This case was last updated from Los Angeles County Superior Courts on 08/12/2020 at 01:11:53 (UTC).

LOUIS BASIL WINDAWI VS AMERIPRISE FINANCIAL SERVICES, INC.,

Case Summary

On 04/06/2020 LOUIS BASIL WINDAWI filed an Other - Arbitration lawsuit against AMERIPRISE FINANCIAL SERVICES, INC . This case was filed in Los Angeles County Superior Courts, Spring Street Courthouse located in Los Angeles, California. The Judge overseeing this case is JAMES E. BLANCARTE. The case status is Pending - Other Pending.

Case Details Parties Documents Dockets

 

Case Details

  • Case Number:

    *******1270

  • Filing Date:

    04/06/2020

  • Case Status:

    Pending - Other Pending

  • Case Type:

    Other - Arbitration

  • Court:

    Los Angeles County Superior Courts

  • Courthouse:

    Spring Street Courthouse

  • County, State:

    Los Angeles, California

Judge Details

Judge

JAMES E. BLANCARTE

 

Party Details

Petitioner

WINDAWI LOUIS BASIL

Respondent

AMERIPRISE FINANCIAL SERVICES INC.

Attorney/Law Firm Details

Petitioner Attorney

SUAREZ JOSEPH SICAEROS

 

Court Documents

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

8/10/2020: Minute Order - Minute Order (Hearing on Petition Petition to Confirm Arbitration Award)

Proof of Personal Service - Proof of Personal Service

5/8/2020: Proof of Personal Service - Proof of Personal Service

Civil Case Cover Sheet - Civil Case Cover Sheet

4/7/2020: Civil Case Cover Sheet - Civil Case Cover Sheet

Petition to Confirm Arbitration Award - Petition to Confirm Arbitration Award

4/6/2020: Petition to Confirm Arbitration Award - Petition to Confirm Arbitration Award

Notice of Hearing on Petition - Notice of Hearing on Petition

4/6/2020: Notice of Hearing on Petition - Notice of Hearing on Petition

Declaration (name extension) - Declaration Declaration Of Suarez In Support Of Petition

4/6/2020: Declaration (name extension) - Declaration Declaration Of Suarez In Support Of Petition

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

4/6/2020: Notice of Case Assignment - Limited Civil Case - Notice of Case Assignment - Limited Civil Case

Summons - Summons on Petition

4/6/2020: Summons - Summons on Petition

First Amended Standing Order - First Amended Standing Order

4/6/2020: First Amended Standing Order - First Amended Standing Order

 

Docket Entries

  • 08/12/2020
  • Hearing08/12/2020 at 10:00 AM in Department 25 at 312 North Spring Street, Los Angeles, CA 90012; Hearing on Petition (name extension)

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  • 08/10/2020
  • DocketHearing on Petition Petition to Confirm Arbitration Award scheduled for 08/12/2020 at 10:00 AM in Spring Street Courthouse at Department 25

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  • 08/10/2020
  • DocketMinute Order (Hearing on Petition Petition to Confirm Arbitration Award)

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  • 08/10/2020
  • DocketOn the Court's own motion, Hearing on Petition Petition to Confirm Arbitration Award scheduled for 08/10/2020 at 08:30 AM in Spring Street Courthouse at Department 25 Held - Continued was rescheduled to 08/12/2020 10:00 AM

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  • 05/08/2020
  • DocketProof of Personal Service; Filed by: LOUIS BASIL WINDAWI (Petitioner); As to: AMERIPRISE FINANCIAL SERVICES, INC., (Respondent); Service Date: 04/22/2020; Service Cost: 146.07; Service Cost Waived: No

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  • 04/07/2020
  • DocketCivil Case Cover Sheet; Filed by: LOUIS BASIL WINDAWI (Petitioner)

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  • 04/06/2020
  • DocketPetition to Confirm Arbitration Award; Filed by: LOUIS BASIL WINDAWI (Petitioner); As to: AMERIPRISE FINANCIAL SERVICES, INC., (Respondent)

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  • 04/06/2020
  • DocketSummons on Petition; Issued and Filed by: LOUIS BASIL WINDAWI (Petitioner); As to: AMERIPRISE FINANCIAL SERVICES, INC., (Respondent)

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  • 04/06/2020
  • DocketDeclaration Declaration Of Suarez In Support Of Petition; Filed by: LOUIS BASIL WINDAWI (Petitioner); As to: AMERIPRISE FINANCIAL SERVICES, INC., (Respondent)

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  • 04/06/2020
  • DocketNotice of Hearing on Petition; Filed by: Clerk

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  • 04/06/2020
  • DocketNotice of Case Assignment - Limited Civil Case; Filed by: Clerk

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  • 04/06/2020
  • DocketFirst Amended Standing Order; Filed by: Clerk

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  • 04/06/2020
  • DocketHearing on Petition Petition to Confirm Arbitration Award scheduled for 08/10/2020 at 08:30 AM in Spring Street Courthouse at Department 25

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  • 04/06/2020
  • DocketCase assigned to Hon. James E. Blancarte in Department 25 Spring Street Courthouse

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Tentative Rulings

Case Number: 20STCP01270    Hearing Date: August 10, 2020    Dept: 25

HEARING DATE: Mon., August 10, 2020 JUDGE /DEPT: Blancarte/25

CASE NAME: Windawi v. Ameriprise Financial Services, Inc.

CASE NUMBER: 20STCP01270 PET. FILED: 04-06-20

NOTICE: OK

PROCEEDINGS: PETITION TO CONFIRM FINRA ARBITRATION AWARD GRANTING EXPUNGEMENT OF PETITIONER’S RECORD IN THE CENTRAL REGISTRATION DEPOSITORY

MOVING PARTY: Petitioner Louis Basil Windawi

RESP. PARTY: None

PETITION TO CONFIRM ARBITRATION AWARD

(CCP § 1285, et seq.)

TENTATIVE RULING:

Petitioner Louis Basil Windawi’s Petition to Confirm Arbitration Award is CONTINUED TO OCTOBER22, 2020 at 10:30 in Department 25 at the SPRING STREET COURTHOUSE. At least 16 court days before the next scheduled hearing, Petitioner must file and serve supplemental papers addressing the deficiencies identified herein. Failure to do so may result in the Petition being placed off calendar or denied.

SERVICE:

[X] Proof of Service Timely Filed (CRC, rule 3.1300) OK

[X] Correct Address (CCP §§ 1013, 1013a) OK

[X] 16/21 Court Days Lapsed (CCP §§ 12c, 1005(b)) OK

OPPOSITION: None filed as of August 6, 2020 [ ] Late [X] None

REPLY: None filed as of August 6, 2020 [ ] Late [X] None

ANALYSIS:

  1. Background

On November 26, 2019, arbitrator Milton N. Gross (the “Arbitrator”) with the Financial Regulatory Authority (“FINRA”) Office of Dispute Resolution issued an Arbitration Award in favor of Petitioner Louis Basil Windawi (“Petitioner”) and against Respondent Ameriprise Financial Services, Inc. (“Respondent”). The Arbitration Award granted Petitioner’s request to expunge customer complaint, occurrence number 1269951 from his Central Registration Depository (“CRD”) records. (Pet., Exh. C.)

On April 6, 2020, Petitioner filed the instant Petition to Confirm FINRA Award Granting Expungement of Petitioner’s Record in the Central Registration Depository (the “Petition”). To date, no opposition has been filed.

  1. Legal Standard & Discussion

A. Filing Requirements (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.”

Petitioner submits a copy of the Arbitration Award, which sets forth the name of the Arbitrator (Pet., Suarez Decl., ¶ 7, Exh. C) as well as a copy of the FINRA Arbitration Submission Agreement signed by Respondent on June 18, 2019. (Id., ¶ 4, Exh. A.) Petitioner separately signed a submission agreement on April 8, 2019. (Id. at ¶ 7, Exh. C.) Thus, the Court finds that Petitioner has satisfied Section 1285.4.

B. Service of the Arbitration Award, Petition, Notice of Hearing, & Timeliness (CCP §§ 1283.6, 1288, 1288.4, & 1290.4.)

Code of Civil Procedure, section 1283.6 provides that “[t]he 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.”  (Italics added.)

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.”

Finally, a party may seek a court judgment confirming an arbitration award by filing and serving a petition at least 10 days, but no more than four years after the award is served on Respondents and Petitioners.  (Code Civ. Proc., §§ 1288, 1288.4.) (Italics added.)

Petitioners filed proof that the Petition and Notice of Hearing were served on Respondent via personal service on April 15, 2020. (5/8/20 Proof of Service.) Petitioner also filed a copy of a letter from FINRA notifying the parties of the Arbitration Award. (Pet., Suarez Decl., ¶ 7, Exh. D.) As noted above, Section 1283.6 requires that the neutral arbitrator serve a copy of the award by registered or certified mail or as provided in the agreement. (Code Civ. Proc., § 1283.6.) Because the Submission Agreement does not provide a manner in which to serve an award, it must be served by registered or certified mail. (Id.) However, the FINRA letter does not include a proof of service or specify how the letter and Arbitration Award were served. Thus, Petitioner has not satisfied Section 1283.6.

  1. Conclusion & Order

For the foregoing reasons, Petitioner Louis Basil Windawi’s Petition to Confirm Arbitration Award is CONTINUED TO OCTOBER 22, 2020 at 10:30 in Department 25 at the SPRING STREET COURTHOUSE. At least 16 court days before the next scheduled hearing, Petitioner must file and serve supplemental papers addressing the deficiencies identified herein. Failure to do so may result in the Petition being placed off calendar or denied.

Moving party is ordered to give notice.