David Ebert LLP

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

David Ebert LLP, a recognised body LLP, admitted four allegations: failing to comply with the SRA Transparency Rules 2018 (Rules 1.1 and 2.1) between 16 Sept 2022 and 29 Jan 2023; failing to comply with conditions of authorisation imposed by an SRA Adjudicator on 11 August 2022; failing to have a designated COLP between July 2022 and December 2023; and failing to have a designated COFA between November 2020 and October 2023. The firm breached Principle 2 and various rules. The Tribunal found breaches were not deliberate but caused by a period of transformation, with the firm taking too long to rectify problems. No dishonesty was alleged or found. The matter was resolved by Agreed Outcome on the papers, with a fine of £20,723.20 and costs of £10,000.

Duties found breached:

• Non-discriminatory acceptance and cab-rank
• Competence
• Firm governance, systems and compliance
• No obstruction or victimisation of reporters
• Truthful, non-misleading advertising

Aggravating factors:

• Misconduct continued despite the SRA Adjudicator's finding of breach and imposition of conditions
• Misconduct continued for over four months despite SRA warnings and reminders
• Firm had already been fined £1,300 plus £600 costs for failing to adhere to the Transparency Rules
• COLP breach continued for more than 17 months until a designated and approved COLP was in place
• COFA breach continued for nearly three years until a designated and approved COFA was in place

Mitigating factors:

• Breaches were not deliberate, caused by a period of transformation at the firm
• Firm gained no advantage, financially or otherwise, from the breaches
• No harm caused to any person and no advantage taken of any person
• Firm cooperated fully and was open with the SRA throughout the investigation
• Early admission of the breaches
• Firm has now complied with the Transparency Rules and has the requisite COLP and COFA in place