Barrett, Caroline Susan - 194148

TRI/3071-2009

Brendan Martin Casey (First Respondent) and Caroline Susan Barrett (formerly Casey) (Second Respondent)

REGULATORY SETTLEMENT AGREEMENT

• 1. Brendan Martin Casey ("Mr. Casey") and Caroline Susan Barrett (formerly Casey) ("Ms Barrett") both of Caseys Solicitors Limited of 12 Russell Court, Wool Gate, Bingley, West Yorkshire, BD16 1PE agree to the following outcome of the investigation into their professional conduct under TRI/3071-2009.

Background

• 2. An investigation into the practice showed that Casey & Co (later known as Caseys Solicitors) ("Caseys") had entered into an agreement ("the Agreement") with a debt collection company ("the Company") to enable the conduct of litigation by the Company.
• 3. The Agreement appointed the Company to issue proceedings on behalf of Caseys and provided for Caseys to supervise the Company in its delivery of legal services. Staff at the Company issued proceedings and signed Statements of Truth on Claim Forms. Solicitors’ fixed costs were also claimed by the Company.
• 4. The conduct of litigation is a reserved legal activity and as a non law firm the Company was not permitted to issue proceedings either in its own name or under supervision.
• 5. Further, monies belonging to the creditor clients of the Company were placed in a separate client account in the name of the Company as required by clause 4 of the Agreement. As the creditors were not clients of Casey & Co, client account could not be used for such purposes. Likewise, the firm was not permitted to provide banking facilities for the Company.
• 6. The overall effect of the Agreement was to permit the Company to offer legal services to debt collection clients without paying the fees of a separate law firm; without incurring the overheads of setting up its own law firm and without effective regulation or other consumer protections such as insurance.

Mitigation

• 7. The Agreement with the Company was terminated by Mr Casey in June 2009. Ms. Barrett’s involvement was on the periphery.

Admissions

• 8. Mr. Casey admits the following:
• that he entered into arrangements which assisted a debt collection company to conduct a reserved legal activity in breach of Practice Rules 1(a) in relation to independence only; and 1(f) of the Solicitors’ Practice Rules 1990 and Rules 1.01; and 1.03 and Rule 11 of the Solicitors’ Code of Conduct 2007
• that he permitted a debt collection company to use misleading and inaccurate publicity in breach of Rules 7.01; 7.05 and 7.06 of the Solicitors’ Code of Conduct 2007
• 9. Mr Casey and Ms Barrett admit the following:
• that they held monies in a separate client account on behalf of a debt collection company in breach of Rule 15 and Note (ix) to Rule 15 of the Solicitors Accounts Rules 1998

Agreed outcome

• 10. Mr. Casey agrees to be severely reprimanded.
• 11. Ms. Barrett agrees to be reprimanded.
• 12. Mr. Casey agrees to pay the costs of the SRA limited to the sum of £5,400 such costs to be paid by direct debit by instalments at the rate of £200 per month, first instalment to be paid within 14 days of the date of this agreement.
• 13. If any of the instalments remain unpaid after a period of 14 days the whole sum outstanding becomes due and payable forthwith with interest at the court rate of 8%.
• 14. Ms Barrett agrees to pay the costs of the SRA limited to the sum of £600 such costs to be paid within 14 days of the date of this agreement and in default interest will be payable at the court rate of 8% per annum.
• 15. It is agreed and understood by Mr. Casey and Ms Barrett that this Regulatory Settlement Agreement will be published by the SRA and may be disclosed by the SRA as they see fit.
• 16. Mr. Casey and Ms Barrett agree that they will not act in any way inconsistent with this agreement such as, for example, by denying the misconduct set out in this admission.
• 17. If the undertakings referred to above are not complied with or if Mr. Casey or Ms Barrett act in any way inconsistent with this agreement, all issues may be referred for consideration of referral of their conduct to the Solicitors Disciplinary Tribunal (or SRA internal decision) on the original facts and allegations, and also on the basis that such failure to comply with this agreement may constitute a breach of Rules 1.2, 1.3, and 1.6 of the Solicitors Code of Conduct 2007.
• 18. The date of this agreement is 03 March 2011

Signed:
Brendan Martin Casey
Caroline Susan Barrett (formerly Casey)

Signed:
Carol Westrop
Solicitors Regulation Authority