A BrokerCheck report on previously registered broker and investment adviser Joia Evans reveals that Financial Industry Regulatory Authority (FINRA) has barred her from acting as a broker or otherwise associating with a broker-dealer firm.
Evans, who worked as a registered broker with TIAA-CREF between 2015 and 2020, also went by the names of Joia Thomas and Joia Webb. Prior to her employment with TIAA-CREF, Evans worked as a broker for Edward Jones from 2014-2015.
Regulatory Dispute Leads to Barring
BrokerCheck reports a single regulatory event involving the former broker. According to the FINRA source, a final, formal proceeding was initiated against Evans, centering on her employment at TIAA-CREF Individual & Institutional Services, LLC.
According to the report filed by FINRA, Evans consented to the sought sanction and to the entry of findings that the broker refused to provide information and documents that FINRA requested. The regulatory authority’s request connected to its investigation into Evans’ potential participation in outside business activities while she was associated with her former member firm.
Evans submitted a Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the rule violations of which she has been accused (FINRA Rules 8210 and 2010).
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