Judgment: MORGAN STANLEY SMITH BARNEY LLC ET AL VS. RICHARD M. THOMAS ET AL

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Jeffrey P. Palmer (SBN 229314)
GREENBERG TRAURIG, LLP
1900 University Ave, 5“ Floor

East Palo Alto, CA 94303 F v F os
Telephone: (415) 655-1267 Su ihe conte aut ‘at
pant Gelew con County of Ban Prenciseo
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Attorneys for Petitioners AUG 05 2020
Morgan Stanley Smith Barney LLC, {Ey oyu Rary
Mikael Hess and Joseph Stern wee BOF a , COURT

” Deputy Clerk
THE SUPERIOR COURT OF THE STATE OF CALIFORNIA
COUNTY OF SAN FRANCISCO

MORGAN STANLEY SMITH BARNEY CASE NO. CPF-20-517113

LLC, JOSEPH STERN, AND MIKHAIL
HESS, [PROPUSEBFORDER ON MORGAN
STANLEY SMITH BARNEY LLC’S,

Petitioners, MIKHAIL HESS AND JOSEPH STERN’S
PETITION TO CONFIRM ARBITRATION
vs. AWARD AND ENTER JUDGMENT
, : THEREON

RICHARD M. THOMAS AND
DEANNAH L. THOMAS, [C.C.P. §§ 1285, 1285.4, 1286, 1292.2]

Respondents. Date: August 5, 2020

Time: 9:30 a.m.

Location: Dept. 302
Reservation No. N/A

The petition of Petitioners Morgan Stanley Smith Barney LLC (“MSSB”), Mikhail Hess
(“Hess”), and Joseph Stern (“Stern”) (collectively “Petitioners”) to confirm the arbitration award
rendered by the Financial Industry Regulatory Authority (“FINRA”), Arbitrator Philip Aaron Tymon
presiding, in FINRA Case No. 19-00141, (the “Petition”) came on for hearing before this Court on
August 5, 2020 at 9:30 a.m.

Having reviewed the moving papers and supporting declaration filed with the Court by
Petitioners, and Respondents having not opposed the Petition:

IT IS HEREBY ORDERED THAT:

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[PROPOSED] ORDER ON PETITION TO CONFIRM ARBITRATION AWARD
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1. Petitioners Morgan Stanley Smith Barney LLC’s, Mikhail Hess’s and Joseph Stern’s
Petition to Confirm Arbitration Award and Enter Judgment Thereon is GRANTED;

2. The arbitration award in FINRA Case No. 19-00141 is hereby confirmed, with final
judgment being entered requiring the expungement of all references to FINRA Case No.
17-01333 from Mikhail Hess’s and Joseph Stern’s Central Registration Depository
records; and

3. Petitioners and Respondents will bear their own attorneys’ fees and costs.

IT IS SO ORDERED AND JUDGMENT WILL BE ENTERED ACCORDINGLY.

oan Ais. 5am Ethan (ll —

Hohorable Judge of the Superior Court
ETHAN P. SCHULMAN

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[PROPOSED] ORDER ON PETITION TO CONFIRM ARBITRATION AWARD
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