Dusty Lynn Sternadel (also known as Dusty Lynn Veitenheimer) of Wichita Falls, Texas, a stockbroker formerly registered with Ameriprise Financial Services LLC, has been barred from associating with any FINRA member in any capacity based upon allegations that Sternadel failed to cooperate in a FINRA investigation. Letter of Acceptance Waiver and Consent No. 2022076046801 (Sept. 9, 2022).
According to the AWC, on August 22, 2022, Ameriprise Financial Services LLC filed a Uniform Termination Notice (Form U5) indicating that it terminated Sternadel for allegedly misappropriating customer funds and violating company rules.
On August 26, 2022, FINRA reached out to Sternadel concerning the allegations relating to his termination. Sternadel responded to the request on August 30, 2022, telling FINRA that he would not provide the information and documents and that he would not testify. Therefore, Sternadel violated FINRA Rules 2010 and 8210.
Public Disclosure shows that Sternadel is also referenced in a customer initiated investment related complaint on October 6, 2016, in which the customer requested compensatory damages based upon allegations that Sternadel made misrepresentations with regard to the recommendation and sale of variable annuities when Sternadel was associated with Edward Jones.
On July 29, 2022, Ameriprise Financial Services LLC discharged Sternadel based upon allegations that she misappropriated customer funds.
From 2018 to 2022, Sternadel was associated with Ameriprise Financial Services LLC. From 2015 to 2019, she was associated with Morgan Stanley.
