Andrew P Appels & Another

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

The First Respondent, a solicitor, and the Second Respondent, a solicitor's clerk, were found to have received undisclosed referral payments (commissions) from an orthopaedic surgeon for referring clients for medical reports, without disclosing or accounting to clients for commissions over £20. The First Respondent admitted the allegations; he received around five small payments (under £100 total) and never received money directly, while the Second Respondent received over £9,000 between 1998 and 2004. The Tribunal expressly stated there was no allegation of dishonesty against the First Respondent and fined him £1,000 plus £1,737 costs. The Second Respondent (who did not appear) was made subject to a Section 43(1)(b) order restricting his employment by solicitors except with Law Society permission, and ordered to pay £1,737 costs.

Duties found breached:

• Disclose referrals, commissions and benefits
• No improper solicitation or touting

Aggravating factors:

• Failure to disclose arrangement to clients or partners
• Conduct continued over a period of time (1998 to 2001/2002 for First Respondent)

Mitigating factors:

• Early and straightforward acceptance of responsibility by First Respondent
• Courage in attending the Tribunal in person
• Very small sum of money received a long time ago
• Acted under the influence of a more experienced colleague
• Young and naive at the relevant time
• Highly regarded in subsequent employment per references
• Prompt resignation from the firm
• Had suffered severe depression requiring medical intervention and counselling
• Lost his job, home, wife and most of his assets