To ensure that solicitors are serving their clients well, solicitors need to attend to specific regulations and when these are not met, the Solicitors Regulation Authority (SRA) can intervene. Here at LM, we speak to Jonathan Goodwin who has extensive experience in prosecuting misconduct cases, however, up until recently, Jonathan has decided to turn his attention towards defending those under investigation. He informs us on the transition of defending solicitors on the SRA Panel, the challenges when defending those in the legal sector themselves and how his unique experience allows him to gain the best result for his client.
How did you manage with the transition of being a prosecutor for over 20 years, to now defending the solicitors under investigation? How did this alter the way in which you deal with cases?
The transition from becoming a prosecutor and now being available exclusively to defend solicitors in relation to complaints, investigations and disciplinary hearings before the Solicitors Disciplinary Tribunal (SDT) has been entirely straightforward.
I apply the same level of scrutiny and tenacity to clients I am defending in exactly the same way as when I prosecuted in terms of analysing the evidence, looking for the weaknesses in the prosecution case and achieving the best possible result.
What are common cases the SRA are faced with and as a defender, what challenges do they pose? How were these challenges different to when you are a prosecutor?
The variety of cases investigated by the SRA is wide and varied and can range from breaches to the Solicitors’ Accounts Rules, money laundering allegations, breach of undertaking and many more. Dishonesty often features in allegations raised by the SRA. There is a specific test that the SDT needs to apply in determining an allegation of dishonesty and it is important that expert advice is obtained by anyone facing such an allegation.
Having acted for professional bodies and individuals, how different are their cases and what do you do differently to deal with their cases accordingly?
The biggest difference between acting for a regulator and an individual is equality of arms and resources. A regulator has the resources to pursue a case and instruct the highest level of advocate if they so wish. Such luxury is often unavailable to an individual who has to fund the case personally. An individual will be concerned, stressed and anxious about the possible outcome, with the very real risk that the career which they have developed over many years could be abruptly brought to an end. With my unique level of insight and experience, I am in a position to guide, assist and represent solicitors through what can be a very traumatic process and achieve the best possible outcome for my client.
What is the most difficult aspect when defending solicitors? As the defendants are in the legal profession themselves, are there many disagreements during the case; if so, how do you deal with this?
One of the most difficult aspects when defending a solicitor is to persuade the SRA that the case lacks merit. As you say, given the respondent is a solicitor it can, on occasion, be a challenge to persuade my client that the advice and approach which I have recommended is the right way forward. However, that said, my experience generally is that solicitors recognise the need to turn to someone with the required expertise and experience relating to regulatory and professional discipline law and will be open and receptive to advice and the careful management of expectations.
What was the most appealing aspect of switching from a prosecutor for the SRA, to a defender for those they investigate?
My passion and drive is achieving the best possible outcome for my client, whether that be by persuasive written representations to the SRA that result in no further action, or a successful outcome following a hearing before the SDT. To help an individual save their career, practice and livelihood with the ability to continue to support their families is particularly rewarding. I achieve great satisfaction from helping solicitors protect their right to practice against the might of the regulator. My unique insight and unrivalled experience gives me the ability to do so.
