Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disciplinary actions involving securities broker Cladius Olaniran Tokunboh [CRD: 6058294, Lewisville, Texas]. Tokunboh worked for TIAA-CREF Individual and Institutional Services LLC from July 28, 2015, to July 14, 2022. FINRA investigated Tokunboh for potential undisclosed outside business activities during his employment at TIAA-CREF. Keep reading to learn more about the actions taken by FINRA.
On December 20, 2023, FINRA issued a Letter of Acceptance, Waiver, and Consent (No. 2022075617701) barring Cladius Tokunboh from being a securities broker or holding other securities positions with FINRA-member firms. Under FINRA Rule 8210, Tokunboh was required to provide testimony. However, on December 13, 2023, he confirmed that he would not appear or cooperate at any point during the investigation. By refusing to testify about his potential outside business activities, Tokunboh violated FINRA Rules 8210 and 2010, which ultimately led to his ban from the securities industry.
TIAA-CREF Individual and Institutional Services LLC disaffiliated with Cladius Tokunboh on July 14, 2022, citing allegations that Tokunboh failed to disclose his involvement in outside business activities.
If you have any concerns regarding your investments, contact Soreide Law Group online or call (888) 760-6552 to speak with a securities attorney for more information. Tokunboh and TIAA-CREF deny allegations of sales practice violations. Soreide Law Group has experience representing investors throughout the country. The firm handles cases on a contingency basis.
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