Thomas Steel

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

Thomas C Steel, sole executor of a deceased's estate, was found guilty of professional misconduct for unduly delaying the winding up of the executry over more than nine years, particularly in failing to market and sell the deceased's Nithsdale Road flat where a beneficiary lived. The Tribunal found breaches of Rules B1.4 and B1.9.1. No dishonesty or lack of integrity was found. The Tribunal censured the Respondent and imposed a three-year aggregate restriction on his practising certificate limiting him to acting as a qualified assistant under an approved employer, plus liability for the expenses of the Complainers and Tribunal (taxed), with publicity naming the Respondent.

Duties found breached:

• Avoid wasting the court's time
• No improper communication with the court
• Act in the client's best interests

Aggravating factors:

• Ongoing course of conduct over a period exceeding nine years
• Conduct affected the reputation of the legal profession
• Direct financial impact on the estate and residuary beneficiaries (bank fees, penalties, deterioration of property)
• Previous findings of unsatisfactory professional conduct and professional misconduct on his record
• Failed to follow through on SLCC mediation settlement to market the property by January 2019

Mitigating factors:

• Cooperated with the Fiscal and the Tribunal
• No dishonesty or lack of integrity
• The executry was complex and nuanced (competing beneficiary interests, LH's failure to engage, shortfalls on properties)
• Estate ultimately wound up and situation rectified in 2021
• Firm has now engaged a qualified assistant and supervision arrangements are in place