Mark Robert Westwood
Allegation / charges
Code of Conduct for Firms 2019, Code of Conduct for Solicitors, REL's & RFL's 2019, Lack of Integrity, SRA Principles 2011, SRA Principles 2019
Findings — machine-extracted (anthropic-batch:claude-opus-4-8); verify against the decision
Mark Robert Westwood, a solicitor admitted in 1985 and consultant at Cavendish Legal Group/O'Neill Patient Solicitors, was found to have acted in five conveyancing transactions between September 2016 and October 2020 where there was a conflict of interest (the borrower being himself or an immediate relative) and to have failed to disclose to lender clients material information about that relationship, contrary to the UK Finance Lenders Handbook. The matter was resolved by agreed outcome on the papers. The SRA was permitted to withdraw the denied Principle 2/Principle 5 (integrity) breaches and the aggravating factor of recklessness. The Tribunal expressly found no dishonesty and noted genuine remorse, early admissions, full co-operation and remedial action. Conduct was assessed at the top of Fine Band Level 3. He was fined GBP 12,500 and ordered to pay costs of GBP 19,670.
Duties found breached:
Mitigating factors:
- No dishonesty
- Genuine remorse and insight into his failings
- Open and frank admissions from the earliest opportunity
- Full co-operation with the regulator throughout the investigation
- Took considerable remedial steps, including attending courses specific to the issue
Codes & rules applied
Duties engaged
- Act only on proper, lawful instructions
- Advise on alternatives, settlement and outcome
- AML and crime-prevention compliance
- 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
- File and record retention
- Firm governance, systems and compliance
- 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
- Orderly wind-down and contingency cover
- 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
- Supervise staff and delegated work
- Truthful, non-misleading advertising