John Polemis: FINRA Investigates Fired Stirlingshire Advisor

San Diego, California financial advisor John Polemis (CRD# 4270012) allegedly violated industry rules, according to a regulatory investigation into his conduct. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Stirlingshire Investments broker is currently registered as an investment advisor with Sphinx Investments.

Mr. Polemis’ BrokerCheck report discloses FINRA’s investigation into his conduct. Filed in February 2026, the disclosure states that FINRA made a preliminary determination to recommend disciplinary action against him. The proposed action would allege that he improperly borrowed funds from a customer, made material misrepresentations to obtain funds, executed transactions in a customer’s non-discretionary account without that customer’s prior authorization, caused a member firm to maintain inaccurate books and records, and failed to provide information and documents requested by FINRA. The action remains pending.

A second disclosure on his BrokerCheck report concerns his termination from Stirlingshire Investments. Filed in 2024, the disclosure states that the firm terminated him in connection with allegations failed to comply with FINRA regulations by receiving an unapproved loan from a customer and connecting his personal bank account with the customer’s brokerage account.

In a statement included with the disclosure, he defended himself against the allegations. “personal bank account alleged to have been connected to a customer’s brokerage account was not established by Mr. Polemis, and in fact it was a business account not connected to Mr. Polemis,” he wrote. “The social security number under which the account was established was not Mr. Polemis’s, and he determined that the account was added by someone at Stirlingshire BD LLC. Accordingly, Mr. Polemis believes the allegations asserting the violations of industry standards of conduct were false and appear to be unsubstantiated or erroneous.”

According to the Financial Industry Regulatory Authority and the Securities and Exchange Commission, John Polemis holds 12 years of securities industry experience. Based in San Diego, California, he has been registered as an investment advisor with Sphinx Investments since July 2025. His past registrations include Stirlingshire Investments, Park Avenue Securities, and NYLife Securities. His credentials include the passage of five securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Uniform Combined State Law Examination, or Series 66; the Uniform Securities Agent State Law Examination, or Series 63; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7TO;. He is licensed in California. (Information current as of March 1, 2026.)

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