William Joseph Harris

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

William Joseph Harris, a sole practitioner and COLP/COFA/MLRO/MLCO at William Harris Solicitors, admitted widespread and fundamental failures to comply with the MLRs 2017 and SRA Accounts Rules over six years, including dishonestly confirming to the SRA in December 2019 that his firm had a compliant Firm Wide Risk Assessment when it did not. He failed to check the source of funds for 63 conveyancing clients (£8.8 million), had inadequate customer due diligence, failed to return £101,932.41 in residual client balances to 54 clients, and failed to obtain timely Accountant's Reports. The Tribunal, dealing with the matter on the papers under an agreed outcome, found the admissions properly made, permitted withdrawal of the alternative recklessness allegation, and ordered that the Respondent be struck off the Roll and pay costs of £29,775.84.

Duties found breached:

• No conflict between current clients
• No improper use of client money
• Accounting records, reconciliation and reports
• Firm governance, systems and compliance
• Good faith and courtesy to colleagues

Aggravating factors:

• Admitted dishonesty in a very serious example given his position as solicitor and COLP in a high-risk area, in response to a direct regulatory inquiry
• Dishonesty not corrected of his own volition and exacerbated by presenting a document during the investigation that was clearly not a FWRA
• Systemic and widespread non-compliance over the six years of his sole practice
• Firm left vulnerable to money laundering/terrorist financing with £8.8 million in unverified funds
• Actual harm to clients deprived of over £100,000 in residual balances for years, some beneficiaries elderly and dying before payment
• Knew or ought to have known conduct materially breached obligations to protect the public and profession
• Highly experienced solicitor (admitted 1980)

Mitigating factors:

• Admitted all allegations
• Cooperated by entering into an agreed outcome
• Commented that he struggled as a sole practitioner particularly after a colleague stopped working with him