(unnamed respondent)

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

Nancy Ballard, a solicitor acting as executrix of an estate, appealed under s.44E of the Solicitors Act 1974 against an SRA rebuke (with publication and £1,350 costs), upheld by an Adjudication Panel, for failing to competently and timely administer the estate of Mrs D and failing to communicate adequately with the beneficiary. The appeal was by way of review, not rehearing. The Tribunal, applying the review test, held that the Adjudicator's findings were justified and the decision to impose a rebuke rather than a warning fell within the bounds of reasonable disagreement, notwithstanding the absence of findings under Principles 2 and 6 and no finding of dishonesty. The appeal was dismissed and the Appellant ordered to pay costs of £5,138.88.

Duties found breached:

• Avoid wasting the court's time
• No improper communication with the court
• No conflict between current clients
• Competence

Aggravating factors:

• Substantial and unexplained delay (death February 2019, probate not granted until August 2024, distribution still incomplete)
• Impact upon the beneficiary
• Previous regulatory history including a warning issued 29 May 2024

Mitigating factors:

• No dishonesty, personal gain or breach of public trust
• Difficult circumstances including obtaining documentation from Iran
• Effects of the Covid-19 pandemic
• Threatening conduct directed at the Appellant by an individual associated with the beneficiary
• Genuine concerns regarding possible lifetime gifts and HMRC reporting obligations