Simon James Spencer

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

Simon James Spencer, a solicitor admitted in 1990 and associate partner at Gateley Wareing, acted for a client in civil proceedings against H Ltd. After the original claim was struck out, fresh proceedings were not issued until 5 July 1999. To conceal a delay of roughly two months, the Respondent created/handed his client false documents at a meeting on 20 July 1999: a claim form purportedly issued 5 May 1999, a defence purportedly filed by the opposing solicitors on 19 May 1999, and a court Order purportedly made by 'District Judge Sehdev' on 18 June 1999 (a non-existent hearing). The client's own enquiries to the court revealed no record of the proceedings, leading to a hearing before District Judge Marsh on 30 September 1999. The Respondent accepted responsibility but did not appear at the Tribunal. The Tribunal found all allegations (a)-(e) substantiated (allegation (f), failure to supervise, was withdrawn) and accepted this was a thoroughly dishonest course of conduct. He was struck off and ordered to pay costs of £3,519.13.

Duties found breached:

• Not mislead the court
• Not mislead third parties or opponents

Aggravating factors:

• Creation of multiple false documents including a fabricated court order with a named judge
• Misled his client, his employer and the Court
• Sought to lay blame on an unnamed secretary at the hearing before District Judge Marsh

Mitigating factors:

• Respondent was under pressure at the time
• Employer recorded his previous valuable contribution to the firm
• Accepted responsibility in correspondence with the OSS
• Conduct sought to cover a delay of about two months rather than for personal financial gain