Sam Themis

Findings — machine-extracted (anthropic-batch:claude-opus-4-8); verify against the decision

Sam Themis, sole equity member, COLP, COFA and MLRO of ST Solicitors LLP, faced five allegations arising from two forensic investigation reports following an anonymous report and intervention into the firm on 28 August 2019. The Respondent did not attend; the Tribunal proceeded in absence under Rule 36 SDPR, satisfied of proper service. On allegation 1.1, the Tribunal found that on 4 February 2019 the Respondent failed to protect Client C's money (a shortfall existed on nine occasions, with a minimum shortage of c.£34,487 on 27 December 2018; he had to pay £16,000 into client account to complete), breaching Principles 4, 6, 10 and Rule 1.2, and found recklessness proved (applying Brett v SRA / R v G). Allegation 1.2 alleged unallocated client-to-office transfers (£5,000 on 5 June 2019 and £34,500 on 13 June 2019) advanced on the basis of dishonesty, alternatively recklessness. The supplied text is truncated before findings on allegations 1.2-1.5, any express dishonesty finding, and the sanction. The Respondent was declared bankrupt in 2019 and did not hold a current practising certificate.

Duties found breached:

• Act in the client's best interests
• Good faith and courtesy to colleagues
• Integrity
• No conflict between current clients
• Non-discriminatory acceptance and cab-rank
• Not misrepresent regulated status
• Segregate client money
• Uphold public trust in the profession