Bryn Roberts
Solicitor
81485

Decision - Fined

Outcome: Fine

Outcome date: 31 July 2026

Published date: 7 September 2026

Firm details

Firm or organisation at date of publication and at time of matters giving rise to outcome

Name: Evans Roberts

Address(es): 11 Penrallt Street MACHYNLLETH SY20 8AG

Firm ID: 644977

Outcome details

This outcome was reached by SRA decision.

Decision details

Who does this disciplinary decision relate to?

Bryn Roberts is a solicitor and sole practitioner at Evan Roberts, located at 11 Penrallt Street, Machynlleth, SY20 8AG, a regulated body (the firm).

Short summary of decision

We have fined Mr Roberts £20,148.75 for failing to:

1. comply with an undertaking;
2. act in the best interests of clients and acting in a timely manner;
3. respond to complaints and adhere to the firm's complaints procedures;
4. cooperate with the Legal Ombudsman and the SRA, in relation to their enquiries;
5. authorising an improper transfer from the client account; and
6. keep a book of accounts.

We have also ordered Mr Roberts pay costs of £1,350.

Reasons/basis

Facts of the misconduct

On 22 June 2021, the SRA received a report about Mr Roberts handling of an estate and delays in the administration of the estate. The SRA contacted Mr Roberts on 23 November 2021, 15 February 2022 and 8 June 2022 to confirm its investigation into the matter.

A Production Notice was issued due to the slow response for information by Mr Roberts. Mr Roberts only sent a partial response to the Production Notice. Consequently, the SRA commenced a forensic investigation into the firm, which identified the following concerns:

• A client account shortage of £30,848.73 that lasted for almost three years and was replaced four months after discovery.
• No client account reconciliations had been completed; and
• Potential client debit balances totalling £1,517.74.

Between 11 September 2023 and 4 May 2024, the SRA received a further six complaints about the firm about his handling of client matters, including a report from the Legal Ombudsman. Subsequently, a second forensic investigation was commenced, which identified the following concerns:

• Mr Roberts failed to respond to the SRA's questions and document requests prior to the investigation.
• Mr Roberts failed to provide satisfactory explanations for his conduct on the six client matters.
• The firm's accountant's report for the accounting period 1 April 2022 to 31 March 2023, was qualified. Mr Roberts had not submitted the report to the SRA within the six months period required by the Accounts Rules.

It was found that Mr Roberts failed to comply with an undertaking, act in the best interests of clients, respond to complaints, cooperate with the Legal Ombudsman and the SRA in relation to their enquires, authorised an improper transfer from the client account and failed to keep a book of accounts. In doing so, Mr Roberts breached the rules detailed below.

Decision on sanction

Mr Roberts was directed to pay a financial penalty of £20,148.75 and ordered to pay costs of £1,350.

It was decided that a financial penalty was an appropriate and proportionate sanction.

This was because Mr Roberts' conduct was serious by reference to the following factors in the SRA Enforcement Strategy:

• The failure to register charges and transfers, failing to protect interests in the interim period and misfiling client files all had the potential to cause significant harm to clients.
• Mr Roberts had direct control or responsibility for the conduct.
• Mr Roberts had a reckless disregard to the risk of harm and his regulatory obligations, and
• Mr Robert took remedial action but only when prompted and the breaches/ conduct persisted longer than reasonable.
• Any lesser sanction would not provide a credible deterrent to Mr Robert, and others. A credible deterrent plays a key role in maintaining professional standards and upholding public confidence.

In view of the above, Mr Roberts' conduct was placed in conduct Band D which has a financial penalty bracket of between 65% and 97% of his annual gross income. His conduct was placed in the middle of this bracket at D2 given:

• His lack of urgency to rectify errors when they came to light.
• His lack of cooperation with the Legal Ombudsman and the SRA.

There were found to be no mitigating factors.

SRA Principles breached

SRA Principles 2019

Principle 2: You must act in a way that upholds public trust and confidence in the solicitors' profession and in legal services provided by authorised persons.

Principle 7: You must act in the best interests of each client.

Code of Conduct

Paragraph 1.3 You perform all undertakings given by you and do so within an agreed timescale or if no timescale has been agreed then within a reasonable amount of time.

Paragraph 3.2 You ensure that the service you provide to clients is competent and delivered in a timely manner.

Paragraph 4.2 You safeguard money and assets entrusted to you by clients and others.

Paragraph 8.3 You ensure that clients are informed in writing at the time of engagement about (d) their right to complain to you about your services and your charges; (e) how a complaint can be made and to whom; (f) any right they have to make a complaint to the Legal Ombudsman and when they can make any such complaint.

Paragraph 8.4 You ensure that when clients have made a complaint to you, if this has not been resolved to the client's satisfaction within 8 weeks following the making of a complaint, they are informed, in writing:

1. of any right they have to complain to the Legal Ombudsman, the time frame for doing so and full details of how to contact the Legal Ombudsman; and
2. if a complaint has been brought and your complaints procedure has been exhausted:
   3. that you cannot settle the complaint;
   4. of the name and website address of an alternative dispute resolution (ADR) approved body which would be competent to deal with the complaint; and
   5. whether you agree to use the scheme operated by that body.

Paragraph 8.5 - You ensure that complaints are dealt with promptly, fairly, and free of charge.

SRA Accounts

Rules Rule 4.3 Where you are holding client money and some or all of that money will be used to pay your costs:

1. you must give a bill of costs, or other written notification of the costs incurred, to the client or the paying party;
2. this must be done before you transfer any client money from a client account to make the payment; and
3. any such payment must be for the specific sum identified in the bill of costs, or other written notification of the costs incurred, and covered by the amount held for the particular client or third party.

Rule 5.1 You only withdraw client money from a client account:

1. for the purpose for which it is being held;
2. following receipt of instructions from the client, or the third party for whom the money is held; or
3. on the SRA's prior written authorisation or in prescribed circumstances.

Rule 6.1 You correct any breaches of these rules promptly upon discovery. Any money improperly withheld or withdrawn from a client account must be immediately paid into the account or replaced as appropriate.

Rule 8.1 You keep and maintain accurate, contemporaneous, and chronological records to:

1. record in client ledgers identified by the client's name and an appropriate description of the matter to which they relate:
   1. all receipts and payments which are client money on the client side of the client ledger account;
   2. all receipts and payments which are not client money and bills of costs including transactions through the authorised body's accounts on the business side of the client ledger account;
2. maintain a list of all the balances shown by the client ledger accounts of the liabilities to clients (and third parties), with a running total of the balances; and
3. provide a cash book showing a running total of all transactions through client accounts held or operated by you.

Rule 8.3 You complete at least every five weeks, for all client accounts held or operated by you, a reconciliation of the bank or building society statement balance with the cash book balance and the client ledger total, a record of which must be signed off by the COFA or a manager of the Firm. You should promptly investigate and resolve any differences shown by the reconciliation.