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2.09.22

The SRA, sexual misconduct cases and the new financial penalty regime

The Solicitors Regulation Authority (SRA) recently made a statement about the applicability of its new financial sanctions regime to allegations of sexual misconduct. What has been said? That cases involving sexual misconduct, discrimination or harassment, financial penalties will only be considered in ‘exceptional circumstances’. What has changed? The short answer is very little. On 20…

13.01.22

Seeking the costs of an unsuccessful regulatory prosecution: when can a costs order be made against the SRA?

Under Rule 43 of the Solicitors (Disciplinary Proceedings) Rules 2019, the Solicitors Disciplinary Tribunal (SDT) may make such an order as to costs as it thinks fit.  The SDT is required to consider (a) the conduct of the parties and whether any or all of the allegations were pursued or defended reasonably, (b) whether the…

21.06.19

Solicitor struck off for “deliberately and excessively” overcharging clients

Solicitor Keith Smart has been struck off the roll by the Solicitors Disciplinary Tribunal (‘SDT’) after a finding that he had ‘deliberately and excessively’ overcharged his clients and failed to follow the regulator’s accounting procedures. The Solicitors Regulatory Authority (‘SRA’) had cause to investigate Mr Smart (who was working as a sole practitioner and COLP…

18.06.19

Solicitor sanctioned for inadvertently aiding fraudulent football club bid

Richard Quinn of Riley Hayes Solicitors has been fined £5,000 by the Solicitors’ Disciplinary Tribunal (‘SDT’) for making reckless misrepresentations in a letter utilised in a fraudulent bid to purchase Hartlepool United Football Club (‘HUFC’). The investigation into Mr Quinn’s conduct followed the conviction of ‘Mr M’, a business man and former director of Swindon…

Solicitor struck off the roll for “effectively stealing” from counsel and experts

A sole practioner and solicitor since 1998 has been struck off the roll by the Solicitors Disciplinary Tribunal (‘SDT’) having retained funds owed to experts and counsel, over a number of years. The Solicitors Regulatory Authority (‘SRA’) investigated Martyn Brown after questions were raised following the filing of a Qualified Accountant’s Reports.  An inspection was…

21.03.19

Solicitor fined for loaning money to client at 60% interest

The Solicitors Disciplinary Tribunal (‘SDT’) has fined Richard Barca (of Wilson Barca LLP) £20,000 and ordered him to pay £26,000 in costs after regulatory proceedings were instigated against him for loaning £27,000, with an interest rate of 60% per annum, to a vulnerable client who stood to lose her property and livelihood. Mr Barca was…

16.05.18

Solicitor struck off for unintentionally aiding criminal activity

Neil Bolton has been struck off the roll of solicitors in disciplinary proceedings that followed his conviction and nine months’ imprisonment for seven counts of failing to comply with Money Laundering Regulations and one count of failing to disclose information in the Regulated Sector. The criminal and disciplinary proceedings came as a result of an…

15.12.17

Solicitor struck off for ‘outrageous plundering’ from vulnerable client

The Solicitors Disciplinary Tribunal (‘SDT’) have struck of Mr Stephen Acres and awarded £70,000 in costs to the Solicitors Regulation Authority following sustained misappropriation from the accounts of an ‘elderly and extremely vulnerable client’. Background Mr Acres (‘the Respondent’), a former partner of Stanley De Leon, obtained a Lasting Power of Attorney (‘LPA’) in 2013…

1.07.17

Solicitor sanctioned by SRA for misleading client

The Solicitors Regulation Authority (‘SRA’) have reached a Regulatory Settlement Agreement with a solicitor who erroneously lead a client to believe that court proceedings had been issued in their matter. John Mitton, a former director of PG Legal Limited, was instructed by an unnamed client in relation to an employment dispute with a recruitment agency…

22.12.16

High-Yield Investment Scheme Warning for Solicitors

The Solicitors Regulation Authority (‘SRA’) have reiterated their warning that firms should not become involved in the running of High-Yield Investment Schemes.  The notice follows five matters heard before the Solicitors Disciplinary Tribunal (‘SDT’) since October 2016.  One of the most recent cases is that of Mr Mandeep Dhariwal, an equity partner of Lawcommercial Trading…