Misconduct

We are specialist misconduct lawyers who advise and act for senior executives facing allegations of financial misconduct, professional misconduct, harassment and discrimination. We provide senior executives/partners/LLP members with advice when accused of misconduct, assisting them through internal processes and act for them when the matters become contentious.

Our lawyers have extensive experience in advising individuals regulated by the FCA, SRA, BSB, the GMC and other regulatory authorities and can provide appropriate regulatory advice regarding the implications of alleged misconduct.

We can accompany senior executives/partners/LLP members to investigatory and disciplinary meetings and call for us to be present if not initially permitted. As misconduct lawyers, we also robustly challenge the investigation and disciplinary processes to ensure that our clients can obtain a fair hearing and outcome. Given the team’s experience as advocates we are particularly well-placed to challenge and examine the evidence in detail and provide mock cross-examination sessions to those under scrutiny.

As misconduct lawyers, we also advise companies and other institutions on the management of the disciplinary process, and, where instructed, conduct investigations on their behalf, producing privileged or non-privileged reports as appropriate. Our significant forensic ability and experience in financial and legal institutions makes us the perfect choice for managing the process of investigations.

Examples of recent work undertaken by us includes:

• Acting for a CEO of a finance house facing an internal investigation on breach of confidentiality policies, including advising him on his FCA regulatory status under the Senior Managers and Certification Regime. Farore Law successfully challenged the employer’s internal investigation processes and managed to secure a settlement for an  undisclosed amount.
• Advising a senior equity partner of a Big 4 professional services firm facing an internal investigation on bullying and harassment, including advising him on his own potential race discrimination claims against the firm. Farore Law managed to secure a settlement for an undisclosed amount.
• Acted for a President of a listed and regulated company in a multi-million-pound whistleblowing claim concerning allegations of fraud and misrepresentation and involving Respondents based in offshore jurisdictions. The matter was settled for an undisclosed amount. As part of the settlement agreement, the employer exceptionally agreed to set aside findings of gross misconduct against our client, leaving our client free to make his own disclosures to the FCA
• Acting for an NHS doctor in a whistleblowing and sexual harassment claim against an NHS Trust. Our client is facing parallel GMC disciplinary proceedings (arising from the NHS Trust making findings of gross misconduct against our client), which have been stayed pending the outcome of the Employment Tribunal proceedings.
• Conducting a wide-ranging internal investigation for a global retail company, in relation to allegations of repeated sexual harassment.
• Advising Partner of a magic circle firm accused of sexual harassment of younger female members of his team; advising him strategically throughout the internal process and providing “mock-cross examination” services ahead of the disciplinary hearing.