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 |
|---|---|---|---|---|---|
| McCaa, Pam |
Brownsville TX Allegation: Unregistered securities agent; Solicited and sold unregistered securities in Iowa; and ommissions. Resolution: Cease and Desist Order. Date of Order/Settlement: 2006-11-13 00:00:00 |
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| 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 |
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| Learn Waterhouse Inc |
Edinburg TX Allegation: Unregistered Securities; Unregisterd Agent material misrepresentations and omissions Resolution: Order: Cease and desist the offer or sal of unregisterd non exempt securities; cease and desist acting as an agent without registration; making misrepresentations and omissions of material facts; Date of Order/Settlement: 2004-10-04 00:00:00 |
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| Star Casualty Insurance Company | September 25, 2017 | Insurance | Insurance Company |
Order and Consent to Order |
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| Simmons, Henry E. |
Virginia Beach VA Allegation: Failure to notify Division of prior actions; failure to cooperate with investigation; denial of license by another state. Resolution: Order: License revoked; Pay $250 Fine and respond to division inauires before license may be restored. Date of Order/Settlement: 2005-07-01 00:00:00 |
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| Tapken, John |
Marion IA Allegation: Issued retroactive coverage and forged client signatures. Resolution: Consent Order signed and civil penalty assessed. Date of Order/Settlement: 2007-07-24 00:00:00 |
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| 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 |
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| Scott, Machuta |
Mount Pleasant MI Allegation: Not registered as a securities agent in Iowa; Sold investments/promissory notes not registered as securities in Iowa. Resolution: Order: Cease and desist acting as an agent in Iowa without registration; cease and desist the orffer or sale of unregistered and non exempt securities in Iowa. Date of Order/Settlement: 2004-06-10 00:00:00 |
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| Seawright, Terrence |
Philadelphia PA Allegation: Failure to disclose other states action failure to disclose on license application failure to respond. Resolution: Order: License revoked; $250 fine; make full explanation. Date of Order/Settlement: 2006-02-23 00:00:00 |
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| 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 |
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| Riverside Cemetery | August 5, 2014 | Regulated Industries | Other |
Consent Order and Notice of Right to Hearing |
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| Oberreuter, Sheryl |
Norway IA Allegation: Issued retroactive coverage. Resolution: Order and Consent to Order - Suspension of insurance producer license for 60 days; Civil Penalty and Costs were assessed. Date of Order/Settlement: 2007-02-21 00:00:00 |
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| Simonsen Capital LLC |
Coralville IA Allegation: Acting as unlicensed investment adviser and unlcensed investment adviser representative in Iowa Resolution: Voluntary agreement to register as investment adviser and investment adviser representative notify the Securities Bureau of any consumer complaints for calendar year 2005; pay $500 Costs. Date of Order/Settlement: 2005-01-04 00:00:00 |
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| Barnett, Kevin |
Louis MO Allegation: Unregistered agent; Unregistered Securities; Omissions and Misrepresentations. Resolution: Cease and Desist Order issued and a monetary penalty assessed. Date of Order/Settlement: 2007-09-24 00:00:00 |
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| Urista, Jason C. |
Columbia Heights MN Allegation: Failure to disclose prior criminal history Resolution: Order: Revocation of Iowa Insurance License Date of Order/Settlement: 2004-03-15 00:00:00 |
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| Park Avenue Property and Casualty Insurance Company | June 3, 2011 | Insurance | Insurance Company |
Suspension Order |
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| Bankson, James P. |
San Clemente CA Allegation: Failure to report other states action Resolution: Consent: Cease and desist violation of Iowa laws; Pay $125 Fine and $12 Costs. Date of Order/Settlement: 2005-08-26 00:00:00 |
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| Wachovia Capital Markets LLC |
Charlotte NC Allegation: Conflicts of interest between investment banking and equity research department failure to supervise its research analysts failed to maintain and produce in a timely manner certain books and records. Resolution: Without admitting or denying findings of fact and conclusions of law Wachovia agreed to cease and desist failing to supervise and agreed to pay a civil penalty of $246500. Date of Order/Settlement: 2006-08-15 00:00:00 |
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| Coventry Health Care of Iowa |
West Des Moines IA Allegation: Time and Notice requirements of external review procedure violations Resolution: Consent signed: Pay $1000 Civil Penalty Date of Order/Settlement: 2003-03-27 00:00:00 |
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| 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 |
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| Sunrise Energy Inc |
Irvine CA Allegation: Selling nregistered securities unregistered agent Resolution: Order: Cease and desist the offer or sale of and participating in the offer or sale of unregistered securities Date of Order/Settlement: 2004-08-06 00:00:00 |
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| Kouri, John |
Urbandale IA Allegation: Forgery Resolution: Consent Order and monetary penalty Date of Order/Settlement: 2009-09-04 00:00:00 |
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| American Manufacturers Mutual Insurance Company | July 9, 2012 | Insurance | Insurance Company |
Suspension Order |
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| Lueders, Christine |
Deer Park IL Allegation: Surplus Violations. Resolution: Consent Order signed and civil penalty assessed. Date of Order/Settlement: 2007-05-10 00:00:00 |
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| Ahlf, Johnathan |
Muscatine IA Allegation: Reconsideration of license revocation. Resolution: Decision issued affirming the Divisions decision to deny Ahlfs resident producer license. Date of Order/Settlement: 2008-01-29 00:00:00 |
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| Hifilez Inc |
Eagle Grove IA Allegation: Shares of stock offered by Hifilez are not registered as securities in Iowa. Resolution: Order: Cease and Desist the offer or sale of unregistered and non-exempt securities in Iowa. Date of Order/Settlement: 2004-04-20 00:00:00 |
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| Palmer, Linda |
Renwick IA Allegation: Unregistered Securities; Unregistered Agent; Unlicensed Investment Advisor and Misrepresentations. Resolution: Proposed order granting entry of default judgment. Cease and Desist Order is hereby affirmed. Date of Order/Settlement: 2006-11-16 00:00:00 |
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| 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 |
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| National Foundation of America |
Franklin TN Allegation: Unauth Insurer; Fail to disclose to policyholders that NFA is not a tax exempt organization; Mislead sales presentations; False Advertising; Unlawful solicitation of insurance business; Unsuitable transactions or recommendations; Unreg securities. Resolution: Consent Order signed; cease and desist violations. Date of Order/Settlement: 2007-07-26 00:00:00 |
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| 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 |
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| Pekin Insurance Company |
Pekin IL Allegation: Allowed business from agent not properly licensed. Resolution: Order: Pay $3500 Fine; Pay $1500 Costs; contact policyholders; resolve any unmet policyholder needs with costs assess to the agents/agency with report to Division on resolutions with policyholders. Date of Order/Settlement: 2004-06-22 00:00:00 |
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| Davis, Shana M. |
Des Moines IA Allegation: Violations of Securities Act; Unregistered agent & investment adviser representative Misrepresentations & Omissions Cease and Desist orders issued by other states Resolution: Consent: pay $3000 Costs; cooperate in investigation; Date of Order/Settlement: 2006-02-23 00:00:00 |
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| 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 |
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| Extraordinary Films aka Extraordinary Media Group Ltd | April 27, 2004 | Securities | Unlicensed |
San Diego CA Beverly Hills CA Chula Vista CA Allegation: Selling unregistered securities Resolution: Order: Cease and desist the offer or sale of unregistered securities Date of Order/Settlement: 2004-04-27
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| Messmore, Gregory |
Mason City IA Allegation: Unsuitable sale and violation of insurance and securities license. Resolution: Order & Consent to Order- Insurance and Securities License is suspended for a period of no less than five years. Date of Order/Settlement: 2007-02-22 00:00:00 |
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| AXA Insurance Company | July 17, 2019 | Insurance | Insurance Company |
Order and Consent to Order |
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| Straw, Jack |
Cedar Rapids IA Allegation: Unlicensed SEC. Misrepresentation; misappropriation of funds. Resolution: Order of Summary Revocation and Order to Cease and Desist. Date of Order/Settlement: 2007-09-28 00:00:00 |
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| Penn Treaty Network America Insurance Company | June 3, 2011 | Insurance | Insurance Company |
Suspension Order |
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| Certificate of Authority of Affirmative Insurance Company | March 25, 2015 | Insurance | Insurance Company |
Summary Order of Suspension |
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| Rampart Insurance Company | May 20, 2021 | Insurance | Insurance Company |
Order and Consent to Order |
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| Mize, Lisa |
Summersville WV Allegation: Failure to respond. Resolution: Order - License revoked. Date of Order/Settlement: 2006-08-18 00:00:00 |
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| 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 |
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| Kemper, Daniel |
Hallsville MO Allegation: Misleading sales presentations; Misrepresenting the terms of a contract; demonstrating incompetence in the conduct of business; Failing to cooperate with an investigation. Resolution: Default decision issued and license revoked. Date of Order/Settlement: 2009-09-29 00:00:00 |
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| Lumbermans Mutual Casualty Company | July 9, 2012 | Insurance | Insurance Company |
Suspension Order |
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| Roi, Louis |
Naperville IL Allegation: Surplus Violations. Resolution: Consent Order signed and civil penalty assessed. Date of Order/Settlement: 2007-05-10 00:00:00 |
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| Martin, Richard D. |
Omaha NE Allegation: Denial of Securities license. Resolution: Consent signed and securities license issued with 2 year heightened supervision. Date of Order/Settlement: 2008-01-29 00:00:00 |
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| Amerivision Communications Inc |
Oklahoma City OK Allegation: Sale of unregistered securities Resolution: Cease and Desist the offer or sale of unregistered securities and non-exempt securities Date of Order/Settlement: 2004-05-03 00:00:00 |
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| Bonnell, Peter |
Medina OH Allegation: Advertising Violation. Resolution: Order and Conset to order signed; Civil Penalty assessed. Date of Order/Settlement: 2006-12-18 00:00:00 |
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| 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 |
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| Capson Physicians Insurance Company | May 16, 2019 | Insurance | Insurance Company |
Summary Order of Suspension |