Anbananden Sooben

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

Anbananden Sooben, sole principal, COLP and COFA of Duncan Ellis Solicitors, faced allegations arising after an SRA investigation and intervention. The Tribunal found proved that he failed to disclose the ongoing SRA investigation to his professional indemnity insurer (Allegation 1.1.1), breached multiple SRA Accounts Rules including a £9,120 client account shortage and failures in reconciliations, records and cashbook (Allegation 1.3), and failed to supervise staff at the Colliers Wood branch where an unadmitted caseworker (Mr Lingajothy) operated with virtually no oversight (Allegation 1.4), with recklessness found as an aggravating feature. Allegations 1.1.2 and 1.2 were not proved. Dishonesty was expressly NOT found. He was suspended for 9 months with indefinite conditions on practice thereafter and ordered to pay costs of £35,000 (reduced from £41,319).

Duties found breached:

• Proper basis for allegations
• Integrity
• Act in the client's best interests
• No improper use of client money
• Accounting records, reconciliation and reports
• Firm governance, systems and compliance
• Report serious misconduct of others

Aggravating factors:

• Recklessness established as an aggravating feature of the supervision failure (Allegation 1.4)
• Experienced solicitor who should have known conduct breached professional obligations
• Very little insight into the seriousness of failings
• Sought to deflect responsibility by blaming the SRA
• Acted out of financial self-interest, accepting £42,895 in cash between July 2022 and July 2023
• High culpability; retained direct control as sole principal
• Abdication of responsibility as manager, COLP and COFA

Mitigating factors:

• No clients suffered loss
• Continued to pay run-off insurance cover to protect clients
• 17 years of practice with an unblemished regulatory record
• No previous disciplinary matters
• No client complaints during years of practice
• Accepted room for improvement in accounting matters

⚠ figures not found verbatim in the source were dropped: ["review_dishonesty_finding_cue_present"]