Disciplinary Panel Hearing
Case: Dunphys Surveyors [002223] and Paul Simon [6582822], London, WD6
Date: Monday 16 – Friday 27 February 2026
Time: 10:00 hrs GMT
The formal charge against Mr Simon is as follows:
1. Between around 26 September 2022 and 7 March 2024, Paul Simon, in his capacity as Responsible Principal and / or a Director of the Firm, failed to cooperate with RICS in that he failed to provide any or all of the information requested in a timely manner, or at all, in relation to the concerns raised by:
a. RS;
b. JB;
c. PS;
d. SP/ NHG;
e. IB;
f. MT;
g. SOB;
h. DM.
Contrary to Rule 1 of the Rules of Conduct with effect from 2 February 2022.
Mr Simon is therefore liable to disciplinary action under RICS Bye-law 5.2.2(c).
The formal charges against Dunphys Surveyors are as follows:
2. Dunphys Chartered Surveyors failed to carry out its professional work with proper regard for standards of service and customer care expected of it and / or failed to comply with its professional obligations in relation to the following:
a. JB in that the Firm:
i. Failed to pay rent / money owing to JB in a timely manner, or at all;
ii. Failed to pay money collected for insurance to the insurer or JB in a timely manner or at all;
iii. Failed to provide adequate statements relating the property / properties being managed in a timely manner or at all.
iv. Failed to address his complaints or concerns, or those raised on his behalf, adequately, and / or in a timely manner;
v. Failed to ensure deposit(s) for properties no longer managed by the Firm were forwarded as requested within a reasonable time;
vi. Continued to make rent demand(s) after the contract was terminated.
b. PS in that the Firm:
i. Failed to pay rent owing to PS in a timely manner, or at all;
ii. Failed to address his complaints or concerns, or those raised on his behalf, dequately, and / or in a time timely manner;
iii. Failed to provide adequate statements relating the property / properties being managed in a timely manner or at all.
c. NHG / SP in that the Firm:
i. Failed to pay rent owing to NHG in a timely manner, or at all;
ii. Failed to address complaints or concerns raised by NHG adequately, and / or in a timely manner;
iii. Continued to make rent demand(s) after the contract was terminated.
iv. Failed to provide adequate statements relating the property / properties being managed in a timely manner or at all.
d. IB in that the Firm:
i. Failed to pay rent owing to IB in a timely manner, or at all;
ii. Failed to address his complaints or concerns, or those raised on his behalf, adequately, and / or in a timely manner;
iii. Failed to provide adequate statements / information relating the property / properties being managed in a timely manner or at all.
iv. Failed pay / renew insurance in a timely manner,
e. MT in that the Firm:
i. Failed to pay rent / money owing to MT in a timely manner, or at all;
ii. Failed to address her complaints or concerns, or those raised on her behalf, adequately, and / or in a timely manner;
iii. Failed to provide adequate statements relating the property / properties being managed in a timely manner or at all;
iv. Failed to ensure deposit(s) for property / properties no longer managed by the Firm were forwarded as requested within a reasonable time or at all.
f. SOB in that the Firm:
i. In respect of service charge payments paid by or on behalf of SOB, failed to forward these to the new management agent or return them;
ii. Failed to make reasonable efforts to assist with the transfer of management to Llewelyn & co;
iii. Failed to address SOB complaints or concerns adequately, and / or in a timely manner;
g. DM in that the Firm:
i. Failed to pay rent owing to DM in a timely manner, or at all;
ii. Failed to address his complaints or concerns, or those raised on his behalf, adequately, and / or in a time timely manner;
iii. Failed to provide adequate statements / information relating the property / properties being managed in a timely manner or at all.
Contrary to Rules 3 and 5 of the Rules of Conduct for Firms version 6 and/or version 7 / Rule 1 and 3 Rules of Conduct (effective from 2 February 2022)
The Firm is therefore liable to disciplinary action under RICS Bye-law 5.3.2(c).
3. Between 26 September 2022 and 5 October 2023, Dunphys Chartered Surveyors failed to cooperate with RICS in that it failed to provide any or all of the information requested in a timely manner, or at all, in relation to the concerns raised by:
a. RS;
b. JB;
c. PS;
d. SP / NHG;
e. IB;
f. MT;
g. SOB;
h. DM.
Contrary to Rule 1 of the Rules of Conduct with effect from 2 February 2022
The Firm is therefore liable to disciplinary action under RICS Bye-law 5.3.2(c).
4. Between 6 August 2020 and 13 January 2021, Dunphys Chartered Surveyors
failed to cooperate with RICS in that it failed to provide adequate information in
a timely manner that had been reasonably requested by RICS in connection
with a Regulatory Review Visit.
Contrary to Rule 14 of the Rules of Conduct for Firms version 7 with effect from 2 March 2020.
The Firm is therefore liable to disciplinary action under RICS Bye-law 5.3.2(c).
5. Between 2 March 2020 and 14 January 2021 Dunphys Chartered Surveyors
(the Firm) failed adequately to safeguard or preserve the security of clients’ money in that:
a. the following of the Firm’s client accounts did not include the word ‘client’ in
their title:
i. Account no xxxxx507 Dunphys Ltd Management Commission Account;
ii. Account no xxxxx550 Dun re 4 Cressys Corner;
iii. Account no xxxxx597 Dun re 487 London Road;
iv. Account no xxxxx754 Dun re Aqua Technologies Ltd.
b. The Firm failed to evidence that regular bank account reconciliations were undertaken for one or more of its client accounts and/or demonstrate that bank account reconciliations were reviewed by a principal or senior staff member of the Firm in that:
i. It was unable to locate the cashbook within the system it used for
accounting and property management purposes;
ii. It was unable to produce historic ledger balances.
c. The Firm’s client ledger balances disclosed the following ledgers were
overdrawn:
i. PFH and SC service charge -£8,926.43;
ii. The Feathers Chester Street Wrexham Limited service charge - £2,896.23;
iii. Warwool Limited service charge -£6,180.00.
d. The Firm was unable to break down the balance of its Deposit Control
Account to show the funds held for each client.
Contrary to Rule 8 of the Rules of Conduct for Firms version 7 with effect from 2 March 2020.
The Firm is therefore liable to disciplinary action under RICS Bye-law 5.3.2(c).
Anyone wishing to attend should contact:
Jae Berry
Regulatory Tribunal Manager
jberry@rics.org