NAFISSA DIALLO Barred by FINRA

NAFISSA DIALLO has been permanently barred from acting as a broker or otherwise associating with a broker/dealer firm with a start date of 2/23/2026. Diallo was previously registered both as a broker and as an investment advisor with WELLS FARGO CLEARING SERVICES, LLC of Washington DC from 11/14/2019 - 01/08/2026.

According to FINRA’s BrokerCheck, available to the public on FINRA’s website, NAFISSA DIALLO had been in the securities industry for 6 years and had been with one firm, WELLS FARGO CLEARING SERVICES, LLC of Washington DC. There are 2 disclosures on Diallo’s FINRA CRD report.  There is a “Regulatory” disclosure dated 11/19/2025 permanently barring NAFISSA DIALLO from the securities industry.  The allegations were, “Respondent Diallo failed to respond to FINRA requests for information.”  The Regulator Statement is as follows: “Pursuant to FINRA Rule 9552(h) and in accordance with FINRA's Notice of Suspension and Suspension from Association letters dated November 19, 2025 and December 16, 2025, respectively, on February 23, 2026, Diallo is barred from association with any FINRA member in all capacities. Diallo failed to request termination of her suspension within three months of the date of the Notice of Suspension; therefore, she is automatically barred from association with any FINRA member in all capacities.”

There is an “Employment Separation After Allegations” on the FINRA CRD report dated 12/9/2025 discharging NAFISSA DIALLO from WELLS FARGO CLEARING SERVICES, LLC.  The allegations were, “At the time of the employment termination, there were two reviews open concerning undisclosed outside business activities and activities in a deceased client's account. The concerns were substantiated.”

Under FINRA Rule 8210, a registered representative must provide documents or information with respect to any matter in a FINRA investigation, complaint, examination or proceeding if requested by FINRA. This can cover almost any aspect of a broker’s professional relationship, including undisclosed outside business activities, trading practices, or other matters relevant to the inquiry.

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