Securities Lawyers Blog
The securities attorneys at Gana Weinstein LLP represent investors in their disputes with brokerage firms, such as Stirlingshire Investments. Our firm can analyze your accounts and investments in order to determine if there was any broker misconduct in the handling of your accounts. Our analysis can reveal whether an investor has been a victim of misconduct such as unsuitable investments, unauthorized trading, excessive trading, or investment fraud.
Stirlingshire Investments is a broker-dealer that provides retail brokerage in over-the-counter equities, mutual funds and options. Organized in Delaware in 2020 and headquartered in New York City, the firm is owned by Stirlingshire Investments Inc and is registered to do business across the United States.
Stirlingshire Investments – By the Numbers:
- CRD #: 310576
- Regulatory Events: 1
- Broker Employees: 28
Stirlingshire Investments – In the News:
FINRA v. Stirlingshire Investments (Case #2023077093401) – From November 2022 through April 2024, Stirlingshire violated Rule 15l-1 of the Securities Exchange Act of 1934 (Reg BI) and violated FINRA Rules 3110 and 2010, by failing to establish, maintain, and enforce a reasonable supervisory system, including written supervisory procedures (WSPs), concerning recommendations of inverse or leveraged exchange traded funds (NT-ETFs). Additionally, from June 2022 through December 2023, Stirlingshire violated FINRA Rules 5122(b)(2) and 2010 by failing to file with FINRA offering materials for two private placement offerings issued by the firm’s parent company. For these violations, Stirlingshire is censured, fined $40,000, and has agreed to an undertaking.
The FINRA actions described above involve Stirlingshire Investments itself, and investors whose losses are connected to the conduct FINRA identified may have claims against the firm. Gana Weinstein LLP offers free consultations and we welcome all inquiries.