The Respondent was a solicitor and the sole manager, Compliance Officer for Legal Practice (“COLP”) and Compliance Officer for Finance and Administration (“COFA”) of the Firm.

Between on or around February 2020 and June 2022 the Respondent had conduct of and supervised junior staff acting for clients on mortgage mis-selling claims (“MMS claims”).

When advising clients on MMS claims, the Respondent failed to inform clients as to other options in relation to such claims besides instructing the Firm to pursue litigation. Additionally, the Respondent failed to send adverse counsel’s opinion to the After-the-Event (“ATE”) insurer at all (in respect of Client A’s matter) or in a timely manner (in respect of Client B’s matter). She also failed to seek prior approval from the ATE insurers to issue claims. This placed the Firm’s clients’ ATE insurance policies at risk.

The Respondent admitted the case against her including Allegations 1 – 3 and also admitted acting recklessly pursuant to Allegation 4.

The Tribunal found the allegations proved in their entirety.