Discipline Tribunal penalises cashroom failings
A solicitor has been struck off, and another had their practising certificate restricted to acting as a qualified assistant for three years, by the Scottish Solicitors' Discipline Tribunal in separate cases involving failings in cashroom management.
Alison Greer, formerly a partner and the designated cashroom partner in Alder Hogg, Kirkintilloch, was struck off for failures in her obligation to see that the firm complied with the Accounts Rules, in her duty to supervise the firm’s office manager and cashier, in her duty to take steps to satisfy herself that fees being charged to executries were properly so charged, and to keep the client account in credit; as well as her continued drawing of funds from the firm while it was being financed by overcharges to clients.
In its decision the tribunal said her course of conduct had continued over a period of three years. Not only had she failed to supervise an employee in relation to the individual executry matters, which appeared to have been within her area of responsibility, she also failed to supervise her husband, the firm's office manager and cashier, over a period of years where she had had previous notice of his dishonesty in hiding correspondence from her and where she was aware that the firm had had financial difficulties. Her "complete dereliction of duty" as cashroom partner had led to a deficit of £126,828.64. Striking off was the only disposal that would reflect the serious nature of her conduct and address the issue of protection of the public.
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Alistair Blackwood, who was at the material time sole principal of Crim Law, and a director of Robertson & Ross, both Paisley, was censured and had his practising certificate restricted for a three year period, for matters including paying into his practice unit account monies constituting outlays received from SLAB, creating a deficit of client funds; transferred from his practice unit account to a third party funds including client funds, also creating such a deficit; failing to act in the best interests of the client concerned; failing to record or explain with sufficient clarity in the accounts of Crim Law the inter-relationship between the two firms and another entity of which he was also principal, which constituted a breach of the accounts rules; and failing to use reasonable endeavours to acquire and maintain the skills necessary to discharge his responsibility as cashroom manager of the practice unit.
The tribunal said he had failed act properly with regard to clients’ money in three separate cases. Payments to third parties had been delayed for some months. Deficits had occurred. The Tribunal was concerned that client money had been transferred to a third party, even though it had been returned to the firm shortly afterwards. Mr Blackwood's practices also did not match the statements he made to the Law Society of Scotland in his accounts certificates. The Tribunal was satisfied that this pattern of behaviour constituted professional misconduct. A restriction would provide the necessary reassurance that Mr Blackwood was adequately supervised should he return to work, thus protecting the public. The three year period would not include any time when he was not working as a solicitor in terms of his restricted practising certificate.