The Iowa Insurance Division brings enforcement actions against individuals or entities related to violations of Iowa statutes or rules. These actions are typically initiated by filing a Statement of Charges or Notice of Hearing and may result in an enforcement order against a producer or entity. If a statement of charges has been filed against you or for more information regarding contested cases, click here.
Non-compliance cases are license disciplinary actions referred to the Iowa Insurance Division by other state agencies including the Iowa Department of Revenue and the Iowa Department of Human Resources.
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| Name | Case Number | Enforcement Date | Subject | Entity | Order |
|---|---|---|---|---|---|
| Hockenberry Family Care, Inc. and Kathie Hockenberry | 102240 | August 29, 2019 | Regulated Industries | Preneed Sales Agent, Preneed Seller |
Order and Consent to Order |
| Hodges, Dallas D. | 91294 | July 13, 2016 | Insurance | Producer |
Order for Suspension |
| Hoefflin, Craig R. | 79636 | May 16, 2013 | Insurance | Producer |
Order & Consent to Order |
| Hole in Won, LLC; Hole in Won.com; Hole In Won.com Worldwide; Golf Marketing Worldwde, LLC; Compliance HIW, LLC; Kevin Kolenda, and Amanda Penrose | 106681 | October 9, 2020 | Insurance | Unlicensed |
Summary Cease and Desist Order |
| Holmberg, Billie J. | 93238 | April 12, 2017 | Insurance | Producer |
Order and Consent to Order |
| Holtsinger, John | 70273 | February 22, 2011 | Securities | Unlicensed |
Cease and Desist Order; Proposed Decision |
| Home Service Club Warranty Corp. | 103449 | May 27, 2020 | Regulated Industries | Unlicensed |
Order and Consent to Order |
| Home Solutions Real Estate Investments Inc |
Des Moines IA Allegation: Offered and sold unregistered securities (promisary notes); misrepresented material facts; omitted material facts. Resolution: Cease and desist ordering hald sales and offers to sell securities; misrepresentation and omission of material facts in the offer and selling of securities Date of Order/Settlement: 2004-09-17 00:00:00 |
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| Hoodjer, Galen | 87208 | April 10, 2019 | Insurance | Producer |
Order For Reissuance After License Suspension and Expiration and Order for Suspension |
| Hoodjer, Galen C. | 87208 | June 11, 2015 | Insurance | Producer |
Order for Suspension |
| Howard, Dana | 72408 | October 18, 2011 | Insurance | Producer |
Order for Suspension |
| Howard, Dana | 69735 | January 18, 2011 | Insurance |
Order and Consent to Order |
|
| Howard, Douglas A. | 92950 | June 29, 2017 | Insurance | Producer |
Order and Consent to Order |
| Hrdlicka, Raymond W. | 59295 |
Fremont CA Allegation: Failure to notify of other state's action Resolution: Consent Signed: License revoked for 10 years; $200 Fine; $100 Costs Date of Order/Settlement: 2001-07-10 00:00:00 |
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| Hubbard, Roderick D. | 58440 |
Buckeye AZ Allegation: Failure to notify Division of Administrative actions; Revocation of license by another state; failure to inform Division of address change; Resolution: Order signed: License revoked; pay $500 fine and $200 costs beore relicensure Date of Order/Settlement: 2005-08-19 00:00:00 |
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| Huebner, Daniel W. | 58838 |
Grinnell IA Allegation: Dishonest or unethical practices in the securities business. Resolution: Consent: Revocation of securities agent license; Revocation of insurance producer license and permanently barred from reapplying for insurance producer license in Iowa. Date of Order/Settlement: 2003-08-19 00:00:00 |
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| Huebner, Daniel W. | 58752 |
Grinnell IA Allegation: Replacement violations; receiving commissions without company appointment; Omissions from insurance applications Resolution: Order: Cease and Desist from further violation; $800 Fine; $500 Costs Date of Order/Settlement: 2002-02-15 00:00:00 |
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| Huff Jr., Roland L. | 58942 |
Des Moines IA Allegation: Misappropriation; refusal to cooperate; lack of character. Resolution: Consent signed: License revocation. Date of Order/Settlement: 2002-03-25 00:00:00 |
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| Huff Sr., Roland L | 58942 |
Des Moines IA Allegation: Replacement violations Resolution: Consent signed: Cease and desist; $500 Costs Date of Order/Settlement: 2001-06-19 00:00:00 |
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| Hughes, Chuck |
Hot Springs NC Allegation: Transacted business as an investment adviser representative without being registered. Resolution: Order and Consent Order signed and Hughes reimbursed former subscriber $2500. Date of Order/Settlement: 2007-10-19 00:00:00 |
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| Hulstein Jr., Tony | 76267 | May 3, 2013 | Insurance | Producer |
Proposed Decision |
| Huseman, Daniel S. | 59657 |
Alta IA Allegation: Conviction of a felony Resolution: Consent signed: Permanent license revocation Date of Order/Settlement: 2002-09-18 00:00:00 |
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| Hussey, Thomas | 73966 | March 27, 2012 | Insurance | Producer |
Order for Suspension |
| Huynh, Samantha | 78229 | December 18, 2013 | Insurance | Producer |
Proposed Decision |
| IDS Life Insurance Company |
Minneapolis MN Allegation: Failure to provide Free Look Period. Resolution: Order and Consent to Order - No monetary penalty assessed. Date of Order/Settlement: 2006-11-08 00:00:00 |
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| Independence American Insurance Company | 107031 | September 23, 2020 | Insurance | Insurance Company |
Regulatory Settlement Agreement |
| Independence American Insurance Company | 102145 | June 18, 2019 | Insurance | Insurance Company |
Order and Consent to Order |
| Individual Resident Insurance Producer Licenses | 94918 | May 29, 2020 | Insurance | Producer |
Order Extending the Issuance of Temporary Insurance Producer Licenses |
| Individual Resident Insurance Producer Licenses | 94918 | April 9, 2020 | Insurance | Producer |
Order Establishing Temporary Insurance Producer License |
| ING | 81254 | August 13, 2013 | Insurance | Insurance Company |
Regulatory Settlement Agreement |
| Inlay, Douglas | 71609 | October 18, 2011 | Securities | Securities Agent |
Default Order |
| Insurance Corporation of New York | 58637 |
New York NY Allegation: Failure to comply with Iowa minimum capital and surplus requirements Resolution: Order: Certificate of Authority suspended Date of Order/Settlement: 2005-08-22 00:00:00 |
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| International Marine Water Safety Foundation | 58992 |
Blainville Quebec Canada Allegation: Unauthorized insurance company Resolution: Order for Default: Cease and Desist as an unauthorized insurer in Iowa; $50000 Fine Date of Order/Settlement: 2002-05-01 00:00:00 |
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| International Paper |
Memphis TN Allegation: Failed to file an application for renewal for Workers Compensation Self-Insurance program. Resolution: Consent Order signed and monetary penalty assessed. Date of Order/Settlement: 2007-08-18 00:00:00 |
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| IOA Re Inc | 59069 |
Plymouth Meeting PA Allegation: Failure to have third party administrator bond in force. Resolution: Consent signed: Certificate of Registration to act as a third-party administrator in Iowa is suspended until another surety bond is obtained and payment of $250 Costs Date of Order/Settlement: 2004-03-08 00:00:00 |
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| Iowa Dental Association | 72585 | November 8, 2011 | Insurance |
Declaratory Order |
|
| Irons, Jack |
Lincoln NE Allegation: Unregistered securities; Unregistered agent; Misrepresentation and Omissions Resolution: Cease and Desist Order issued and monetary penalty assessed. Date of Order/Settlement: 2008-02-15 00:00:00 |
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| J.P. Morgan Securities | 84425 | June 23, 2014 | Securities | Broker Dealer |
Administrative Consent Order |
| J.P. Morgan Securities Inc | 58414 |
New York NY Allegation: Failed to establish an enforce written supervisory procedures; made payments to other broker/dealers for research and failing to disclose said payments. Resolution: Consent without admitting or denying allegations; Pay $250000 Fine Date of Order/Settlement: 2004-01-30 00:00:00 |
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| Jackson National Insurance Company | April 29, 2012 | Insurance | Insurance Company |
Consent Order |
|
| Jackson, Clarence | 88459 | October 21, 2015 | Insurance | Producer |
Order for Suspension |
| Jacob K. Scroggin | 96523 | January 31, 2018 | Insurance | Producer |
Order for Suspension |
| Jacob R. Brager | 96059 | February 6, 2018 | Insurance | Producer |
Order for Suspension |
| Jacquelyn Benda-Meeks | 102150 | July 29, 2019 | Insurance | Producer |
Order for Suspension |
| Jahvon J. Thompson | 103448 | January 28, 2020 | Insurance | Producer |
Findings of Fact, Conclusions of Law and Orders of Revocation, to Cease and Desist, and Other Relief |
| Jamie Brockman | 100564 | January 15, 2019 | Insurance | Producer |
Order for Suspension |
| Jamie Brockman | 100564 | January 28, 2019 | Insurance | Producer |
Order Reinstating License After Suspension |
| Janet L. Ryerson | 107261 | October 27, 2020 | Insurance | Producer |
Order for Suspension |
| Jarvis A. Thomas | 99824 | January 24, 2019 | Insurance | Producer |
Order and Consent to Order |
| Jason J. Warner | 96619 | January 16, 2018 | Insurance | Producer |
Order for Suspension |