Dai Peter Roberts [1997] NSWLST 5

Procedural Posture

Professional Disciplinary Complaint Against a Solicitor / Determination and Orders After Hearing

Legal Issues

1. 1 ['Whether the solicitor was guilty of professional misconduct through gross delay in discharging his retainer for Mrs Duggan in Workers Compensation proceedings.' 'Whether the solicitor was guilty of professional misconduct by failing to advise or inform Mrs Duggan of steps taken and the status of her Workers Compensation proceedings.' 'Whether the solicitor was guilty of professional misconduct by causing gross delay in the administration of the estate of the late Laurence Phillip Longmore Harrison.' "Whether the solicitor was guilty of professional misconduct by purporting to administer an oath and witness Mrs Harrison's signature on probate affidavits when she was not present." 'Whether the solicitor misled the Law Society by stating that Supreme Court requisitions had been complied with when they had not.' 'Whether the solicitor acted recklessly and indifferently to ensure information provided to the Law Society was true, accurate and not misleading.' "Whether the solicitor was guilty of professional misconduct by causing gross delay in settlement of the sale of estate property and failing to respond to enquiries from the purchasers' solicitor."]

Ratio Decidendi

The solicitor's gross delay in the Duggan Workers Compensation matter, failure to advise Mrs Duggan, gross delay in administering the Harrison estate, purported attestation and administration of oaths when Mrs Harrison was not present, delay in settlement of the estate property sale, and failure to respond to a fellow practitioner constituted professional misconduct. His inaccurate statement to the Law Society that requisitions had been complied with was misleading, but because the Tribunal was not satisfied that he deliberately misled the Law Society, complaints 5 and 6 amounted to unsatisfactory professional conduct rather than professional misconduct. The conduct warranted a fine,...

Court Disposition

The solicitor was found guilty of professional misconduct on complaints 1, 2, 3, 4 and 7, and guilty of unsatisfactory professional conduct on complaints 5 and 6. He was fined $20,000, ordered to complete a Risk Management course, and ordered to pay the Law Society's costs.

Orders

• ['The solicitor pay a fine of twenty thousand dollars ($20,000.00) within a period of three months from the date of this Order.' 'That the solicitor be suspended from practice at the expiration of the said period of three months if the said fine has not been paid and such suspension continue until the said fine has...