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Regulatory Notices

2017

Disciplinary Committee - Record of Decision - Pankhurst February 2017

Disciplinary Consent Order - Simmons, Vincent 09 March 2017
Disciplinary Committee Rule 23 Pre-hearing Notice - Pankhurst, Ian Michael 16 February 2017
Disciplinary Consent Order - Neill, Gareth 04 October 2016Disciplinary Consent Order - Neill, Gareth 04 October 2016Disciplinary Consent Order - Elliott, Janette 04 October 2016


Disciplinary Consent Order - Fox, Thomas 04 October 2016




Disciplinary Consent Order - Rusling, Gareth David 26 July 2016


Membership Cessation - Sharma, Gagen 30 June 2016
Disciplinary Committee Rule 23 Pre-hearing Notice K W Pattullo






Disciplinary Committee - Record of Decision - Rooney, Keith Gerard - 19 April 2016

Disciplinary Committee Rule 23 Pre-hearing Notice G K Rooney


Licence Withdrawal Order - Pankhurst, Ian - 15 April 2016

Disciplinary Consent Order - Kienlen, Michael - 26 January 2016

2015
Disciplinary Consent Order - Allen, Mark - 20 August 2015



Disciplinary Consent Order - Neill, Gareth - 20 August 2015

Disciplinary Consent Order - Allen, Mark - 20 August 2015Disciplinary Consent Order - Neill, Gareth - 20 August 2015


Disciplinary Consent Order - Hatch, Frank A - 19 May 2015

Disciplinary Consent Order - Howorth, Michael - 19 May 2015Disciplinary Consent Order - Bowell, Michael - 10 March 2015






Disciplinary Consent Order - Allen, Mark - 12 March 2015

Disciplinary Consent Order - Allen, Mark - 12 March 2015

Disciplinary Consent Order - Allen, Mark - 10 April 2015

2014 Investigation Committee Consent Order - Fillmore, Malcolm - 30 July 2014

Disciplinary Consent Order - Bowers, Andrew - 13 August 2014Investigation Committee Consent Order - Playford, Jamie - 26 August 2014

Disciplinary Consent Orders
DISCIPLINARY CONSENT ORDER
10 October 2014
PURSUANT TO RULE 5 OF THE IPA INVESTIGATION COMMITTEE RULES


Robert Adamson, of Wakefield, England an IPA Member and Licensed Insolvency Practitioner.

This order is made in respect of a complaint, by the successor liquidator, that Mr Adamson breached the fundamental principle of professional competence and due care, as he:
  1. failed to comply with the provisions of the Insolvency Rules 1986 (as amended) in relation to advertising (Rule 4.54) and convening a meeting of creditors (Rules 4.57 and 4.114 (1)) for the removal of the liquidator;
  2. failed to investigate the directors’ conduct and accurately calculate the prescribed part.
Additionally he breached the fundamental principle of professional behaviour in that he failed as soon as reasonably practicable to hand over information to the successor liquidator to allow him to perform his duties (although the information has since been provided).

Accordingly Mr Adamson was found liable to disciplinary action under the IPA’s Articles of Association.

The Investigation Committee decided to impose a disciplinary order that Mr Adamson be reprimanded, pay a fine of £5,000 and make a contribution towards the costs.


DISCIPLINARY CONSENT ORDER
10 October 2014
PURSUANT TO RULE 5 OF THE IPA INVESTIGATION COMMITTEE RULES


Jamie Playford, of Norfolk, England, an IPA Member and Licensed Insolvency Practitioner.
This order is made in relation to a complaint, by a creditor, that Mr Playford in his role as Liquidator,

  1. breached the fundamental principle of professional behaviour by failing to communicate with a creditor in a professional manner;
  2. breached the fundamental principle of professional competence and due care by failing to verify the validity and basis for the Company’s move to MVL.
Accordingly Mr Playford was found liable to disciplinary action under the IPA’s Articles of Association.

The Investigation Committee decided to impose a disciplinary order that Mr Playford be reprimanded, pay a fine of £3,000 and make a contribution towards the costs.


DISCIPLINARY CONSENT ORDER
12 October 2014
PURSUANT TO RULE 5 OF THE IPA INVESTIGATION COMMITTEE RULES

Alan Adie, of Aberdeen, Scotland, an IPA Member.

This Order is made in relation to a complaint, by the Accountant in Bankruptcy, that Mr Adie

  1. breached the fundamental principle of integrity by failing to behave in a straightforward, honest and professional manner when communicating with the AiB in relation to its concerns about the status of 28 identified Protected Trust Deeds
  1. breached the fundamental principle of competence and due care by failing to
    1. look after the interests of, and communicate with debtors, creditors and the AiB in relation to the status of Trust Deeds;
    2. complete and submit the required statutory documents to the AiB to close the Trust Deeds and obtain his discharge;
    3. retain the Sederunt book in relation to the Trust Deeds.
  1. breached the fundamental principle of professional behaviour by failing to
    1. complete (as referred to in paragraph 2 above) his statutory duties as Trustee of the Trust Deeds;
    2. comply with his undertaking to transfer all of his insolvency work to another Insolvency Practitioner prior to giving up his licence to practice.
Accordingly Mr Adie was found liable to disciplinary action under the IPA’s Articles of Association.

The sanction imposed reflected an acknowledgement of the fact that Mr Adie no longer held a licence and some of the failings took place some years ago. However, it was also noted that he had specifically been given time to transfer his cases prior to relinquishing his licence in 2009.

The Investigation Committee decided to impose a disciplinary order that Mr Adie be reprimanded, pay a fine of £500 and make a contribution towards costs.


DISCIPLINARY CONSENT ORDER
11 November 2014
PURSUANT TO RULE 5 OF THE IPA INVESTIGATION COMMITTEE RULES


Peter Kubik, of London, England an IPA Member and Licensed Insolvency Practitioner.

This Order is made in relation to a complaint from the former employees of a company that Mr Kubik, in his role as Liquidator, breached the fundamental principle of competence and due care by failing to communicate with employees in an accurate and professional manner and providing misleading information, to the detriment of the employees, regarding the quantum of payments that the Redundancy Payments Office would pay them.
Accordingly Mr Kubik was found liable to disciplinary action under the IPA’s Articles of Association.
The sanction reflects the decision that the breach in itself did not indicate serious misconduct; it was a training issue for Mr Kubik’s staff. However, the complaint is aggravated by the fact that the member had not taken responsibility. The provision of accurate information to employees is fundamental and if there has been a mistake it should be acknowledged and quickly rectified, this was not done in this case.
The Investigation Committee decided to impose a disciplinary order that Mr Kubik be reprimanded, pay a fine of £500 and make a contribution towards costs.


LICENCE WITHDRAWAL ORDER

8 December 2014
PURSUANT TO RULE 16 OF THE IPA MEMBERSHIP AND AUTHROISATION COMMITTEE (M&A) RULES

Frank Hatch, of Dudley, West Midlands, England.

This order is made in relation to the M&A Committee’s decision to withdraw Mr Hatch’s insolvency licence. It was found that he had ceased to be a fit and proper person to act as an insolvency practitioner because he failed to co-operate with the inspection process and implement the recommended changes to his practice in relation to numerous deficiencies both operational and compliance related.


Consent Order

Complaint against Graham Wild, Insolvency Practitioners Association Member and Licensed Insolvency Practitioner

CONSENT ORDER PURSUANT TO RULE 5 OF THE INVESTIGATION COMMITTEE RULES

On 18 April 2014 the Investigation Committee found a prima facie case of misconduct against Graham Wild in respect of a Complaint that he breached SIP16, specifically that he;
  1. failed to explain what the Company did, how it became insolvent and entered into administration
  2. failed to provide details of valuations
Accordingly Mr Wild, in his role as Administrator, is liable to disciplinary action under Article 66
The Investigation Committee decided to impose a disciplinary order that Mr Wild be reprimanded, pay a fine of £2,000, and costs.



Investigation Committee
Consent Order
Complaint against Rosalind Hilton, Insolvency Practitioners Association Member and Licensed Insolvency Practitioner.

CONSENT ORDER PURSUANT TO RULE 5 OF THE INVESTIGATION COMMITTEE RULES

On 10 December 2013 the Investigation Committee found a prima facie case of misconduct against Ms Hilton in respect of a Complaint that she had breached SIP 16 in that she:
a. failed to provide all of the required information in her initial disclosure; and
b. failed to provide a full disclosure within the timeframe envisaged by Dear IP 42 as being SIP 16 compliant.

Accordingly Ms Hilton is liable to disciplinary action under Article 66.
The Investigation Committee decided to impose a disciplinary order that Ms Hilton be reprimanded, pay a fine of £2,000 and costs.


Investigation Committee

Consent Order
Complaint against Robert Smailes, Insolvency Practitioners Association Member and Licensed Insolvency Practitioner
CONSENT ORDER PURSUANT TO RULE 5 OF THE INVESTIGATION COMMITTEE RULES

On 29 October 2013 the Investigation Committee found a prima facie case of misconduct against Robert Smailes in that he breached the fundamental principle of professional competence and/or integrity and/or objectivity and/or professional behaviour of the IPA’s ethics Code for members, in that
  1. an incorrectly filed moratorium, for which he was responsible, prevented a third party creditor from completing their High Court Enforcement process. The Committee was concerned that there was clear evidence that by signing the moratorium, the third party’s position would be damaged and result in the loss of their security
  1. he failed to comply with the requirements of SIP 3 by conducting insufficient investigations to satisfy himself that the proposal was capable of implementation
Accordingly Mr Smailes is liable to disciplinary action under Article 66.
The Investigation Committee has decided to impose a disciplinary order that Mr Smailes be reprimanded and ordered to pay a fine of £4,000 and costs.


Investigation Committee
Consent Order
Complaint against Ian Pankhurst, Insolvency Practitioners Association Member and Licensed Insolvency Practitioner
CONSENT ORDER PURSUANT TO RULE 5 OF THE INVESTIGATION COMMITTEE RULES
On 29 October 2013 the Investigation Committee found a prima facie case of misconduct against Mr Pankhurst in respect of a referral from the IPA’s Membership & Authorisation Committee that he had drawn remuneration in excess of that which he was entitled. The overdrawn amount was identified during a monitoring inspection visit and immediately refunded, being the result of a clerical error. It was agreed that Mr Pankhurst had breached the fundamental principle of professional competence and due care.

Accordingly Mr Pankhurst is liable to disciplinary action under Article 66.
The Investigation Committee decided to impose a disciplinary order that Mr Pankhurst be reprimanded.


 

Investigation Committee
Consent Order
Complaint against Simon Atkins, Insolvency Practitioners Association Member and Licensed Insolvency Practitioner.
CONSENT ORDER PURSUANT TO RULE 5 OF THE INVESTIGATION COMMITTEE RULES
On 17 September 2013 the Investigation Committee found a prima facie case of misconduct against Mr Atkins in respect of a Complaint that he breached SIP 3 and the IPA’s Code of Ethics, specifically the fundamental principle of professional competence and due care, in that he:

  1. failed to act upon the early receipt of confirmation that the debtor’s IVA proposal would be rejected; and
  2. failed to provide the debtor with copies of correspondence with HMRC.


Accordingly Mr Atkins is liable to disciplinary action under Article 66.

The Investigation Committee decided to impose a disciplinary order that Mr Atkins be reprimanded, pay a fine of £3,000 and costs.


 

Investigation Committee
Consent Order
Complaint against Gareth Neill, Insolvency Practitioners Association Member and Licensed Insolvency Practitioner. CONSENT ORDER PURSUANT TO RULE 5 OF THE INVESTIGATION COMMITTEE RULES On 30 July 2013 the Investigation Committee found a prima facie case of misconduct against Gareth Neill in respect of a Complaint that he breached SIP3, specifically that he:

  1. breached Part 4.3(a)(xi) of SIP3 by failing to obtain independent confirmation of a secured creditor’s support for the proposed IVA.
  2. As a consequence of this breach, Mr Neill is liable to disciplinary action under Article 66.
  3. The Investigation Committee has decided to impose a disciplinary order that Mr Neill be reprimanded, pay a fine of £2,500 and make a contribution of £500 towards the costs. The fine and costs shall be payable within 20 business days of the date of this Order.
  4. Mr Neill has consented to the making of this Order. The Order is made on the date it is signed by the Chairman/Vice Chairman of the Investigation Committee.
  5. This Order will be published in accordance with Investigation Committee Rule 5.6



Investigation Committee
Disciplinary Consent Order

Complaint against Darren Brookes and Gary Corbett (as joint appointment holders)
Insolvency Practitioner Association Members and Licensed Insolvency Practitioners
CONSENT ORDER PURSUANT TO RULE 5 OF THE INVESTIGATION COMMITTEE RULES


On 11 June 2013 the Investigation Committee found a prima facie case of misconduct against Darren Brookes and Gary Corbett in respect of a Complaint that they:

  1. have breached the provisions of Statement of Insolvency Practice 16 (“SIP16) by failing to:
    • disclose the source of the introduction;
    • disclose full details of the valuations undertaken;
    • disclose background information and why the Company was in financial difficulty;
    • make reference to alternative courses of action such as CVA and liquidation so it is not clear if these options were explored;
    • provide information on the rationale and justification for a pre-packaged sale and why it was in the best interests of creditors; and
    • state clearly that the sale is a pre-packaged sale
  2. Accordingly Messrs Brookes and Corbett are liable to disciplinary action under Article 66
  3. The Investigation Committee has decided to impose a disciplinary order that Messrs Brookes and
    Corbett receive:
    1. a severe reprimand;
    2. a fine of £4,000; and
    3. make a contribution of £250 towards the costs.
    The fine and costs shall be payable within 20 business days of the date of this Order.
  4. Messrs Brookes and Corbett have consented to the making of this Order.

Investigation Committee
Disciplinary Consent Order

The Investigation Committee (‘The Committee’) issued a Disciplinary Order by way of Consent against John Neil Harrison (of Durham, England) pursuant to Committee Rule 5, on 15 May 2013. Mr Harrison was found liable to disciplinary action under Article 66.1.1 by reference to his conduct when acting as Supervisor of an IVA. He was found to have breached fundamental principle (e) (‘professional behaviour’) of the IPA Ethics Code for Members by failing to respond to correspondence in a timely manner, and fundamental principles (a) (‘integrity’) and (e) (‘professional behaviour’) by issuing a notice of intended dividend and then failing to pay the dividend or retract the notice, as a result of which, creditors were misled. He was further found to have breached Paragraph 8.1 of Statement of Insolvency Practice 3 by failing to explain, in reports to creditors, how and why he had exercised his discretion in relation to the IVA. Mr Harrison was reprimanded and fined the sum of £1,500.
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