(unnamed respondent)
Allegation / charges
Client Money, Code of Conduct for Solicitors, REL's & RFL's 2019, Money Laundering Regulations, Solicitors' Accounts Rules
Findings — machine-extracted (anthropic-batch:claude-opus-4-8); verify against the decision
Application by a former solicitor (struck off in 2009 after 13 allegations were found proved, six involving dishonesty relating to accounts rules and money laundering breaches) for restoration to the Roll, made some 16 years after strike-off. The original dishonesty findings (applying the Twinsectra test) were upheld on appeal by the High Court in 2010. The Tribunal acknowledged the applicant's approved employment as an immigration caseworker since 2020 under SRA conditions, his training and positive character evidence, but found supervision evidence of limited weight and the gravity of the proven dishonesty an almost insurmountable obstacle. Applying Bolton and Kaberry, the Tribunal refused restoration.
Duties found breached:
- Accounting records, reconciliation and reports
- AML and crime-prevention compliance
- Diligence and timeliness
- No improper communication with the court
- No improper use of client money
- No taking unfair advantage
- Prompt accounting and return of money
- Segregate client money
- Supervise staff and delegated work
Aggravating factors:
- Original misconduct involved multiple findings of dishonesty over a prolonged period
- Dishonesty was premeditated and planned deception
- Restoration would seriously undermine reputation of the profession and public confidence
Codes & rules applied
Duties engaged
- Act only on proper, lawful instructions
- Advise on alternatives, settlement and outcome
- Avoid wasting the court's time
- Cease acting on client perjury or disobedience
- Client-care and engagement terms
- Client confidentiality
- Competence
- Complaints procedure and handling
- Comply with and respect court orders
- Comply with rules of foreign jurisdictions
- Continuity and handover of representation
- Cooperate openly with regulators
- Costs and fee transparency to client
- Diligence and timeliness
- Disclose adverse law to the court
- Disclose material information to client
- Disclose referrals, commissions and benefits
- Fair dealing with unrepresented parties
- Fair, reasonable and lawful fees
- Full disclosure on ex parte applications
- Good faith and courtesy to colleagues
- Handle inadvertently received material
- Hold a current practising certificate
- Honour professional undertakings
- Keep client informed and respond promptly
- Maintain competence and CPD
- Manage conflict arising mid-matter
- No abuse of process or coercive powers
- No acting against a former client
- No baseless or threatened misconduct report
- No conflict between current clients
- No direct dealing with represented party
- No improper benefit, loan or bequest
- No improper communication with the court
- No improper fee-sharing or partnership
- No improper questioning of witnesses
- No improper solicitation or touting
- Non-discriminatory acceptance and cab-rank
- No obstruction or victimisation of reporters
- No own-interest conflict
- No payments to witnesses on evidence
- No personal opinion or familiarity with court
- No prejudicial publicity for pending cases
- No standing bail or surety for client
- No taking unfair advantage
- No tampering with or coaching witnesses
- Not mislead the court
- Not mislead third parties or opponents
- Not misrepresent regulated status
- Pay instructed practitioners and agents
- Professional indemnity insurance
- Proper basis for allegations
- Proper termination and return of instructions
- Prosecutorial duty of disclosure
- Prosecutorial fairness and impartiality
- Protect capacity and vulnerable clients
- Protect legal professional privilege
- Report serious misconduct of others
- Safeguard documents and limit liens
- Self-report to the regulator
- Truthful, non-misleading advertising