A junior solicitor has been suspended from practice for two years after deleting part of a colleague’s handover note in the administration of an estate.
The Solicitors Disciplinary Tribunal heard that Jack Alexander Williams, who was admitted to the Roll of Solicitors in 2020, was a member of the wills and probate team at Blaser Mills LLP in High Wycombe when he deleted the note, which had been left on the file by a colleague before she went on maternity leave in December 2022.
The note explained it would be necessary to stay in contact with the person dealing with the sale of a property constituting the estate of a client so steps to mitigate capital gains tax on the estate could be considered.
After the property was sold in September 2023, Williams emailed the beneficiaries of the estate to inform them there would be costs involved in the administration of the estate, including CGT liability.
Williams then discussed the file with his supervisor, Minest Thakrar, a partner in the wills, trust and probate team, who identified the property had not been correctly appropriated. Thakrar asked Williams to make a note of the situation in writing and then work out the CGT due.
When Williams emailed an accountant to ask for assistance with the CGT calculation, he stated that his colleague who had left the handover note had not appropriated the property before it was sold. He then accessed the electronic copy of the handover note and deleted the paragraph asking him to keep in contact with the seller to avoid CGT liability.
In an email to Thakrar, Williams again suggested his colleague had failed to complete the necessary actions. It was only when a second colleague checked both the paper and electronic copies of the handover notes that the discrepancies were identified.
When asked by the firm’s managing partner, Jonathan Lilley, to explain his actions, Williams said he had felt foolish as he had not read the handover note properly, and accepted that his actions in failing to acknowledge his mistakes had been foolish.
Williams was issued with a final written warning by the firm, and referred by Lilley to the SRA. During the investigation, Williams “promptly” admitted the SRA’s allegations that he had amended the copy of the note with the intention and/or effect o misleading others, and that he had sent an email which was misleading by failing to set out fully and/or accurately the circumstances giving rise to the CGT liability of the client.
The tribunal found Williams’ admissions to be “unequivocal, supported by the evidence and properly made,” and therefore proved in full to the requisite standard.
Although the tribunal determined Williams’ misconduct had “departed from the integrity, probity and trustworthiness expected of a solicitor and was serious”, it noted no direct harm had been caused and the small financial loss suffered by the estate was not related to the actions in question.
While the tribunal found the seriousness of the misconduct was aggravated by dishonesty, it also noted the dishonest acts were confined to a single matter, did not form a pattern and did not result in any personal, financial or other material advantage.
The tribunal also took into account the continued support of Blaser Mills, who considered Williams could learn from the incident and continue in practice under appropriate supervision. The firm had continued to employ Williams and had provided “highly supportive” witness statements.
Noting that relevant authorities emphasise of dishonesty will ordinarily result in a striking off, the tribunal acknowledged the support of the firm and Williams’ colleagues, and his “immediate confession, remorse and genuine insight.”
Taking the circumstances into account, the tribunal determined a two-year suspension was fair and proportionate. Williams was also ordered to pay costs of £16,419.
