Summary Table: John Polemis and Stirlingshire Investments
| Field | Value |
|---|---|
| Advisor Name | John Polemis |
| Advisor CRD | 4270012 |
| Broker-Dealer | Stirlingshire Investments |
| Current Registration | Sphinx Investments (since July 2025) |
| Location | San Diego, CA |
| Industry Experience | 12 Years |
Understanding the Investigation into John Polemis
In February 2026, the Financial Industry Regulatory Authority (FINRA) disclosed a preliminary determination to recommend disciplinary action against John Polemis. This action—still pending—centers around a set of alleged regulatory violations during his tenure at Stirlingshire Investments. Below, we break down the specific allegations and what they potentially mean for investors.
- Improper borrowing of funds from a customer.
- Making material misrepresentations to obtain funds.
- Executing transactions in a customer’s non-discretionary account without that customer’s prior authorization.
- Causing a member firm to maintain inaccurate books and records.
- Failing to provide information and documents requested by FINRA.
These allegations were also linked to his termination from Stirlingshire Investments in 2024. The broker-dealer cited concerns over an unapproved loan from a customer and the connection of Polemis’s personal bank account to a customer’s brokerage account. In response, John Polemis asserted in his own statement that the account in question was not his personal account, that it was in fact a business account unconnected to him, and that any linkage might have resulted from internal actions at Stirlingshire.
It’s important to note: These matters are still under regulatory review and no final disciplinary actions or formal findings have been disclosed as of this report’s date.
Complaint & Disclosure Review
A thorough investigation as of March 1, 2026, using FINRA BrokerCheck and other public sources reveals:
- No customer complaints have been publicly disclosed against John Polemis.
- No regulatory actions (other than the pending FINRA inquiry) are on record.
- No SEC enforcement orders or settled administrative proceedings were found under his name or CRD number.
- No civil lawsuits or consent orders have been located in federal PACER or state securities regulator databases.
- No credible media reports or public-court filings involving litigation, investor claims, or other regulatory investigations have appeared.
- No disclosures regarding bankruptcies, arbitrations, or other events appear on his record.
For readers interested in viewing or verifying these findings, you may access John Polemis’s BrokerCheck profile directly—a key resource for up-to-date licensing and disciplinary information.
What Does This Mean for Investors?
Investing is inherently built on trust, and any regulatory investigation or employment termination linked to your advisor deserves careful consideration. While there have not been public customer complaints or lawsuits as of the most recent review, the ongoing FINRA investigation and questions about proper handling of client accounts and funds should raise important questions for current and former clients of John Polemis and Stirlingshire Investments.
It’s worth highlighting:
- FINRA’s preliminary determination is a serious matter, even if not yet concluded.
- The allegations include potential violations of industry standards intended to protect investors from unauthorized account activity and misuse of funds.
- Regulatory reviews like those involving John Polemis are not always immediately visible to the public, and developments can occur before they are formally announced.
Credentials and Experience
John Polemis holds 12 years of experience in the securities industry. His prior registrations include:
- Stirlingshire Investments
- Park Avenue Securities
- NYLife Securities
He has passed:
- Securities Industry Essentials Examination (SIE)
- Uniform Combined State Law Examination (Series 66)
- Uniform Securities Agent State Law Examination (Series 63)
- Investment Company Products/Variable Contracts Representative Examination (Series 6)
- General Securities Representative Examination (Series 7TO)
He is licensed in California and is currently registered with Sphinx Investments as of July 2025.
Next Steps: What Should You Do If You Have Concerns?
Even without public complaints, if you feel uneasy about your experiences—or simply want to be proactive about protecting your investments—consulting with experienced attorneys can offer valuable peace of mind. The lawyers at Haselkorn & Thibaut have decades of specialized experience, a 98% success rate, millions recovered for clients, and offer a no recovery, no fee policy.
Contact Haselkorn & Thibaut today at 1 888-885-7162 for your free, confidential consultation. We can help you evaluate your options, understand your rights, and pursue claims when appropriate. Our approach is always professional, supportive, and designed to put your best interests first.
When it comes to safeguarding your financial future, don’t leave questions unanswered—especially if there are pending investigations linked to your broker or advisor. Reach out and speak with our team today.
