Two wills and probate solicitors have been issued with rebukes by the Solicitors Regulation Authority for the way they dealt with the administration of estates.
Susan Mary Carpenter, a solicitor with Powell & Co in Sutton Coldfield, was instructed by two executors in May 2022 to act in the administration of their mother’s estate. The estate included a property which was occupied by one of the executors and their family.
Following a dispute between the two executors, Carpenter’s duty to act in the best interests of both executors “became conflicted”, the SRA said, but she continued to act for both.
A letter sent to the executor occupying the property forming part of the estate to demand it be vacated “went beyond what would be considered appropriate professional communication”, the SRA decision notes.
“It was derogatory and personal in tone, inappropriate in a solicitor-client relationship and likely to cause, and did indeed cause, distress to the recipient.”
Carpenter admitted that by continuing to act for both executors after the dispute arose there had been a conflict of interest and she had failed to act in her clients’ best interests.
She also admitted that by sending the letter she had failed to act in a way that upholds public trust and confidence in the solicitors’ profession and legal services, had failed to act with independence, and had failed to act in her client’s best interest.
When deciding on an appropriate sanction, the SRA noted Carpenter had no adverse regulatory history and had cooperated with the investigation.
As well as receiving a rebuke, Carpenter was ordered to pay costs of £600.
A rebuke was also issued to Nancy Ballard, a solicitor with Davis Solicitors LLP in Burnham-on-Crouch, for failing to progress the timely administration of an estate. The rebuke was issued following an unsuccessful appeal against the decision.
Davis Solicitors were appointed as the executors of the estate of a client who died in Iran in February 2019. Ms Ballard retrieved the will and notified the family
Ballard retrieved the will and notified the family that she would begin the administration of the estate. There was an initial delay in obtaining the death certificate, which was due to the death having taken place in Iran.
In January 2022, the Legal Ombudsman upheld a complaint of poor service, made by the sole beneficiary of the estate. The decision highlighted that Ballard had failed to progress the estate and failed to communicate with the beneficiary.
Ballard applied for grant of probate around the end of May 2024. Probate was granted on 27 August 2024 but by 6 July 2025 distribution of the estate was only partially complete.
The SRA found that Ms Ballard failed to provide a competent service, breaching paragraph 3.2 of the Code of Conduct for Solicitors as well as outcome 1.5 of the SRA Handbook 2011.
The decision notes Ballard had previously been issued with a letter of warning in May 2024, which it said suggests “a pattern of behaviour”.
In relation to the current case, the SRA said the sensitive nature of probate matters and dealing with a grieving family made it likely “there was some degree of harm, albeit an emotional one”.
The unexplained delays had caused the beneficiary of the estate stress and anxiety, the decision notes, however the SRA decided a more serious sanction was not considered appropriate as the firm had updated its probate management process.
Ballard had not received any person gain and there was no evidence of dishonesty, the SRA added.
Ballard was ordered to pay costs of £1350.
