Conduct and service

Excess baggage

Movement of solicitors between firms seems to be more frequent.

In many cases, when a fee-earner or partner moves from one firm to another, they take files that were under their control at their old firm.

The new firm often welcomes this because it helps to provide the newcomer with a ready-made client base.

However, partners in the new firm should beware - this can have its dangers, as they are likely to be caught up in any complaint that is subsequently made about those matters.

The dangers were illustrated by the case of an assistant solicitor who moved from one firm to another in the same town.

At his old firm he had been acting in a number of transactions relating to properties that the client owned.

In each case, the conveyancing work had been completed before the move and all that remained to be done was to have the relevant documents stamped and then to carry out the registrations at the Land Registry.

For some reason, several of the documents were submitted for stamping out of time and penalties had to be paid.

The applications for registration were also late.

Ultimately, these matters became the subject of complaints, particularly when the mortgagees began to show concern at the delay in forwarding the deeds to them.

In fact the assistant's stay at his new firm lasted only a few months.

It was clear that during that time the assistant was left to deal with his 'existing' clients more or less as he pleased.

When the complaints arose the new firm sought to distance itself from them, maintaining that most of the work had been done at the assistant's old firm and that, in some cases, the physical files had not been transferred.

However, this cut little ice with the Law Society.

The new firm had opened ledger accounts for most of the matters and it was clear that the conduct of them had passed to its control in the person of its new employee.

He was an employee and, as such, the firm was responsible for his supervision and his conduct of matters in the name of the firm.

To add to the seriousness it was noted that, even though a new firm was acting for the assistant solicitor's clients after he transferred to it, no new client care information relating to the new firm had been sent to the client.

All in all, it cost the new firm nearly 1,000 - a salutary lesson to those who take on new employees who bring existing clients with them to remember that the new firm takes responsibility for what happens after the employee joins it.

Every case before the adjudication panel is decided on its individual facts.

This case study is for illustration only and should not be treated as a precedent

Lawyerline

Facing a service complaint? Need advice on how to handle it? Contact Mike Frith at LAWYERLINE, the support service offered by the Office for the Supervision of Solicitors, tel: 0870 606 2588.