Simon Paget-Brown
Allegation / charges
Breaches, Code of Conduct 2011, Code of Conduct for Solicitors, REL's & RFL's 2019, Failures, Solicitors Accounts Rules 1998, Solicitors Accounts Rules 2019, SRA Principles 2011, SRA Principles 2019
Findings — machine-extracted (anthropic-batch:claude-opus-4-8); verify against the decision
By an Agreed Outcome, solicitor Simon Paget-Brown admitted all allegations arising from his conduct while sole practitioner of Paget-Brown (UK) and sole director of its successor body. He participated in or facilitated transactions for Wraith Capital that bore the hallmarks of advance fee fraud (admitted to be reckless), acted in transactions for a company of which he was a director (own interest conflict), failed to perform an undertaking within an agreed timescale (satisfied only after ~30 months), allowed the client account to be used as a banking facility, and failed to maintain accounting records or obtain accountant's reports for three years. The Tribunal found his culpability high but determined that strike-off was not justified. He was suspended for 12 months with practising restrictions thereafter (including a bar on giving undertakings and holding client money) and ordered to pay agreed costs.
Duties found breached:
- Accounting records, reconciliation and reports
- Honour professional undertakings
- Integrity
- No conflict between current clients
- No improper use of client money
- Non-discriminatory acceptance and cab-rank
- Prompt accounting and return of money
Aggravating factors:
- Recklessness (admitted) in participating in/facilitating advance fee fraud transactions
- Very experienced solicitor with direct control/responsibility for the misconduct
- Was COLP and COFA at the Firm
- Serious and repeated nature of misconduct
- Conduct caused Company C to lose £212,800
- Aware that Mr Donaldson was a convicted fraudster
- Full admission made only a day before the substantive hearing
Mitigating factors:
- Some genuine insight shown by admitting the misconduct
- Misconduct arose in part from deception by a third party (Mr Donaldson)
- Eventually satisfied the undertaking
Codes & rules applied
Duties engaged
- Account for interest on client money
- Accounting records, reconciliation and reports
- 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
- No improper use of client money
- Non-discriminatory acceptance and cab-rank
- No obstruction or victimisation of reporters
- No own-interest conflict
- No payments to witnesses on evidence
- No personal handling of client money
- 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
- Prompt accounting and return of money
- 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
- Segregate client money
- Self-report to the regulator
- Truthful, non-misleading advertising