Haselkorn & Thibaut is currently investigating recent regulatory developments involving Stirlingshire Investments (CRD# 310576) of New York, NY and its financial advisor practices. If you are a client or investor concerned about your experience with this firm, this comprehensive report will walk you through the latest findings and help you assess your options.
Why Is Stirlingshire Investments Under Investigation?
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Stirlingshire Investments, a New York City-based broker-dealer, has recently come under regulatory scrutiny related to the recommendation and sale of non-traditional exchange-traded funds (NT-ETFs) and private placement offerings. This has led to censure and a financial penalty by a major regulatory body. If you or someone you know has invested with this broker-dealer, it is important to understand the circumstances behind these actions.
Summary Table: What We Know So Far
| Field | Value |
|---|---|
| Advisor Name | Not specified in the records |
| Advisor’s CRM | Not disclosed |
| Broker-Dealer | Stirlingshire Investments (CRD# 310576) |
| Main Office | New York, NY |
| Regulatory Action | Censure and $40,000 fine (January 2026) |
Details of the Regulatory Action
According to official regulatory filings, Stirlingshire Investments was censured and fined $40,000 for multiple supervisory and procedural issues. The main concerns focused on:
- Ineffective supervision of NT-ETF recommendations — More than 25 retail customers were recommended these high-risk, complex investment products between November 2022 and April 2024, despite internal procedures prohibiting such activity.
- Failure to enforce written supervisory procedures — Required alerts or detection tools were not in place to identify non-compliant transactions, allowing representatives to recommend unsuitable investments.
- Unregistered Private Placement Sales — The broker-dealer allowed the sale of private securities issued by its parent company to 21 investors without providing necessary disclosure documents or filing with the appropriate regulators.
What Are Non-Traditional ETFs (NT-ETFs)?
NT-ETFs, including leveraged and inverse ETFs, are designed for sophisticated investors seeking short-term market exposure. These are typically not suitable for most retail investors, especially if held for longer than a single day, due to potential compounding risks and volatility. Regulatory bodies expect firms to implement robust supervisory frameworks around such complex investments.
BrokerCheck Summary: Stirlingshire Investments (CRD# 310576)
- Registration Status: Active (as of June 2024)
- Customer Complaints: 0 disclosed
- Arbitrations & Civil Litigation: 0 disclosed
- Financial Events: No bankruptcies, liens, or judgments
- Regulatory Actions in Past 10 Years: None prior to the current sanction
- Review Stirlingshire Investments’ BrokerCheck profile
This history suggests that prior to the latest published action, Stirlingshire Investments maintained a clean formal record. There have been no customer complaints, arbitrations, or state/SEC actions reported at the firm level.
Key Takeaways for Investors
- No individual financial advisors or registered representatives have been named in public records as of this report. If you are concerned about a specific advisor or need to review a particular account, please consult with our team to conduct individual searches.
- The recent fine and censure primarily relate to failure in supervisory oversight and proper disclosure – not to client losses that have already been formalized through complaints or arbitration.
- If you were sold NT-ETFs or participated in private placements with Stirlingshire Investments, it is essential to review your portfolio for suitability and compliance issues.
Red Flags to Watch For
- Recommendations of high-risk or complex investment products (such as leveraged or inverse ETFs) without thorough risk disclosures.
- Purchasing private placements without receiving offering documents or memos.
- Unexpected or unexplained portfolio losses — especially after being advised to hold risk-sensitive investments over extended periods.
- Documentation that appears incomplete or inconsistent with your understanding of the product or strategy offered.
How Haselkorn & Thibaut Can Help
With over 50 years of combined legal experience and a 98% success rate, Haselkorn & Thibaut is nationally recognized for representing investors in cases against broker-dealers. Our team is fully independent and committed to helping clients, recovering millions for victims of investment fraud or unsuitable investment recommendations.
- No recovery, no fee.
- We offer free, confidential consultations by phone or online review of your case.
- We represent investors nationwide with a personal, client-focused approach.
If you have concerns related to Stirlingshire Investments or your financial advisor, now is the time to have your accounts reviewed by independent securities attorneys. Protect your investments and hold responsible parties accountable.
Contact Us Today
Your recovery and financial peace of mind matter. Speak directly with an experienced investment fraud lawyer with Haselkorn & Thibaut at 1 888-885-7162. Our team is standing by to answer your questions and help you take action—no obligation and no fee unless we recover for you.
Have you suffered losses at Stirlingshire Investments (CRD# 310576) in New York? Contact our team today to schedule your free portfolio review.
