Outcome:
Prosecution
Outcome date: 7
January
2009
Published date: 29
May
2009
Firm details
Firm or organisation at date of publication and
at time of matters giving rise to outcome
Name: Oakley & Davies Limited
Address(es):
397 Cowbridge Road East, Canton CARDIFF, CF5 1JG
Firm ID: 486877
Outcome details
This outcome was reached
by SRA decision.
Reasons/basis
This notification relates to a decision to prosecute before The Solicitors Disciplinary Tribunal. This is an independent Tribunal which will reach its own decision after considering all the evidence, including any evidence put forward by the solicitor. The Tribunal has certified that there is a case to answer against Stephen Michael Oakley in respect of allegations which are or include :-
1 That he has failed to comply with and/or delayed in complying with undertakings given by his firm to Platform Funding Limited;
2 That he failed to keep Platform Funding Limited informed of the reasons for the delay in complying with the undertakings given by his firm;
3 That he failed to provide Platform Funding Limited with the name, address and policy number of his firm's professional indemnity insurer in breach of Rule 18 of the Solicitors' Indemnity Insurance Rules 2006 and contrary to Rule 1 (d) of the Solicitors Practice Rules 1990; and
4 That he failed to respond promptly, substantively or at all to correspondence from the SRA and LCS contrary to Rule 20.03 of the Solicitors' code of Conduct 2007
The allegations are subject to a hearing before the Solicitors Disciplinary Tribunal and are as yet unproved.
Help and more information
Outcome:
Control
Outcome date: 16
February
2010
Published date: 16
March
2010
Firm details
Firm or organisation at date of publication and
at time of matters giving rise to outcome
Name: Oakley & Davies Ltd
Address(es):
396 Cowbridge Road East, Canton, Cardiff, South Glamorgan, CF5 1JG
Firm ID: 486877
Outcome details
This outcome was reached
by SRA decision.
Decision details
To grant Mr Oakley a practising certificate for the practice year 2009/2010 subject to the following conditions:
1.1 That he is not a sole practitioner or sole director of a recognised body;
1.2 He is not a manager or owner of a recognised body where all the other managers or owners
1.2.1 Have less than 3 years experience practising as a lawyer in a firm regulated by the Solicitors Regulation Authority unless the arrangements have first been approved by the Solicitors Regulation Authority
1.2.2 Are recognised bodies of which he is the sole director
1.3 Mr Oakley shall immediately inform any actual or prospective employer, co-manager or co-owner of these conditions and the reasons for their imposition.
2. That he attends a course accredited by the Solicitors Regulation Authority on the Solicitors’ Code of Conduct 2007 within 6 months of the notification of this decision and that he provides confirmation of attendance (in the form of a certificate or letter of attendance from the course provider) within 8 months of the notification of this decision.
Reasons/basis
Mr Oakley has been granted an unconditional practising certificate for several years. However, over the past year, Mr Oakley has been found in breach of several aspects of the Solicitors’ Code of Conduct 2007.
Mr Oakley has been fined by the Solicitors Disciplinary Tribunal in respect of conduct issues.
In light of these matters, it is appropriate and in the interests of the public that Mr Oakley be granted a conditional practising certificate.
Mr Oakley should receive additional monitoring and support and that he alone should not be responsible for ensuring compliance with the Solicitors’ Code of Conduct. Furthermore, it will be beneficial to Mr Oakley if his knowledge on the Solicitors’ Code of Conduct is refreshed and updated.
Help and more information
Outcome:
Referral to Solicitors Disciplinary Tribunal
Outcome date: 18
November
2010
Published date: 18
August
2011
Firm details
Firm or organisation at time of matters giving
rise to outcome
Name: Oakley & Davies Limited
Address(es):
397 Cowbridge Road East, Canton, Cardiff, South Glamorgan CF5
Firm ID: 486877
Outcome details
This outcome was reached
by SRA decision.
Reasons/basis
This notification relates to a Decision to prosecute before the Solicitors Disciplinary Tribunal. This is an independent Tribunal which will reach its own decision after considering all the evidence, including any evidence put forward by the Solicitor. The Tribunal has certified that there is a case to answer in respect of allegations which are or include that he :-
1. Failed to deal with the SRA in an open, prompt or co-operative way in breach of Rule 20.05 of the Solicitors Code of Conduct 2007.
2. Failed to provide the name, address and policy number of his firm’s qualifying professional indemnity insurer in breach of Rule 18 of the Solicitors Indemnity Insurance Rules 2008 and 2009.
3. Failed to account to a client for interest held in client account in breach of Rule 24 of the Solicitors’ Accounts Rules 1998.
The allegations are subject to a Hearing before the Solicitors Disciplinary Tribunal and are as yet unproven.
Help and more information