Nex Systems
Person

WENDY RICE STERN

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/17/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090188704 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Wendy Rice Stern, Respondent CRD No. 5339410 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Wendy Rice Stern (hereinafter referred to as either "Stern" or the "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2009018870401data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5339410

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