Tom Kwing Ming Li

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

Mr Li, a solicitor, was instructed by two clients (Ms YQM and Mrs YTL) to make immigration applications for leave/indefinite leave to remain in the UK. He never made or submitted any application, yet repeatedly gave misleading and untrue updates claiming the applications were progressing, fabricated a Home Office/UK Border Agency letter and a residence Vignette, and blamed a fictional 'appointed agent'. Both clients remained in the UK unlawfully for years. He then failed to cooperate with the SRA investigation, requiring two production notices and a High Court order. The Tribunal proceeded in his absence after refusing an adjournment (he had voluntarily absented himself and was medically fit to participate). All allegations, including dishonesty regarding allegations 1.3, 1.4 and 1.5, were found proved beyond reasonable doubt under the Ivey test. With three findings of dishonesty and no exceptional circumstances, the Tribunal struck him off the Roll and ordered him to pay costs of £37,500.00 (reduced from the £41,856.80 claimed).

Duties found breached:

• Not mislead third parties or opponents
• No conflict between current clients
• Cooperate openly with regulators
• Good faith and courtesy to colleagues

Aggravating factors:

• Dishonesty across three allegations
• Conduct spanned many years (dating back to 2004)
• Fabrication of official documents
• Repeated misleading of vulnerable clients causing serious harm (client unable to attend father's funeral or visit sick relative)
• Failure to cooperate with the regulator, requiring High Court enforcement proceedings
• Advanced a false account of a fictional 'appointed agent'