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Understanding how it all works

I have been in practice since 1982 and understand the pressures solicitors work under. I have run my own firm for 15 years and have an intimate knowledge of every aspect of practice.

I have specialised in solicitors’ regulation for over 20 years and during that time I have advised on virtually every aspect of it. I have appeared as advocate before the Solicitors Disciplinary Tribunal (SDT) on hundreds of occasions and guided the SRA and solicitors through the regulatory process. My experience as an adviser and advocate in this area of practice is substantial and I bring a level of skill and judgment that few can equal.

I was for several years one of the Solicitors Regulation Authority’s senior advocates, advisers and trainers. I now exclusively advise and represent solicitors and their firms in professional difficulty with the SRA or the Legal Ombudsman. The SRA can sometimes be an aggressive investigator requiring answers to complex questions in short time periods. Equally, they need dealing with openly and straightforwardly and I can help ensure the correct information is provided in the right way.

Defending an SRA investigation can be burdensome and worrying, and I can help ease that.

I am approachable and knowledgeable and I understand exactly how the SRA works and investigates. I also have a comprehensive understanding of how the SDT works and how it deals with hearings. You cannot learn how to do this from a text book.

How I can help

I can offer expert advice together with supportive and robust representation at any stage of the disciplinary or investigatory process, including the following:

  • Advising during the course of an SRA or a Legal Ombudsman investigation;
  • Advising you during an SRA interview;
  • Helping you prepare written responses to investigatory letters from the SRA and from the Ombudsman;
  • Helping you deal with allegations of breaches of the SRA Principles, SRA Accounts Rules, dishonesty, frauds, conflicts of interest, breach of undertaking, improper use of a client account, money laundering;
  • I have particular experience in dealing with allegations of mortgage and advance fee frauds, involvement in questionable or dubious transactions, and the use of client account to provide a banking facility;
  • Advising you how to deal with an SRA prosecution, and how one may be avoided or compromised;
  • Representing you before the Solicitors Disciplinary Tribunal;
  • Advising you on appeals from the SRA Tribunal to the High Court.

I will work flexibly and collaboratively with you, in whatever is your preferred way to suit your objective and budget.


Solicitors Disciplinary Tribunal

SRA Investigations

SRA Disciplinary Powers

SRA Reports

Regulatory Settlement Agreements and Agreed Outcomes

Unusual & Questionable Transactions

New Dishonesty Test

Legal Ombudsman Investigations

SRA Interviews and Letters

Disclosure Obligations to the SRA

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