Dusty Lynn Sternadel Investigation
September 2022-Wichita Falls, TX
According to publicly available records Dusty Lynn Sternadel,a former broker who last worked for Ameriprise Financial Services, discloses a final regulatory matter resulting in a permanent bar from the industry, 8 prior customer disputes and a termination from employment.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In 9/2022 FINRA permanently barred Sternadel from the securities industry in all capacities to resolve allegations that she refused to cooperate with a regulatory investigation related to her termination from employment for violation of company policies related to misappropriation of client funds.
Sternadel was employed by Ameriprise Financial Services from 12/2018 until 7/2022 when she was discharged for violation of company policy related to misappropriation of client funds. Earlier in her career Sternadel was employed by Edward Jones in Wichita Falls, TX.
If you have questions about an account handled by Dusty Lynn Sternadel contact us for a no charge consultation to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Florida-561 391 1900