Andrew Roman Pena

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

Andrew Roman Pena, a solicitor and director at Cubism Limited, admitted dishonestly creating false invoices not reflecting work done and dishonestly transferring client funds (minimum £265,128.60) from client account to office account to meet the Firm's expenses over a nine-month period. He also obtained a £100,000 loan from a family friend (Mrs C) without disclosing the firm's financial issues or ensuring she obtained independent advice. The matter was dealt with on the papers by way of an Agreed Outcome. The Tribunal found the conduct of the utmost seriousness, with express findings of dishonesty, and no exceptional circumstances. He was struck off the Roll and ordered to pay costs of £10,000.

Duties found breached:

• Act in the client's best interests
• Integrity
• No conflict between current clients
• Non-discriminatory acceptance and cab-rank
• Proper basis for allegations

Aggravating factors:

• Misconduct involving client money to a minimum value of £265,128.60
• Conduct took place over a minimum period of nine months
• Respondent held position of trust to clients and the Firm
• Created false invoices to conceal improper transfers
• Obtained £100,000 loan from a family friend without disclosure or independent advice

Mitigating factors:

• Self-reported his misconduct to the Firm's COLP
• Open and cooperative once reported, admitted no one else involved
• Expressed remorse and shame
• Misused client money replaced in full (by other directors/insurers)
• Previously unblemished 27-year career with no prior complaints
• Did not personally benefit, funds used for the firm