Paul Andrew Smith
Allegation / charges
Breaches, Code of Conduct for Solicitors, REL's & RFL's 2019, Dishonesty, Lack of Integrity, SRA Principles 2019
Findings — machine-extracted (anthropic-batch:claude-opus-4-8); verify against the decision
Paul Andrew Smith, a solicitor at Rotheras with conduct of Client A's personal injury claim (Claim 2), located medical records showing Client A's preference had been an elective Caesarean section, which undermined the claim premised on an intended natural birth. Despite this, he (1) told Client A on 20 September 2022 that he did not have the relevant medical notes and failed to correct this; (2) drafted and filed a witness statement (signed 21 October 2022) for Client A containing untrue information about the availability of her medical records; and (3) on 31 December 2022 emailed the Court and defendants' solicitor falsely stating relevant records could not be located. He admitted all three allegations, including dishonesty and lack of integrity. The Tribunal, dealing with the matter on the papers via an Agreed Outcome, found dishonesty proved and ordered that he be struck off the Roll and pay £7,500 costs.
Duties found breached:
Aggravating factors:
- Conduct was dishonest, directed at his client, other members of the profession, and the Court
- Misconduct was sustained over a number of months
- Caused Client A to sign a Statement of Truth in a witness statement that was untrue, exposing her to risk of contempt of court proceedings
Mitigating factors:
- Respondent admitted all allegations in full, including dishonesty
- Cooperated via an Agreed Outcome
- Evidence of reduced means provided
Codes & rules applied
Duties engaged
- Act only on proper, lawful instructions
- Advise on alternatives, settlement and outcome
- Avoid wasting the court's time
- Cease acting on client perjury or disobedience
- Client-care and engagement terms
- Client confidentiality
- Competence
- Complaints procedure and handling
- Comply with and respect court orders
- Comply with rules of foreign jurisdictions
- Continuity and handover of representation
- Cooperate openly with regulators
- Costs and fee transparency to client
- Diligence and timeliness
- Disclose adverse law to the court
- Disclose material information to client
- Disclose referrals, commissions and benefits
- Fair dealing with unrepresented parties
- Fair, reasonable and lawful fees
- Full disclosure on ex parte applications
- Good faith and courtesy to colleagues
- Handle inadvertently received material
- Hold a current practising certificate
- Honour professional undertakings
- Keep client informed and respond promptly
- Maintain competence and CPD
- Manage conflict arising mid-matter
- No abuse of process or coercive powers
- No acting against a former client
- No baseless or threatened misconduct report
- No conflict between current clients
- No direct dealing with represented party
- No improper benefit, loan or bequest
- No improper communication with the court
- No improper fee-sharing or partnership
- No improper questioning of witnesses
- No improper solicitation or touting
- Non-discriminatory acceptance and cab-rank
- No obstruction or victimisation of reporters
- No own-interest conflict
- No payments to witnesses on evidence
- No personal opinion or familiarity with court
- No prejudicial publicity for pending cases
- No standing bail or surety for client
- No taking unfair advantage
- No tampering with or coaching witnesses
- Not mislead the court
- Not mislead third parties or opponents
- Not misrepresent regulated status
- Pay instructed practitioners and agents
- Professional indemnity insurance
- Proper basis for allegations
- Proper termination and return of instructions
- Prosecutorial duty of disclosure
- Prosecutorial fairness and impartiality
- Protect capacity and vulnerable clients
- Protect legal professional privilege
- Report serious misconduct of others
- Safeguard documents and limit liens
- Self-report to the regulator
- Truthful, non-misleading advertising