Disciplinary Record - John Parker Swindell

Decision - Control of practice

Outcome: Condition

Outcome date: 3 May 2023

Published date: 3 July 2023

Firm details

Firm or organisation at time of matters giving rise to outcome

Name: John Swindell & Company Solicitors

Address(es): St Johns House, 22 Wellington Street, St. John, Blackburn, Lancashire BB1 8AF

Firm ID: 327066

Firm or organisation at date of publication

Name: Mullberry Homes Limited

Address(es): 45 Preston New Road ,Blackburn BB2 6AE

Firm ID: 808967

Outcome details

This outcome was reached by SRA decision.

Decision details

Mr Swindell's practising certificate for 2022/2023 is subject to the following conditions:

• Mr Swindell is not a manager or owner of any authorised body.
• Subject to the condition above, Mr Swindell may act as a solicitor, only as an employee where the role has first been approved by us.
• Mr Swindell may not act as a compliance officer for legal practice (COLP) or compliance officer for finance and administration (COFA) for any authorised body.
• Mr Swindell does not hold or receive client money, or act as a signatory to any client or office account or have the power to authorise transfers from any client or office account.

In these conditions the terms are as defined in the SRA Glossary.

Reasons/basis

The above conditions are necessary in the public interest. They are reasonable and proportionate having regard to the purposes set out in regulation 7 of the SRA Authorisation of Individuals Regulations, and the regulatory objectives and principles governing regulatory activities as contained in section 28 of the Legal Services Act 2007.

Decision - Control of practice

Outcome: Condition

Outcome date: 29 April 2022

Published date: 22 August 2022

Firm details

Firm or organisation at time of matters giving rise to outcome

Name: John Swindell & Company Solicitors

Address(es): St Johns House, 22 Wellington Street, St. John, Blackburn, Lancashire BB1 8AF

Firm ID: 327066

Firm or organisation at date of publication

Name: Mullberry Homes Limited

Address(es): 45 Preston New Road ,Blackburn BB2 6AE

Firm ID: 808967

Outcome details

This outcome was reached by SRA decision.

Decision details

John Swindell’s practising certificate for 2021/2022 has been granted subject to the following conditions:

1. Mr Swindell is not a manager or owner of any authorised body.
2. Subject to the condition above, Mr Swindell may act as a solicitor, only as an employee where the role has first been approved by us
3. Mr Swindell may not act as a compliance officer for legal practice (COLP) or compliance officer for finance and administration (COFA) for any authorised body.
4. Mr Swindell does not hold or receive client money, or act as a signatory to any client or office account or have the power to authorise transfers from any client or office account.

In these conditions the definitions are as defined in the SRA Glossary.

Reasons/basis

The above conditions are necessary in the public interest and reasonable and proportionate having regard to the purposes set out in Regulation 7 of the SRA Authorisation of Individuals Regulations and the regulatory objectives and principles governing regulatory activities as contained in section 28 of the Legal Services Act 2007.

Decision - Prosecution

Outcome: Solicitors Disciplinary Tribunal order

Outcome date: 30 January 2013

Published date: 22 April 2015

Firm details

Firm or organisation at time of matters giving rise to outcome

Name: John Swindell & Co Solicitors

Address(es): St Johns House, Blackburn, Lancashire BB1 8AF

Firm ID: 327066

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

The matter was heard on 30 January 2013.

Mr Swindell was Struck Off the Roll.

A full copy of the Judgment will be available at www.solicitorstribunal.org.uk. 

On 13 August 2019, the SDT considered Mr Swindell’s application for restoration to the Roll. The Tribunal Ordered that the application be granted.

The Tribunal further ordered that Mr Swindell be subject to conditions imposed by the SDT as follows:

1. He may not:

1.1 Practise as a sole practitioner or sole manager or sole owner of an authorised or recognised body;

1.2 Be a partner or member of a Limited Liability Partnership (LLP), Legal Disciplinary Practice (LDP) or Alternative Business Structure (ABS) or other authorised or recognised body for a period of 5 years from the date of this Order;

1.3 Be a Compliance Officer for Legal Practice or a Compliance Officer for Finance and Administration;

1.4 Hold client money for a period of 5 years from the date of this Order;

1.5 Be a signatory on any client account;

1.6 Work as a solicitor other than in employment approved by the Solicitors Regulation Authority for a period of 5 years from the date of this Order.

2. He must:

2.1 Inform any prospective employer of the conditions and the reasons for their imposition for a period of 5 years from the date of this Order;

2.2 Attend relevant courses on the SRA Principles 2011, SRA Code of Conduct 2011 and SRA Accounts Rules 2011 within 12 months of the date of this Order.

There be liberty to either party to apply to the Tribunal to vary the conditions set out at paragraph 1 above.

On 17 September 2020 the SDT considered an application from Mr Swindell to vary a condition in the  Order dated 13 August 2019  wherein the SDT ordered that (amongst other restrictions) he attend relevant courses on the SRA Principles 2011, SRA Code of Conduct 2011 and the SRA Accounts Rule 2011 within 12 months.

Mr Swindell applied to vary the deadline by which he must complete the relevant courses. 

The SRA consented to the application and the SDT granted the application and varied paragraph 2.2.2 of the Order by substituting the wording that he must: 

Attend relevant courses on the SRA Principles, SRA Code of Conduct for Solicitors, RELs and RFLs and the SRA Accounts Rules within 12 months of 13 August 2020.

The SDT judgment will be available at  www.solicitorstribunal.org.uk