Roy Hunt

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

Roy Hunt, a solicitor's clerk operating a financial advice business under the firm Hill Jones, faced three allegations of breaching the Solicitors' Investment Business Rules and Practice Rules. Applying the criminal standard of proof, the Tribunal found allegations (i) and (ii) (conducting investment business while unqualified and failing to comply with safeguards) not substantiated, as evidence of false execution-only disclaimers was insufficient. Allegation (iii) was substantiated: the Respondent facilitated the firm's receipt of over £47,000 in commissions in breach of Rule 10. The Respondent did not appear. A regulatory Section 43 order was made restricting his employment, and he was ordered to pay costs of £1,240.85.

Duties found breached:

• No conflict between current clients