Susan Whitehead
Allegation / charges
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
The SDT, dealing with the matter on the papers by way of an Agreed Outcome, found two admitted allegations against Susan Whitehead, a solicitor admitted in 1974 and partner at Ferguson Bricknell. First, she caused a Lasting Power of Attorney to be filed with the OPG bearing an inaccurate signing date (9 July 2021) she knew was false, having instructed parties not to date it, while also improperly acting as certificate provider for a client (Client A) with impaired cognitive function with whom she had a relationship. Second, she telephoned a hospital and provided a false name to obtain Client A's confidential medical information. She admitted her conduct was dishonest. The Tribunal found striking off the only appropriate and proportionate sanction and approved the agreed outcome, ordering costs of £20,000.
Duties found breached:
Aggravating factors:
- Conduct was dishonest and admitted as such
- Took advantage of a vulnerable client with impaired cognitive function (vascular dementia)
- Acted against the wishes of the client's family
- Conduct occurred just before the client's death
- Improperly acted as certificate provider despite a restriction due to her relationship with the client
Mitigating factors:
- Admitted both allegations
- Cooperated by agreeing the outcome and facts
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