MIRAMONTES VS MORGAN STANLEY & CO. LLC, ET AL.

Case Summary

On 08/30/2019 ISIDRO MIRAMONTES filed an Other - Arbitration lawsuit against MORGAN STANLEY CO LLC. 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 Other.

Case Details Parties Documents Dockets

 

Case Details

  • Case Number:

    *******3773

  • Filing Date:

    08/30/2019

  • Case Status:

    Other

  • Case Type:

    Other - Arbitration

  • Court:

    Los Angeles County Superior Courts

  • Courthouse:

    Spring Street Courthouse

  • County, State:

    Los Angeles, California

Judge Details

Judge

SERENA R. MURILLO

 

Party Details

Petitioner

MIRAMONTES ISIDRO

Respondents

MORGAN STANLEY & CO. LLC

FINANCIAL INDUSTRY REGULATORY AUTHORITY "FINRA"

Attorney/Law Firm Details

Petitioner Attorney

HARRISON DAVID

 

Court Documents

Declaration (name extension) - Declaration Declaration of David Harrison

3/5/2020: Declaration (name extension) - Declaration Declaration of David Harrison

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

3/9/2020: Minute Order - Minute Order (Hearing on Petition Petition to Confirm Arbitration Award)

Judgment - Judgment on Petition

3/9/2020: Judgment - Judgment on Petition

Order (name extension) - Order -

3/9/2020: Order (name extension) - Order -

Declaration (name extension) - Declaration Declaration of David Harrison

12/5/2019: Declaration (name extension) - Declaration Declaration of David Harrison

Notice Re: Continuance of Hearing and Order - Notice Re: Continuance of Hearing and Order

12/11/2019: Notice Re: Continuance of Hearing and Order - Notice Re: Continuance of Hearing and Order

Proof of Service (not Summons and Complaint) - Proof of Service (not Summons and Complaint)

1/14/2020: Proof of Service (not Summons and Complaint) - Proof of Service (not Summons and Complaint)

Proof of Service (not Summons and Complaint) - Proof of Service (not Summons and Complaint)

1/14/2020: Proof of Service (not Summons and Complaint) - Proof of Service (not Summons and Complaint)

Proof of Service (not Summons and Complaint) - Proof of Service (not Summons and Complaint)

1/14/2020: Proof of Service (not Summons and Complaint) - Proof of Service (not Summons and Complaint)

Proof of Personal Service - Proof of Personal Service

9/20/2019: Proof of Personal Service - Proof of Personal Service

Proof of Personal Service - Proof of Personal Service

9/24/2019: Proof of Personal Service - Proof of Personal Service

Notice of Hearing on Petition - Notice of Hearing on Petition

8/30/2019: Notice of Hearing on Petition - Notice of Hearing on Petition

First Amended Standing Order - First Amended Standing Order

8/30/2019: First Amended Standing Order - First Amended Standing Order

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

8/30/2019: Notice of Case Assignment - Limited Civil Case - Notice of Case Assignment - Limited Civil Case

Summons - Summons on Petition

8/30/2019: Summons - Summons on Petition

Civil Case Cover Sheet - Civil Case Cover Sheet

8/30/2019: Civil Case Cover Sheet - Civil Case Cover Sheet

Petition to Confirm Arbitration Award - Petition to Confirm Arbitration Award

8/30/2019: Petition to Confirm Arbitration Award - Petition to Confirm Arbitration Award

5 More Documents Available

 

Docket Entries

  • 03/09/2020
  • DocketJudgment on Petition; Filed by: Isidro Miramontes (Petitioner); As to: Morgan Stanley & Co. LLC (Respondent); Financial Industry Regulatory Authority ("FINRA") (Respondent)

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  • 03/09/2020
  • DocketUpdated -- Judgment on Petition: Status changed from Filed to Signed and Filed

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  • 03/09/2020
  • DocketOrder -; Filed by: Isidro Miramontes (Petitioner); As to: Financial Industry Regulatory Authority ("FINRA") (Respondent)

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  • 03/09/2020
  • DocketUpdated -- Order -: Status changed from Filed to Signed and Filed

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  • 03/09/2020
  • DocketMinute Order (Hearing on Petition Petition to Confirm Arbitration Award)

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  • 03/09/2020
  • DocketHearing on Petition Petition to Confirm Arbitration Award scheduled for 03/09/2020 at 10:30 AM in Spring Street Courthouse at Department 26 updated: Result Date to 03/09/2020; Result Type to Held - Motion Granted

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  • 03/05/2020
  • DocketDeclaration Declaration of David Harrison; Filed by: Isidro Miramontes (Petitioner)

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  • 01/14/2020
  • DocketProof of Service (not Summons and Complaint); Filed by: Isidro Miramontes (Petitioner); As to: Morgan Stanley & Co. LLC (Respondent)

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  • 01/14/2020
  • DocketProof of Service (not Summons and Complaint); Filed by: Isidro Miramontes (Petitioner); As to: Morgan Stanley & Co. LLC (Respondent)

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  • 01/14/2020
  • DocketProof of Service (not Summons and Complaint); Filed by: Isidro Miramontes (Petitioner); As to: Financial Industry Regulatory Authority ("FINRA") (Respondent)

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4 More Docket Entries
  • 09/24/2019
  • DocketProof of Personal Service; Filed by: Isidro Miramontes (Petitioner); As to: Morgan Stanley & Co. LLC (Respondent); Service Date: 09/04/2019; Service Cost: 40.00; Service Cost Waived: No

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  • 09/20/2019
  • DocketProof of Personal Service; Filed by: Isidro Miramontes (Petitioner); As to: Morgan Stanley & Co. LLC (Respondent); Service Date: 09/05/2019; Service Cost: 40.00; Service Cost Waived: No

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  • 09/03/2019
  • DocketHearing on Petition Petition to Confirm Arbitration Award scheduled for 01/03/2020 at 08:30 AM in Stanley Mosk Courthouse at Department 94

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  • 09/03/2019
  • DocketCase assigned to Hon. Serena R. Murillo in Department 94 Stanley Mosk Courthouse

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  • 08/30/2019
  • DocketPetition to Confirm Arbitration Award; Filed by: Isidro Miramontes (Petitioner); As to: Morgan Stanley & Co. LLC (Respondent); Financial Industry Regulatory Authority ("FINRA") (Respondent)

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  • 08/30/2019
  • DocketCivil Case Cover Sheet; Filed by: Isidro Miramontes (Petitioner); As to: Morgan Stanley & Co. LLC (Respondent); Financial Industry Regulatory Authority ("FINRA") (Respondent)

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  • 08/30/2019
  • DocketSummons on Petition; Issued and Filed by: Isidro Miramontes (Petitioner); As to: Morgan Stanley & Co. LLC (Respondent); Financial Industry Regulatory Authority ("FINRA") (Respondent)

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  • 08/30/2019
  • DocketNotice of Hearing on Petition; Filed by: Clerk

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  • 08/30/2019
  • DocketNotice of Case Assignment - Limited Civil Case; Filed by: Clerk

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  • 08/30/2019
  • DocketFirst Amended Standing Order; Filed by: Clerk

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Tentative Rulings

Case Number: 19STCP03773    Hearing Date: March 09, 2020    Dept: 26

Miramontes v. Morgan Stanley & Co., LLC, et al.

PETITION TO CONFIRM ARBITRATION AWARD

(CCP § 1285)

TENTATIVE RULING:

Petitioner Isidro Miramontes’ Petition to Confirm Arbitration Award is GRANTED.

The court orders expungement of all references to the arbitration proceeding from registration records maintained by the Central Registration Depository (“CRD”) for Petitioner Isidro Miramontes.

ANALYSIS:

Petitioner Isidro Miramontes (“Petitioner”) filed the instant Petition to Confirm Contractual Arbitration Award against Respondents Morgan Stanley & Co., LLC and Financial Industry Regulatory Authority (“Respondents”) on August 30, 2019. The Petition seeks to confirm the arbitration award issued on April 15, 2019 in favor of Petitioner requiring expungement of all references to the arbitration proceeding from registration records maintained by the Central Registration Depository (“CRD”) for Petitioners. (Pet., Exh. 1.)

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:

  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.

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

(Emphasis added.)

The Court notes that Petitioners have submitted a copy of the Arbitration Agreement, name of the arbitrator, and a copy of the Arbitration Award (Pet., Exhs. 1-2). Thus, the Court finds that Petitioners have satisfied Code of Civil Procedure section 1285.4, subdivisions (a)-(c).

B. Service of the Arbitration Award (CCP § 1283.6), Petition and Notice of Hearing (CCP § 1290.4)

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.”  (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 August 15, 2019. (Pet., Exh. 1.) This satisfies Code of Civil Procedure section 1283.6.

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.”

Petitioner filed proofs of service showing that the Petition papers and notice of hearing were pesonally served on Respondents on September 4 and 5, 2019. Accordingly, the Court finds that Petitioner has satisfied Code of Civil Procedure section 1290.4.

D. Timeliness of Petition to Confirm Arbitration Award

A party may seek a court judgment confirming an arbitration award by filing and serving a petition no more than four years after the award is served.  (CCP §§ 1288.) The petition, however, must be served at least ten (10) days after service of the signed copy of the award. (CCP § 1288.4.) 

Petitioner have demonstrated that the Petition was served in accordance with Code of Civil Procedure section 1288.4. The Petition was served more than ten (10) days, and less than four years, after service of the signed copy of the award.

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. (CCP § 1286; Valsan Partners Limited Partnership v. Calcor Space Facility, Inc. (1994) 25 Cal.App.4th 809, 818.) Petitioner has demonstrated that on August 13, 2019, the arbitrator issued an Arbitration Award in his favor and against Respondents requiring expungement of all references to the arbitration proceeding from registration records maintained by the Central Registration Depository (“CRD”) for Petitioner. (Pet., Exh. 1.) Furthermore, as the Petition is unopposed, there is no basis to find the Award should be corrected or vacated.

Conclusion

Petitioner Isidro Miramontes’ Petition to Confirm Arbitration Award is GRANTED.

Moving party is to give notice.