NSW Legal Ethics: Misappropriation of Client Funds - Case Judgement

This case study delves into legal ethics concerning the misappropriation of client funds by a solicitor, Tim Ticker, in NSW. The analysis identifies the core issue as the unauthorized use of a client's money, which constitutes professional misconduct under the Australian Solicitor Conduct Rules. The study references the Legal Profession Uniform Law, highlighting fiduciary duties and potential penalties for breaches. A relevant case law, Wentworth v New South Wales Bar Association, is discussed to illustrate professional misconduct and the importance of ethical conduct within the legal profession. Ultimately, the judgement finds Tim Ticker liable for violating professional conduct, emphasizing the need to maintain legal balance and trust in the judiciary. Desklib provides access to similar case studies and solved assignments for students.

LEGAL ETHICS

Table of Contents
INTRODUCTION...........................................................................................................................3
MAIN BODY...................................................................................................................................3
Prepare a judgement ..............................................................................................................3
CONCLUSION................................................................................................................................6
REFRENCES ................................................................................................................................7

INTRODUCTION
Legal ethics means those principles which is used in order to cover professional aspects
related to law. These perspectives are used for developing proper ethical structure that makes
lawyers and advocate follow professional ethics while performing their duty. It is used for
developing discipline and order that helps in developing appropriate duty which an legal
professional is bound to follow. Also legal ethics leads upon developing ethical framework
through analysing various factors impacting legal professional conduct. Scope of ethics is very
wide as it covers about professionalism existing in legal profession. This following file is based
over case scenario related to misproportion of client's fund. In relation to the issues appropriate
law has to be marked out and then judgement is required to be prepared in context of issue
raised.
MAIN BODY
Prepare a judgement
Issue: As per the analysis of case scenario issue marked out is misappropriation of
client's fund. This is based upon using client's fund in unauthorized, improper or unlawful
manner. Misappropriation of fund commonly based upon situation within which offending party
has an added measure of responsibility1. Further, the issue deals with usage of fund's by lawyers
and advocate for their personal interest without the consent of client. The issue is common in
relation over public official, trustee of a trust, an executor or administrator of a dead person or
by any person with responsibility to care for protection of another assets. In order to develop
clear understanding upon the issue example has been explained that is, Mark an attorney took
funds from client in order to settle dispute but uses the fund to buy an expensive jewellery.
Through this example it can be understood that Mark has knowingly committed misappropriates
of client's funds. So, in this example claim can be made upon Mark as per statute applicable
within such situation.
Rule:
1 Francis, Andrew M., "Legal Ethics, Moral Agency And Professional Autonomy: The
Unbearable Ethics Of Being (A Legal Executive)?" (2020) 10(2) Legal Ethics

After analysing the issue the rule which is applicable upon it is Legal Profession Uniform
Law which is used for providing legal framework in relation legal conduct for ethics it is
applicable in NSW and Victoria. The laws has made establishment of two bodies Legal Services
Council and the Office of the Commissioner for Uniform Legal Services Regulation. They have
been given responsibility of setting out rules and policies which makes issues related to
professional conduct solved more effectively. In the act misappropriation of client fund has been
covered as it helps in dealing with professional conduct issues. The act covers about various
duties which are bound to be followed by solicitor. In the act fiduciary duties are covered which
is based upon accepting the responsibility for acting in best interests of another person. If breach
of such duty is done then claim can be asked upon damages that has taken place. The maximum
penalty which given over such misappropriation is up to two years. Also the act has been used in
order to follow professional conduct.
There are various kinds of offences that has been included within the act making decorum
within court maintained. This involves professional conduct and is applied with legal ethical
code of conduct. Further, the act makes legal professionals follow some guidelines when case is
heard within the court. These legal professional also follow legal ethical code of conduct making
activities over various practices identified more effectively. In order to moderate legal
professional conduct legal bodies are assigned which make ethics protected with
professionalism2. These bodies are formed with the help of bar association as they are
responsible over structuring professional guidelines and legal bodies dedicated by court over
such matters. Further, the act has been formed in order to make Australian legal practitioners and
Australian-registered foreign lawyers perform with proper ethical conducts followed in relation
to its process. This rule is applicable within the case as misappropriation of client's fund is part
of professional misconduct which is covered within the above discussed rules and act.
Relevant case laws
Wentworth v New South Wales Bar Association
PAUL THOMAS COE v THE NEW SOUTH WALES BAR ASSOCIATION
2 Abraham, Ann, "Legal Ethics And The Legal Services Ombudsman" (2018) 1(1) Legal
Ethics
"Creating A Literature For Legal Ethics" (2019) 1(1)

The case is based upon professional misconduct which has been done by legal
practitioner through going wider in terms of charge intent. Further, facts of case covers that
appellant has been found guilty in relation to professional misconduct performed through legal
service tribunal. In the case falsely swearing within affidavit is done with intention to breach
professional conduct. Also tribunal has ordered over appellant to remove legal practitioner. In
this appeal has been made over issue within which tribunal has been finding while doing this
went out of context. The tribunal has founded that appellant has signed false affidavit within
which reference is not intended. In the case further evidence over appellants was in relation over
good character. It was held in the case that it has been foreseeable over submissions taking place
during the course of proceedings, some references that makes appellant intention marked. In this
tribunal was entitled for finding out false sign over affidavit. This case made various aspects over
refusal of fresh evidence covered. The appeal covers bout aspect that is presented upon
application for admission rather than an appeal against the tribunal's finding. Also in this case it
was marked out that appellant swore upon false affidavit which makes member to speculate
about the appeal. The evidence has been presented over coming to an conclusion that it has been
intended for deceiving other persons. In this obligation was based upon tribunal over drawing out
reason regarding motive of appellant(Andrasi, 2018).
Judgement to be marked out
In relation to the above scenario the observation made by makes it clear that Tim Ticker
has been using money of Jane without making person know about its3. This amounts over
misappropriate of funds which is an offence over professional conduct. Since ethical offence is
conducted which caused misconduct. This makes TIM Tickers liable over the offence as per
Australian Solicitor Conduct Rule making liability created upon performing violation of
professional conduct. It this violation of legal ethical code is done which makes decorum of law
impacted negatively which caused breach of ethics. Further, it has been making identification
done about misconduct which made loss of trust done upon proceedings of judiciary and to
maintain legal balance the judgement passed helping in developing legality.
3 "Philosophical Legal Ethics: Ethics, Morals And Jurisprudence" (2017) 13(2)

CONCLUSION
From this discussion it can be marked out that various legal ethics are those aspects
which is used for developing discipline and order within society. Then under legal ethics various
aspects has been covered in relation to professional conduct performed by legal professionals. In
relation over these ethics laws and rules exists which make ethical structure formed. Further, file
is based upon case scenario within this judgement has been passed by marking out issues in
relation over legal professional conduct. The issue identified is based upon misrepresentation of
funds that is an criminal offence. Also relevant cases has been explained in relation to
misrepresentation. In the end judgement is produced out of analysis done in relation over case
scenario that has been explained.

REFRENCES
Books and Journals
"Philosophical Legal Ethics: Ethics, Morals And Jurisprudence" (2017) 13(2)
Abraham, Ann, "Legal Ethics And The Legal Services Ombudsman" (2018) 1(1) Legal Ethics
"Creating A Literature For Legal Ethics" (2019) 1(1)
Francis, Andrew M., "Legal Ethics, Moral Agency And Professional Autonomy: The Unbearable
Ethics Of Being (A Legal Executive)?" (2020) 10(2) Legal Ethics
Chapman, June, "Why Teach Legal Ethics To Undergraduates?" (2021) 5(1) Legal Ethics
Arthurs, H.W., "A Global Code Of Legal Ethics For The Transnational Legal Field" (2022)
2(1) Legal Ethics