SRA rebukes Brockbank Curwen Cain & Hall for failing to return client money since 2016
Brockbank Curwen Cain & Hall Limited has been rebuked by the Solicitors Regulation Authority for failing to return client money held in residual balances, some of which dated back to 2016.
The Whitehaven-based practice, a recognised body registered under number 384225, received the sanction following an agreed outcome with the regulator. The decision was made on 4 November 2025 and published on 6 November 2025.
According to the SRA decision notice, the firm accepted a formal rebuke, agreed to the publication of the decision, and will pay investigation costs of 300 pounds. Senior members of the firm also gave undertakings to the regulator.
Under those undertakings, the firm must take all reasonable steps within 12 months to return the remaining residual balances to the individuals to whom the money belongs. Where clients or beneficiaries cannot be identified or located, the firm must distribute the funds in accordance with Rule 5.1(c) of the SRA Accounts Rules.
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The firm is also required to keep written records of all actions taken to identify, locate and return or distribute the residual balances, and to provide those records or any related documents to the SRA promptly upon request.
The investigation arose after concerns were identified in the firm’s Accountants’ Reports for successive accounting periods. The report for the year ending 30 June 2020 was qualified, with one of the qualifications relating to residual balances. It highlighted balances totalling 324,010 pounds on 216 matters as at 30 June 2019 and 288,280 pounds on 214 matters as at 30 June 2020. The reporting accountant noted that the firm acknowledged its progress in addressing the balances had been slow.
In 2020 the SRA carried out an on-site inspection which included a review of all residual balances. At the end of that inspection, the firm held balances amounting to 232,065.37 pounds on 188 matters. The oldest balance dated back to 2016, while the largest was 50,291.95 pounds. At that time, the regulator reminded the firm of its published guidance on dealing with residual balances and received assurances that monthly compliance meetings would be held until all balances were cleared.
When the firm responded to the SRA’s Accounts Rule spot check questionnaire on 22 January 2025, it reported that it still held residual balances of 140,910 pounds on 85 matters. The largest individual balance was 31,569 pounds and the oldest had been held for more than two years. The firm later clarified that some of these balances incorrectly included retentions and conveyancing transactions awaiting registration.
The SRA subsequently launched a further investigation based on the firm’s replies. During this process, the firm provided updates on progress in reducing the residual balances. By 2 July 2025, the firm confirmed it was holding 48,317.40 pounds on 81 matters, and by 22 August 2025 this had been reduced to 34,840.70 pounds on 47 matters.
However, lists of residual balances provided during the investigation showed that three of the remaining balances dated back to 2016 and had also been present when the SRA carried out its earlier inspection five years earlier. These balances were still outstanding.
In its admissions, the firm accepted that it had failed to return client money promptly to the clients or third parties for whom it was held since 2016. The SRA determined that this constituted a breach of Rule 2.5 of the SRA Accounts Rules, introduced on 25 November 2019, and previously Rule 14.3 of the 2011 Accounts Rules.
The firm further admitted that, despite being reminded to return the 2016 balances during the 2020 inspection, it did not take adequate steps to do so. This was found to be a breach of Rule 6.1 of the SRA Accounts Rules.
The SRA’s rebuke and publication of the decision serve as a formal regulatory sanction against the firm.