WILLIAM A SIEGLER is currently employed as a Broker and/or Investment Adviser at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located at 2762 E CENTER ST, KINGSPORT, TN, 37664.
WILLIAM A SIEGLER has worked at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER since June 09, 2014
Disclosure History
WILLIAM A SIEGLER has 1 Disclosure Event(s).
Date: January 01, 1990 Category: Regulatory Initiated By: NY STATE INSURANCE DEPT Allegations: "UNINTENTIONALLY" "AIDED EMPIRE BENEFITS PLAN(EBP) IN DOING UNLICENSED INSURANCE BUSINESS" (IN MY STATE) IN1988/1989-FOR 6 CLIENTS (72 INSURED HEALTH) STIPULATIONSPECIFICALLY STATES-"UNINTENTIONALLY!" Resolution: Stipulation and Consent SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $720.00 Sanction Details: PAID CIVIL PENALTY OF $720.00 "IN LIEU OF ANYOTHER ACTION." (PAID TO STATE OF NY INSURANCE DEPT) Broker Comment: AS PER STIPULATION I "UNINTENTIONALLY" PLACEDHEALTH INSURANCE WITH WHAT WE BELIEVED WAS ERISA PLAN - HI WASPLACED FOR MY CHURCH, AND A MEMBER OF MY CHURCH - PLUS 4 SMALLCLIENTS - 72 PEOPLE TOTAL WERE COVERED - (FINE WAS $10.00 PERCOVERED). I PLACED NEW COVERAGE FOR THESE CLIENTS AS SOON ASWE WERE NOTIFIED EBP WAS NOT WHAT WE WERE TOLD IT WAS - (ERISA)BY ATTORNEY'S AND STATE OF NY WHO TOLD US (400 AGENTS) TOCONTINUE USING EBP IN 1988/1989.
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