Alexander Mullen
Employee
817312

Decision - Employee-related decision

Outcome: Control of non-qualified staff (Section 43 / Section 99 order)

Outcome date: 11 September 2023

Published date: 12 October 2023

Firm details

Firm or organisation at time of matters giving rise to outcome

Name: Carpenters Limited

Address(es): Leonard House, Scotts Quays, Birkenhead, CH41 1FB

Firm ID: 625845

Outcome details

This outcome was reached by SRA decision.

Decision details

Summary of decision

The SRA has disqualified Mr Mullen with immediate effect from holding any of the following roles in law firms regulated by the SRA:

• Head of Legal Practice
• Head of Finance and Administration
• A manager
• An employee.

Reasons/basis

The facts of the case

Mr Mullen, who is not a solicitor, was employed by Carpenters Limited of Leonard House, Scotts Quays, Birkenhead, CH41 1FB between 23 July 2012 and December 2020.

Mr Mullen acted on behalf of a claimant in relation to a road traffic accident matter. On or about 12 June 2020, Mr Mullen filed (or caused to be filed) with the court and purported to serve on the defendants a claim form that was supported by particulars of claim and medical evidence. The particulars of claim was verified by a statement of truth signed by Mr Mullen.

Mr Mullen did this even though his client, the claimant, had not seen a copy of the particulars of claim and had not approved and had previously raised issues with an expert report relied upon.

In doing so, it was found that Mr Mullen breached Principles 2, 4 and 5 of the SRA Principles 2019. He was found to have been dishonest.

Other information

Our decision on sanction

Mr Mullen’s conduct breached relevant duties that applied to him as an employee of the firm, namely SRA Principles 2, 4 and 5 (2019).

It was found that it would be undesirable for him to act as a head of legal practice, head of finance and administration, a manager or an employee of a body licensed in accordance with section 99 of the Legal Services Act 2007.

Mr Mullen was disqualified from holding any of these roles.

Mr Mullen was also ordered to pay the SRA’s costs of £1,360.

Principle 2 You act in a way that upholds public trust and

confidence in the solicitors' profession and in legal services provided by authorised persons.

Principle 4 You act with honesty

Principle 5 You act with integrity