Rainer Hughes - SRA Intervention

Who is the Solicitors Regulation Authority (SRA)?

The Solicitors Regulatory Authority (SRA) regulates solicitors and law firms in England and Wales. The SRA ensure that those they regulate operate independently and with integrity in the interests of their clients and the general public. It has statutory powers, granted to it by Parliament, which authorise it to discipline individual solicitors and firms, including the power to close down a firm with immediate effect, in certain circumstances. This is known as an “intervention”.

Why has this firm been closed down?

The SRA have conducted an investigation into the firm and have decided to close down the practice.  All interventions are done to protect the interests of the clients of the firm and the general public. 

When will my solicitors be re-opening?

The firm has been closed down by the SRA and has ceased trading with immediate effect, they will not be reopening.

What is Stephensons role?

When a firm is closed down, the SRA appoints an Intervention Agent to assist with this process. Stephensons are appointed in this capacity.

As Intervention Agent we attend the premises of an intervened firm on the day of the intervention along with representatives of the SRA and we remove the client files and paperwork from the firm’s offices.  We also take electronic copies of all data held by the firm.

Stephensons do not take over the practice of the intervened firm. Therefore, we do not automatically take over conduct of your case and do not take any  responsibility for payment of any trading debts of the firm.

Why didn’t the firm let me know this was going to happen? I have been left in a terrible position through no fault of my own.

We appreciate that you have been left unrepresented and this causes some disruption.  However, firms are usually unaware that an intervention is going to take place, and as such, are unable to pre-warn clients.

Can you recommend a particular firm to me?

Unfortunately, we are unable to recommend a specific firm. However the Law Society have a list of firms in your area who may be able to provide you with some assistance: The Law Society, call 44 (0)20 7320 5650. 

Where is my file?

As Intervention Agents, we hold the live files at our offices. The remainder of the files which are uplifted at the time of the intervention (including files which have been closed) are held by the SRA’s Archive Department, who are based in Coventry. Should you wish to contact them, their details are as follows:

SRA Intervention Archives

Call: 0204 525 0250

Email: interventionarchivefile@capita.co.uk 

How can I get my file of papers from Stephensons?

If you are a private paying client, we can forward your file of papers to you directly or your newly instructed solicitor. You will need to provide us with the full details of where you would like the file sending as well as a form of identification. 

Please see downloadable guidance sheet for assistance: Proof of identity guide

If your case is funded by the Legal Aid Agency, we cannot forward your file of papers directly to you. However, if you instruct a new solicitor with a legal aid contract, we can forward the papers to them on receiving a signed form of authority.

Why do you need a copy of my identification?

We request identification to ensure that documents are sent to the correct parties. Sometimes, a firm can have more than one client with the same name, and by providing identification, we can safeguard your file to prevent documents and personal information from being released to the wrong person.  

I have a court appearance very soon. Is it possible for you to represent me?

As Intervention Agents, this is not our role. However, if your matter is urgent, we can inform the courts and make them aware of your situation. The courts should be understanding and sympathetic to your situation if you are unable to instruct a new solicitor in time.

My matter has completed, do I need my file?

Even if you believe that your matter completed prior to the closure of the firm, there may still be some outstanding work on the file. For example, you may have completed on your property transaction but post-completion work (such as registration of the property) may be outstanding. If you have any concerns that there may be outstanding work, you may wish to ask a new solicitor to check this for you.

The intervened firm held our deeds/will(s). How do I get hold of them?

The SRA will collect any wills and deeds that were held on the premises. However, please note that we can only collect what is available on the day. The SRA will contact you in due course to inform you if documents have been uplifted in your name. However, should you wish to contact them in the meantime, their details are:

SRA Intervention Archives 

Call: 0204 525 0250

Email: interventionarchivefile@capita.co.uk

I was a client of the firm and they are holding my money. What happens now?

When an intervention takes place, all practice monies held by the intervened firm vest in the SRA and the firm’s bank accounts are frozen.  These monies are held by the SRA in a Statutory Trust which is created following an intervention.  

If you believe that the closed firm should have been holding money on your behalf then you need to complete a claim form and submit it to the SRA’s Claims Management Unit. The SRA will consider your claim and contact you directly. Download a copy of the claim form here:

Claims Management Claim Form

I am a creditor of the firm. What happens now?

If you are a creditor of the firm then you should contact the former principal(s) of the closed firm. Neither the SRA nor Stephensons take over any responsibility for payment of any trading debts of the firm.

If it can be established that the firm received funds in relation to your invoice prior to the intervention taking place (for example, hire and storage fees received from an insurer in payment of your invoice on a client matter), then you may be able to claim the money through the SRA’s Claims Management Unit. You will need to complete a claim form and submit it to them, along with evidence to support your claim. The SRA will contact you directly to discuss matters further. You can download a copy of the claim form:

Claim Management Claim Form

I owe money to the firm. What happens now?

The principal(s) of a closed firm has the right to recover costs for work carried out on your matter up to the day of intervention. The SRA also have powers to recover costs on behalf of the firm.

If you owe money to the firm for costs and disbursements, your liability for payment is unaffected and is still owed. You should send any payments to the SRA or Stephensons and include information about what the payment relates to. The money will be allocated to the correct client ledger and dealt with accordingly. For further information and bank details, please contact our Interventions Team.

I want to make a complaint about the services provided by the closed firm. What can I do?

If you wish to make a complaint regarding the intervened firm, you should contact the Legal Ombudsman directly. Their details are:

Legal Ombudsman, PO Box 6806, Wolverhampton, WV1 9WJ

0300 555 0333 / enquiries@legalombudsman.org.uk