Richard Paul Roberts

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

Richard Paul Roberts, a sole practitioner, faced six allegations of breaches of the Solicitors' Accounts Rules and the Code of Conduct arising from an SRA investigation. His practice was in dire financial difficulty; he retained office money in client account and used it for office expenses and drawings, and retained in office account over £167,000 paid by clients for professional disbursements (including counsels' fees) which he failed to pay promptly or at all. He also failed to disclose his December 2010 bankruptcy to the SRA. The Tribunal found all six allegations substantiated, found dishonesty proved on allegation 1.3 (retention of disbursement monies) but not on allegation 1.2. With no exceptional circumstances, he was struck off the Roll and ordered to pay costs of £8,151.50.

Duties found breached:

• Disclose adverse law to the court
• No improper use of client money
• Prompt accounting and return of money
• Accounting records, reconciliation and reports
• Diligence and timeliness

Aggravating factors:

• Significant client account shortage of at least £167,278.90
• Long-standing conduct, some unpaid disbursements dating back to 2007
• Betrayal of trust of clients and professionals owed fees
• Client account effectively used as a second office account

Mitigating factors:

• No previous disciplinary matters
• Admitted facts and all allegations except dishonesty on 1.2
• Candid with the investigation officer about his motives
• Difficult personal financial circumstances including bankruptcy and unemployment