Alan Roy Brown

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

The SRA applied to withdraw two allegations against solicitor Alan Roy Brown concerning failures to provide complete/accurate information in professional indemnity insurance applications over indemnity years 2008/09 to 2013/14. The parties agreed a Regulatory Settlement Agreement under which the Respondent admitted breaching Principle 7 (failing to ensure complete and accurate PII information and providing information he knew or ought to have known was incorrect), accepted a rebuke, and agreed to pay £4,000 costs. The Tribunal permitted the matter to proceed by way of RSA, allowed the allegations to be withdrawn, and ordered the Respondent to pay £4,000 costs as agreed. No express finding of dishonesty was made; the Tribunal made no substantive sanction finding, the rebuke being a term of the out-of-tribunal RSA.

Mitigating factors:

• Non-disclosures resulted from carelessness rather than intentional conduct
• Insurers confirmed they would not have offered cover on a different basis had they known the undisclosed matters
• Clients were not necessarily exposed to risk and the firm gained no advantage
• Respondent recognised the importance of PII cover and undertook to disclose all material facts in future