Gavin Howe
If you have a problem with or complaint about a solicitor or law firm, you have the right to complain. If you are in England and Wales, the Solicitors Regulation Authority (SRA) insists that solicitors and firms report serious breaches of their rules and that the public, clients, and others inform them when rules are broken. If you are in Scotland, you can complain to the SLCC, an independent body that provides a free, fair, and impartial service. You can also complain about someone else's solicitor if their poor service or behaviour has affected you. If you are unhappy with how the Law Society handled your complaint, you can complain to the SLCC within 6 months of the decision being made.
| Characteristics | Values |
|---|---|
| Who can report a solicitor | The public, clients, and other solicitors |
| Reasons to report a solicitor | Taking unfair advantage, failing to act in the client's best interests, failing to safeguard against money laundering, seriously reckless or incompetent behaviour |
| Organisations to report a solicitor to | Solicitors Regulation Authority (SRA), Legal Ombudsman, Information Commissioner's Office, Scottish Legal Complaints Commission (SLCC), Law Society of Scotland, Scottish Solicitors' Discipline Tribunal, Citizens Advice |
| Actions taken by regulatory bodies | Investigating the complaint, putting conditions on a solicitor's licence, referring to a disciplinary tribunal, suspending or striking off a solicitor, closing down a firm |
| Steps before reporting | Raise concerns with the solicitor or their firm, read guidance and case studies about reporting a solicitor, contact the firm's client relations manager |
| Additional information | Reports must be made within a certain time frame, usually 12 months but extended to 3 years for services starting on or after 1 April 2017 |
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What You'll Learn
Reasons to report a solicitor
If you are unhappy with a solicitor or their firm, you have the right to complain. There are several reasons why you may want to report a solicitor to the Law Society. Firstly, solicitors must uphold high professional standards and adhere to the rules and regulations set by the Solicitors Regulation Authority (SRA). If a solicitor seriously breaches these rules, it may be necessary to report them. This includes misleading the court or others, such as providing false information about the progress of a case or the evidence involved.
Another reason to report a solicitor is if they take unfair advantage of a client or others. For example, persuading someone without legal representation to sign an unfair settlement agreement, making them believe they do not need independent legal advice. Similarly, solicitors should act in the best interests of their clients. If a solicitor puts their interests or those of another client first, this may be grounds for a report.
Failing to safeguard against money laundering is also a serious issue. Solicitors must take the necessary steps to protect their clients' financial interests. If a solicitor engages in seriously reckless or incompetent behaviour that puts a client, their money, or their case at risk, this may be a reason to report them. This could include a pattern of behaviour that consistently jeopardises the client's interests.
Finally, if a solicitor fails to comply with a final court order or decision, this may warrant an investigation by the SRA. However, it is important to note that the SRA does not usually investigate solicitors for non-compliance with court directions in ongoing cases, as the court typically handles these matters.
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How to report a solicitor
If you are unhappy with your solicitor or their firm, you have the right to complain. The solicitor or firm must inform you of their complaints procedure and how you can complain to them and the Legal Ombudsman. You can find this information on their website, or you can ask them for it.
Before reporting your concerns to the Solicitors Regulation Authority (SRA), it is recommended that you first raise your concerns with the solicitor or their firm. If you are not satisfied with their response, you can then report your concerns to the Legal Ombudsman, who can investigate your complaint and recommend action.
The SRA investigates serious or repeated cases of poor behaviour or conduct. Examples of such behaviour include misleading the court or others, taking unfair advantage of someone, and failing to act in the best interests of a client. The SRA does not investigate all reports it receives. To decide whether to investigate, the SRA applies an assessment threshold test, considering factors such as the type of issue reported, the motivation behind the solicitor's actions, and whether the actions were repeated or involved a vulnerable person.
If the SRA decides to investigate, they will collect and review evidence. If they decide not to investigate, they will explain the reasons for this decision. Possible outcomes of an investigation include putting conditions on a solicitor's licence to practise, referring the solicitor to the Solicitors Disciplinary Tribunal (SDT), or closing down a firm to protect clients and client money.
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What happens after reporting a solicitor
If you are unhappy with your solicitor or their firm, you have the right to complain. They must tell you how you can complain to them and publish their full complaints procedure. You can expect to find this information on their website, or you can ask them for it. If you are thinking about reporting a solicitor, it is recommended that you read relevant guidance, case studies, and watch videos about reporting before you report your concerns.
After reporting a solicitor, the Solicitors Regulation Authority (SRA) will first check if there is a serious breach of their rules that warrants an investigation. If they decide to investigate, they will apply an assessment threshold test, looking at the type of issue reported and the motivation behind the solicitor's actions. The SRA cannot make a solicitor apologize or pay compensation. If these are the outcomes you are looking for, you should first raise your concerns with the solicitor or their firm, and if you are still unhappy, the Legal Ombudsman is the organization best placed to help you.
If the SRA decides to investigate, the type of action they can take includes putting conditions on a solicitor's license to practice, referring a solicitor to the Solicitors Disciplinary Tribunal (SDT), or in very serious cases, closing down a firm to protect clients and client money. The SDT may suspend or strike off a solicitor, meaning they can no longer work as a solicitor in England and Wales.
It is important to note that data protection breaches, such as accidentally sending an email or letter to the wrong address, are usually best reported to the Information Commissioner's Office rather than the SRA. Additionally, the SRA does not usually investigate solicitors for not complying with court directions in ongoing legal cases, as the court is likely to deal with this as part of the proceedings.
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Appealing the outcome of an investigation
If you are unhappy with your solicitor or their firm, you have the right to complain. You can complain to the solicitor or their firm directly, and if you are not satisfied with their response, you can contact the Legal Ombudsman. The Legal Ombudsman can investigate your complaint and recommend that the firm take action.
If you have complained to your solicitor about breaching the SRA Code of Conduct and are not satisfied with their response, you can report them to the SRA (Solicitors Regulation Authority). The SRA will investigate to check if there is a serious breach of their rules. After the investigation, the SRA may take several actions, including putting conditions on a solicitor's licence to practise, referring a solicitor to the Solicitors Disciplinary Tribunal (SDT), or closing down a firm to protect clients and client money.
In England and Wales, the SDT can suspend or strike off a solicitor, meaning they can no longer work as a solicitor. The Law Society of Scotland also has a similar disciplinary tribunal. If an appeal is not made within 21 days, the right to appeal to the Scottish Solicitors' Discipline Tribunal may be lost.
In the Australian Capital Territory, the Law Society will appoint a qualified person to investigate and report on the complaint. Once the investigation is completed, the Council of the Society decides whether there is a reasonable likelihood that the solicitor will be found guilty. If the Council decides there is a reasonable likelihood, it will commence disciplinary action. The Society can take several actions, including cautioning or reprimanding the solicitor, directing the solicitor to take certain actions, imposing a fine, or making a compensation order.
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Complain about the handling of your complaint
If you are dissatisfied with the handling of your complaint, you can report a solicitor or firm to the Solicitors Regulation Authority (SRA). The SRA upholds high professional standards and insists that solicitors and firms in England and Wales report serious breaches of their rules. The SRA also encourages the public, clients, and other stakeholders to report any concerns or breaches.
Before submitting a report to the SRA, it is recommended that you first review their guidance, case studies, and videos about reporting a solicitor. This will help ensure that your concerns are something the SRA can address and that you are contacting the appropriate organisation.
When reporting to the SRA, they will assess whether there has been a serious breach of their rules that warrants an investigation. This assessment may consider the type of issue reported, the motivations behind the solicitor's actions, and the specific circumstances of the case.
If the SRA decides to investigate, potential outcomes include putting conditions on a solicitor's licence to practise, referring the solicitor to the Solicitors Disciplinary Tribunal (SDT), or in very serious cases, closing down a firm to protect clients and their money. It is important to note that the SRA cannot force a solicitor to apologise or pay compensation. If these are the desired outcomes, it is advised to first raise the concerns directly with the solicitor or their firm and, if unsatisfied, the Legal Ombudsman can be contacted for further assistance.
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Frequently asked questions
Yes, you can report a solicitor to the Law Society. If you are unhappy with a solicitor's behaviour, you can make a complaint to the relevant regulatory body. The process may vary depending on your location.
There are several reasons why you may report a solicitor, including but not limited to:
- Taking unfair advantage of you or others.
- Failing to act in the best interests of a client.
- Failing to take steps to safeguard against money laundering.
- Seriously reckless or incompetent behaviour that puts the client, their money, or their case at risk.
It is important to write your complaint in a factual manner and provide all relevant information and documents. If you are making a complaint on behalf of someone else, you will need their signed consent or an indication of their incapacity to provide consent.
If you have any problems or require assistance with the complaint process, you can contact the relevant regulatory authority for guidance. For example, in Scotland, you can contact the SLCC or seek help from Citizens Advice.
Depending on the severity and nature of the case, various actions can be taken. These can include:
- Putting conditions on the solicitor's licence to practise.
- Referring the solicitor to a disciplinary tribunal, which may censure, suspend, or strike them off in cases of misconduct.
- Closing down a firm in very serious cases to protect clients and client money.
