Former broker Joia Evans (also known as (Joia Leanne Thomas, Joia Thomas, Joia Leanne Thomas-Webb, Joia Leanne Webb) has been barred by FINRA in connection with her alleged refusal to provide information and documents that were requested, according to FINRA’s Letter of Acceptance, Waiver and Consent (AWC), under review by attorney Alan Rosca.
Investment loss attorney Alan Rosca and his colleagues, of the Rosca Scarlato LLC law firm, are investigating conduct related to FINRA’s investigation concerning Evans’ potential participation in outside business activities while associated with her former member firm, among others. Investors who are concerned about their investments with former broker Joia Evans may reach out to attorney Alan Rosca for a free, no-obligation consultation and discussion of potential options, or to provide any useful information. Interested Joia Evans investors may call 888-998-0530, send an email to arosca@rscounsel.law, or complete the contact form on this webpage.
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Evans Barred by FINRA
In January and February 2021, FINRA requested information and documents from broker Joia Evans in connection with an investigation into her potential participation in outside business activities while associated with TIAA-CREF Individual & Institutional Services, LLC. Without admitting or denying the allegations, Evans signed the AWC, agreeing to being barred.
Joia Evans Was a Registered Broker for 6 Years
According to her FINRA Brokercheck Page, Evans has been registered with FINRA since 2014. She was employed with Edward Jones in Saint Louis, Missouri, between April 2014 and February 2015. In May 2015, she joined TIAA and TIAA-CREF Individual & Institutional Credit Services, LLC in Atlanta, Georgia.
According to her IAPD Report, Evans was registered as an investment advisor with Edward Jones in Lawrenceville, Georgia between July 2014 and February 2015, and with Advice and Planning Services in Atlanta, Georgia between July 2015 and February 2020.
Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints or allegations mentioned in this article, unless otherwise indicated. Any reader should also read the original sources hyperlinked in this blog for accuracy, including any BrokerCheck report and/or record of any disciplinary or regulatory action. Those sources are incorporated by reference into the text of this blog, and are the governing materials in case of any inconsistencies or typos in this blog.
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Concerned About Your Investment with Broker Joia Evans?
The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and is currently investigating conduct related to broker Joia Evans’ allegations of alleged participation in outside business activities while associated with her former member firm, among others.
The firm takes most cases of this type on a contingency fee basis and advances the case costs, and only gets paid for its fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.
Concerned Joia Evans investors may contact attorney Alan Rosca, or his colleagues for a free no-obligation case evaluation and discussion of potential options, at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.