Roger Paul Jackson & Second Respondent & Third Respondent

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

SDT case 11921-2019. The First Respondent, Roger Paul Jackson, was found to have fabricated telephone attendance notes, caused a false Notice of Funding indicating ATE insurance to be filed, failed to take out ATE insurance, failed to inform clients their claims were stayed/struck out, and failed to disclose his connection to M&S Vehicle Hire (his wife's company). The Tribunal made express findings of dishonesty against him on allegations 1.2, 1.4, 1.7, 1.8 and 1.9 and ordered he be struck off the Roll, paying costs of £40,681.84. The Second Respondent (COLP) was found to have breached Principle 7 (failure to report/cooperate) and to have lacked integrity in failing to inform a client (AS) of the firm's failings; fined £10,000 plus £20,340.91 costs (the Principle 2 allegation on 2.2 was dismissed). The Third Respondent was found to have lacked integrity over the undisclosed M&S connection but several allegations were dismissed; fined £4,000 (reduced from £7,501 for means) plus £6,780.30 costs. Total costs claimed were £67,803.05, apportioned 60/30/10.

Duties found breached:

• Not mislead the court
• No improper communication with the court
• Integrity
• Uphold public trust in the profession
• Act in the client's best interests
• Non-discriminatory acceptance and cab-rank
• No own-interest conflict

Aggravating factors:

• Proven dishonesty
• Deliberate and calculated conduct continuing over time
• Concealment of failings by fabricating attendance notes
• Breach of trust as clients' advisor
• Two previous Tribunal appearances (including a prior 6-month suspension)
• High culpability; motivated by personal gain and self-protection

Mitigating factors:

• For Second Respondent: 44 years unblemished record, ensured clients suffered no financial loss, cooperation, conduct in early days of compliance regime
• For Third Respondent: relative inexperience, reliance on First Respondent, no further allegations, updated firm systems, cooperation - least culpable