Solicitor Avoids Strike Off before SDT despite allegation of dishonesty.

Solicitor Avoids Strike Off before SDT despite allegation of dishonesty.

Steve Roberts represented a Solicitor before the Solicitors Disciplinary Tribunal (“SDT”) in relation to an allegation of professional misconduct as a result of dishonestly amending a handover note.

FACTS OF THE CASE

The client was a Private Client Solicitor. In late 2022, the Solicitor had taken over the case load of a colleague who was taking extended leave. Prior to going on leave, the colleague had prepared a hand-over note. By the following September, the Solicitor had unfortunately failed to mitigate CGT on one of his colleagues files.  In later noting that the colleague had indicated the CGT mitigation was needed in their hand-over note, the Solicitor deleted the relevant section to give the misleading impression that the colleague had not made reference to the CGT mitigation in their handover note. The solicitor was later confronted by his supervisors about the amended note and immediately confessed what had taken place and gave immediate apologies to all involved.

A report was made to the Solicitors Regulation Authority (“SRA”) by the Solicitor’s employers which ultimately led to a referral to the SDT with allegations being made relating to dishonesty, lack of integrity and failing to uphold the trust and confidence the public places in the profession.

WORK CONDUCTED

The Solicitor admitted all of the allegations and our Steve Roberts represented him at a sanction hearing before the SDT. Steve Roberts sought to persuade the Tribunal that the specific facts of the case were such that it fell into one of the small residual category of cases where a striking off of the Roll was not necessary in the circumstances. In advance of the hearing, we had been able to submit skeleton arguments, statements of reflection and mitigation along with detailed character references.

OUTCOME

Having considered the mitigation bundle and Steve Robert’s oral representations, the panel were persuaded that the case did not require the Solicitor to be Struck Off of the Roll of Solicitors and instead suspended him from practice for a period of 2 years followed by practising conditions for a further period of 2 years once the suspension had concluded.

If you have a similar case and would like advice from our specialist professional disciplinary lawyers please contact our SRA regulatory team for assistance.