Legal Services Commissioner v Pierpoint

Introduction

1. In this matter, the applicant moved upon an amended application filed 24 January 2018, which alleged that the respondent had engaged in professional misconduct, or in the alternative, that she had engaged in unsatisfactory professional conduct. The applicant sought orders that the respondent be reprimanded and fined; that the respondent pay the applicant's costs as agreed or assessed; and such further or other orders as the Tribunal sees fit.
2. The applicant alleged that the respondent was guilty of professional misconduct or unsatisfactory professional conduct on the following grounds: 1. She breached Rule 10.1.1 of the Revised Professional Conduct & Practice Rules 1995 (the Solicitors' Rules) when she prepared fifteen (15) wills and codicils for her client between 23 August 2000 and 20 April 2009. It alleged that the respondent knew or ought to have known that her conduct was in breach of the Solicitors' Rules. Alternatively, the respondent was recklessly careless as to whether her conduct was in breach of the Rules; 2. She breached Rule 11.1 of the Solicitors' Rules when she failed to inform her client in writing of the matters set out in rule 11.1.1 to 11.1.3 before her late client signed seven (7) of the wills between 23 August 2000 and 4 May 2003. It alleged that the respondent knew or ought to have known that her conduct was in breach of the rules. Alternatively, the respondent was recklessly careless as to whether her conduct was in breach of the Rules; and 3. She breached Rule 11.2 and Rule 11.2.1 of the Solicitors' Rules when she prepared eleven (11) wills and codicils for her client between 12 February 2002 and 20 April 2009. It alleged that at all material times, the respondent knew or ought to have known that her conduct was in breach of this Rule. Alternatively, she should have declined to prepare the wills and codicils and should have referred Mrs Cooney to independent legal advice.
3. On 6 June 2018, the parties filed a Statement of Agreed Facts (marked MFI 1), which indicates that: 1. In relation to ground 1, the respondent admits that she breached Rule 10.1.1 of the Solicitors' Rules when she prepared twelve (12) wills and codicils for her client between 23 August 2000 and 16 April 2005. The respondent states that she did not know that her conduct was in breach of the Solicitors' Rules, but she admits that (a) she ought to have known that her conduct was in breach of the Rules; and (b) that she was recklessly careless as to whether her conduct was in breach of the Rules. 2. In relation to ground 2, the respondent admits that she breached Rule 11.1. of the Solicitors' Rules when she failed to inform her client in writing of the matters set out in Rules 11.1.1 to 11.1.3 before she signed seven (7) wills between 23 August 2000 and 4 May 2003. The respondent states that she did not know, but admits (a) that she ought to have known that her conduct was in breach of the Rules; and (b) that she was recklessly careless as to whether her conduct was in breach of the Rules. 3. In relation to ground 3, the respondent admits that she breached rule 11.2 and Rule 11.2.1 of the Solicitors' Rules when she prepared eleven (11) wills and codicils for her client between 21 February 2002 and 20 April 2009. The respondent stated that she did not know, but admits (a) that she ought to have known that her conduct was in breach of the Rules; (b) that she was recklessly careless as to whether her conduct was in breach of the Rules; (c) that the wills conferred a substantial benefit upon her; and (d) that in accordance with Rule 11.2.1, she should have declined to prepare the wills and should have referred her client to independent legal advice.