Valerie Ceballos, Formerly of Wells Fargo, Barred by FINRA After Refusing to Appear for Testimony

Rando was being investigated by FINRA based on her termination from Wells Fargo in October 2020.

Valerie Ceballos (CRD#: 6904661) was registered as a broker with Wells Fargo in Orlando, FL from April 2018 until October 2020. Ceballos was not registered with another broker-dealer during her career.

Ceballos has two disclosures on her BrokerCheck report. 

January 2019 Regulatory Judgment

• Status: Final
• Initiated By: FINRA
• Allegations: Without admitting or denying the findings, Ceballos consented to the sanction and to the entry of findings that she refused to appear for on the record testimony requested by FINRA in connection with its investigation concerning a Form U5 filed by her former member firm in which she was terminated for applying for business support from the Small Business Association when she admitted she did not have a pre-existing formal business as required.
• Resolution: Acceptance, Waiver & Consent (AWC)
• Sanctions: Bar
• Registration Capacities Affected: All Capacities
• Duration: Indefinite
• Start Date: 2/10/2021

October 2020 Employment Separation After Allegations

• Firm Name: Wells Fargo Clearing Services, LLC
• Termination Type: Discharged
• Allegations: The employee applied for business support from the Small Business Administration when the employee admitted she did not have a pre-existing formal business as required. This activity was not related to the securities business of Wells Fargo Clearing Services, LLC. No related customer harm was identified. 

Contact Us Today

The Sonn Law Group is currently investigating allegations surrounding Valerie Ceballos. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.