Stephen Brian Simmons
Allegation / charges
Breaches, Code of Conduct for Solicitors, REL's & RFL's 2019, Dishonesty, Lack of Integrity, SRA Principles 2011, SRA Principles 2019
Findings — machine-extracted (anthropic-batch:claude-opus-4-8); verify against the decision
The Respondent, a solicitor admitted in 1980, failed to disclose his 10 March 2014 bankruptcy order to both his firm (Brightstone Law LLP) and the SRA between March 2014 and June 2020, failed to disclose his 2015 Bankruptcy Restrictions Undertaking, submitted three false Annual Compliance Declarations (2018-2020) denying he had ever entered an IVA, and practised while his Practising Certificate was automatically suspended due to the bankruptcy. The Tribunal found all five allegations proved, including dishonesty on each, applying the Ivey test. His explanations (personal matter, forgetfulness, reliance on unrecorded advice from a deceased accountant) were found not credible. Struck off the Roll; no costs order due to means, age and health.
Duties found breached:
- Good faith and courtesy to colleagues
- Hold a current practising certificate
- No conflict between current clients
- Non-discriminatory acceptance and cab-rank
- Not misrepresent regulated status
Aggravating factors:
- Dishonest conduct
- Deliberate and repeated deception over approximately six years
- Senior and experienced solicitor with prior personal knowledge of bankruptcy implications
- Breach of public trust and lack of integrity
- Potential harm including lack of PII coverage while practising without a valid certificate
- Repeated false declarations on three occasions over three years
Mitigating factors:
- Long career (45 years) as a solicitor
- No complaints about client care
- Partial admission of facts
- Age (75) and health issues
- Limited means
Codes & rules applied
Duties engaged
- Act only on proper, lawful instructions
- Advise on alternatives, settlement and outcome
- Avoid wasting the court's time
- Cease acting on client perjury or disobedience
- Client-care and engagement terms
- Client confidentiality
- Competence
- Complaints procedure and handling
- Comply with and respect court orders
- Comply with rules of foreign jurisdictions
- Continuity and handover of representation
- Cooperate openly with regulators
- Costs and fee transparency to client
- Diligence and timeliness
- Disclose adverse law to the court
- Disclose material information to client
- Disclose referrals, commissions and benefits
- Fair dealing with unrepresented parties
- Fair, reasonable and lawful fees
- Full disclosure on ex parte applications
- Good faith and courtesy to colleagues
- Handle inadvertently received material
- Hold a current practising certificate
- Honour professional undertakings
- Keep client informed and respond promptly
- Maintain competence and CPD
- Manage conflict arising mid-matter
- No abuse of process or coercive powers
- No acting against a former client
- No baseless or threatened misconduct report
- No conflict between current clients
- No direct dealing with represented party
- No improper benefit, loan or bequest
- No improper communication with the court
- No improper fee-sharing or partnership
- No improper questioning of witnesses
- No improper solicitation or touting
- Non-discriminatory acceptance and cab-rank
- No obstruction or victimisation of reporters
- No own-interest conflict
- No payments to witnesses on evidence
- No personal opinion or familiarity with court
- No prejudicial publicity for pending cases
- No standing bail or surety for client
- No taking unfair advantage
- No tampering with or coaching witnesses
- Not mislead the court
- Not mislead third parties or opponents
- Not misrepresent regulated status
- Pay instructed practitioners and agents
- Professional indemnity insurance
- Proper basis for allegations
- Proper termination and return of instructions
- Prosecutorial duty of disclosure
- Prosecutorial fairness and impartiality
- Protect capacity and vulnerable clients
- Protect legal professional privilege
- Report serious misconduct of others
- Safeguard documents and limit liens
- Self-report to the regulator
- Truthful, non-misleading advertising