Michael Kenneth Smith

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

Michael Kenneth Smith, a Recognised Sole Practitioner, allowed unadmitted/unvetted individuals (Mr DSR, a will writer and funder, and Mr NSK) to take control of his firm, which ran an autonomous immigration practice over which he had no supervision or control. He failed to carry out adequate checks before allowing them into the firm, permitted an unauthorised Southall branch, failed his COLP/COFA duties, failed to report material breaches and the theft/clear-out of client files and money to the SRA and police, failed to protect client money and assets, and failed to keep accounting records. Approximately 30 clients raised concerns and about £13,000 was paid from the Compensation Fund. The Tribunal found breaches including lack of integrity (Principle 2) but made no express finding of dishonesty. He was struck off the Roll and ordered to pay costs of £13,547.80.

Duties found breached:

• Integrity
• Act in the client's best interests
• Act only on proper, lawful instructions
• Non-discriminatory acceptance and cab-rank
• No conflict between current clients
• No improper use of client money
• Firm governance, systems and compliance
• Cooperate openly with regulators

Aggravating factors:

• Misconduct took place over a period of time
• Clients were potentially vulnerable due to nature of immigration cases
• Respondent knew or ought reasonably to have known he was in material breach
• Previous disciplinary sanction (one year suspension in 1987)
• Complete disregard for professional responsibilities as sole practitioner, COLP and COFA

Mitigating factors:

• Belatedly took steps to find other immigration solicitors for remaining clients
• Co-operated with the SRA
• Made full and frank admissions in his Answer (though partially resiled)