Reporting a solicitor or firm to us

If you report a firm or solicitor to us, we check if there is a serious breach of our rules that we need to investigate. We don't investigate all the reports we receive. If we decide to investigate, we collect and review evidence. If we decide we don't need to investigate, we'll clearly explain the reasons to you.

We investigate serious or repeated cases of poor behaviour or conduct. Types of things we usually investigate are set out below. It's a list of examples. It's not a list of everything we investigate.

• Dishonesty or fraud
• Misuse of client money
• Sexual or violent misconduct
• Conduct relating to serious criminal offences
• Misleading the court or others (for example, about what has been done on a case or about the evidence)  
• Serious concerns about the solvency of a firm (ie, employees have not been paid)
• Abusive conduct
• Scams

Each case is different and depends on its own facts and circumstances.

How we decide if a breach of our rules is serious

We investigate around one in five of the concerns that are reported to us. Those we investigate are the most serious.

To decide if we need to investigate the reports we receive, we apply an assessment threshold test. Three conditions must be met:

1. We can see that at least one of our rules has been broken.
2. The way in which the rule has been broken appears to be serious or part of a pattern or behaviour that is serious.
3. We have proof or believe we can get proof of the above.

A concern must meet all three of these conditions from the outset in order for us to investigate it.

Evidence

In order to take regulatory action, we need to be able to prove that the alleged facts are more likely to have occurred than not and that the concerns they raise are serious. To do this we consider how strong the evidence we have is, and how much more evidence we may be able to get by investigating.

As a result, we may decide not to investigate if the evidence we have doesn't support the reported concerns and if we don't think we'll be able to get evidence that does support them. This might be the case, for example, if:

• a key witness won't help with our investigation
• we can't get evidence because the report is about events that happened a long time ago
• we wouldn't be able to contradict a likely reasonable explanation by the firm or solicitor for what they did.

The types of evidence we may request or consider during an investigation include:

• copies of documentation such as letters and emails from the solicitor or firm that support the concerns being raised
• your own account of events, including specific dates, along with relevant statements from other involved parties
• digital evidence, for example, screenshots of text messages or social media posts
• where concerns relate to money (such as missing funds) copies of bank statements or financial documents.

To help us to assess concerns efficiently, we ask that only documents and information that are directly relevant to the issue being reported are provided. This helps us review cases more quickly and ensures we can identify the most important details.

If we feel we need more information or documents from you, we will contact you about this.

Poor service from a firm or solicitor

We don't usually investigate

• concerns about delays or communication
• disagreements about your bill
• isolated mistakes by your solicitor.

We can't make a solicitor say sorry to you or pay compensation to you. If these are outcomes you are looking for, first raise your concerns with the solicitor or their firm. And, if you aren't happy with their response, the Legal Ombudsman is the organisation that is best placed to help you.

The Legal Ombudsman can look at your complaint, investigate it and recommend that the firm:

• pay you compensation
• reduce your bill
• give you an apology
• take other steps to put things right.

Data protection breaches

We do expect solicitors to keep their clients' information confidential. But data protection breaches such as accidentally sending an email or letter to the wrong address are usually best reported to the Information Commissioner's Office rather than to us.

Matters already before the court

We don't usually investigate solicitors for not complying with court directions in ongoing legal cases, as the court is likely to deal with this as part of the proceedings.

More importantly we cannot intervene in legal disagreements.

However, if a solicitor's or a firm's conduct has been criticised by the court, or if a solicitor has failed to comply with a final order or decision of the court, we can investigate.

Things we can't help with

• We can't take action against people or firms we don't regulate. We don't regulate every person and firm who offers legal services in England and Wales. You can check if we regulate a person or the firm where they work by searching our Solicitors Register.
• We can't intervene in legal disagreements with others, including disputes about fees, debts, wills, employment matters, divorces, eviction cases or family matters.
• We can't tell a solicitor to take specific steps in your legal case or to stop taking steps in your case. We cannot act on your behalf to resolve issues with firms or individuals.
• We don't have the power to make a solicitor or firm say sorry to you, pay compensation to you for a mistake or to put things right in other ways. If the solicitor or firm you're unhappy with has acted for you, the Legal Ombudsman may be able to help you.
• We can't provide legal advice, such as advice about whether your solicitor has been negligent.
• In most cases, we can't give you documents that a solicitor or firm has given us during our investigation, for you to use in a legal claim against them, for example.

You may wish to think about getting legal advice from another source. To find a solicitor in your local area, the Law Society's Find a solicitor website is likely to be helpful. Or you can learn about people who provide legal advice at little or no cost.

After investigating, the type of action we can take includes:

• giving advice to a solicitor or firm
• warning a solicitor or firm about their professional conduct
• putting conditions on a solicitor's licence to practise (known as a practising certificate), to make them do certain things (eg complete further training) or to stop them from carrying out certain activities or holding certain roles in a firm
• fining a solicitor or firm
• rebuking a solicitor or firm
• referring a solicitor or firm to the Solicitors Disciplinary Tribunal (SDT) (In a few, very serious cases, the SDT may suspend or strike off a solicitor from the roll. This means they can no longer work as a solicitor in England and Wales.)
• in very serious cases, closing down a firm to protect clients and client money (This may happen at any time in the investigation process.)
• even if we decide not to take any action against a firm or individual, the information provided will be held on record and can be used to inform future regulatory investigation.

If you think a solicitor or firm might have breached our rules, you should report your concerns to us.

Before you give us your report, please read our guidance about what we can and can't help with.

Download, complete and return a form

The quickest, easiest way for most people to report concerns is to download, complete and return our report form.

Speak to an adviser

If you have a disability and need help to report your concerns, please contact us

To ask for a printed copy of our report form to complete and return, please contact us

Information we'll need

When you report concerns, it's important for you to send us everything from the list below as early as possible. This will help us to decide if we can investigate.

We'll need:

• the solicitor's or firm's name and work address
• why you think a solicitor or firm may have breached our rules, including the date(s) when the event(s) took place
• copies of documents – such as letters, emails, bank statements or court documents – that show the actions and events you are concerned about
• the names and addresses of anyone else who witnessed or was involved in the events
• the outcome and a copy of any decision or outcome if you have already contacted another organisation about the matter
• your contact details.

We won't need:

• you to tell us which rules of conduct you think the solicitor or firm breached
• your whole case file or every document you have about the case. (Please send us only copies of documents that you think show the solicitor or firm did something wrong.)

We'll decide if we need to investigate based on the information you give us. We may need to ask you or the solicitor or firm for more information to help us decide whether to investigate.

Using AI to help draft your report?

AI tools can be helpful, but they can also introduce errors or create overly complex reports which increase the burden on public bodies.

When using AI to help draft a report, please make sure the final wording has been checked and accurately reflects the concerns you wish to report.

Before you submit your report, please check that:

You are only raising the concerns you genuinely wish to raise

AI tools sometimes generate broad or excessive wording that goes beyond the circumstances and issues you actually wish to tell us about.

The request is clear, concise and focused

Short, straightforward requests are easier for us to process and usually lead to quicker, more accurate responses.

There are no obvious factual inaccuracies

AI can misrepresent legislation or misstate what organisations do. Please review the text of your request carefully and don’t assume AI is right. If it has referred to something you don’t understand, check what it is.

The tone is appropriate

AI-generated content can sometimes sound abrupt, or otherwise inappropriate. Please check the tone before sending.

Why does this matter?

We are seeing an increase in reports that appear to have been drafted by generative AI. These can require additional clarification because of inaccuracies or unnecessary complexity. This creates delays for both the individual making the report and our teams. Setting out you report in your own words is usually the best way to tell us what has happened.

How we use your information

If we decide to investigate, we're likely to share details of your concern with:

• the solicitor(s) concerned
• their firm
• other regulators or organisations that could help our investigation
• any independent expert we use.

We'll need to use your information to investigate your concerns. If you don't want us to use your information to investigate, let us know why. We may still use your information in the interests of protecting the public, but we'll let you know before we do.