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Clare Dixon

Disciplinary

Clare has advised on, and appeared in, disciplinary proceedings in a number of forums, but particularly in the Solicitors’ Disciplinary Tribunal.

  • Clare appeared for the solicitor in Case Ref. 11399 (Mashru). The focus of the case was on whether the solicitor had used the client account as a banking facility, had paid sufficient regard to compliance with the Money Laundering Regulations and had adequately supervised a solicitor who he knew to be subject to an ongoing SRA investigation. The case was dismissed.
  • Clare was also instructed to act for the solicitor in Case Ref. 1137 (Devine), which involved allegations of using a client account as a banking facility, improper retention of client funds and acting where there was, or was a significant risk of, a conflict of interest. Prior to the hearing, the solicitor and the SRA agreed a statement of facts and a suggested outcome. The SDT took the opportunity at the hearing to provide guidance on the proper procedure to be adopted in those circumstances.
  • Clare was instructed to act for the solicitor in Case Ref. 10593 (Richards) which involved allegations of breach of undertaking and, so far as the penalty was concerned, dealing with issues of mitigation and impecuniosity. 

Clare also has experience of financial disciplinary matters and is currently instructed in relation to the referral of an FCA Decision Notice to the Upper Tribunal.