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Below are current findings. Unless otherwise directed by the Adjudication Panel, any disciplinary determination made against an individual or firm, will remain listed on the CLC website for the duration of any suspension, disqualification, or other sanction, subject to a minimum of 2 years from the date of publication
[wptb id="5218" not found ]Entity/Individual | Code breaches | Date of enforcement notice and penalty | Enforcement notice |
Malcolm McLean | Breaches of the CLC's Code of Conduct, Accoutns Code, AML and CTF Code | 14 February 2024 Discqualification from employment and/or consultancy roles with any CLC licensed body. See also outcome of appeal to the Adjudication Panel | |
Nelson McLean Limited | Breaches of the CLC's Code of Conduct, Accounts Code, AML and CTF Code, Management and Supervision Arrangements Code | 14 February 2024 | |
James Keogh | Breaches of the: Code of Conduct Transaction Files Code | 24th March 2022 Financial penalties totalling £5,000 Disqualification from holding any post or role in any CLC Licensed or Recognised Body. | |
James Keogh | Breaches of the: Code of Conduct | 21st September 2021 Financial Penalty: £25,000 | |
Stratega Law Ltd | Breaches of the: Code of Conduct Conflicts of Interest Code Complaints Code Estimates and Terms of Engagement CodeAnti-Money Laundering and Combating Terrorist Financing Code Accounts Code Supervision and Management Code | 31st August 2021 Financial Penalties: £204,943.90, made up of £106,012.50 + £98,931.40 (VAT exclusive), in respect of overcharging on files. | |
Germaine Spence | Breaches of the Code of Conduct | 6th January 2023 | |
Convey Law Ltd | Breaches of the Code of Conduct | Financial Penalty: | |
HB Property Legal Ltd | Breaches of the CLC’s Anti-Money Laundering and Combatting Terrorist Financing Code and the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (as amended) | 24th November 2021 |
You can read the CLC’s Regulation and Enforcement Policy (including clauses on the publication of determinations) here