JOHN T EGAN is currently employed as a Broker and/or Investment Adviser at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located at 1670 BROADWAY, SUITE 2200, DENVER HUB, DENVER, CO, 80202-5602.
JOHN T EGAN has worked at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC since December 02, 2011
Disclosure History
JOHN T EGAN has 4 Disclosure Event(s).
Date: November 24, 2006 Category: Regulatory Initiated By: STATE OF NEW YORK INSURANCE DEPARTMENT Allegations: I WAS A LICENSED INSURANCE AGENT FOR A PREVIOUS EMPLOYER (GREAT WEST LIFE) BACK IN 2005. IT WAS REQUIRED THAT I BE LICENSED IN EVERY STATE EVEN IF I DID NOT SELL INSURANCE IN THAT STATE. THE ALABAMA APPLICATION HAD A MISSTATEMENT ON IT. QUESTION 4 HAVE YOU EVER BEEN CONVICTED OF A MISDEMEANOR WAS ANSWERED INCORRECTLY BUT NOT DELIBERATELY. THE LETTER FROM INDIANA REFERENCES THE MISSTATEMENT THAT WAS MARKED ON ALABAMA'S LICENSE. I HAVE ATTACHED THE TWO DOCUMENTS FROM THE STATE OF INDIANA AND ALABAMA. Resolution: I DID NOT CONTEST THIS MATTER SanctionDetails: Sanctions: Revocation Broker Comment: I WAS A LICENSED INSURANCE AGENT FOR A PREVIOUS EMPLOYER (GREAT WEST LIFE) BACK IN 2005. IT WAS REQUIRED THAT I BE LICENSED IN EVERY STATE EVEN IF I DID NOT SELL INSURANCE IN THAT STATE. THE ALABAMA APPLICATION HAD A MISSTATEMENT ON IT. QUESTION 4 HAVE YOU EVER BEEN CONVICTED OF A MISDEMEANOR WAS ANSWERED INCORRECTLY BUT NOT DELIBERATELY. THE LETTER FROM INDIANA REFERENCES THE MISSTATEMENT THAT WAS MARKED ON ALABAMA'S LICENSE. I HAVE ATTACHED THE TWO DOCUMENTS FROM THE STATE OF INDIANA AND ALABAMA.
Date: July 21, 2006 Category: Regulatory Initiated By: STATE OF INDIANA COUNTY OF MARION Allegations: I WAS A LICENSED INSURANCE AGENT FOR A PREVIOUS EMPLOYER (GREAT WEST LIFE) BACK IN 2005. IT WAS REQUIRED THAT I BE LICENSED IN EVERY STATE EVEN IF I DID NOT SELL INSURANCE IN THAT STATE. THE ALABAMA APPLICATION HAD A MISSTATEMENT ON IT. QUESTION 4 HAVE YOU EVER BEEN CONVICTED OF A MISDEMEANOR WAS ANSWERED INCORRECTLY BUT NOT DELIBERATELY. THE LETTER FROM INDIANA REFERENCES THE MISSTATEMENT THAT WAS MARKED ON ALABAMA'S LICENSE. I HAVE ATTACHED THE TWO DOCUMENTS FROM THE STATE OF INDIANA AND ALABAMA. THE FINE FROM BOTH ALABAMA AND INDIANA HAVE BEEN PAID. Resolution: Settled SanctionDetails: Sanctions: Suspension SanctionDetails:Registration Capacities Affected: INSURANCE Duration: 07/21/2006-02/22/2012 Start Date: 7/21/2006 End Date: 2/22/2012 Broker Comment: THE STATE OF ALABAMA SENT ME A LETTER IN NOVEMBER 2005 STATING THAT THERE WAS A MISSTATEMENT ON MY INSURANCE APPLICATION. I SIGNED AND ACKNOWLEDGED THAT THIS WAS A MISTAKE AND THE LICENSE RENEWAL WAS GRANTED INDIANA AND NEW YORK WERE INFORMED ABOUT THE MISSTATEMENT ON THE ALABAMA APPLICATION FROM 2005. ONCE I RECEIVED THE INDIANA LETTER (2006) AND THE NEW YORK LETTER (2007) I WAS NO LONGER AN INSURANCE AGENT. AT THE TIME I WAS RECEIVING LETTERS FROM ALL 50 STATES REQUESTING RENEWAL FEES AND I SHOULD HAVE EXAMINED THE LETTER FROM INDIANA MORE CLOSELY AND REALIZED THERE WAS A FINE ATTACHED. THE FIRST CERTIFIED LETTER FROM NEW YORK WAS SENT TO MY OLD EMPLOYER ADDRESS AND THAT IS WHY I DID NOT RECEIVE IT. THE SECOND LETTER FROM NEW YORK CAME TO MY HOME ADDRESS AND I REPLIED TO THEM. I HAVE SPOKEN TO ALL 3 INSURANCE DEPARTMENTS. I HAVE SINCE PAID THE $250.00 FINE TO THE STATE OF INDIANA AND ATTACHED THE FINAL APPROVED ENTRY FROM THE STATE INSURANCE COMMISSIONER. I APOLOGIZE FOR ANY INCONVENIENCE THIS MAY HAVE
Date: November 21, 2005 Category: Regulatory Initiated By: STATE OF ALABAMA INSURANCE DEPARTMENT Allegations: I WAS A LICENSED INSURANCE AGENT FOR A PREVIOUS EMPLOYER (GREAT WEST LIFE) BACK IN 2005. IT WAS REQUIRED THAT I BE LICENSED IN EVERY STATE EVEN IF I DID NOT SELL INSURANCE IN THAT STATE. THE ALABAMA APPLICATION HAD A MISSTATEMENT ON IT. QUESTION 4 HAVE YOU EVER BEEN CONVICTED OF A MISDEMEANOR WAS ANSWERED INCORRECTLY BUT NOT DELIBERATELY. THE LETTER FROM INDIANA REFERENCES THE MISSTATEMENT THAT WAS MARKED ON ALABAMA'S LICENSE. I HAVE ATTACHED THE TWO DOCUMENTS FROM THE STATE OF INDIANA AND ALABAMA. Resolution: NO SETTLEMENT WAS MADE SanctionDetails: Sanctions: Suspension SanctionDetails:Registration Capacities Affected: INSURANCE Duration: ? Duration Explanation: THIS LETTER IS FROM 5 YEARS AGO FROM THE STATE INSURANCE DEPARTMENT. I ASSUME A FINE NEEDS TO BE PAID AFTER I RETAKE MY COLORADO LIFE AND HEALTH EXAM. Broker Comment: I WAS A LICENSED INSURANCE AGENT FOR A PREVIOUS EMPLOYER (GREAT WEST LIFE) BACK IN 2005. IT WAS REQUIRED THAT I BE LICENSED IN EVERY STATE EVEN IF I DID NOT SELL INSURANCE IN THAT STATE. THE ALABAMA APPLICATION HAD A MISSTATEMENT ON IT. QUESTION 4 HAVE YOU EVER BEEN CONVICTED OF A MISDEMEANOR WAS ANSWERED INCORRECTLY BUT NOT DELIBERATELY. THE LETTER FROM INDIANA REFERENCES THE MISSTATEMENT THAT WAS MARKED ON ALABAMA'S LICENSE. I HAVE ATTACHED THE TWO DOCUMENTS FROM THE STATE OF INDIANA AND ALABAMA.
Date: February 05, 2001 Category: Criminal Charges: THEFT Disposition: Reduced Broker Comment: DURING MY FRESHMAN YEAR OF COLLEGE I WAS CHARGED WITH A MISDEMEANOR CRIMINAL TRESPASS. THE CHARGE WAS REDUCED FROM THE ORIGINAL CRIMINAL THEFT BY THE COURT OF LARIMER COUNTY. THE CASE CLOSED 04/02/2001. OVER 10 YEARS AGO I USED MY FRIENDS PARKING PASS THAT WAS NOT REGISTERED IN MY NAME. I USED THE PARKING PASS TO PARK IN THE STUDENT PARKING LOT. SINCE THE PARKING PASSES WERE NOT MULTI-USE OR TRANSFERABLE WHEN I USED THE PARKING PASS IT WAS NOT REGISTERED TO MY VEHICLE. AFTER LEAVING CLASS AND FINDING THAT MY CAR HAD BEEN TOWED I NOTIFIED THE CSU PD. THEY EXPLAINED TO ME THAT THE PARKING PASS COULD NOT BE USED BY MULTIPLE STUDENTS AND GAVE ME A TICKET. AT THE TIME I DID NOT HAVE THE INCOME TO RETAIN AN ATTORNEY AND DISPUTE THE TICKET SO I PLED GUILTY TO CRIMINAL TRESPASS. ATTACHED ARE THE CLOSED COURT DOCUMENTS FROM 04/02/2001.
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