This case was last updated from Los Angeles County Superior Courts on 11/10/2020 at 04:47:57 (UTC).

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

Case Summary

On 12/06/2019 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 Disposed - Other Disposed.

Case Details Parties Documents Dockets

 

Case Details

  • Case Number:

    *******5261

  • Filing Date:

    12/06/2019

  • Case Status:

    Disposed - Other Disposed

  • 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

Proof of Personal Service - Proof of Personal Service

9/8/2020: Proof of Personal Service - Proof of Personal Service

Proof of Personal Service - Proof of Personal Service

9/8/2020: Proof of Personal Service - Proof of Personal Service

Minute Order - Minute Order (Hearing on Petition VERIFIED PETITION TO CONFIRM FINRA DISPUT...)

9/10/2020: Minute Order - Minute Order (Hearing on Petition VERIFIED PETITION TO CONFIRM FINRA DISPUT...)

Certificate of Mailing for - Certificate of Mailing for (Hearing on Petition VERIFIED PETITION TO CONFIRM FINRA DISPUT...) of 09/10/2020

9/10/2020: Certificate of Mailing for - Certificate of Mailing for (Hearing on Petition VERIFIED PETITION TO CONFIRM FINRA DISPUT...) of 09/10/2020

Proof of Service by Mail - Proof of Service by Mail

4/20/2020: Proof of Service by Mail - Proof of Service by Mail

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

3/24/2020: Notice Re: Continuance of Hearing and Order - Notice Re: Continuance of Hearing and Order

Notice of Change of Address or Other Contact Information - Notice of Change of Address or Other Contact Information

2/13/2020: Notice of Change of Address or Other Contact Information - Notice of Change of Address or Other Contact Information

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)

Notice (name extension) - Notice Non-Opposition

1/17/2020: Notice (name extension) - Notice Non-Opposition

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

Petition (name extension) - Petition VERIFIED PETITION TO CONFIRM FINRA DISPUTE RESOLUTION ARBITRATION AWARD

12/6/2019: Petition (name extension) - Petition VERIFIED PETITION TO CONFIRM FINRA DISPUTE RESOLUTION ARBITRATION AWARD

Civil Case Cover Sheet - Civil Case Cover Sheet

12/6/2019: Civil Case Cover Sheet - Civil Case Cover Sheet

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

12/6/2019: Notice of Case Assignment - Limited Civil Case - Notice of Case Assignment - Limited Civil Case

First Amended Standing Order - First Amended Standing Order

12/6/2019: First Amended Standing Order - First Amended Standing Order

Notice of Hearing on Petition - Notice of Hearing on Petition

12/6/2019: Notice of Hearing on Petition - Notice of Hearing on Petition

4 More Documents Available

 

Docket Entries

  • 09/10/2020
  • DocketMinute Order (Hearing on Petition VERIFIED PETITION TO CONFIRM FINRA DISPUT...)

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  • 09/10/2020
  • DocketCertificate of Mailing for (Hearing on Petition VERIFIED PETITION TO CONFIRM FINRA DISPUT...) of 09/10/2020; Filed by: Clerk

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  • 09/10/2020
  • DocketHearing on Petition VERIFIED PETITION TO CONFIRM FINRA DISPUTE RESOLUTION ARBITRATION AWARD scheduled for 09/10/2020 at 10:30 AM in Spring Street Courthouse at Department 26 updated: Result Date to 09/10/2020; Result Type to Held - Motion Granted

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  • 09/08/2020
  • DocketProof of Personal Service; Filed by: Isidro Miramontes (Petitioner); As to: Morgan Stanley & Co. LLC (Respondent); Service Date: 12/11/2019; Service Cost Waived: No

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  • 09/08/2020
  • DocketProof of Personal Service; Filed by: Isidro Miramontes (Petitioner); As to: Financial Industry Regulatory Authority ("FINRA") (Respondent); Service Date: 12/11/2019; Service Cost Waived: No

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  • 04/20/2020
  • DocketProof of Service by Mail; Filed by: Isidro Miramontes (Petitioner); As to: Morgan Stanley & Co. LLC (Respondent); Financial Industry Regulatory Authority ("FINRA") (Respondent)

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  • 03/24/2020
  • DocketNotice Re: Continuance of Hearing and Order; Filed by: Clerk

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  • 03/24/2020
  • DocketThere being no judge available this date, Hearing on Petition VERIFIED PETITION TO CONFIRM FINRA DISPUTE RESOLUTION ARBITRATION AWARD scheduled for 04/13/2020 at 10:30 AM in Spring Street Courthouse at Department 26 Not Held - Advanced and Continued - by Court was rescheduled to 09/10/2020 10:30 AM

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  • 02/13/2020
  • DocketNotice of Change of Address or Other Contact Information; Filed by: Financial Industry Regulatory Authority ("FINRA") (Respondent)

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  • 01/17/2020
  • DocketNotice Non-Opposition; Filed by: Financial Industry Regulatory Authority ("FINRA") (Respondent)

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1 More Docket Entries
  • 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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  • 12/11/2019
  • DocketNotice Re: Continuance of Hearing and Order; Filed by: Clerk

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  • 12/11/2019
  • DocketDue to Clerical Error, Hearing on Petition VERIFIED PETITION TO CONFIRM FINRA DISPUTE RESOLUTION ARBITRATION AWARD scheduled for 04/10/2020 at 08:30 AM in Stanley Mosk Courthouse at Department 94 Not Held - Rescheduled by Court was rescheduled to 04/13/2020 10:30 AM

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  • 12/09/2019
  • DocketHearing on Petition VERIFIED PETITION TO CONFIRM FINRA DISPUTE RESOLUTION ARBITRATION AWARD scheduled for 04/10/2020 at 08:30 AM in Stanley Mosk Courthouse at Department 94

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  • 12/09/2019
  • DocketCase assigned to Hon. Serena R. Murillo in Department 94 Stanley Mosk Courthouse

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  • 12/06/2019
  • DocketPetition VERIFIED PETITION TO CONFIRM FINRA DISPUTE RESOLUTION ARBITRATION AWARD; Filed by: Isidro Miramontes (Petitioner); As to: Morgan Stanley & Co. LLC (Respondent); Financial Industry Regulatory Authority ("FINRA") (Respondent)

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  • 12/06/2019
  • 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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  • 12/06/2019
  • DocketNotice of Hearing on Petition; Filed by: Clerk

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  • 12/06/2019
  • DocketNotice of Case Assignment - Limited Civil Case; Filed by: Clerk

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  • 12/06/2019
  • DocketFirst Amended Standing Order; Filed by: Clerk

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Tentative Rulings

Case Number: 19STCP05261    Hearing Date: September 10, 2020    Dept: 26

PETITION TO CONFIRM ARBITRATION AWARD

(CCP § 1285)

TENTATIVE RULING:

Petitioner Isidro Miramontes’ Petition to Confirm Arbitration Award is CONTINUED TO OCTOBER 15, 2020 AT 10 AM IN DEPARTMENT 26 IN THE SPRING STREET COURTHOUSE.

ANALYSIS:

Petitioner Isidro Miramontes (“Petitioner”) filed the instant Petition to Confirm Contractual Arbitration Award against Respondents Morgan Stanley & Co., LLC, UBS Financial Services Inc. and Financial Industry Regulatory Authority (“Respondents”) on December 6, 2019. The Petition seeks to confirm the arbitration award issued on October 17, 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 Petitioner. (Pet., Exh. 1.) Financial Industry Regulatory Authority filed a notice of non-opposition on January 17, 2020. To date, no opposition has been filed.

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).)

Petitioner has submitted a copy of the Arbitration Agreement, name of the arbitrator, and a copy of the Arbitration Award (Pet., Exhs. 1-4). The Court finds that Petitioner has 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.) Petitioner has not filed proofs of service showing that the Petition was served on Respondents. The proofs of service filed on January 14, 2020 only indicate personal service of “Notice Re: Continuance of Hearing.” (Proofs of Service, filed 1/14/20, ¶1.) It appears that this is a clerical error given that Financial Industry Regulatory Authority filed a notice of non-opposition on January 17, 2020.

However, until corrected proofs of service are filed, the Court cannot find that Petitioner has satisfied Code of Civil Procedure section 1290.4.

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 October 17, 2019, but the manner of service is not indicated. (Pet., Exh. 1.) And since Petitioner has not shown that the Award was also served with the instant Petition, the Court cannot find Code of Civil Procedure section 1283.6 is satisfied.

D. Timing of Service of Petition (CCP §§ 1288, 1288.4)

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.) Petitioner has not demonstrated that the Petition was served on Respondents. The Court cannot make a finding that the Petition was served less than four years or more than ten days 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. (Code Civ. Proc., § 1286; Valsan Partners Limited Partnership v. Calcor Space Facility, Inc. (1994) 25 Cal.App.4th 809, 818.) Petitioner has demonstrated that on October 17, 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.)

Conclusion

Petitioner Isidro Miramontes’ Petition to Confirm Arbitration Award is CONTINUED TO OCTOBER 15, 2020 AT 10 AM IN DEPARTMENT 26 IN THE SPRING STREET COURTHOUSE. AT LEAST 16 COURT DAYS PRIOR TO THE NEW HEARING DATE PETITIONER IS TO FILE PROOF OF SERVICE OF THE PETITION AND ARBITRATION AWARD IN ACCORDANCE WITH THE STATUTORY REQUIREMENTS. FAILURE TO DO SO MAY RESULT IN THE PETITION BEING PLACED OFF CALENDAR OR DENIED.

Moving party is to give notice.