{"id":10917,"date":"2023-01-03T17:17:52","date_gmt":"2023-01-03T22:17:52","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10917"},"modified":"2023-01-03T17:17:52","modified_gmt":"2023-01-03T22:17:52","slug":"finra-bars-dusty-sternadel-after-refusing-to-testify-in-investigation","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-dusty-sternadel-after-refusing-to-testify-in-investigation\/","title":{"rendered":"FINRA Bars Dusty Sternadel After Refusing To Testify In Investigation"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-10918 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2023\/01\/Blog-Graphics.png\" alt=\"Dusty Sternadel (Dusty Lynn Sternadel CRD# 5872600) is a former broker and investment advisor who was last registered with Ameriprise Financial Services, LLC (CRD#:6363) of Wichita Falls, TX. Her previous employers were Morgan Stanley (CRD#:149777) and Edward Jones (CRD#:250), also of Wichita Falls. She has been in the industry since 2011.  Ameriprise Financial Services terminated her employment on 7\/29\/2022. In the Form U5 submitted to FINRA following her discharge, the company stated, \u201cThe registered representative was terminated for violation of company policies related to misappropriation of client funds.\u201d  Although Sternadel is no longer employed by a FINRA broker dealer, she is still subject to jurisdiction under Article V, Section 4 of FINRA\u2019s Bylaws. FINRA has this jurisdiction for two years after separation of employment. \u00a0\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2023\/01\/Blog-Graphics.png 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2023\/01\/Blog-Graphics-180x120.png 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Dusty Sternadel (Dusty Lynn Sternadel CRD# <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/5872600\" target=\"_blank\">5872600<\/a>) is a former broker and investment advisor who was last registered with Ameriprise Financial Services, LLC (CRD#:6363) of Wichita Falls, TX. Her previous employers were Morgan Stanley (CRD#:149777) and Edward Jones (CRD#:250), also of Wichita Falls. She has been in the industry since 2011. <a href=\"https:\/\/www.silverlaw.com\/blog\/finra-bars-dusty-sternadel-after-refusing-to-testify-in-investigation\/#more-10917\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Dusty Sternadel (Dusty Lynn Sternadel CRD# 5872600) is a former broker and investment advisor who was last registered with Ameriprise Financial Services, LLC (CRD#:6363) of Wichita Falls, TX. Her previous employers were Morgan Stanley (CRD#:149777) and Edward Jones (CRD#:250), also of Wichita Falls. She has been in the industry since 2011. Continue reading \u203a<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[580],"tags":[],"class_list":["post-10917","post","type-post","status-publish","format-standard","hentry","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Dusty Sternadel Barred By FINRA After Refusing To Testify<\/title>\n<meta name=\"description\" content=\"Dusty Sternadel is a former broker and investment advisor who was last registered with Ameriprise Financial Services of Wichita Falls, TX.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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