Thomas Steel

Findings — machine-extracted (anthropic-batch:claude-opus-4-8); verify against the decision

Thomas C Steel, sole executor and solicitor of an estate, was found guilty of professional misconduct for failing or unduly delaying for over nine years in winding up the executry of AM, in particular the marketing and sale of the deceased's Nithsdale Road flat occupied by a beneficiary. The Tribunal found breaches of Rules B1.4 and B1.9 but expressly no dishonesty or lack of integrity. The Tribunal censured him and directed that for an aggregate period of three years his practising certificate be restricted to acting as a qualified assistant under an approved employer, finding censure or a fine alone insufficient to address public protection and risk of repetition. He was found liable in the expenses of the Complainers and Tribunal (taxed on agent and client basis, unit rate £14.00, no figure stated), and publicity including his name was ordered.

Duties found breached:

• Act in the client's best interests
• Good faith and courtesy to colleagues
• Safeguard documents and limit liens

Aggravating factors:

• Ongoing course of conduct over a long period (over nine years)
• Conduct affected the reputation of the legal profession
• Direct impact on the estate and residuary beneficiaries (bank fees, penalties, deteriorating property, falling value)
• Previous findings of unsatisfactory professional conduct and professional misconduct on record
• Failed to follow advice obtained from the Law Society's Professional Practice Team
• Failed to market property by deadline agreed at SLCC mediation

Mitigating factors:

• Cooperated with the Fiscal and the Tribunal
• No dishonesty or lack of integrity involved
• Complex and nuanced executry (competing beneficiaries, Broomhill litigation, LH's failure to engage)
• Firm has since engaged a qualified assistant to manage private client work; managing partner aware of supervision needs
• Respondent ultimately rectified the situation by winding up the estate