Case Number:
22STCP04486
Hearing Date:
May 4, 2023
Dept:
26
Kenneth H. South v. Oppenheimer & Co., Inc., et al
.
PETITION TO CONFIRM ARBITRATION AWARD
(CCP § 1285)
TENTATIVE RULING:
Petitioner Kenneth H. Souths Petition to Confirm Arbitration Award is GRANTED. Judgment to be entered in Petitioners favor. FINRA is ordered to expunge all references to Occurrence Number 1334128 from Petitioners Central Registration Depository record.
ANALYSIS:
On September 13, 2022, an arbitrator panel issued an Arbitration Award in favor of Kenneth H. South (Petitioner) and against Oppenheimer & Co., Inc. (Oppenheimer).
The Award specifically required that Financial Industry Regulatory Authority (FINRA) be named as an additional party when judicial confirmation of the Award was sought.
On December 29, 2022, Petitioner filed the instant Petition to Confirm Arbitration Award (the Petition).
Oppenheimer and FINRA (hereinafter referred to colle
Hearing Date
May 04, 2023
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Case Number:
22STCP04486
Hearing Date:
May 4, 2023
Dept:
26
Kenneth H. South v. Oppenheimer & Co., Inc., et al
.
PETITION TO CONFIRM ARBITRATION AWARD
(CCP § 1285)
TENTATIVE RULING:
Petitioner Kenneth H. Souths Petition to Confirm Arbitration Award is GRANTED. Judgment to be entered in Petitioners favor. FINRA is ordered to expunge all references to Occurrence Number 1334128 from Petitioners Central Registration Depository record.
ANALYSIS:
On September 13, 2022, an arbitrator panel issued an Arbitration Award in favor of Kenneth H. South (Petitioner) and against Oppenheimer & Co., Inc. (Oppenheimer).
The Award specifically required that Financial Industry Regulatory Authority (FINRA) be named as an additional party when judicial confirmation of the Award was sought.
On December 29, 2022, Petitioner filed the instant Petition to Confirm Arbitration Award (the Petition).
Oppenheimer and FINRA (hereinafter referred to colle