The Tribunal found that Mr Darby did not provide a sufficient response to communications from a successor adviser during early 2009. His response was only provided in September 2009, after the TDB had received a complaint from a client and the TDB had written to the defendant. The Tribunal found that such conduct was plainly discourteous and unprofessional. The Tribunal also found that the member had failed to disclose all information which might be needed to enable the successor adviser to decide whether or not to accept instructions from the complainant.
The Tribunal decided that Mr Darby should be censured and pay a fine of £250 on each of the proven charges. Mr Darby was also ordered to pay costs in the sum of £3,338.
