Solicitor(s): Nicholas Whelan, 105 High Street, Arbroath
Tribunal Date: 10/12/2019
Appeal Status:No Appeal
Edinburgh 10 December 2019. The Tribunal having considered the conjoined Complaints at the instance of the Council of the Law Society of Scotland against Nicholas Whelan, 105 High Street, Arbroath; Uphold the Respondent’s plea to the competency and relevancy only in relation to an Accounts Certificate dated 11 February 2016, quoad ultra repels the said plea; Finds the Respondent guilty of professional misconduct in respect that (a) he submitted an Accounts Certificate for the practice unit’s accounting period ending 31 July 2015 which failed to disclose breaches of the Law Society of Scotland Practice Rules 2011 which had been identified at financial compliance inspections on 7 October 2014 and 2 February 2015, despite having agreed to make those disclosures together with an explanation of the remedial action taken in respect of them, thereby serving to mislead the Complainers as to the practice unit’s compliance with the Practice Rules during the relevant period and he failed to respond, or at least delayed unduly in responding, to the reasonable enquiries of the Complainers in respect of matters arising from that Accounts Certificate and prior financial compliance inspections of the practice unit, in particular in breach of his duty under Rule B6.18.7 of the Law Society of Scotland Practice Rules 2011 and (b) in cumulo, in respect of his breaches of Rules B6.11, B6.7.3, B6.2.23, B6.13 and his failure or delay in responding to correspondence and statutory notices issued by the Complainers; Censure the Respondent; Fine him in the sum of £2,000 to be forfeit to Her Majesty; Find the Respondent liable in the expenses, insofar as not already dealt with, of the Complainers and of the Tribunal including expenses of the Clerk, chargeable on a time and line basis as the same may be taxed by the Auditor of the Court of Session on an agent and client, client paying basis in terms of Chapter Three of the last published Law Society’s Table of Fees for general business with a unit rate of £14.00 restricted to 75%; and Direct that publicity will be given to this decision and that this publicity should include the name of the Respondent but need not identify any other person.
Acting Vice Chair
Interlocutor of 17 May 2019:
Edinburgh, 17 May 2019. The Tribunal grants the Respondent’s motion to lodge Answers, a Third Inventory of Productions and a Fourth Inventory of Productions in Complaint 2018/1825; grants the Respondent’s motion to lodge Answers and an Inventory of Productions in Complaint 2019/1852; Of consent and on the Respondent’s motion, conjoins said Complaints; Fixes a procedural hearing for 11 July 2019 at 10am and a hearing for 4 September 2019 at 10am in respect of the conjoined Complaint; Allows the Respondent 21 days to adjust his Answers in respect of the conjoined Complaint and produce a Note of Argument regarding competency; Allows the 14 days thereafter for mutual adjustment and for the Complainers to produce a Note of Argument; Finds the Respondent liable in the expenses of the Complainers and of the Tribunal including expenses of the Clerk, in respect of preparation for and attendance at the hearing on 16 May 2019, chargeable on a time and line basis as the same may be taxed by the Auditor of the Court of Session on an agent and client, client paying basis in terms of Chapter Three of the last published Law Society’s Table of Fees for general business with a unit rate of £14.00.
Acting Vice Chair
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