Richard Harbord
Allegation / charges
Breaches, Code of Conduct 2011, Code of Conduct for Solicitors, REL's & RFL's 2019, Lack of Integrity, Solicitors Accounts Rules 2011, Solicitors Accounts Rules 2019, SRA Authorisation Rules, SRA Principles 2011, SRA Principles 2019
Findings — machine-extracted (anthropic-batch:claude-opus-4-8); verify against the decision
Richard Harbord, a solicitor and partner/COFA at two firms, admitted all allegations: using the client account as a banking facility for his own property sale proceeds (a technical breach as the funds were his own), failing to obtain Accountants' Reports for multiple years for both firms, failing to cooperate with the SRA, and failing in his COFA responsibilities. The Tribunal found breaches of the Accounts Rules and various Principles/Code provisions, including a lack of integrity (Principle 5). It expressly found the conduct was NOT aggravated by dishonesty. The Tribunal did not uphold the alleged breaches of Principle 6 (2011)/Principle 2 (2019) on Allegation 1.1, nor Rule 32A.1(b)/12.1(b). He was fined £8,500 and ordered to pay £40,000 costs, not enforceable without leave given his bankruptcy and uncertain finances.
Duties found breached:
- Accounting records, reconciliation and reports
- Cooperate openly with regulators
- Firm governance, systems and compliance
- Integrity
- No improper communication with the court
- No improper use of client money
- Non-discriminatory acceptance and cab-rank
- Not misrepresent regulated status
Aggravating factors:
- Previous disciplinary findings, including a 2012 finding of breaches of the Accounts Rules - repeated behaviour
- Deliberate failure to cooperate with the regulator over a long period
- Experienced solicitor and COFA who should have been familiar with Accounts Rules
- Conduct continued over a considerable period of time
Mitigating factors:
- Enduring health issues since around 2017 affecting ability to work
- Reduced earnings/inability to pay accountants' fees due to illness
- Full and open admissions and genuine insight
- Cooperation in proceedings via Statement of Agreed Facts
- Bankruptcy and financial difficulties
Codes & rules applied
Duties engaged
- Account for interest on client money
- Accounting records, reconciliation and reports
- Act only on proper, lawful instructions
- Advise on alternatives, settlement and outcome
- 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
- 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
- No improper use of client money
- Non-discriminatory acceptance and cab-rank
- No obstruction or victimisation of reporters
- No own-interest conflict
- No payments to witnesses on evidence
- No personal handling of client money
- 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
- Pay instructed practitioners and agents
- Professional indemnity insurance
- Prompt accounting and return of money
- 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
- Segregate client money
- Self-report to the regulator
- Truthful, non-misleading advertising