Undertakings are to be treated seriously. An undertaking is a promise made by a solicitor that he will carry out or refrain from carrying out an act in circumstances where the recipient of the promise reasonably places reliance upon it.
An undertaking need not be in writing.
A breach of an undertaking can lead to disciplinary proceedings and would normally result in a rebuke or a fine by the SRA under its internal disciplinary powers in less serious cases or a fine by the SDT in more serious cases.
However, a case in which I appeared on behalf of the SRA resulted in the Respondent being struck off the Roll. In Law Society –v- Beller (2014) the Court said, “the whole point of the undertaking…. Was that the client had to have the solicitors word that the money would only be transferred upon his consent. By breaching that undertaking and not being in a position to perform that undertaking, there was, in my view, such a serious breach of Rules and the potential of such damage to the profession, that unless they were wholly extraordinary circumstances that was sufficient of itself for striking off the Roll”.
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“Anyone who has been the subject of disciplinary action by a regulator, and in my case the Solicitors Regulation Authority, will know that the impact extends way beyond your working life. It significantly impacts your personal and family life, affecting your mental wellbeing in the process.
Who you chose to advise and represent you is one of the most important decisions you can make.
In my case, after initially representing myself, I realised that this is not an area of law where a practitioner should go it alone, I therefore sought advice from a barrister and solicitor who I understood to be very experienced in this area. Not only was I advised incorrectly, as it subsequently transpired, but they also seemed to have very little regard for the impact the investigation was having on me.
Something did not feel right and after yet another period of despair, I came across Jonathan’s details online. It is no exaggeration to say that telephoning Jonathan was the best decision I made. When I called, I was immediately put through to Jonathan’s assistant who informed me that Jonathan was engaged in a tribunal hearing and would come back to me as soon as possible. Jonathan returned my call during a short adjournment, and from that moment on, I knew I’d found the right person. Jonathan came back to me as quickly as possible because he cares and fully appreciates the impact regulatory investigations can have. It was the first time in a long time that I felt a weight lift from my shoulders.
Within the space of a week, after providing Jonthan with everything he needed, Jonathan discussed the case in detail with me, providing clear and detailed advice on my case and the disciplinary process. He put me at ease and his expertise was, simply put, outstanding. The advice he gave on the likely outcome of my case, was spot on. Jonathan is so much more than what I consider to be an unrivalled expert in his field, he is a person who genuinely cares for his clients. Jonathan “had my back” and at the same time as showing compassion and understanding on a personal level, he remained determined and committed to achieving the best possible outcome in my case. Jonathan did exactly that.
In summary, I cannot recommend Jonathan Goodwin highly enough. It is no exaggeration to say that he was instrumental in getting me through one of the worst experiences of my life”
Solicitor
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“I never give reviews, but occasionally in life something or someone is so brilliant that a review is warranted and this is one such occasion.
Anyone reading this is no doubt facing a disciplinary action by the SRA or other professional body. I was facing a charge of dishonesty amongst other allegations and the stress over the two and a half years was immeasurable, it subsumed my life. Another solicitor recommended Jon and I engaged his services. It was the best thing I ever did. From the very first ‘phone call I knew that I had made the right decision. Jon was calm and measured. His knowledge of regulatory law is frankly outstanding. When dealing with my case I felt that I was his only client. He was honest, personable, down to earth and always on hand to guide me through the process, so I never felt alone.
My matter was referred to the SDT for a 3 day hearing and at that stage I just wanted to give up, but Jon’s wise counsel stopped me from doing so and I am so glad I followed his advice.
Jon’s advocacy is awesome. He completely demolished the SRA investigator under cross examination. I have honestly never seen anything like it. At that point I was so glad he was acting for me and not the SRA! The investigator even apologised to me twice during his evidence.
The SRA’s allegations were not proved and I walked away with my life back. I cannot recommend Jon highly enough. So if you are reading this and you are facing such actions then please do not hesitate and engage Jon, you will not regret it.”
Solicitor
