Simon Charles Belfield & Mark Robert Davies & Judith Read

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

SDT case 11642-2017. Frisby Solicitors Limited had a practice (instigated by directors KD and AB) of withholding cheques for unpaid professional disbursements, retaining client money in the office account for up to 270 days (total withheld cheques £530,713.43). KD and AB resolved their matters via an Agreed Outcome. The First and Second Respondents (solicitors/directors) denied all allegations; the Tribunal found they had no knowledge of the improper cheque retention before taking over the firm in July 2012 and acted with due diligence to rectify the breaches thereafter, so all allegations against them were dismissed with no order for costs. The Third Respondent, Judith Read (Practice Manager and Head of Accounts), admitted all allegations (retention of client money beyond SAR limits, failure to remedy promptly, and failure to act with integrity). The Tribunal found these proved and made a Section 43 Order restricting her employment in the profession, and ordered her to pay costs of £10,610.85 (one fifth of the Applicant's costs). No dishonesty was alleged or found - only lack of integrity.

Duties found breached:

• Handle inadvertently received material
• No improper use of client money
• Proper basis for allegations

Mitigating factors:

• Admitted all allegations from the outset
• Clear and well-developed insight; deep regret
• First to bring the withholding of cheques to the attention of the FIO
• Believed she had discharged her reporting duty by highlighting breaches to KD; only later learned of personal reporting duty
• Cared for elderly mother with dementia; currently unemployed after firm went into administration
• Acted on instructions of senior directors (KD and AB)