FINRA probes dismissal of advisor in Stirlingshire

John Polemis, a financial advisor based in San Diego, California, has come under scrutiny for allegedly violating industry regulations. A regulatory investigation by the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) has shed light on Polemis’ conduct. Despite being registered as an investment advisor with Sphinx Investments, his actions while working at Stirlingshire Investments have raised red flags.
According to disclosures on his BrokerCheck report, FINRA is currently investigating Polemis for various infractions. The investigation, initiated in February 2026, concerns allegations that Polemis improperly borrowed funds from a customer, made false claims to obtain funds, traded without authorization, maintained inaccurate records, and failed to cooperate with FINRA’s requests for information. The investigation is ongoing, with potential disciplinary action pending.
Additionally, Polemis’ termination from Stirlingshire Investments in 2024 is noted on his BrokerCheck report. The termination was reportedly linked to accusations of non-compliance with FINRA regulations, specifically related to receiving an unauthorized loan from a customer and linking his personal bank account to the customer’s brokerage account.
In response to these allegations, Polemis has denied any wrongdoing. He states that the bank account in question was a business account not connected to him, and it was established using a different social security number. Polemis maintains that the allegations against him are unfounded and inaccurate, potentially stemming from errors made by individuals at Stirlingshire BD LLC.
John Polemis boasts 12 years of experience in the securities industry, with current registration as an investment advisor at Sphinx Investments. His previous affiliations include Stirlingshire Investments, Park Avenue Securities, and NYLife Securities. He has successfully completed multiple securities industry exams and holds a license in California.
Carlson Law, a firm dedicated to assisting investors across the country in seeking redress against financial advisors and investment companies, offers support to individuals who have suffered investment losses. To inquire about potential claims or to schedule a confidential consultation, individuals are encouraged to contact Carlson Law at 888-976-6111 or through their online contact form.
In conclusion, despite the ongoing regulatory investigation and termination from Stirlingshire Investments, John Polemis continues his work as an investment advisor. As the situation unfolds, it remains essential for investors to stay informed and seek legal advice if necessary to protect their financial interests.