SRA rebukes lawyers who took confidential client data when leaving firms

SRA issues public rebukes after solicitors took confidential client files from former employers.

Two solicitors have been publicly rebuked after the Solicitors Regulation Authority (SRA) found they took confidential client information from former employers without permission.

Joanne Louise Jones and Michelle Chapman admitted to the misconduct in separate regulatory settlement agreements. While the cases were investigated individually, Bromleys Solicitors – the firm that employed both at different times – said the incidents were connected.

In July 2022, Ms Jones left her role as a private client solicitor at Huddersfield-based Eaton Smith, where she had worked for 18 months, to join Bromleys in Ashton-under-Lyne.

The SRA found that upon leaving Eaton Smith, Ms Jones removed a substantial number of documents containing client information without the permission or knowledge of the clients or the firm. She then shared these documents with colleagues at Bromleys without a legitimate reason.

Ms Jones admitted breaching confidentiality rules and failing to uphold public trust. She said no harm was intended, calling it “a genuine error in judgement” and stating the documents were only meant to be used in a professional setting.

The SRA considered her actions reckless but noted her cooperation with the investigation, her remorse, and the low risk of repetition. No lasting or significant harm had been caused. A rebuke was issued instead of a harsher sanction.

Michelle Chapman joined Bromleys in November 2022 as a private client solicitor and remained there until September 2023.

The SRA found that upon leaving the firm, Ms Chapman removed several documents containing client information and shared them with an unrelated third party, without the knowledge or permission of the clients or Bromleys.

Like Ms Jones, Ms Chapman admitted breaching confidentiality and public trust obligations. She cited personal circumstances at the time of her departure and noted she had self-reported to the SRA.

The regulator acknowledged her cooperation and remorse, as well as the low risk of recurrence, and decided a rebuke was appropriate.

Bromleys Solicitors issued a statement describing the incidents as “highly irregular and connected events”.

The firm said:

“We believe that one incident occurred before one of the solicitors involved had joined our firm and the other incident involved this solicitor passing material, without our knowledge, to another solicitor whilst they were both at our firm. Neither solicitor is now employed by Bromleys.”

Bromleys added that they were alerted to the breach by a compliance firm working for another law firm where one of the solicitors is now employed. At that point, both solicitors had already left Bromleys.

The firm stressed the matter affected only a very small number of clients, all of whom were contacted directly. “Importantly, no client suffered any harm as a result,” it said.

Bromleys confirmed it fully cooperated with the SRA’s investigation and that no wrongdoing was found on the part of the firm.

Under the SRA’s Code of Conduct for Solicitors, RELs (Registered European Lawyers), and RFLs (Registered Foreign Lawyers) 2019, solicitors must keep the affairs of clients confidential unless disclosure is required or permitted by law. The regulator treats unauthorised removal or sharing of client information as a serious matter, even if no harm results, as it undermines public trust in the profession.

The rebukes for Ms Jones and Ms Chapman serve as a warning to other solicitors that even reckless actions, without malicious intent, can have serious professional consequences.