Fiorentino v. UBS Financial Services, Inc.
| Vincent John Fiorentino |
| UBS Financial Services, Inc. |
| 1:2022cv02795 |
| April 5, 2022 |
| US District Court for the Southern District of New York |
| Stewart D Aaron |
| Other Statutes: Arbitration |
| 09 U.S.C. ยง 207 Application for order confirming award of arbitrators |
| None |
Docket Report
RSS Track this Docket
This docket was last retrieved on May 9, 2022. A more recent docket listing may be available from PACER.
| Document Text |
|---|
| Filing 9 CLERK'S JUDGMENT re: #8 Order in favor of Vincent John Fiorentino against UBS Financial Services, Inc. It is hereby ORDERED, ADJUDGED AND DECREED: That for the reasons stated in the Court's Order dated May 6, 2022, the Arbitration Award issued in FINRA Dispute Resolution No. 20-03189, dated February 17, 2022, in favor of the Petitioner, made by FIN RA Arbitrator Richard W. Cutler (ECF No. 1-2), is Confirmed. 2. FINRA shall execute the Arbitrator's expungement directive removing all references to Occurrence Number 2064770 from registration records maintained by the Central Registration Depository for Mr. Fiorentino (CRD Number 1557805). (Signed by Clerk of Court Ruby Krajick on 5/9/2022) (Attachments: #1 Right to Appeal) (km) |
Filing 8
ORDER CONFIRMING THE ARBITRATION AWARD re: #1 Petition to Compel/Confirm /Modify/Stay/Vacate Arbitration, filed by Vincent John Fiorentino. IT IS HEREBY ORDERED that: 1. The Arbitration Award issued in FINRA Dispute Resolution No. 20-03189, dated February 17, 2022, in favor of the Petitioner, made by FINRA Arbitrator Richard W. Cutler (ECF No. 1-2), be Confirmed. 2. FINRA shall execute the Arbitrator's expungement directive removing all references to Occurrence Number 2064770 from registration records maintained by the Central Registration Depository for Mr. Fiorentino (CRD Number 1557805). (Signed by Magistrate Judge Stewart D. Aaron on 5/6/2022) (kv) Transmission to Orders and Judgments Clerk for processing.
|
| Filing 7 PROPOSED STIPULATION AND ORDER. Document filed by Vincent John Fiorentino. (Attachments: #1 Supplement Joint Stipulation).(Galbraith, Kevin) |
|
Filing 6
ORDER: Following a telephone conference with the parties yesterday, it is hereby Ordered that the parties shall file their anticipated stipulation regarding confirmation of the arbitration award no later than May 18, 2022. Petitioner's counsel is directed to provide a copy of this Order to counsel for Respondent, who has not yet appeared as counsel of record. SO ORDERED. (Signed by Magistrate Judge Stewart D. Aaron on 5/5/2022) (kv)
|
|
Filing 5
ORDER FOR TELEPHONE CONFERENCE: The parties are directed to appear for a telephone conference on Wednesday, May 4, 2022, at 3:00 p.m. to discuss the status of this action. At the scheduled time, the parties shall each separately call (888) 278-0296 (or (214) 765-0479) and enter access code 6489745. Petitioner's counsel is directed to provide a copy of this Order to counsel for Respondent. SO ORDERED. (Telephone Conference set for 5/4/2022 at 03:00 PM before Magistrate Judge Stewart D. Aaron.) (Signed by Magistrate Judge Stewart D. Aaron on 4/28/2022) (kl)
|
| Filing 4 NOTICE, CONSENT, AND REFERENCE OF A CIVIL ACTION TO A MAGISTRATE JUDGE by Vincent John Fiorentino, UBS Financial Services, Inc. (Case No Longer Referred to Magistrate Judge) CASE ASSIGNED to Magistrate Judge Stewart D. Aaron. (Signed by Judge Ronnie Abrams on 4/13/2022). (ate) |
| NOTICE OF CASE REASSIGNMENT to Judge Ronnie Abrams. Judge Loretta A. Preska is no longer assigned to the case. (aea) |
| ***NOTICE TO ATTORNEY REGARDING CIVIL. CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney Kevin Dugald Galbraith. The following case opening statistical information was erroneously selected/entered: Cause of Action code 09:207;. The following correction(s) have been made to your case entry: the Cause of Action code has been modified to 09:9;. (pc) |
| CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Loretta A. Preska. Please download and review the Individual Practices of the assigned District Judge, located at #https://nysd.uscourts.gov/judges/district-judges. Attorneys are responsible for providing courtesy copies to judges where their Individual Practices require such. Please download and review the ECF Rules and Instructions, located at #https://nysd.uscourts.gov/rules/ecf-related-instructions..(pc) |
| Magistrate Judge Stewart D. Aaron is so designated. Pursuant to 28 U.S.C. Section 636(c) and Fed. R. Civ. P. 73(b)(1) parties are notified that they may consent to proceed before a United States Magistrate Judge. Parties who wish to consent may access the necessary form at the following link: #https://nysd.uscourts.gov/sites/default/files/2018-06/AO-3.pdf. (pc) |
| Case Designated ECF. (pc) |
| Filing 3 AFFIDAVIT OF SERVICE of Petition to Confirm Arbitration served on UBS Financial Services, Inc. on April 5, 2022. Service was accepted by John Murphy, Attorney. Document filed by Vincent John Fiorentino. (Attachments: #1 Exhibit Exhibit 1 - UBS Email Consent).(Galbraith, Kevin) |
| Filing 2 CIVIL COVER SHEET filed..(Galbraith, Kevin) |
| Filing 1 PETITION TO CONFIRM ARBITRATION. (Filing Fee $ 402.00, Receipt Number ANYSDC-25963394).Document filed by Vincent John Fiorentino. (Attachments: #1 Affidavit K Galbraith Affirmation, #2 Exhibit Exhibit 1 - FINRA Award, #3 Exhibit Exhibit 2 - FINRA Waiver, #4 Supplement Notice of Petition).(Galbraith, Kevin) |
Access additional case information on PACER
Use the links below to access additional information about this case on the US Court's PACER system. A subscription to PACER is required.
Access this case on the New York Southern District Court's Electronic Court Filings (ECF) System
- Search for Party Aliases
- Associated Cases
- Attorneys
- Case File Location
- Case Summary
- Docket Report
- History/Documents
- Parties
- Related Transactions
- Check Status
| Search for this case: Fiorentino v. UBS Financial Services, Inc. | |
|---|---|
| Search News | [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ] |
| Search Web | [ Unicourt | Legal Web | Google | Bing | Yahoo | Ask ] |
| Petitioner: Vincent John Fiorentino | |
| Represented By: | Kevin Dugald Galbraith |
| Search News | [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ] |
| Search Finance | [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ] |
| Search Web | [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ] |
| Respondent: UBS Financial Services, Inc. | |
| Search News | [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ] |
| Search Finance | [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ] |
| Search Web | [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ] |
Disclaimer: Justia Dockets & Filings provides public litigation records from the federal appellate and district courts. These filings and docket sheets should not be considered findings of fact or liability, nor do they necessarily reflect the view of Justia.
