Robert has a wealth of experience acting for firms and individuals in all aspects of Solicitors’ Professional Discipline & Regulation. Robert's primary work consists of providing defence representation in SRA investigations and SDT proceedings, early engagement with the SRA (self reports) and advising firms on compliance. Robert joined Murdochs' team in 1995.
Chambers & Partners UK 2024 - 'Robert Forman possesses a strong reputation within the legal services regulatory sector, due to his excellent track record of defending legal professionals in SDT proceedings. He is also adept at helping firms avoid SRA intervention following solicitor misconduct. "Robert is extremely knowledgeable and understanding. He's quick to identify the key facts and mitigating factors to present." "He gives down-to-earth advice from the beginning to end alongside excellent client care and support.""Robert is pragmatic and does not shy away from difficult conversations."
Legal 500 UK 2024 - ‘Robert Forman is a leader in his field of Solicitors Professional Standards and Regulations, in particular his expertise in professional discipline and regulation. He has very personable qualities, putting the client at ease especially when they face vulnerable situations in relation to conduct and ethics, or regulation issues.’
Robert represents firms, individual solicitors and other legal professionals in regulatory investigations and disciplinary proceedings. Robert also provides regulatory compliance advice to firms and individuals, including COLPs and COFAs. Robert also has experience acting for barristers in proceedings brought by the Bar Standards Board, legal executives in CILEx Regulation investigations, licensed conveyancers before the CLC Adjudication Panel, and taxation professionals (CIOT/ATT) appearing before the Taxation Disciplinary Board tribunal. Robert also has experience before the Conduct Committee of the House of Lords.
Robert is co-author of The Solicitor's Handbook (Law Society Publishing) and writes Practice Notes for Practical Law's 'Law Firm Practice Compliance & Management' provision (Thomson Reuters).
Robert has delivered a number of seminars and webinars on Solicitors Regulation, Professional Discipline & Professional Indemnity Insurance for, among others, The Law Society and MBL Seminars, and has written for Practical Law, Lexis, The Law Society Gazette and other legal journals.
Robert sits on The Law Society's Regulatory Processes Committee, has sat on the Solicitors Disciplinary Tribunal's Users Group and was appointed as external advisor to the SRA Compensation Arrangements Review 2012-2014 to give insight from a Defence Practitioner’s perspective. He is a member of the Lawyers Defence Group, the Solicitors Assistance Scheme and the Association of Regulatory & Disciplinary Lawyers. His work comprises:
- Representation in SRA investigations
- Defence at the Solicitors Disciplinary Tribunal
- Appeals from the SDT to the Administrative Court
- Appeals to the SDT from decisions of the SRA
- Representation and advice when seeking to avoid SRA Intervention
- Appeals to the High Court against SRA Intervention
- Self-reports to the SRA
- Written Opinions and Advice on the SRA Standards & Regulations 2019, Legal Services Act 2007 & Solicitors Act 1974
- SRA Practising Certificate issues
- Admission to the Roll and the Suitability Test
- Advising firms, COLPs and COFAs on Compliance
- Voluntary Practice Closures
- SRA Authorisation for Authorised and Licensed Bodies (ABS)
- Successor Practice issues
- Reports for the purposes of insurance renewal
- Professional indemnity insurance coverage disputes
- Partnership disputes
- Representations against the publication of regulatory decisions
- Legal Ombudsman complaints
Robert qualified as a solicitor in 1997.
Examples of some of Robert’s cases :
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- House of Lords Conduct Committe [2024] Period of suspension for Lord decided by Conduct Committee reduced following representations
- SRA : SRA v B [2024] Successful appeal against SRA decision to impose a Fixed Financial Penalty on a firm
- SRA : SRA v L [2024] SRA reverses decision following finding that firm breached Sanctions regulations.
- SRA : SRA v D [2024] SRA Authorised Decision Maker persuaded that SRA Investigation Officer was wrong in law, rejects SRA recommended outcome, and upholds our recommended outcome.
- SRA : SRA v J [2023] SRA investigation of solicitor concluded with no further action following complaint of sexual misconduct
- PII coverage investigation [2023] Insurer's claim settled by mediation
- Written Successor Practice advice issued to firm in relation to acquisition of part of large firm [2023]
- SRA : SRA v F [2023] SRA investigation of firm concluded with no further action following complaint of dishonesty by LeO.
- SRA : SRA v A [2023] Written advice to firm enabling them to act contrary to the direction of the flawed decision of the SRA
- SRA : SRA v H [2023] SRA investigation of firm concluded with no further action following complaint of having misled a court and serious litigation misconduct
- SRA : SRA v I [2023] SRA investigation of solicitor concluded with no further action following complaint of breach of undertaking.
- SRA : SRA v L [2023] SRA investigation of firm concluded with no further action following large-scale theft from client account.
- SRA : SRA v K [2023] SRA investigation of solicitor concluded with no further action following complaint of having acted in conflict of interest.
- SRA: SRA v R [2023] SRA investigation of solicitor concluded with no further action following judicial finding of sexual discrimination.
- SRA : SRA v P [2023] SRA investigation of solicitor concluded with no further action following complaints of sexual misconduct
- SRA : SRA v J [2023] SRA investigation of solicitor concluded with no further action following judicial criticism of having misled a Tribunal
- SRA : SRA v A [2023] SDT fine issued by Agreed Outcome in respect of a solicitor admitting AML and Accounts Rules breaches.
- SRA : SRA v M [2023] SRA investigation of solicitor concluded with no further action following caution for Assault
- SRA : SRA v M [2023] Acting for firm given notice of recommended referral to the SDT arising from AML breaches following a 2 year + investigation. Following representations, the SRA decided not to refer, overturning the caseworker's recommendation.
- SRA : SRA v R [2022] Acting for firm referred to the SDT following a judicial complaint. Following representations, the SRA reviewed and revoked the decision to refer.
- SRA : SRA v C [2022] Acting for an equity partner reported to the SRA by a large firm for a serious conflict of interest and concealing it. Investigation closed with no further action.
- SRA : SRA v J [2022] Acting for an equity partner of large firm in cross-complaints by partner and firm to the SRA. SRA decision to investigate the firm, not the partner.
- SRA : SRA v L [2022] Investigation into firm with c.£1m shortfall on client account closed without sanction (issue of warning). Acting for firm in ensuring prompt indemnification by insurer to avoid intervention.
- SRA : SRA v A [2022] Investigation into firm of solicitors trading for more than two years without SRA Authorisation - investigation closed with no further action save a Letter of Guidance.
- SDT : SRA v C [2022] Successfully defending a firm prosecuted by the SRA in the SDT alleged to have acted in conflict of interest in a fraudulent transaction. Allegation found not proven.
- SRA : SRA v R [2022] Acting for a firm in successfully avoiding an SRA intervention. The SRA officer's recommendation to intervene not being upheld by the SRA Adjudication Panel.
- SRA : SRA v S [2022] Acting for a large firm in a complex 3-year investigation into a purported fraudulent investment scheme. Investigation closed without sanction or publicity.
- SRA/BSB : [2022] Advising a University on the compliant establishment of an LLP providing services to the public under SRA and BSB rules.
- SRA : [2022] Advising an unregulated entity employing solicitors on the conduct of work falling short of reserved instrument activities.
- SDT : SRA v O and T [2021] Successfully negotiated an Agreed Outcome for a firm, its COLP and MLCO resolving by way of agreed fine and limited costs serious breaches of the Money Laundering Regulations.
- SRA : SRA re W [2021] Acting for a medium-sized firm in a number of concurrent but separate SRA investigations into acting in a fraudulent transaction, breach of a court order by the firm, and failure to account to a client for money over several years, all closed with no further action.
- SRA : SRA [2021] Acting in a 3-year investigation concerning alleged sexual misconduct of a high profile solicitor - vehemently denied - no further action taken by the SRA.
- SRA : SRA re G [2020] Successfully representing an experienced solicitor alleged to have acted dishonestly in fraudulent commercial property investment scheme - Investigation closed with no further action.
- SDT : SRA v K [2020] Successfully defending a senior partner in a 5-day hearing at the Tribunal hearing multiple allegations of dishonesty, acting without integrity, recklessness and other rule breaches following two judicial findings of dishonesty. All allegations dismissed.
- SDT : SRA v J [2020] Successfully defending an experienced solicitor alleged to have acted dishonesty, without integrity and recklessly in misleading a court, opponent, client and her employer. All allegations dismissed
- SDT : SRA v B [2020] Successfully defending an experienced solicitor, former counsel, initially in SRA investigation and then subsequent SDT proceedings. Agreed Outcome reached at the SDT including withdrawal of allegations. Dishonesty allegations dropped at investigation stage.
- SRA: SRA re B [2020] Successfully representing Magic Circle senior partner - Internal investigation re alleged fraud concluded with no further action by firm or European regulator.
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Examples of leading cases in which Robert has acted :
- Admin Ct : Solicitors Regulation Authority v MacGregor [2018] EWHC 3058 (Admin) - Acting for the Respondent in an SRA appeal against SDT sanction
- Admin Ct : Solicitors Regulation Authority v Naylor [2018] EWHC 3058 (Admin) - Acting for the Respondent in an SRA appeal against SDT sanction
- Court of Appeal : Solicitors Regulation Authority v Kadurugamuwa [2018] - Successfully resisted SRA application for permission to appeal.
- Admin Ct : Solicitors Regulation Authority v Kadurugamuwa [2017] EWHC 2245 (Admin) – Successfully defended SRA appeal against SDT sanction
Publications :
Co-author of The Solicitor's Handbook, editions 2024, 2022 and 2019, contributor to previous editions. Robert authors the chapters on SRA Investigations, SRA Interventions, the SRA Accounts Rules, Compliance Officers, Professional Indemnity Insurance, Practising Certificate controls, Control of non-solicitor employees and consultants, and the Legal Ombudsman.
You can contact Robert at the following email address:
robertforman@murdochslaw.com