As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for July 2011, Wendy Rice Stern submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Stern consented to the described sanction and to the entry of findings that she charged personal expenses on her corporate credit card totaling approximately $5,200. The findings stated that Stern made approximately $2,700 in payments to the bank affiliate of her member firm for the personal expense which she charged on her corporate credit card.

The original article can be found at Financial Industry Regulatory Authority.