Couple fined after permitting son, previously found dishonest, to breach SRA restrictions.
Two senior solicitors have been fined after allowing their son — previously sanctioned for dishonesty — to work outside the strict limits imposed by the Solicitors Regulation Authority (SRA).
The Solicitors Disciplinary Tribunal (SDT) ruled on 13 February 2023 that Richard Winters and Siva Winters, owners and partners at Winters & Co. solicitors, committed professional misconduct when they breached an SRA employment approval decision concerning their son, Oliver Winters.
Oliver had been dismissed from Memery Crystal LLP in 2017 after fabricating leases and misleading clients. Following an SRA investigation, he was made subject to a section 43 Order in March 2018, preventing him from working in a law firm without SRA permission. The order was designed to safeguard clients and protect public confidence in the profession.
Despite this, the Winters applied for permission to employ their son in a strictly defined role as a legal clerk. The approval granted by the SRA in April 2018 confined Oliver’s work to conveyancing tasks under close supervision and specifically barred him from handling client money, supervising others, or working on non-conveyancing matters.
Embed from Getty ImagesHowever, evidence later showed that between April 2018 and December 2019, Oliver routinely worked on areas well outside those limits. He undertook litigation, probate, wills, divorce and commercial dispute files. On at least two cases, he was recorded as the fee earner and dealt directly with clients, opposing solicitors, counsel and even the courts.
The misconduct came to light in August 2019 when an anonymous tip alerted the SRA. Subsequent correspondence confirmed Oliver had worked across at least ten non-conveyancing cases, directly breaching the conditions of his approval.
The tribunal heard that both Richard and Siva Winters were aware of their son’s wider involvement. Richard admitted in correspondence that he and Siva allocated files to him and discussed active cases with him regularly.
The SDT concluded that the pair had acted without integrity, undermining the very safeguards designed to protect the public from Oliver’s prior misconduct.
In mitigation, their representative Jonathan Goodwin stressed that both respondents had more than 40 years of previously unblemished practice, were nearing retirement, and had shown full cooperation and remorse. They argued the breaches were inadvertent oversights rather than deliberate acts.
The tribunal, however, highlighted the seriousness of their failure. The majority accepted that while no direct financial harm was caused, the risk of harm was high and the reputational damage to the profession significant.
Ultimately, the panel decided against suspension or striking off, imposing instead fines of £8,000 each. Both Richard and Siva Winters were also ordered to pay £12,000 in joint costs to the SRA.
The decision was not unanimous. The lay member of the panel dissented, arguing that suspension was warranted given the gravity of breaching restrictions linked to a dishonesty finding. The majority, made up of two solicitor members, held that financial penalties were proportionate in light of their long careers and the late-stage impact such sanctions would have.
Chair R Nicholas confirmed the fines, noting the stigma of the judgment would weigh heavily on the couple’s professional legacy.
The case serves as a stark warning: even long-standing, respected solicitors risk severe penalties if they fail to uphold regulatory safeguards, especially when protecting clients from individuals previously found dishonest.