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FILED: NEW YORK COUNTY CLERK 02/26/2024 04:55 PM INDEX NO. 650998/2024
NYSCEF DOC. NO. 1 RECEIVED NYSCEF: 02/26/2024
SUPREME COURT OF THE STATE OF NEW YORK
COUNTY OF NEW YORK
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D.A. DAVIDSON & CO., )
PETITIONER, ) Index No.
v. )
KEVIN MICHAEL ARVOY, ) VERIFIED PETITION TO CONFIRM
ARBITRATION AWARD
RESPONDENT. )
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Petitioner D.A. Davidson & Co. (hereinafter “Petitioner”), by and through its attorneys,
O’Hagan Meyer, by way of Petition against Respondent Kevin Michael Arvoy (“Respondent”),
brings this special proceeding, pursuant to Article 4 of the Civil Practice Law and Rules (CPLR),
for an order, pursuant to CPLR §§ 7510 and 7514, confirming and entering judgment upon the
award entered in the arbitration captioned D.A. Davidson & Co. v. Kevin Michael Arvoy (FINRA
Case No. 23-01475) which was heard in New York, New York, and alleges as follows:
PRELIMINARY STATEMENT
1. This Petition is brought by Petitioner for the following relief from this Court:
(A) Pursuant to CPLR Article 75, the Arbitration Award issued by the Financial Industry
Regulatory Authority (“FINRA”) in D.A. Davidson & Co. v. Kevin Michael Arvoy
(FINRA Case No. 23-01475), be confirmed in total, against Respondent pursuant to
CPLR 7510;
(B) Entry of judgment thereon pursuant to CPLR 7514;
(C) Petitioner be awarded its costs and disbursements and reasonable attorney’s fees in
prosecution of this proceeding; and
(D) Petitioner be awarded such other relief as the Court may deem just and proper.
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THE PARTIES
2. Petitioner D.A. Davidson & Co. is a foreign business corporation duly authorized to do
business in the State of New York and transacts business in the County of New York.
3. Upon information and belief, Respondent Kevin Michael Arvoy is an individual residing at
224 Riverside Drive, Fairfield, Connecticut 06824, and transacts business in the County of
New York, State of New York.
JURISDICTION AND VENUE
4. This Court has jurisdiction pursuant to CPLR 7502 because this is the first application arising
out of an arbitrable controversy which is not made by motion in a pending action.
5. Venue is proper in the County of New York pursuant to CPLR 7502 because Petitioner does
business in the County of New York and the arbitration award was issued by a FINRA
Arbitration Panel (“Panel”) in the City of New York, State of New York.
FACTS PERTINENT TO CAUSE OF ACTION
6. Issues arose between the parties in connection with certain monies and properties due and
owing from Respondent to Petitioner under a promissory note, other agreements, and matters
consequent thereto.
7. The parties agreed to arbitrate these issues before FINRA. On his Form U4, Respondent
expressly agreed:
I agree to arbitrate any dispute, claim or controversy that may arise
between me and my firm [D.A. Davidson & Co.] . . . that is
required to be arbitrated under the rules, constitutions, or by-laws
of the SROs indicated in Section 4 (SRO REGISTRATION) as
may be amended from time to time and that any arbitration award
rendered against me may be entered as a judgment in any court of
competent jurisdiction.
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8. A true and correct redacted copy Respondent’s Form U4 which sets forth the parties’
arbitration agreement on page 10 in item 5 of Section 15A is attached hereto and
incorporated by reference as if fully set forth herein as Exhibit A.
9. The Financial Industry Regulatory Authority (“FINRA”) is the SRO indicated in Section 4 of
Respondent’s Form U4. See page 2, Section 4 of Exhibit A.
10. On or about May 19, 2013, Petitioner commenced an action against Respondent before
FINRA Dispute Resolution Services in New York, New York under FINRA Case No. 23-
01475, the action of which was entitled D.A. Davidson & Co. v. Kevin Michael Arvoy (the
“FINRA action”). A true and correct copy of the Statement of Claim filed in the FINRA
action is attached hereto and incorporated by reference as if fully set forth herein as Exhibit
B.
11. The causes of action alleged by Petitioner against Respondent in the FINRA action included
breach of contract-promissory note; unjust enrichment-duplicate bonus payment; breach of
contract-company property; and conversion-company property.
12. Respondent did not file an Answer in the FINRA action.
13. The Panel determined that Respondent was properly served with the Claim Notification
Letter dated May 22, 2023, by regular and Federal Express (“FedEx”) mail.
14. The Panel also determined that Respondent was properly served with the Notification of
Panel dated August 10, 2023, by regular and FedEx mail.
15. The Panel also determined that Respondent was properly served with the Notification of the
hearing on September 8, 2023.
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16. The Claim Notification Letter notified Respondent that FINRA rules require parties
including Respondent to use the online DR Portal on a mandatory basis (except pro se
investors which Respondent was not).
17. Respondent failed to register for the DR Portal in connection with the FINRA action.
18. The Panel determined that Respondent is bound by the Panel’s ruling and determination in
the FINRA action.
19. Respondent did not appear at the evidentiary hearing of the FINRA action.
20. Upon review of the file, the Panel determined that Respondent received due notice of the
hearing and that arbitration of the matter would properly proceed without Respondent
present, in accordance with FINRA’s Code.
21. After considering the pleadings, the testimony and evidence presented at the hearing, and any
post-hearing submissions, the Panel decided in full and final resolution of the issues
submitted for determination in the FINRA action as follows:
(a) Respondent is liable for and shall pay to Petitioner the sum of $152,000.00 in
compensatory damages.
(b) Respondent is liable for and shall pay to Petitioner the sum of $156,105.22, together
with accrued interest at the rate of $5.91 per day from November 30, 2023, through
date of the award.
(c) Respondent is liable for and shall pay to Petitioner interest on the sum of $308,105.22
at the rate of 9% per annum, from date of award until the award is paid in full.
(d) Respondent is liable for and shall pay to Petitioner the sum of $4,547.50 in attorneys’
fees pursuant to contract provisions in the Promissory Note and Pledge Agreement
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dated February 1, 2022 (paragraph 7 and 21), Signing Bonus Agreement (paragraph 3)
and Confidentiality Agreement (paragraph 12).
(e) Respondent is liable for and shall pay to Petitioner $1,000.00 as reimbursement to
Petitioner for the non-refundable filing fee previously paid to FINRA Dispute
Resolution Services.
(f) Any and all claims for relief not specifically addressed herein are denied.
22. A true and correct copy of the award dated December 11, 2023 is attached hereto and
incorporated by reference as if fully set forth herein as Exhibit C.
23. On or around January 16, 2024, via overnight mail, FINRA notified Respondent of the award
and Respondent’s failure to comply. A true and correct copy of this correspondence is
attached hereto and incorporated by reference as if fully set forth herein as Exhibit D.
24. Service of process of the Notice of Petition, Petition, Affirmations in support of Petition, and
Request for Judicial Intervention to Respondent was made by FedEx Mail. A copy of the
service papers is attached hereto as Exhibit E.
25. None of the mail sent to Respondent has been returned by the U.S. Postal Service.
26. After conducting an investigation, it was determined that Respondent is not in military
service. The non-military affirmation is annexed hereto as Exhibit F.
27. The arbitration award has never been paid or otherwise satisfied.
COUNT ONE
28. Petitioner repeats and restates the allegations contained in the prior paragraphs of this
Petition as if set forth more fully herein.
29. Petitioner has brought this action within one year of the delivery of the arbitration award,
which was issued and delivered to the parties on December 11, 2023.
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30. The award has not been vacated or modified upon any ground specified in CPLR 7511.
31. By reason of the foregoing, Petitioner is entitled to an order confirming the award pursuant to
CPLR 7510 and an entry of judgment thereon pursuant to CPLR 7514.
32. No previous application has been made for the relief requested herein.
PRAYER FOR RELIEF
WHEREFORE, by reason of the foregoing, Petitioner D.A. Davidson & Co. hereby
respectfully requests that this Court enter an Order:
(A) Confirming the award entered in the arbitration captioned D.A. Davidson & Co. v. Kevin
Michael Arvoy (FINRA Case No. 23-01475) pursuant to CPLR 7510;
(B) Entering judgment upon the confirmed arbitration award pursuant to CPLR 7514;
(C) Granting Petitioner its costs and disbursements and reasonable attorney’s fees against
Respondent in prosecution of this proceeding; and
(D) Granting such other and further relief as the court deems just and proper.
Dated: New York, New York O’HAGAN MEYER PLLC
February 16, 2024
By: /s/ Elizabeth Del Cid
Elizabeth Del Cid, Esq.
Remee Kim, Esq.
O’HAGAN MEYER PLLC
229 West 36th Street, 8th Floor
New York, New York 10018
Tel: 312-422-6100
edelcid@ohaganmeyer.com
rkim@ohaganmeyer.com
Attorneys for Petitioner D.A. Davidson & Co.
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VERIFICATION
STATE OF NEW YORK )
) SS:
COUNTY OF NEW YORK )
Elizabeth Del Cid, Esq., an attorney admitted to practice in the courts of the State of New
York, and not a party to this action, hereby affirms the following to be true under the penalties of
perjury, as follows, pursuant to CPLR § 2106:
That the Affirmant is a partner of the firm of O’HAGAN MEYER PLLC, attorneys of
record for Petitioner in the above-entitled action.
That the Affirmant has read the foregoing Verified Petition to Confirm Arbitration Award
and knows the contents thereof; that same is true to her own knowledge, except as to the matters
therein stated to be alleged upon information and belief, and as to those matters, she believes them
to be true.
Pursuant to CPLR § 3020(d)(3), this Verification is made by Affirmant and not by the
Petitioner because Petitioner D.A. DAVIDSON & CO. does not reside within the County in which
the firm of O’HAGAN MEYER PLLC maintains its offices for the practice of law, and Petitioner
D.A. DAVIDSON & CO., is a foreign business entity.
Dated: February 16, 2024
_________________________
Elizabeth Del Cid, Esq.
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CERTIFICATION OF COUNSEL PURSUANT TO § 202.8-B
IT IS HEREBY CERTIFIED, pursuant to Uniform Civil Rules for the Supreme Court
and the County Clerk, § 202.8-b, by counsel for Petitioner D.A. Davidson & Co., that the
number of words in this Verified Petition to Confirm Arbitration Award, based on the word-
processing system used to prepare the document is 1,356 words.
Dated: February 16, 2024
New York, New York Respectfully submitted,
/s/ Elizabeth Del Cid____________
Elizabeth Del Cid, Esq.
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AFFIDAVIT OF SERVICE
STATE OF NEW YORK )
)ss.:
COUNTY OF NEW YORK )
Elizabeth Del Cid, being duly sworn deposes and says:
I am not a party in this action. I am over the age of 18 years.
On February 23, 2024, I caused to be served a copy of the VERIFIED PETITION TO
CONFIRM ARBITRATION AWARD on the persons listed below via FedEx Mail:
Kevin Michael Arvoy
224 Riverside Drive
Fairfield, CT 06824
Respondent
Dated: New York, New York
February 23, 2024
/s/ Elizabeth Del Cid____________
Elizabeth Del Cid
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Preview
FILED: NEW YORK COUNTY CLERK 02/26/2024 04:55 PM INDEX NO. 650998/2024 NYSCEF DOC. NO. 1 RECEIVED NYSCEF: 02/26/2024 SUPREME COURT OF THE STATE OF NEW YORK COUNTY OF NEW YORK ------------------------------------------------------X D.A. DAVIDSON & CO., ) PETITIONER, ) Index No. v. ) KEVIN MICHAEL ARVOY, ) VERIFIED PETITION TO CONFIRM ARBITRATION AWARD RESPONDENT. ) ------------------------------------------------------X Petitioner D.A. Davidson & Co. (hereinafter “Petitioner”), by and through its attorneys, O’Hagan Meyer, by way of Petition against Respondent Kevin Michael Arvoy (“Respondent”), brings this special proceeding, pursuant to Article 4 of the Civil Practice Law and Rules (CPLR), for an order, pursuant to CPLR §§ 7510 and 7514, confirming and entering judgment upon the award entered in the arbitration captioned D.A. Davidson & Co. v. Kevin Michael Arvoy (FINRA Case No. 23-01475) which was heard in New York, New York, and alleges as follows: PRELIMINARY STATEMENT 1. This Petition is brought by Petitioner for the following relief from this Court: (A) Pursuant to CPLR Article 75, the Arbitration Award issued by the Financial Industry Regulatory Authority (“FINRA”) in D.A. Davidson & Co. v. Kevin Michael Arvoy (FINRA Case No. 23-01475), be confirmed in total, against Respondent pursuant to CPLR 7510; (B) Entry of judgment thereon pursuant to CPLR 7514; (C) Petitioner be awarded its costs and disbursements and reasonable attorney’s fees in prosecution of this proceeding; and (D) Petitioner be awarded such other relief as the Court may deem just and proper. 1 1 of 9 FILED: NEW YORK COUNTY CLERK 02/26/2024 04:55 PM INDEX NO. 650998/2024 NYSCEF DOC. NO. 1 RECEIVED NYSCEF: 02/26/2024 THE PARTIES 2. Petitioner D.A. Davidson & Co. is a foreign business corporation duly authorized to do business in the State of New York and transacts business in the County of New York. 3. Upon information and belief, Respondent Kevin Michael Arvoy is an individual residing at 224 Riverside Drive, Fairfield, Connecticut 06824, and transacts business in the County of New York, State of New York. JURISDICTION AND VENUE 4. This Court has jurisdiction pursuant to CPLR 7502 because this is the first application arising out of an arbitrable controversy which is not made by motion in a pending action. 5. Venue is proper in the County of New York pursuant to CPLR 7502 because Petitioner does business in the County of New York and the arbitration award was issued by a FINRA Arbitration Panel (“Panel”) in the City of New York, State of New York. FACTS PERTINENT TO CAUSE OF ACTION 6. Issues arose between the parties in connection with certain monies and properties due and owing from Respondent to Petitioner under a promissory note, other agreements, and matters consequent thereto. 7. The parties agreed to arbitrate these issues before FINRA. On his Form U4, Respondent expressly agreed: I agree to arbitrate any dispute, claim or controversy that may arise between me and my firm [D.A. Davidson & Co.] . . . that is required to be arbitrated under the rules, constitutions, or by-laws of the SROs indicated in Section 4 (SRO REGISTRATION) as may be amended from time to time and that any arbitration award rendered against me may be entered as a judgment in any court of competent jurisdiction. 2 2 of 9 FILED: NEW YORK COUNTY CLERK 02/26/2024 04:55 PM INDEX NO. 650998/2024 NYSCEF DOC. NO. 1 RECEIVED NYSCEF: 02/26/2024 8. A true and correct redacted copy Respondent’s Form U4 which sets forth the parties’ arbitration agreement on page 10 in item 5 of Section 15A is attached hereto and incorporated by reference as if fully set forth herein as Exhibit A. 9. The Financial Industry Regulatory Authority (“FINRA”) is the SRO indicated in Section 4 of Respondent’s Form U4. See page 2, Section 4 of Exhibit A. 10. On or about May 19, 2013, Petitioner commenced an action against Respondent before FINRA Dispute Resolution Services in New York, New York under FINRA Case No. 23- 01475, the action of which was entitled D.A. Davidson & Co. v. Kevin Michael Arvoy (the “FINRA action”). A true and correct copy of the Statement of Claim filed in the FINRA action is attached hereto and incorporated by reference as if fully set forth herein as Exhibit B. 11. The causes of action alleged by Petitioner against Respondent in the FINRA action included breach of contract-promissory note; unjust enrichment-duplicate bonus payment; breach of contract-company property; and conversion-company property. 12. Respondent did not file an Answer in the FINRA action. 13. The Panel determined that Respondent was properly served with the Claim Notification Letter dated May 22, 2023, by regular and Federal Express (“FedEx”) mail. 14. The Panel also determined that Respondent was properly served with the Notification of Panel dated August 10, 2023, by regular and FedEx mail. 15. The Panel also determined that Respondent was properly served with the Notification of the hearing on September 8, 2023. 3 3 of 9 FILED: NEW YORK COUNTY CLERK 02/26/2024 04:55 PM INDEX NO. 650998/2024 NYSCEF DOC. NO. 1 RECEIVED NYSCEF: 02/26/2024 16. The Claim Notification Letter notified Respondent that FINRA rules require parties including Respondent to use the online DR Portal on a mandatory basis (except pro se investors which Respondent was not). 17. Respondent failed to register for the DR Portal in connection with the FINRA action. 18. The Panel determined that Respondent is bound by the Panel’s ruling and determination in the FINRA action. 19. Respondent did not appear at the evidentiary hearing of the FINRA action. 20. Upon review of the file, the Panel determined that Respondent received due notice of the hearing and that arbitration of the matter would properly proceed without Respondent present, in accordance with FINRA’s Code. 21. After considering the pleadings, the testimony and evidence presented at the hearing, and any post-hearing submissions, the Panel decided in full and final resolution of the issues submitted for determination in the FINRA action as follows: (a) Respondent is liable for and shall pay to Petitioner the sum of $152,000.00 in compensatory damages. (b) Respondent is liable for and shall pay to Petitioner the sum of $156,105.22, together with accrued interest at the rate of $5.91 per day from November 30, 2023, through date of the award. (c) Respondent is liable for and shall pay to Petitioner interest on the sum of $308,105.22 at the rate of 9% per annum, from date of award until the award is paid in full. (d) Respondent is liable for and shall pay to Petitioner the sum of $4,547.50 in attorneys’ fees pursuant to contract provisions in the Promissory Note and Pledge Agreement 4 4 of 9 FILED: NEW YORK COUNTY CLERK 02/26/2024 04:55 PM INDEX NO. 650998/2024 NYSCEF DOC. NO. 1 RECEIVED NYSCEF: 02/26/2024 dated February 1, 2022 (paragraph 7 and 21), Signing Bonus Agreement (paragraph 3) and Confidentiality Agreement (paragraph 12). (e) Respondent is liable for and shall pay to Petitioner $1,000.00 as reimbursement to Petitioner for the non-refundable filing fee previously paid to FINRA Dispute Resolution Services. (f) Any and all claims for relief not specifically addressed herein are denied. 22. A true and correct copy of the award dated December 11, 2023 is attached hereto and incorporated by reference as if fully set forth herein as Exhibit C. 23. On or around January 16, 2024, via overnight mail, FINRA notified Respondent of the award and Respondent’s failure to comply. A true and correct copy of this correspondence is attached hereto and incorporated by reference as if fully set forth herein as Exhibit D. 24. Service of process of the Notice of Petition, Petition, Affirmations in support of Petition, and Request for Judicial Intervention to Respondent was made by FedEx Mail. A copy of the service papers is attached hereto as Exhibit E. 25. None of the mail sent to Respondent has been returned by the U.S. Postal Service. 26. After conducting an investigation, it was determined that Respondent is not in military service. The non-military affirmation is annexed hereto as Exhibit F. 27. The arbitration award has never been paid or otherwise satisfied. COUNT ONE 28. Petitioner repeats and restates the allegations contained in the prior paragraphs of this Petition as if set forth more fully herein. 29. Petitioner has brought this action within one year of the delivery of the arbitration award, which was issued and delivered to the parties on December 11, 2023. 5 5 of 9 FILED: NEW YORK COUNTY CLERK 02/26/2024 04:55 PM INDEX NO. 650998/2024 NYSCEF DOC. NO. 1 RECEIVED NYSCEF: 02/26/2024 30. The award has not been vacated or modified upon any ground specified in CPLR 7511. 31. By reason of the foregoing, Petitioner is entitled to an order confirming the award pursuant to CPLR 7510 and an entry of judgment thereon pursuant to CPLR 7514. 32. No previous application has been made for the relief requested herein. PRAYER FOR RELIEF WHEREFORE, by reason of the foregoing, Petitioner D.A. Davidson & Co. hereby respectfully requests that this Court enter an Order: (A) Confirming the award entered in the arbitration captioned D.A. Davidson & Co. v. Kevin Michael Arvoy (FINRA Case No. 23-01475) pursuant to CPLR 7510; (B) Entering judgment upon the confirmed arbitration award pursuant to CPLR 7514; (C) Granting Petitioner its costs and disbursements and reasonable attorney’s fees against Respondent in prosecution of this proceeding; and (D) Granting such other and further relief as the court deems just and proper. Dated: New York, New York O’HAGAN MEYER PLLC February 16, 2024 By: /s/ Elizabeth Del Cid Elizabeth Del Cid, Esq. Remee Kim, Esq. O’HAGAN MEYER PLLC 229 West 36th Street, 8th Floor New York, New York 10018 Tel: 312-422-6100 edelcid@ohaganmeyer.com rkim@ohaganmeyer.com Attorneys for Petitioner D.A. Davidson & Co. 6 6 of 9 FILED: NEW YORK COUNTY CLERK 02/26/2024 04:55 PM INDEX NO. 650998/2024 NYSCEF DOC. NO. 1 RECEIVED NYSCEF: 02/26/2024 VERIFICATION STATE OF NEW YORK ) ) SS: COUNTY OF NEW YORK ) Elizabeth Del Cid, Esq., an attorney admitted to practice in the courts of the State of New York, and not a party to this action, hereby affirms the following to be true under the penalties of perjury, as follows, pursuant to CPLR § 2106: That the Affirmant is a partner of the firm of O’HAGAN MEYER PLLC, attorneys of record for Petitioner in the above-entitled action. That the Affirmant has read the foregoing Verified Petition to Confirm Arbitration Award and knows the contents thereof; that same is true to her own knowledge, except as to the matters therein stated to be alleged upon information and belief, and as to those matters, she believes them to be true. Pursuant to CPLR § 3020(d)(3), this Verification is made by Affirmant and not by the Petitioner because Petitioner D.A. DAVIDSON & CO. does not reside within the County in which the firm of O’HAGAN MEYER PLLC maintains its offices for the practice of law, and Petitioner D.A. DAVIDSON & CO., is a foreign business entity. Dated: February 16, 2024 _________________________ Elizabeth Del Cid, Esq. 7 7 of 9 FILED: NEW YORK COUNTY CLERK 02/26/2024 04:55 PM INDEX NO. 650998/2024 NYSCEF DOC. NO. 1 RECEIVED NYSCEF: 02/26/2024 CERTIFICATION OF COUNSEL PURSUANT TO § 202.8-B IT IS HEREBY CERTIFIED, pursuant to Uniform Civil Rules for the Supreme Court and the County Clerk, § 202.8-b, by counsel for Petitioner D.A. Davidson & Co., that the number of words in this Verified Petition to Confirm Arbitration Award, based on the word- processing system used to prepare the document is 1,356 words. Dated: February 16, 2024 New York, New York Respectfully submitted, /s/ Elizabeth Del Cid____________ Elizabeth Del Cid, Esq. 8 8 of 9 FILED: NEW YORK COUNTY CLERK 02/26/2024 04:55 PM INDEX NO. 650998/2024 NYSCEF DOC. NO. 1 RECEIVED NYSCEF: 02/26/2024 AFFIDAVIT OF SERVICE STATE OF NEW YORK ) )ss.: COUNTY OF NEW YORK ) Elizabeth Del Cid, being duly sworn deposes and says: I am not a party in this action. I am over the age of 18 years. On February 23, 2024, I caused to be served a copy of the VERIFIED PETITION TO CONFIRM ARBITRATION AWARD on the persons listed below via FedEx Mail: Kevin Michael Arvoy 224 Riverside Drive Fairfield, CT 06824 Respondent Dated: New York, New York February 23, 2024 /s/ Elizabeth Del Cid____________ Elizabeth Del Cid 9 9 of 9