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DeSilva v. First Union Securities Inc.

Expansion of scope to include a ?new' claim was proper where counsel did not seek adjournment.

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Judge Connor

DeSILVA v. FIRST UNION SECURITIES, INC. — Petitioner, Ronald DeSilva, brings this action pursuant to CPLR §7511, seeking vacatur of an arbitration award dismissing petitioner’s claims in their entirety upon the ground that the arbitrators exceeded their authority by expanding the scope of the arbitration to include a claim that was not contained within the written submission Response.1 Petitioner also seeks an order compelling respondent, First Union Securities, Inc. (“First Union”), to issue petitioner an amended IRS form 1099 in accordance with the sworn testimony of respondent’s expert, Rodger Marting. Respondent has cross moved to confirm the arbitration award pursuant to CPLR §7511(e) and 9 U.S.C. §9. For the reasons discussed below, the petition to vacate the award is denied and respondent’s cross motion to confirm the award is granted.

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