Solicitors Disciplinary Tribunal

What is the Solicitors Disciplinary Tribunal?

The Solicitors Disciplinary Tribunal (SDT) is constituted as an independent, statutory tribunal under The Solicitors Act 1974. It is independent of the Solicitors Regulation Authority (SRA).

A solicitor (and their firm) can be referred to the SDT by the SRA or an adjudicator for alleged misconduct and a regulatory breach.

Advice has been given to major law firms, medium-size practices, and sole practitioners on a range of issues that include acting with integrity, acting in the best interests of clients, and various compliance issues including conflicts of interest, self-reporting, mortgage fraud and financial services.

Following a period of relative calm, the SRA has undertaken a flourish of activity in respect of high-risk investment fraud, a legal financing fund and escrow services for an insurance guarantee loan scheme.

Who can be Referred to the Solicitors Disciplinary?

According to the SRA, the Solicitors Disciplinary can make decisions on solicitors, registered European and foreign lawyers, authorised bodies and their managers and employees, and employees of sole practitioners.

The Solicitors Disciplinary Process

1. The SRA prosecute cases before the tribunal or instruct an external solicitor to do so.
2. Relevant parties, including the firm’s contact and the local law society, are notified about the referral.
3. Additional information and evidence are collected by the SRA.
4. A statement of allegations is prepared, which is sent to the Solicitors Disciplinary Tribunal.
5. If the SDT decides there is a case to answer, they will notify you and provide you with the statement and evidence.
6. The SDT hearing takes place. We recommend attending this hearing with an expert SRA barrister who has knowledge of your case. The SDT will make a decision, usually immediately, after which the findings are made public.
7. You can appeal the decision to the High Court.

Solicitors Disciplinary Tribunal Cases

Jeremy Barnett’s recent cases have involved escrow accounts (£30m +), CMC regulator issues, Insurance premium fraud and Legal funding (axiom). He has been instructed in the following solicitors disciplinary tribunal cases:

• Re A – Escrow account for £30m Brazil Eco Housing Scheme [SRA]
• Re B – Firms who were funded by collapsed Cayman Island £100m Axiom Legal Financing Fund [SRA]
• Re C – Escrow account for Insurance guarantee loan scheme [SRA]
• Re D and E – Various CMC issues with the Claims Management Regulator [MOJ]. Data protection and PPI additional claims
• Re F – Director Disqualification [BIS]
• Re G – Advice on Fraud Compliance Regulatory Processes for major private company

Solicitors Disciplinary Tribunal Decisions

In 2011, expert SRA barrister Jeremy Barnett secured a great result on a case at The SDT involving the largest ARP and run-off cover in which there had been a default on record. No payments had been made towards the total due of approximately £2m following the Administration of Sheffield firm, AMS Law.

Follow the link for more details on this solicitors disciplinary tribunal case.

Jeremy has also appeared in the following High Court solicitors disciplinary tribunal decisions on interventions:

• Esdon v Law Society High Court.  March 2015 Application to withdraw Intervention.
• High Court decision March 2016 in Ramasamy v Law Society

Expert SRA Barrister

Jeremy Barnett represents a number of firms of solicitors and individual partners and other members of staff faced with investigations by the SRA. He is an expert SRA barrister with extensive experience with solicitors disciplinary tribunal cases.

If you need legal advice in regards to SRA investigations and solicitors disciplinary tribunal decisions, please get in contact.