Respondent AM
Allegation / charges
Code of Conduct 2011, Code of Conduct for Firms 2019, Code of Conduct for Solicitors, REL's & RFL's 2019, Solicitors Accounts Rules 2011, SRA Authorisation Rules, SRA Principles 2019
Findings — machine-extracted (anthropic-batch:claude-opus-4-8); verify against the decision
Respondent AM, a recognised sole practitioner admitted in 1978, was found (via an Agreed Outcome on the papers) to have committed multiple SRA Accounts Rules and Principles breaches between 2015 and 2022, including failing to keep accounting records and reconciliations, failing to remedy issues raised by reporting accountants (manifest incompetence), failing to keep client money separate, failing to deliver Accountant's Reports, making improper client-to-office transfers, signing an SPA with clauses he could not fulfil, and failing to notify clients of the firm's sale. The SRA withdrew the lack of integrity (Principle 5) allegations as not proportionate. No dishonesty was alleged or found. The Tribunal rejected the parties' proposed 3-month suspension alone as insufficient and imposed a 3-month suspension plus indefinite practice conditions, and ordered costs of £23,000.
Duties found breached:
- Accounting records, reconciliation and reports
- Honour professional undertakings
- No improper use of client money
- Not mislead third parties or opponents
- Segregate client money
Aggravating factors:
- Misconduct continued over a period of time (a number of years)
- Misconduct was repeated
- Respondent was an experienced solicitor with high culpability
Mitigating factors:
- Conduct was inadvertent rather than deliberate
- Full co-operation with the SRA
- Frank and open admissions
- Only one client suffered actual loss
- No allegation or finding of dishonesty or lack of integrity
- No attempt to conceal wrongdoing
- Reliance on bookkeeper who died in 2018; impact of Covid-19 pandemic
- Reported concerns about purchaser to the SRA
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