Investors potentially experienced sales practice violations by securities broker John Demetrios Polemis (also known as John Dimitri Polemis and John Demitrios Polemis) [CRD: 4270012, New York City, New York], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Polemis worked for Stirlingshire Investments from March 18, 2024, to September 5, 2024, and Park Avenue Securities LLC from April 21, 2022, to March 1, 2024. Investors are encouraged to continue reading to discover more about the securities broker’s disclosures.
FINRA Investigated Stirlingshire Investments Stockbroker For Potential Misrepresentation, Client Loans
Notably, John Polemis is the subject of an investigation initiated by FINRA on February 23, 2026. The investigation concerns allegations that Polemis possibly violated multiple FINRA rules when he was associated with Stirlingshire Investments. Investigation No. 20240832642. Specifically, the allegations potentially include borrowing funds from an investor, making material misrepresentations to obtain funds, executing transactions in a non-discretionary account without prior authorization, causing inaccurate books and records to be maintained, and failing to provide requested information to FINRA. Therefore, the regulator indicated that he might have violated FINRA Rules 2010, 4511, 3240, and 8210.
John Polemis Discharged By Stirlingshire For Compliance Violations Relating To Client Loan
Additionally, Stirlingshire BD LLC disaffiliated with Polemis on August 19, 2024. Allegedly, Polemis failed to comply with FINRA regulations after concerns arose that he received a loan from an investor that was not disclosed or approved by the securities broker dealer. Allegedly, his personal bank account may have been linked to a client’s brokerage account. However, Polemis stated that the account in question was not his personal account, was not connected to him, and may have been created by someone else at the firm, asserting that the allegations are false or unsubstantiated.
Were You Impacted By Financial Advisor / Securities Broker Polemis?
Do you need clarity on any investment losses relating to John Polemis? Get in touch with Soreide Law Group online or at (888) 760-6552. Consult with a securities attorney concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for many investors throughout the US. Also, our securities attorneys work on a contingency fee arrangement and advance all costs. Polemis and brokerage firms Polemis worked for deny any allegations of sales practice violations.
