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John Polemis Fired by Stirlingshire BD

John Polemis (CRD #: 4270012) has been fired by Stirlingshire BD. This disclosure appears on his BrokerCheck record, accessed on October 4, 2024. Keep reading if you have questions regarding his alleged conduct. 

Employment Separation After Allegations 

On August 19, 2024, Stirlingshire BD fired John Polemis following allegations that he received a loan from a customer that had not been disclosed to or approved by the firm. The firm allegedly learned that John Polemis had connected his personal account with the customer’s brokerage account. 

FINRA Rule 3240

FINRA Rule 3240 describes the limited circumstances under which brokers may borrow from or lend to clients, such as loans between immediate family members.

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Connecting a personal account with a customer’s brokerage account may violate this rule. 

Background Information 

John Polemis has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • Series 7TO General Securities Representative Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 6 Investment Company Products/ Variable Contracts Representative Examination 

During his 11 years of experience, he has registered with three firms: 

  • Stirlingshire Investments (CRD #: 310576) 
  • Park Avenue Securities (CRD #: 46173) 
  • NYLife Securities (CRD #: 5167) 

Kurta Law Can Help 

If you worked with John Polemis and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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