found Complaint one:

Transcription

1 Decisions of the Disciplinary Panel Details are published in alphabetical order by surname Member Branch Date of Decision Case Summary Miss 13/11/17 Complaint One: Joanne Briley Beds, Bucks and Herts Miss Briley was instructed to administer an estate. The substance of the complaint was the slowness and lack of information provided regarding the progress of the administration. The beneficiaries made reasonable requests for information which were not met, or were ignored, instructions were not followed and promises made were unfulfilled. Breaches of Code found Complaint one: 2. 5.Courtesy Complaint Two: 5.Courtesy 9. Duty of Care Sanction Reprimand then Exclusion. Fines/ Costs Appeal Miss Briley did not respond to the Society. Complaint Two: Miss Briley was instructed to assist an executor with the administration of an estate and other related matters. There were unnecessary and unexplained delays in the administration of the estate. Ultimately the executor s instructions were withdrawn and following a visit to the

2 Member s office premises a number of concerns were identified. Miss Briley did not respond to the Society. The ISC were concerned that in both matters and based on the available evidence, Miss Briley was working outside of her competence in what it considered to be relatively straightforward matters. They considered Miss Briley had failed to deal with a straightforward probate application in a timely manner despite having been provided with all relevant information. The ISC considered that there had been a total failure to co-operate with the investigation by. They found her lack of engagement disappointing. The failure to communicate with was taken as an indication of a lack of regard for the Society and its guiding principles. In the absence of any attempt by Miss Briley to communicate with, the ISC could not determine what would be achieved in them recommending any sanction other than exclusion.

3 Mrs Fiona Frankland East Midlands 11/10/17 The ISC reviewed a decision by CILEx (Nov 16) which found Ms Frankland had failed to maintain high standards of conduct contrary to principles 1 and 5 of its Code of Conduct. CILEx issued a reprimand, a warning and ordered her to pay costs Exercise of Reprimand Yes Ms Frankland self-reported this matter to. The ISC found Ms Frankland to have breached the Code of Professional Conduct and issued a reprimand & a fine. Ms Frankland appealed the ISC s decision on two grounds: that a procedural irregularity had occurred and that the ISC had based its decision on a misunderstanding of the facts. The Appeal Committee did not find that a procedural irregularity had occurred but did allow the appeal in relation to the second ground. The Appeal Committee reconsidered the case and concluded that Ms Frankland had breached the Code of Professional Conduct in relation to.

4 Mr Adrian Howe Guernsey 12/12/16 The ISC reviewed a decision by Guernsey Financial Services Commission which identified poor governance and falsification of minutes. GFSC fined Mr Howe 10k and disqualified him as a controller & director. Member failed to disclose the SRA investigation and subsequent finding to Exercise of 4. Objectivity 7. Honesty Provision of Information to the Society 13.3(v) Obligation to notify the Society Excluded from membership No Mr David Vahid Humphrey South Australia 07/08/17 The ISC reviewed a decision by the Legal Profession Conduct Commissioner which found Mr Humphrey guilty of Professional Misconduct, issued a reprimand, a fine of AUS$ and ordered him to enter into a professional mentoring agreement. His practising certificate was suspended for six weeks from 25 February 2017 to 8 April Mr Humphrey selfreported the matter. Reprimand and an undertaking that he continue to engage with the professional mentoring agreement and his professional mentor would provide reports to.

5 Mr Kenneth Pope Ottawa, Canada 24/11/16 Mr Pope acts for vulnerable clients and operated a trust account for those clients and retained $29,300 on the trust account and failed to account to his clients for the sums in a timely fashion. The issue was raised by his professional body in 2001 and he was asked to pay out the balances by He failed to keep his systems up to date, lost client ledgers on an computer & and failed to co-operate with the investigation by the Law Society. He continued to practise law whilst under a four month suspension. His professional body then imposed a two month suspension from 1 April 2016 plus an indefinite suspension until he complied with his obligations and disbursed the trust funds. He complied with his obligations and returned to practice on 1 June Exercise of 2.3. Scope of 9.1. Duty of Care 9.3. Identification and segregation of client property 13.3 (ii) Obligation to notify the Society Fine 2000 (or Canadian $) No

6 Ms Sharon Webster (Pallagi) North Yorkshire UK 02/08/16 The ISC reviewed a decision by the SRA which struck off Ms Pallagi for dishonesty. Member failed to disclose the SRA investigation and subsequent finding to. 7. Honesty 9.1. Duty of Care 9.3. Identification and segregation of client property 13.3(ii) Obligation to notify the Society Exclusion No Mr Anthony Reese Whitwell Sussex, UK 14/12/16 The ISC reviewed a decision by the Solicitors Disciplinary Tribunal which Struck off Mr Whitwell for dishonesty and fined him 56,500. Member failed to disclose the SRA investigation and subsequent finding to. 4. Objectivity 7. Honesty 13.3(ii). Obligation to notify the Society Exclusion from membership No