BU v DG LCRO 276 / 2011 (6 November 2013) - Penalty Decision [pdf, 219 KB]
...application was the subject of a decision issued from this office dated 17 September 2013 (the substantive decision) which made a finding of unsatisfactory conduct against Mr DG in respect of breaches of Rules 2.3, 2.7 and 2.10 of the Conduct and Client Care Rules.1 Mr DG was found to have used the complaints process for an improper purpose. This decision deals with penalty and costs now that both parties have filed submissions. [2] The details surrounding the complaint are set ou...