Keith Smart

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

Keith Smart, a sole practitioner solicitor, admitted 11 allegations including 8 counts of dishonesty involving systematic overcharging of six probate estates by at least £168,772.83 over 19 months and attempting to mislead the SRA's Forensic Investigation Officer on multiple occasions. He also failed to maintain proper accounts, made round sum transfers and allowed debit balances on client account. The Tribunal, dealing with the matter on the papers by Agreed Outcome, found dishonesty proved and ordered that he be struck off the Roll and pay costs of £20,151.64. Allegation 1.12 was withdrawn.

Duties found breached:

• Proper basis for allegations
• No improper communication with the court
• No improper use of client money
• Accounting records, reconciliation and reports
• Account for interest on client money

Aggravating factors:

• Highly experienced solicitor of nearly 40 years; COLP and COFA
• Systematic overcharging of 6 probate estates by some £168,772.83 over 19 months
• Deliberate and intentional misconduct, benefitting the Respondent to detriment of executors and beneficiaries
• Concealed overcharging by not sending bills to executors
• Misled the FIO on three separate occasions during investigation
• Four estates had not been repaid the excess costs

Mitigating factors:

• Loss of experienced cashier and catastrophic failure in firm's accounts system
• Spent £10,000 instructing accounting software company to bring books up to date
• Replaced shortage in estates of CM and MJP (some £77,000) by 21 May 2018
• Felt under pressure during interview but admitted he had lied when pressed
• Loss of reputation and standing; family impact (two children employed at firm)
• Profound apology expressed to those affected (mitigation put forward by Respondent but not endorsed by SRA)