The Complaints Procedure for solicitors is an important process that ensures accountability and addresses any concerns or issues clients may have. This guide provides an overview of the procedure, including who can make a complaint and the types of complaints that can be addressed. It also covers the steps involved in initiating a complaint, such as contacting the solicitor and providing supporting evidence. Additionally, it explores how complaints are investigated, including the role of the Solicitor Regulation Authority and the gathering of information. Finally, it discusses the various ways in which complaints can be resolved, such as through mediation, disciplinary action, and compensation.

Key Takeaways

Understanding the Complaints Procedure

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The Importance of the Complaints Procedure

The complaints procedure is a crucial aspect of ensuring a fair and transparent legal system. It provides a mechanism for individuals to raise concerns and seek resolution when they believe they have been treated unfairly or have experienced misconduct by a solicitor. By having a well-defined complaints procedure in place, it promotes accountability and maintains the integrity of the legal profession. It also helps to build trust and confidence in the solicitor-client relationship, as clients know that their concerns will be taken seriously and addressed appropriately. A fair complaints procedure is essential for a just and equitable legal system.

Who Can Make a Complaint

The complaints procedure is open to individuals, businesses, and organizations who have had a negative experience with a solicitor. Whether you are a client who received poor legal advice or a business that was affected by a solicitor’s negligence, you have the right to make a complaint. The procedure is not limited to specific areas of law, so whether you have a complaint related to commercial law, family law, or any other area, you can initiate the process.

Types of Complaints

There are various types of complaints that can be made during the solicitor complaints procedure. These include issues related to negligence, misconduct, breach of contract, and inadequate communication. Complaints can also arise from dissatisfaction with the outcome of a case, excessive fees, or delays in the progress of legal matters. It is important to note that the complaints procedure may differ depending on the nature of the complaint and the jurisdiction in which the solicitor practices. If you are unsure about the type of complaint you wish to make, it is advisable to seek legal advice before proceeding.

Initiating a Complaint

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Contacting the Solicitor

When you have concerns or issues that you would like to address with the solicitor, it is important to initiate contact with them. You can do this by either calling them on 0300 555 0333 or sending an email to [email protected]. It is crucial to communicate your concerns in a clear and concise manner, providing all the necessary details. This will help the solicitor understand the nature of your complaint and take appropriate action. Remember, the solicitor is there to provide expert legal services and assist you in resolving any issues you may have.

Writing a Formal Complaint

When writing a formal complaint, it is important to clearly outline your concerns and provide any relevant supporting evidence. Be concise and specific in describing the issue you are facing. Successful legal claim can be a complex process, so it is crucial to clearly state the facts and explain how you believe the solicitor has breached their professional duties. Additionally, it is recommended to include a list of questions or concerns that you would like addressed during any meetings or correspondence. This will help ensure that all your concerns are addressed and that you get the most out of the complaint process.

Providing Supporting Evidence

When initiating a complaint, it is crucial to provide supporting evidence to strengthen your case. This evidence can include documents, emails, or any other relevant information that supports your claims. Providing clear and concise evidence will help the solicitor understand the nature of your complaint and enable them to conduct a thorough investigation. It is important to ensure that the evidence you provide is accurate and reliable, as any inconsistencies or lack of credibility may weaken your complaint. By presenting strong supporting evidence, you increase the likelihood of a successful resolution to your complaint.

Investigating the Complaint

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The Role of the Solicitor Regulation Authority

The Solicitor Regulation Authority (SRA) plays a crucial role in ensuring the ethical conduct of solicitors. They are responsible for regulating solicitors and law firms in England and Wales. The SRA sets and enforces the standards that solicitors must adhere to, promoting professionalism and protecting the interests of clients.

If you have concerns about a solicitor’s behavior, such as dishonesty, mishandling of funds, or unfair treatment based on age, disability, or other characteristics, you can raise your concerns with the SRA. They have the authority to investigate and take disciplinary action against solicitors who breach their code of conduct.

The SRA also provides support and guidance to individuals who wish to make a complaint against a solicitor. They can offer advice on how to initiate a complaint, what information and evidence to provide, and the steps involved in the complaints procedure.

If you need to contact the SRA, you can reach them at The Cube, 199 Wharfside Street, Birmingham, B1 1RW, or by telephone on 0370 606 2555. You can also visit their website at for more information.

Gathering Information

During the investigation process, the solicitor regulation authority will gather all relevant information pertaining to the complaint. This includes examining the matter file and liaising with the person who dealt with the matter. In some cases, the authority may need to request further information or documents from the complainant. The complainant will be given a specific period of time to provide the requested information. Throughout the investigation, the authority will provide updates on the progress of the complaint. Additionally, if deemed appropriate, the complainant may be invited to a meeting to discuss the complaint. Attendance at the meeting is not mandatory.

Interviewing Parties Involved

During the investigation process, it is crucial to conduct interviews with all parties involved in the complaint. This allows for a comprehensive understanding of the situation and helps gather relevant information. The interviews should be conducted in a professional and unbiased manner, ensuring that all parties have an opportunity to express their perspectives.

To ensure fairness and transparency, it is important to follow workplace safety regulations during the interview process. This includes providing a safe and comfortable environment for all participants and respecting their rights and privacy.

In addition to verbal interviews, written statements may also be obtained from the parties involved. These statements can provide a written record of their accounts and can be used as evidence during the investigation.

It is important to note that the interviews should be conducted with sensitivity and empathy, as complaints can often involve emotional or sensitive topics. The investigator should demonstrate active listening skills and create a supportive environment for the parties to share their experiences.

Overall, interviewing parties involved in the complaint is a critical step in the investigation process, allowing for a thorough examination of the issues and ensuring a fair and unbiased resolution.

Resolving the Complaint

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Mediation and Alternative Dispute Resolution

Mediation and Alternative Dispute Resolution (ADR) are important methods for resolving complaints against solicitors. These processes provide an opportunity for parties to come together and find a mutually agreeable solution, without the need for formal litigation. Mediation involves a neutral third party facilitating discussions between the complainant and the solicitor, helping them explore options and reach a resolution. ADR, on the other hand, encompasses various methods such as arbitration and negotiation, where an independent party makes a decision or assists in reaching a settlement. Both mediation and ADR can save time, costs, and preserve relationships.

It is worth noting that KJ Conroy & Co Solicitors may have their own internal mediation and ADR processes in place to handle complaints. However, it is important to be aware that other ADR service providers, such as ProMediate, also exist and offer consumer complaint resolution services. While KJ Conroy & Co Solicitors is not obligated to use these providers, it is worth considering them as an alternative option if necessary.

If you are unhappy with the behavior of KJ Conroy & Co Solicitors, you can seek assistance from the Solicitors Regulation Authority. They can help address concerns related to dishonesty, mishandling of funds, or unfair treatment based on age, disability, or other characteristics. Visiting their website can provide further information on how to proceed.

In case any changes need to be made to the timescales mentioned above, KJ Conroy & Co Solicitors will inform you and provide an explanation. For additional information, you can visit the Legal Ombudsman’s website at There are also approved ADR entities available to handle complaints. Specific information about these providers can be found on their respective websites, including Trading Standard, Law Society, Bar Standards Board, CILEx Regulations, and Council for Licensed Conveyancers.

It is important to familiarize yourself with KJ Conroy & Co Solicitors’ complaints procedure, as well as the process for raising concerns. This information can be obtained from their website or by contacting them directly.

Disciplinary Action

Disciplinary action may be taken against a solicitor who has been found to have breached professional standards or engaged in misconduct. The Solicitor Regulation Authority (SRA) has the authority to impose various sanctions on solicitors, depending on the severity of the violation. These sanctions can include:

It is important to note that disciplinary action is taken to ensure accountability and maintain the integrity of the legal profession. The SRA aims to protect the interests of clients and the public by holding solicitors accountable for their actions. If you believe a solicitor has acted inappropriately, it is essential to file a complaint and provide supporting evidence to initiate an investigation.

Compensation and Remedies

After a complaint has been investigated and found to be valid, the solicitor may be required to provide compensation or remedies to the complainant. Compensation can include financial reimbursement for any losses or damages incurred as a result of the solicitor’s actions. Remedies may involve corrective actions taken by the solicitor to rectify the situation and prevent similar issues from occurring in the future. The amount of compensation and the specific remedies will vary depending on the circumstances of each case. It is important for both parties to reach a fair and satisfactory resolution.


In conclusion, it is important to have a clear understanding of the complaints procedure for solicitors. Transparency and communication are key in resolving any issues that may arise. If you have a complaint, make sure to contact us with the details, and our Compliance Director will acknowledge receipt of your complaint within 5 working days. Additionally, if you are not satisfied with our handling of the complaint, you may have the right to ask the Legal Ombudsman to consider the complaint. We are committed to providing a high-quality legal service and continuously improving our standards.

Frequently Asked Questions

What is the purpose of the complaints procedure for solicitors?

The purpose of the complaints procedure for solicitors is to provide a fair and transparent process for clients to raise concerns or complaints about the services provided by solicitors.

Who can make a complaint?

Any client who has received legal services from a solicitor can make a complaint.

What types of complaints can be made?

Clients can make complaints about various issues, such as misconduct, negligence, failure to communicate, excessive fees, or any other dissatisfaction with the solicitor’s services.

How can I initiate a complaint?

To initiate a complaint, you can contact the solicitor directly to discuss your concerns or submit a formal complaint in writing.

What supporting evidence should I provide with my complaint?

It is helpful to provide any relevant documents, correspondence, or records that support your complaint.

What happens after I submit a complaint?

After you submit a complaint, the solicitor will acknowledge receipt of your complaint and begin the investigation process. They may request additional information or evidence from you or other parties involved.

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