Joia Evans (also known as Joia Leanne Thomas and as Joia Leanne Webb) of Atlanta Georgia a stockbroker formerly registered with TIAA-CREF Individual and Institutional Services LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that she refused to participate in a FINRA investigation regarding her possible engagement in outside business activities. Letter of Acceptance Waiver and Consent No. 2020069007201 (Apr. 9, 2021).
According to the AWC, on November 13, 2020, FINRA learned from TIAA-CREF that Evans was terminated as stockbroker. Between January 27, 2021 and February 12, 2021, an investigation into Evans’s outside business activities ensued. During this time FINRA sent the stockbroker requests to provide documents and information so that it could evaluate whether she violated FINRA rules.
Evans’s response to FINRA on March 22, 2021 indicated that she understood what it asked for, and that she would not provide the documents or information at any time. The regulator determined that Evans violated FINRA Rules 2010 and 8210 for her failure to comply with the investigation.
Evans was registered with TIAA-CREF between June 22, 2015 and November 13, 2020.
