Professional Regulation and Discipline Solicitors

Forbes Solicitors criminal defence team have acted for many different professionals in relation to disciplinary proceedings brought by professional bodies, including Doctors, Dentists, Psychiatrists, Solicitors, Barristers, Opticians, Customs Officers, Police Officers and employees facing disciplinary proceedings as a result of allegations of dishonesty within their employment.

More about Professional Regulation and Discipline Solicitors

Allegations into misconduct can be extremely disruptive, damaging and stressful for any individual involved. It is important to seek legal advice from a professional regulatory lawyer as soon as you become aware you are under investigation.

What happens during an investigation to professional misconduct?

What happens during an investigation to professional misconduct?

During an investigation into professional misconduct, you will be contacted by the relevant regulatory body in writing to make you aware of the complaint and they will request a response. They will then begin investigations into the circumstances surrounding the allegations to see if there has been a breach of conduct.

If you have received a letter from a regulatory body informing you of a complaint of misconduct, you should seek legal advice immediately. Our criminal defence team will advise you as to how to respond to the formal complaint to resolve the complaint as early as possible.

If the matter is referred to a hearing, our professional disciplinary lawyers will provide representation for the hearing to act in your defence. Our regulatory defence team will also liaise with the regulator on your behalf and work closely with you to protect your reputation and get the best possible outcome.

Director Disqualification

Director Disqualification

If you're a Company Director facing disciplinary proceedings, you could be facing a Disqualification Order which will prevent you from being involved in the management of a company in the future. Disqualification periods will be imposed which range from 2 to 15 years. A Disqualification Order can be made in either Criminal or Civil Courts. A breach of such a Disqualification Order is a criminal offence, and such conduct may well therefore be the subject of a prosecution usually involving circumstances of an individual being a sham Director. Breaching a disqualification order carries a sentence of 2 years imprisonment and/or a substantial fine.

Company directors may also be personally liable for any company debts. Such proceedings can be defended. Our criminal defence team regularly advise on such matters either as to the initial disqualification or as to defending prosecutions which follow in respect of breach of Disqualification Orders. Such matters generally arise from companies being placed into voluntary liquidation of administrative receivership where there is a requirement for the receiver to report as to the conduct of Company Directors. Proceedings can be issued within two years of this.

Our dedicated Crime team


Consultant, Crime

Daniel King

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Partner, Crime

Craig Liversidge


Partner, Crime

Craig MacKenzie

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© 2024 Forbes Solicitors is the trading name of Forbes Solicitors LLP Offices in Preston, Manchester, Salford, Blackburn, Blackpool, London and Leeds UK Main Office: Rutherford House, 4 Wellington Street (St Johns), Blackburn, Lancashire, BB1 8DD • Vat No: 174 394 344 Forbes Solicitors is authorised and regulated by the Solicitors Regulation Authority (SRA No. 816356). Details of the SRA’s Standards and Regulations can be found here. Authorised and regulated by the Financial Conduct Authority.

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