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 |
|---|---|---|---|---|---|
| Bankers Life & Casualty Company | 77064 | November 16, 2012 | Insurance | Insurance Company |
Regulatory Settlement Agreement |
| Bankers Life and Casualty Co. and BLC Financial Services, Inc. | 77064 | January 2, 2019 | Securities | Unlicensed |
Amended Consent Order |
| Bankers Life and Casualty Company | 58899 |
Chicago IL Allegation: Advertising Violations Resolution: Consent signed: Pay $9424 Fine; comply with Iowa advertising laws and regulations. Date of Order/Settlement: 2003-06-02 00:00:00 |
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| Bankers Life and Casualty Company |
Camel IN Allegation: Market conduct; Misrepresentations and Violation of sales practices. Resolution: Order and Consent to Order - Cease and Desist violations Implement the terms of the MOU Civil penalty of $100000. Date of Order/Settlement: 2007-03-14 00:00:00 |
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| Bankers Life and Casualty Company | 77064 | November 6, 2012 | Securities | Unlicensed |
Administrative Consent Order |
| 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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| Bark, Michael |
Gretna Louisiana Allegation: Unregistered agent; unregistered securities; misrepresentations and omissions. Resolution: Cease and Desist order issued and monetary penalty assessed. Date of Order/Settlement: 2009-07-10 00:00:00 |
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| Barnes, Lloyd | 59350 |
Omaha NE Allegation: Used unlicensed agent/agents to solicit and procure applications for insurance; retained excess premium;signed application without authorization Resolution: Consent signed: License revoked Date of Order/Settlement: 2003-02-13 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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| Barnett, Robert R. | 59332 |
Salem IA Allegation: Sale of unregistered securities and/or unregistered business opportunities Resolution: Consent signed: 1 yr. probation; repay all commissions and/or finders fee payments $1400. Date of Order/Settlement: 2003-02-10 00:00:00 |
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| 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 |
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| Barry Golinvaux | 104259 | February 17, 2020 | Insurance | Producer |
Order for Suspension |
| Barry Golinvaux | 104259 | February 21, 2020 | Insurance | Producer |
Order Reinstating License After Suspension |
| Barry, Joseph D. | 57911 |
Adel IA Allegation: Unlicensed producer Resolution: Consent signed: Cease and Desist in the sale of insurance; agrees not to reapply for a license Date of Order/Settlement: 2000-09-08 00:00:00 |
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| Barth, Douglas N. | 59294 |
Independence IA Allegation: Misappropriation of premiums Resolution: Order signed: License permanently revoked Date of Order/Settlement: 2001-05-01 00:00:00 |
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| Basset, James N. |
Algona IA Allegation: Failure to pay child support Resolution: License suspended Date of Order/Settlement: 2005-07-29 00:00:00 |
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| Bates, David | 58019 |
Barnum IA Allegation: Acting as unregistered securities agent Resolution: Order: Cease and desist acting as a securities agent without registration. Date of Order/Settlement: 2004-04-20 00:00:00 |
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| Bauer, Debra J. | 80039 | September 12, 2013 | Insurance | Producer |
Proposed Decision |
| Baxter, Raymond E. | 59305 |
Ft. Madison IA Allegation: Sale of unregistered securities and/or unregistered business opportunities Resolution: Consent signed: 1 yr probation; repayment of commissions and finders fee payments $2695. Date of Order/Settlement: 2003-02-10 00:00:00 |
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| BCS Insurance Company | 97190 | January 19, 2018 | Insurance | Insurance Company |
Regulatory Settlement Agreement |
| Beaman, Sarah | 75929 | April 16, 2012 | Insurance | Producer |
Order for Suspension |
| Beaman, Sarah E. | 75929 | October 17, 2016 | Insurance | Producer |
Order Lifting Suspension After Suspension and Expiration and Order for Suspension |
| Bear Stearns & Co Inc | 58415 |
New York NY Allegation: Failed to reasonably supervise its employees to ensure that its analysts were adequately insulated from pressures and influences from covered companies and investment banking. Resolution: Consent: without admitting or denying pay $250000 Fine. Date of Order/Settlement: 2004-02-11 00:00:00 |
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| Beau, Robert | 73973 | March 27, 2012 | Insurance | Producer |
Order for Suspension |
| Beck, Eric |
Urbandale IA Allegation: Failure to respond to investigation Resolution: Order for Suspension of license Date of Order/Settlement: 2006-04-28 00:00:00 |
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| Bedivere Insurance Company | March 29, 2021 | Insurance | Insurance Company |
Summary Order of Suspension |
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| Behn, John D. |
Cedar Rapids IA Allegation: Misrepresented life insurance documents in order to qualify for a personal loan. Resolution: Order and Consent to Order issued and a monetary penalty assessed. Date of Order/Settlement: 2007-12-20 00:00:00 |
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| Behner, Fred A. | 83393 | July 11, 2014 | Regulated Industries | Preneed Sales Agent |
Order & Consent to Order |
| Behner, Fred A. | 83393 | May 8, 2014 | Regulated Industries | Preneed Sales Agent |
Order of Suspension for Good Cause |
| Behnkendorf, Gerald D. | 58710 |
Algona IA Allegation: Improper sales of insurance products Resolution: Consent signed: Cease and desist from further violations; 2 years probation; report all consumer complaints to the Division within 30 days; pay $5000 costs. Date of Order/Settlement: 2003-06-30 00:00:00 |
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| Behnkendorf, Gerald D. |
Algona IA Allegation: Unfair trade practices misrepresentation Resolution: Consent signed: Cease and desist from further violations; 2 years probation; Report all consumer complaints against him within 30 days; Pay $5000 Costs. Date of Order/Settlement: 2003-06-30 00:00:00 |
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| Beltramea, Randy L. |
Mt. Vernon IA Allegation: Failure to notify of administrative action Resolution: Order: Insurance License revoked. Date of Order/Settlement: 2005-10-06 00:00:00 |
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| Bene Markets, LLC | 104797 | April 15, 2020 | Insurance | Business Entity Producer |
Order and Consent to Order |
| Bennett, Christine L. | 85227 | November 3, 2014 | Insurance | Producer |
Order Reinstating License After Suspension and Order for Suspension |
| Benton, Pamela | 79181 | April 30, 2013 | Insurance | Producer |
Order for Suspension; Order Reinstating License After Suspension |
| 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 |
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| Berkshire Hathaway Specialty Insurance Company and National Indemnity Company | 97193 | January 19, 2018 | Insurance | Insurance Company |
Regulatory Settlement Agreement |
| Berry, Rodney D. | 76741 | August 10, 2012 | Insurance | Producer |
Proposed Decision |
| Berry, Rodney D. | 76741 | April 25, 2012 | Insurance | Producer |
Order of Summary Suspension and Notice of Opportunity for Hearing |
| Bertsch, Kristoffer |
Wilmington DE Allegation: Failure to respond. Resolution: Order - License revoked. Date of Order/Settlement: 2006-08-18 00:00:00 |
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| Bessine, Dustin |
Burlington IA Allegation: Failure to comply with Other State Agency - DHS; Non-compliance w/order of Child Support Resolution: License is suspended Date of Order/Settlement: 2007-03-05 00:00:00 |
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| Bianchi, Rick | 83029 | October 14, 2014 | Insurance | Producer, Securities Agent |
Order & Consent to Order |
| Bibb, Carl M. |
Elkhorn NE Allegation: Failure to notify Division of other states administrative action within 30 days Resolution: Consent: Cease and desist; pay $250 Fine and $250 Costs Date of Order/Settlement: 2005-07-26 00:00:00 |
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| Biede, David R. | 83233 | February 5, 2015 | Insurance | Producer |
Order & Consent to Order |
| Binstock, Julie | 58585 |
Marshalltown IA Allegation: Sale of unregistered securities; misrepresentations omissions Resolution: Order: Cease and desist the offer or sale of unregistered securities acting as unregistered agents; making untrue statements of facts omitting material facts; pay $5000 fine Date of Order/Settlement: 2006-02-01 00:00:00 |
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| Binstock, Loren |
Marshalltown IA Allegation: Sale of unregistered securities; misrepresentations omissions Resolution: Order: Cease and desist the offer or sale of unregistered securities acting as unregistered agents; making untrue statements of facts omitting material facts; pay $5000 fine Date of Order/Settlement: 2006-02-01 00:00:00 |
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| Birgoyne, Liana | 82082 | February 21, 2014 | Insurance | Producer |
Order & Consent to Order |
| 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 |
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| Black, Michael | 77402 | September 7, 2012 | Insurance | Producer |
Order for Suspension |
| Blackman, Jacque | 78808 | March 5, 2013 | Insurance | Producer |
Order for Suspension; Order Reinstating License After Suspension |