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
Pierce, Judith

Independence IA

Allegation: Used funds to pay herself and certain persons funds to which they were not entitled and failed to follow a direct Order of the Commissioner.

Resolution: Consent Order issued and Producer License surrendered.

Date of Order/Settlement: 2009-05-29 00:00:00

Cillo, Mark

Saint Louis MO

Allegation: Summary Cease and Desist Order

Resolution: Order Vacating Summary Cease and Desist Order

Date of Order/Settlement: 2009-05-27 00:00:00

Cillo, Mark

Saint Louis MO

Allegation: Misrepresentation

Resolution: Order Vacating Summary Cease and Desist Order

Date of Order/Settlement: 2009-05-27 00:00:00

Bliek, Roy

Hull IA

Allegation: Sale of unregistered securities; Unregistered agent

Resolution: Consent Order issued to cease and desist violations.

Date of Order/Settlement: 2009-05-03 00:00:00

Knall, David Wells

Indianapolis IN

Allegation: Prior regulatory action

Resolution: Summary Order Denying Application for Securities Agent License.

Date of Order/Settlement: 2009-05-01 00:00:00

Stasney, Bobbi

Boone IA

Allegation: Criminal Proceedings

Resolution: Order of Summary Suspension and Cease and Desist.

Date of Order/Settlement: 2009-04-10 00:00:00

Woods, Jerald

Elizabethtown KY

Allegation: Sale of unregistered securities; Unregistered agent; Misrepresentations and Omissions.

Resolution: Cease & Desist Order issued.

Date of Order/Settlement: 2009-04-10 00:00:00

Healey, James

Dubuque IA

Allegation: Sale of unregistered securities; Unregistered agent; Misrepresentations and Omissions.

Resolution: Cease & Desist Order issued.

Date of Order/Settlement: 2009-04-03 00:00:00

Balboa Insurance Company

Irvine CA

Allegation: Failure to promptly respond to inquiries from the Commissioner

Resolution: Consent Order issued and monetary penalty assessed.

Date of Order/Settlement: 2009-03-24 00:00:00

Farmers Insurance Company

Allegation: Failed to properly inform the claimant of the status of her claim and to verify whether another insurance carrier was actually responsible for the handling of the claim.

Resolution: Order and Consent to Order issued and monetary penalty assessed.

Date of Order/Settlement: 2009-03-23 00:00:00

Viking Insurance Company of Wisconsin

Stevens Point WI

Allegation: Violation in claim handling

Resolution: Consent Order issued and monetary penalty assessed.

Date of Order/Settlement: 2009-03-10 00:00:00

Wilcox, Travis

Ankeny IA

Allegation: Demonstrated incompetence untrustworthiness or financial irresponsibility in the course of conducting business.

Resolution: Consent Order issued and monetary penalty assessed.

Date of Order/Settlement: 2009-03-09 00:00:00

Moffitt, Joann M.

Olathe KS

Allegation: Misappropriating monies; using fraudulent coercive or dishonest practices in the conduct of business; demonstrating incompetence untrustworthiness or financial irresponsibility in the conduct of business.

Resolution: Order issued and a consent order issued revoking insurance producer license.

Date of Order/Settlement: 2009-03-04 00:00:00

Black, Derek

Osage Beach MO

Allegation: Violated Iowa Insurance Trade Practices Act

Resolution: Summary Cease & Desist Order

Date of Order/Settlement: 2009-03-03 00:00:00

Cillo, Mark

Saint Louis MO

Allegation: Violated Iowa Insurance Trade Practices Act

Resolution: Summary Cease and Desist Order.

Date of Order/Settlement: 2009-02-10 00:00:00

Seibald, Jack

Hewlett Harbor NY

Allegation: Prior regulatory action

Resolution: Summary Order Denying Application for Securities Agent License.

Date of Order/Settlement: 2009-02-06 00:00:00

Rosen, Michael

Scarsdale NY

Allegation: Prior regulatory action

Resolution: Summary Order Denying Application for Securities Agent License.

Date of Order/Settlement: 2009-02-06 00:00:00

Trenwick American Reinsurance Corporation

Fairfield CT

Allegation: Failure to respond

Resolution: Consent issued and monetary penalty assessed.

Date of Order/Settlement: 2009-01-23 00:00:00

Geertsma, Mark

Independence IA

Allegation: Engaged in dishonest and unethical practices in the securities and investment business.

Resolution: Consent Order issued and monetary penalty assessed.

Date of Order/Settlement: 2009-01-21 00:00:00

Bergen, Bruce

Marion IA

Allegation: Failure to Respond to Division Inquiries

Resolution: Decision issued and a monetary penalty assessed.

Date of Order/Settlement: 2009-01-16 00:00:00

Scarborough, Joseph Michael

Prince Frederick MD

Allegation: Prior regulatory action

Resolution: Summary Order Denying Application for Securities Agent License.

Date of Order/Settlement: 2009-01-14 00:00:00

Robins, Jeananne

Clemmons IA

Allegation: Child support violation.

Resolution: Order for Suspension issued.

Date of Order/Settlement: 2009-01-05 00:00:00

Lubarsky, Larry 63422

Brooklyn NY

Allegation: Prior regulatory action

Resolution: Summary Order Denying Application for Securities Agent License.

Date of Order/Settlement: 2009-01-05 00:00:00

Whitinger, Trent

Fairfax IA

Allegation: Falsified coverage

Resolution: Consent Order issued suspending insurance producer license for 180 days and imposed a civil penalty.

Date of Order/Settlement: 2008-12-31 00:00:00

Hinton, Michael

Bettendorf IA

Allegation: Failure to Respond

Resolution: Consent Order issued and monetary penalty assessed.

Date of Order/Settlement: 2008-12-09 00:00:00

Kensington Resources Inc

Costa Mesa CA

Allegation: Unregistered securities

Resolution: Cease & Desist Order issued and a monetary penalty assessed.

Date of Order/Settlement: 2008-11-20 00:00:00

Church Life Insurance

New York NY

Allegation: Violation of Iowa Unauthorized Insurers Act.

Resolution: Consent issued and monetary penalty assessed.

Date of Order/Settlement: 2008-11-10 00:00:00

NevadaCare d/b/a Iowa Health Solutions Inc

Las Vegas NV

Allegation: Failure or refusal to submit to a peer review; Fail to file or properly complete an application foe renewal of cert of authority; Fail to file or complete a premium tax return

Resolution: Order and Consent to Order issued. NevadaCare will voluntarily withdraw its registration and not transact or solicit business in the state for a period of 5 years.

Date of Order/Settlement: 2008-10-31 00:00:00

Hermawan, Samuel

Des Moines IA

Allegation: Misappropriating monies; Using fraudulent coercive or dishonest practices; Demonstrating incompetence untrustworthiness or financial irresponsibility.

Resolution: Decision issued and monetary penalty assessed.

Date of Order/Settlement: 2008-10-17 00:00:00

Svoboda, Steven

Washington IA

Allegation: Accepted money from clients that was intended for investment or savings purposes and converted those client funds for personal use.

Resolution: Order of Summary Revocation

Date of Order/Settlement: 2008-09-26 00:00:00

Vedovino, John

Pompton Plains NJ

Allegation: Violation of NYSE rules

Resolution: Consent Order issued and suspension of securities license that shall run concurrent to the NYSE suspension.

Date of Order/Settlement: 2008-09-25 00:00:00

Conroy, John

East Norwich NY

Allegation: Prior regulatory action taken.

Resolution: Summary Order Denying Application for Securities Agent License.

Date of Order/Settlement: 2008-09-12 00:00:00

Clem, Anthony

Ames IA

Allegation: Sumitted a falsified proof of insurance card to Insurance Company to obtain a refund of premiums for customer.

Resolution: Consent Order issued and monetary penalty assessed.

Date of Order/Settlement: 2008-09-11 00:00:00

Whirlpool Corporation

Benton Harbor MI

Allegation: Failure to timely file renewal.

Resolution: Consent Order issued and monetary penalty assessed.

Date of Order/Settlement: 2008-08-13 00:00:00

Miover, Peter E.

Pilot Mound IA

Allegation: Appealing Proposed Decision Denying Licensure

Resolution: Order Affirming Proposed Decision and Denying Licensure

Date of Order/Settlement: 2008-08-11 00:00:00

Barns, Drew

Bloomington MN

Allegation: Used fraudulent coercive or dishonest practices or demonstrated incompetence untrustworthiness or financial irresponsibility in the conduct of business.

Resolution: Consent Order issued and insurance producer license revoked.

Date of Order/Settlement: 2008-08-05 00:00:00

(The) Delaware Group

Allegation: Failed to timely file renewal notice fillings

Resolution: Consent Order issued and monetary penalty assessed.

Date of Order/Settlement: 2008-07-29 00:00:00

Stoner, Charles

Omaha NE

Allegation: sold insurance polices for a company not licensed to do business in Iowa.

Resolution: Consent Order issued and license revoked.

Date of Order/Settlement: 2008-07-21 00:00:00

Foremost Insurance Company

Caledonia MI

Allegation: Allowed non-appointed producers to submit business.

Resolution: Consent Order issued and assessed a monetary penalty.

Date of Order/Settlement: 2008-07-16 00:00:00

Mcgraw, Nathan

Des Moines IA

Allegation: Failure to make required disclosure on insurance producer application.

Resolution: Consent Order issued; granted probationary license.

Date of Order/Settlement: 2008-07-09 00:00:00

Hawkeye Life Insurance Group

West Des Moines IA

Allegation: Failure to timely file annual audited reports.

Resolution: Consent Order issued and assessed a monetary penalty.

Date of Order/Settlement: 2008-07-02 00:00:00

Victoria Automobile Insurance Company

Cleveland OH

Allegation: Failure to respond

Resolution: Consent Order issued and penalty assessed

Date of Order/Settlement: 2008-06-24 00:00:00

National Bullion Investors LLC

New York NY

Allegation: unlawful commodity transaction in Iowa

Resolution: Consent Order issued.

Date of Order/Settlement: 2008-06-19 00:00:00

McDonald, Simon

Milford CT

Allegation: Criminal History.

Resolution: Summary Order Denying Application for Securities Agent License.

Date of Order/Settlement: 2008-05-28 00:00:00

Young, John D.

Grand Rapids MI

Allegation: Failure to notify Division of administrative action taken against him in another jurisdiction; Failure to respond to Division inquiry.

Resolution: Deafult Decision issued revoking insurance producer license.

Date of Order/Settlement: 2008-05-20 00:00:00

Grosvenor, Maria

Riverview FL

Allegation: Failure to disclose a criminal conviction on license application.

Resolution: Consent Order issued and a monetary penalty assessed.

Date of Order/Settlement: 2008-05-20 00:00:00

Davis, William J.

Spirit Lake IA

Allegation: Child Support Violation

Resolution: Order for Suspension issued.

Date of Order/Settlement: 2008-05-16 00:00:00

Welander, LuJean

Mason City IA

Allegation: Provided incorrect information on her application for an Iowa Preneed Sales Agent License and on her application for an Iowa Insurance Producer License.

Resolution: Consent Order issued and was ordered to accurately answer all questions on applications and was granted a license to be a Preneed Sales Agent and an Iowa Insurance Producer.

Date of Order/Settlement: 2008-05-12 00:00:00

Morgan Stanley & Co. Inc

New York NY

Allegation: Sale of Unregistered Securities

Resolution: Findings of Fact Conclusions of Law Consent Order issued and a monetary penalty assessed.

Date of Order/Settlement: 2008-05-06 00:00:00

Veenstra, Douglas

Tracy IA

Allegation: Appointment termination.

Resolution: Consent Order issued; heightened supervision and probation for 1 year and a monetary penalty assessed.

Date of Order/Settlement: 2008-05-02 00:00:00