Warning Signs Under the Legal Services Act & Regulatory Rules

• Use it as a checklist when you are choosing or dealing with a law firm.
• If you see one or two issues, raise them early with the firm.
• If you see a pattern or serious issues, consider a formal complaint and possible escalation.
• Log each incident in your Risk & Issue Log, Timeline, or Communication Log.

Legal regulators set out “professional principles” and “codes of conduct”. This page translates some of those ideas into everyday warning signs that real consumers can spot.

Although the exact wording varies between regulators, lawyers are generally expected to:

• Act with honesty – not mislead you, the court, or others.
• Act with integrity – behave in a way that is trustworthy and straightforward, even when under pressure.
• Act in your best interests – put your interests ahead of their own (within the law and professional rules).
• Act independently – not let others (including the other side, introducers or referrers) improperly influence their advice.
• Provide a competent service – with appropriate skill, care, and supervision for the type of work.
• Keep your affairs confidential, and handle your information and money properly.
• Be open and honest with regulators, and cooperate if things go wrong.
• Treat you fairly and with respect, without discrimination or abuse.
• Handle complaints properly, giving you clear information about how to complain and your right to go to the Ombudsman.

When these principles are repeatedly ignored, it may be a breach of the code of conduct and good grounds for a complaint.

Examples of behaviour that may be inconsistent with those principles include:

Honesty and integrity

• Giving you an untrue or misleading picture of the progress of your case.
• Backdating documents, attendance notes or letters to make it look as if something was done on time.
• Changing their story about what was said or advised, without any written record to support it.
• Promising things they know they cannot deliver (for example, guaranteed outcomes).

Best interests and independence

• Steering you towards a particular outcome because it is easier or more profitable for them.
• Discouraging you from getting a second opinion when there is a clear reason to do so.
• Taking instructions from someone else (for example, an estate agent or family member) without checking directly with you.

Competence, supervision and service

• Repeated serious mistakes that a reasonably competent lawyer should not make.
• Leaving important tasks entirely to unqualified staff with little or no supervision.
• Ignoring clear instructions you have given, without good reason or explanation.

Respect, confidentiality and fairness

• Speaking to you in a bullying, abusive or discriminatory way.
• Discussing your case openly where others can overhear sensitive details.
• Sharing your information inappropriately with third parties without your consent or a proper legal reason.

Complaints and regulators

• Refusing to allow you to make a complaint, or suggesting you are “not allowed” to complain.
• Giving misleading information about your right to go to the Legal Ombudsman or relevant regulator.
• Threatening negative consequences (for example, dropping your case) simply because you complained.

A single slip or misunderstanding does not always mean a formal breach, but a pattern of behaviour like this should be taken seriously and may need to be reported.

• No clear engagement letter setting out who acts for you, what they will do, and on what terms.
• Unclear status – you are not told whether the person is a solicitor, authorised body, or unregulated provider.
• Misleading use of titles – someone implies they are a solicitor or have rights of audience when they do not.
• No information about regulation – they do not say which regulator oversees them (e.g. SRA) or how to complain.
• Refusal to explain their regulatory status when you ask.

These issues go to transparency and regulatory protections. You can ask for a clear engagement letter and information about who regulates them.

• No written cost estimate before substantial work is done.
• Estimates that keep changing without clear written explanation.
• Unexpected extra charges (e.g. “admin fees”, “file opening fees”) that were not agreed or explained.
• Pressure to pay large sums up front without a clear breakdown of what it covers.
• Bills that do not match what was agreed in the engagement letter or cost estimate.
• Refusal to explain bills in writing when you raise reasonable questions.

Sudden or unexplained increases, or failure to provide information about costs, can be grounds for a complaint about poor service and lack of transparency.

• Repeated mistakes in documents, forms or correspondence that you have to correct.
• Deadlines missed or nearly missed (court dates, limitation dates, completion dates) without proper explanation.
• Important work delegated entirely to junior or unqualified staff with little or no supervision.
• Advice that keeps changing without a clear, written explanation of why.
• Failure to follow clear instructions you have given, without good reason.

These issues may indicate problems with competence, supervision or proper management of your case. Keep a timeline of key events and missed deadlines.

• Long periods with no update on important matters, especially after you chase.
• Failure to confirm important advice in writing even when you ask.
• Rude, dismissive or bullying communication, or making you feel you cannot ask questions.
• Inaccurate records of what was said in meetings or calls, which they refuse to correct when challenged.
• Refusal to provide copies of key documents or correspondence about your case.

Poor communication and record-keeping are common grounds for complaints about service. Save emails and keep your own notes of calls.

• Acting for you and the other side in circumstances where there may be a conflict of interest.
• Not telling you about relationships with the other party, estate agent, broker, or other connected person.
• Changing who they act for without clearly explaining why and what it means for you.
• Carrying on acting where it is hard to see how they can be independent or act in your best interests.

Conflicts of interest are taken seriously by regulators. If you suspect a conflict, ask for a written explanation of how it is being managed.

• No information about how to complain or who the complaints partner is.
• Refusal to accept a complaint, or saying “we do not deal with complaints”.
• Unreasonable delay in responding to a complaint, or no response at all.
• Misleading information about your right to go to the Legal Ombudsman (or the time limits).
• Pressure not to complain, or suggesting that complaining will harm your case.

Firms are expected to have an internal complaints process and to tell you about your right to go to the Legal Ombudsman once their process is finished or deadlines are reached.

1. Write down what has happened – dates, names, what was said or done.
2. Log each issue in your Risk & Issue Log, Timeline Tracker, or Communication Log.
3. Raise the concern in writing with the firm, referring to specific events and documents.
4. If things do not improve, use your firm’s internal complaints process – your letter can be drafted using the Complaint Letter Generator.
5. If the complaint is not resolved, consider escalating to the Legal Ombudsman or relevant regulator, within the time limits.

You can also copy your notes into ChatGPT and ask it to help you organise the facts more clearly (for example: “Please organise this list of issues into a clear, factual complaint summary without changing the dates.”).

This guide is published by to help consumers recognise warning signs and potential grounds for complaint about legal services. It is general information, not legal advice.

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