Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dusty Sternadel (Sternadel), previously associated with Ameriprise Financial Services, LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Sternadel recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $10,000.00 on September 28, 2022.
The client alleged the advisor misappropriated funds in her account without her authorization.