Brian Sarney

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

Brian Sarney, a recognised sole practitioner and owner of Roger Dean & Co, was found to have made or allowed improper withdrawals and transfers totalling over £255,000 from the client ledgers of two probate estates (Estates A and B) and a conveyancing client (Client C), using the money for unconnected clients and to fund the Firm's tax and salary liabilities. This caused a minimum client account shortage of £232,341.59, which he failed to remedy. He also provided untrue and misleading estate accounts to beneficiaries of Estate A and failed to notify/pay the residuary beneficiary of Estate B. All six allegations were found proved, and dishonesty (admitted at the hearing following consideration of Ivey) was found across the conduct. The Tribunal found no exceptional circumstances and struck him off the Roll, ordering costs of £21,205.30.

Duties found breached:

• Honesty
• Integrity
• No conflict between current clients
• No improper use of client money
• Prompt accounting and return of money

Aggravating factors:

• Dishonesty found as an aggravating feature of allegations 1.1, 1.2 and 1.6
• Repeated conduct over a four-year period
• Improper transfers/withdrawals causing a client account shortage exceeding £200,000 which was not remedied
• Providing untrue and misleading estate accounts to beneficiaries
• Failing to notify a residuary beneficiary of its entitlement, depriving it of its legacy
• Use of client money to prop up the Firm and pay its tax liabilities

Mitigating factors:

• No previous disciplinary matters
• Admitted the factual matrix and breaches throughout proceedings
• Ultimately admitted dishonesty and accepted that striking off was appropriate
• Cooperated by paying remaining funds (including from sale of his property) to the SRA