In focus: Meet the solicitor who relishes appearing before the SDT

Merseyside lawyer Jonathan Goodwin is one of the few solicitors who relishes appearing before the SDT. He specialises in defending practitioners facing misconduct allegations.

But the nature of his role is changing. The regulator’s new fining powers – giving authority to issue penalties up to £25,000 – will mean more of Goodwin’s work will be in the background, drafting representations and seeking to persuade the SRA to deal with matters ‘in house’ without a tribunal referral.

Speaking to the Gazette, Goodwin said he remains worried by the lack of adequate safeguards, transparency around SRA decisions and independence. He also shares Law Society concern about the SRA acting as investigator, prosecutor and judge.

‘At face value, increasing the maximum range of fines that the SRA can impose, and allowing them to directly handle more cases of misconduct, has some sense,’ he concedes. ‘The difficulty is that it may directly alter the delicate balance of regulation and discipline achieved by the separation of the SRA and the SDT. There is a concern in the profession that the right of the SRA to impose fines up to £25,000 may lead to unfair and inconsistent decisions. It seems to me that it will be for the SRA to show that they can implement their increased powers in a transparent, objective, proportionate and fair way.’ 

Goodwin qualified in 1992 and for years acted on the other side, representing the Solicitors Complaints Bureau and later the SRA until 2016. Since then, he has represented and defended solicitors, with 95% of his practice coming from this work.

‘The most rewarding part is being able to advise individual solicitors and/or firms that, following representations from me, the SRA has decided to take no further action. The impact of an investigation can be terrifying to solicitors, with the prospect that their qualification as a solicitor may be in jeopardy.

‘In addition, there is nothing more rewarding than representing a client before the SDT and successfully defending allegations of dishonesty. I always say to clients that if they walk into the SDT as a solicitor, and walk out as a solicitor, I have done my job.’

As well as dealing with regulatory reforms, the nature of the job has changed in recent years. There has been an increase in enquiries from solicitors accused of sexual misconduct. Clients are also increasingly seeking support as well as legal advice, and Goodwin’s pastoral role extends into evenings and weekends speaking to those panicking about what will happen.

‘Solicitors often contact me upon receipt of an SRA email informing them that a complaint has been received, and commencing the investigation,’ he says. ‘The solicitor may have no previous dealings with the SRA and is filled with fear, anxiety, and dread.

‘Part of my role requires me to be a “counsellor” to clients who may be particularly vulnerable, and find the SRA and/or SDT proceedings extremely stressful and which may extend to mental health issues.’

Another aspect to the job is explaining just how costly the process might be. Goodwin says the costs claimed by the SRA can be ‘significant and staggering’ and cites the potential for inequality of arms and unfairness. The situation is exemplified by the SRA choosing to instruct external counsel from commercial London chambers.

‘Often the costs claimed by the SRA is a factor in the decision whether to continue to defend the allegations at a substantive hearing, or to seek resolution by way of an agreed outcome, if possible, and dependent on the facts of the cases. Often a pragmatic decision may be to seek resolution of SDT proceedings, to reduce the costs that may be payable.’

Goodwin agrees that every solicitor should be represented in the tribunal but is cautious about the idea of an indemnity scheme to guarantee this. ‘It would depend on the quality and experience of those available within the scheme. Expertise in this area of law and, in particular, dealing with the SRA and the SDT is invaluable.’

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