Sarah Joanne Crompton

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

Sole practitioner First Respondent admitted failing to supervise staff, failing to act in the best interests of lender client TMB, providing a misleading statement (in a probate/Will matter) and failing to provide material information (on a PII proposal form). Conveyancing transactions involved undisclosed back-to-back sales, options in favour of F Finance and deposits not passing through the firm's account. The Tribunal found he showed a 'lamentable dereliction of duty' and insufficient probity but made no express finding of dishonesty (he denied dishonesty and the Tribunal did not find it). He was suspended for 12 months and ordered to pay £20,000 costs (not enforceable without permission given his means). The Second Respondent, an unadmitted employee, was made subject to a s.43 order and ordered to pay £16,000 costs. The First Respondent's appeal was later dismissed by Haddon-Cave J.

Duties found breached:

• Not mislead third parties or opponents
• Act in the client's best interests
• No conflict between current clients
• Handle inadvertently received material
• Supervise staff and delegated work

Aggravating factors:

• Employed Mr H (a suspended barrister) without any background checks and failed to dismiss him after discovering the suspension, allowing further client harm
• Failed to check the Second Respondent's employment history (she had been dismissed for misconduct by a prior firm)
• Signed Certificates of Title without checking files, placing lender clients at risk
• Provided a misleading statement in a probate dispute with potentially serious consequences
• Exposed PII insurers to risk by not disclosing pending SRA investigation
• Was currently a partner in another firm without control over supervision/management

Mitigating factors:

• Self-reported Mr H to the SRA and police and cooperated with investigations
• Monies repaid to affected clients
• Medical evidence of stress and difficult personal circumstances (ill health of wife)
• Character reference provided
• Took remedial steps: probationary periods, case management system, office/HR manuals; satisfactory SRA monitoring visit
• No previous disciplinary matters