Reporting to a regulator (misconduct)
Regulators focus on professional standards and misconduct. This is different from a service complaint (delay, communication, mistakes), which is usually handled by the firm and (if needed) the Legal Ombudsman.
This is general information, not legal advice. Regulators and rules differ depending on who your lawyer is.
Service complaint vs misconduct report
Service is usually about:
- Delay, silence, poor communication
- Mistakes, poor organisation, missed updates
- Failure to follow instructions
- Costs not explained properly (service handling)
Misconduct is usually about:
- Dishonesty or misleading statements
- Misuse of client money
- Serious conflict of interest
- Forged documents / altered evidence
- Serious breaches of professional rules
You can often run two routes at the same time: a service complaint (firm/Ombudsman) and a misconduct report (regulator).
What regulators can (and cannot) do
Regulators can:
- Investigate professional conduct
- Set standards and enforce rules
- Take disciplinary action (where appropriate)
Regulators usually cannot:
- Get you compensation for poor service
- Resolve a private dispute about who is legally right
- Undo a court order or legal outcome
- Act as your personal representative
If your main aim is a remedy for poor service (fees reduced, apology, distress/inconvenience), that is usually an Ombudsman route after the firm’s process ends. See Legal Ombudsman – When and How to Complain →
Which regulator applies?
It depends on what type of legal professional you used. Common examples:
- Solicitors and most law firms – usually the Solicitors Regulation Authority (SRA)
- Barristers – usually the Bar Standards Board (BSB)
- Licensed conveyancers – usually the Council for Licensed Conveyancers (CLC)
If you are unsure, check the lawyer’s letterhead, their website, and any “Regulatory information” section. You can also check the official register for that profession.
What to report (keep it short and evidence-led)
Regulators assess reports more easily when you provide:
- Who you are reporting (name + firm/chambers)
- What you say happened (facts, not opinions)
- When it happened (dates matter)
- Evidence (documents/emails that support the point)
- What you have already done (complaint to firm, Ombudsman, court, etc.)
Write it so someone who has never heard of your case can understand it in 5 minutes. Avoid long backstory unless it is essential.
Evidence and records
Before you report, make sure your records are organised:
- A timeline of key events
- A list of the documents you are relying on
- Copies of key emails/letters
Tools that help:
What to do next
- Decide if your issue is service, misconduct, or both.
- If service: follow Complaints to the firm → and then consider the Ombudsman.
- If misconduct: prepare a short, evidence-led report for the correct regulator.
- Keep copies of everything you submit.
If you are also escalating a service complaint, your next step is usually: Escalation – Next Steps →