Solicitor fined after tribunal proves misconduct in major SRA principles breach case.
A solicitor has been fined after a disciplinary tribunal found she breached professional rules and key principles set by the Solicitors Regulation Authority (SRA).
Elizabeth Thomson, the respondent in the case, faced multiple allegations brought under the Code of Conduct for Solicitors, RELs and RFLs 2019, as well as accusations linked to criminal convictions and a lack of integrity.
The Solicitors Disciplinary Tribunal (SDT) considered five separate allegations. After reviewing the evidence and Thomson’s own admissions, the panel concluded that Allegations 1.1, 1.2, and 1.3 were proven on the balance of probabilities.
In doing so, the tribunal found she had breached Principle 2, which requires solicitors to act with integrity, and Principle 5, which obliges them to act in a way that upholds public trust and confidence in the profession and in legal services.
The allegations centred on breaches of professional rules that govern solicitors’ conduct. While the specific details of the proven breaches were not outlined in the tribunal’s executive summary, the findings were considered serious enough to merit a financial penalty.
The SDT also made clear that Allegations 1.4 and 1.5 were not proved. These counts were dismissed in full after the tribunal determined that the evidence did not meet the required legal standard.
The decision followed a process in which the tribunal assessed the facts against the legal burden of proof, applying the “balance of probabilities” test. This means the panel was satisfied it was more likely than not that Thomson committed the breaches set out in the first three allegations.
Thomson had admitted the allegations that were ultimately upheld, a factor that the tribunal took into account when determining the appropriate sanction.
The outcome was a formal fine, although the exact amount of the financial penalty was not disclosed in the summary provided. The tribunal stressed that fines in such cases serve not only as punishment but also as a deterrent to others in the legal profession.
The ruling underscores the importance placed by the SRA and the SDT on integrity within the profession. Breaching core principles, particularly those relating to honesty and public trust, is considered among the most serious forms of professional misconduct.
Embed from Getty ImagesIn its findings, the tribunal made no ruling of guilt on the dismissed allegations, confirming that Allegations 1.4 and 1.5 failed to meet the evidentiary threshold. The dismissal of these counts means they cannot form part of the disciplinary record against Thomson.
However, the proven breaches – combined with the fact that they were linked to criminal convictions – mark this as a significant case in the eyes of the regulator.
The SRA’s Principles 2019 are designed to maintain the public’s faith in solicitors and ensure that those holding practising certificates adhere to the highest professional and ethical standards. Any breach of these core requirements is treated with gravity, particularly when it concerns behaviour that could undermine confidence in the legal system.
With the fine now imposed, Thomson will also bear the weight of the tribunal’s findings in her professional record, something that can have lasting implications for a solicitor’s career and reputation.
While the SRA and SDT operate to protect both the public and the standing of the profession, this case serves as a stark reminder that breaches of integrity – even when some allegations fail – can still result in serious disciplinary action.