Confidentiality breach: solicitor rebuked for sharing email with opposition

Data Breach

An experienced solicitor was rebuked by the Solicitors Regulation Authority (SRA) after they shared privileged client data with the other side’s legal team without the client’s consent.

The solicitor – who had more than 40 years of experience – had been instructed by their client to act on a child arrangement order.

Eleven months after taking on the instruction, the solicitor emailed their client to discuss non-payment of fees.

In the email, the solicitor stated they would no longer be representing the client as they could not work for free.

Later the same day, the solicitor sent a copy of this email to the opponent’s representative asking whether the client’s financial circumstances would stop them from pursuing a wasted costs order. Information of this nature is considered confidential and privileged. By sharing these details without the client’s authority, the solicitor breached client confidentiality.

This was not the only instance of the solicitor’s unprofessional conduct during this instruction.

Six months earlier, the solicitor left the client without representation before a court hearing.

A scheduled hearing had been cancelled with just four days’ notice. When the solicitor informed their client, they said the adjournment would provide more time to prepare and resolve a fee matter.

However, the hearing was reinstated on its original date and the solicitor revealed they could no longer attend, advising the client to go to court alone and to request an adjournment.

The short notice meant the client was unable to find anyone else to represent them at the hearing.

Regulatory settlement agreement

By sharing privileged information the solicitor breached:

• SRA Principle 7: to act, “in the best interests of each client.”
• paragraph 6.3 of the Code of Conduct for Solicitors: “You keep the affairs of current and former clients confidential unless disclosure is required or permitted by law or the client consents.”

On the matter of leaving their client without representation, the solicitor violated:

• SRA Principle 2: to act, “in a way that upholds public trust and confidence in the solicitors’ profession and in legal services provided by authorised persons.”
• SRA Principle 7: to act, “in the best interests of each client.”
• paragraph 3.2 of the Code of Conduct for Solicitors: “You ensure that the service you provide to clients is competent and delivered in a timely manner.”
• paragraph 3.4 of the Code of Conduct for Solicitors: “You consider and take account of your client’s attributes, needs and circumstances.”

The SRA declared the solicitor’s conduct was “reckless” and showed disregard for the negative repercussions their actions could have had on the child involved in the matter.

The solicitor’s clean record was taken into account in the settlement decision, as was the ongoing fee dispute. Ultimately, a written rebuke was issued.

The solicitor acceded to the agreement being published in the interests of transparency. They were also made to pay £300 to cover the costs of the SRA’s investigation.

Your ethical obligations

This case underscores the critical responsibility solicitors have in safeguarding their clients' data and acting in their best interests.

Solicitors should remember that even when faced with frustrations with clients, they must still exemplify their professional obligations.

Working as a solicitor is a demanding and often stressful role, but professionalism and integrity should still be upheld.

Ultimately, the contractual agreement between a solicitor and their client is built on mutual trust and the expectation of fair compensation for services rendered.

The SRA serves to investigate matters of misconduct in the legal profession. It has the power to impose fines, issue warnings and restrict work.

The SRA can also refer cases to the Solicitors Disciplinary Tribunal (SDT), which has unlimited powers to fine, suspend or strike off solicitors who breach regulations.

Mitigating your risks

We serve our 200,000-strong community with support and guidance for every career stage.

We provide a range of benefits that can help members to thrive and prosper in the profession.

This includes various resources and tools to help mitigate your risks.

Explore our:

• practice note on legal professional privilege
• courses on professional ethics, confidentiality and the key principles of professional privilege.

You can learn more about these topics through our courses, including our Client Care, Confidentiality and Conflicts bundle, our Confidentiality and Disclosure module, our SRA Principles and SRA Code of Conduct for Solicitors, RELs and RFLs online course, and our Key Principles of Legal Professional Privilege for Practitioners recorded online classroom.