(CRD #4068906, Sugar Land, Texas)

October 1, 2025 – An AWC was issued in which George John Cairnes was assessed a deferred fine of $2,500 and suspended from association with any FINRA member in all capacities for four months. Without admitting or denying the findings, Cairnes consented to the sanctions and to the entry of findings that he engaged in OBA with a firm customer without providing prior written notice to his member firm. The findings stated that Cairnes incorporated a limited liability company for the activities, and he and the customer worked together to identify, buy, manage, and sell real estate. Cairnes expected to, and did, receive compensation for the OBA. Although Cairnes’ real estate business activities were outside the scope of his relationship with his firm, Cairnes did not provide prior notice to the firm of the business activity. In addition, Cairnes falsely stated on firm compliance questionnaires that he was not currently participating in any undisclosed OBAs. The suspension is in effect from October 6, 2025, through February 5, 2026. (FINRA Case #2023079356701) If you have suffered losses as a result of George John Cairnes's act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by George John Cairnes. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at  (813) 226-3372 or email Matthew Schwartz directly at mschwartz@tslfirm.com.