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N Cal Attorney
N Cal Attorney, Attorney
Category: Business Law
Satisfied Customers: 9028
Experience:  Since 1983
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I have a case with FINRA Dispute Resolution Arbitration that

Customer Question

I have a case with FINRA Dispute Resolution Arbitration that is currently in the state of California, however the Respondent's in house counsel has yet to file a Certificate of his intent to appear in arbitration, and is currently the attorney of Record in this case. He has filed an answer, and submitted at least three items requesting a change of venue to Florida. I filed my initial claim on June 26th and he did answer. Should he have filed a certificate with the state at that time, or anytime for that matter?

I have not raised the issue with the California State Bar. In the first correspondence from FINRA they stated that failure to comply with Section 1282.4 may be raised with the arbitrators or the State Bar.


Basically he has/is doing everything in his power to get the case moved to Florida to avoid expenses for his firm (something he stated) and in turn throw them all on me. Thats all fine and everything, but is he even aloud to file motions, answers, etc without having filed a Certificate yet.


The last one he sent out two days before our PreHearing Conference was scheduled for, which was postponed because his renewed motion to change locations hadn't even been received by the Arbitrators yet.

Submitted: 6 years ago.
Category: Business Law
Expert:  N Cal Attorney replied 6 years ago.
I assume you mean CCP 1282.4, at

No one can stop the parties from speaking with each other directly if they want to.

Under 1282.4 it looks like it was improper for the out of state lawyer to file anything in the case until after he files the required certificate. I would ask the arbitrator(s) to disregard all such filings.

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