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
Maytag Corporation

Benton Harbor MI

Allegation: Failure to timely file and failure to respond.

Resolution: Consent Order issued and monetary penalty assessed.

Date of Order/Settlement: 2008-01-16 00:00:00

Murphy, Michael J.

Deephaven MN

Allegation: Failure to report other states action.

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

Date of Order/Settlement: 2008-01-09 00:00:00

Allen, Curtis M.

Forsyth IL

Allegation: Unfair trade practice

Resolution: Order and Consent to Order and Agreement issued and is permanently barred from reapplying for an Insurance producer license in the state of Iowa. License is revoked.

Date of Order/Settlement: 2007-12-31 00:00:00

Carley, Douglas A.

Oakland IA

Allegation: Failure to inform Division of prior criminal conviction.

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

Date of Order/Settlement: 2007-12-31 00:00:00

Lindsey, Maryo

Waterloo IA

Allegation: Child Support Violation

Resolution: Order for Suspension issued.

Date of Order/Settlement: 2007-12-30 00:00:00

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

Flattery, Edmond

Albia IA

Allegation: Criminal charges

Resolution: Consent Order - Insurance Producer License is permanently revoked and permanently barred from reapplying for an insurance producer license. Also permanently barred from applying for a securities agent license in the State of Iowa.

Date of Order/Settlement: 2007-10-31 00:00:00

Smith, Virginia E.

Harlan IA

Allegation: Failure to disclose criminal conviction.

Resolution: Consent Order signed and monetary penalty assessed.

Date of Order/Settlement: 2007-10-26 00:00:00

Johnson, Donald E.

Eldon MO

Allegation: Unregistered Securities and agent; misrepresentations and Omissions.

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

Date of Order/Settlement: 2007-10-25 00:00:00

MemberSelect Insurance Company

Dearborn MI

Allegation: Summary Order Disapproving premium rate changes.

Resolution: Consent Order signed.

Date of Order/Settlement: 2007-10-22 00:00:00

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

Yamada, Judy Ann

Harlan IA

Allegation: Failure to disclose criminal convictions on appl. For licensure.

Resolution: Consent signed & monetary penalty assessed.

Date of Order/Settlement: 2007-10-15 00:00:00

Future Stars Sports Inc

Green City MO

Allegation: Unregistered agent Unregistered securities misrepresentations omissions.

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

Date of Order/Settlement: 2007-10-12 00:00:00

McLaughlin, Mark

Green City MO

Allegation: Unregistered agent Unregistered securities misrepresentations omissions.

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

Date of Order/Settlement: 2007-10-12 00:00:00

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

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

Hartford Life Insurance Company

Simsbury CT

Allegation: Failure to respond to two separate inquiries related to a complaint received by the Division.

Resolution: Consent Order signed and a monetary penalty assessed.

Date of Order/Settlement: 2007-09-17 00:00:00

Reno, Mark

Des Moines IA

Allegation: Misappropriation of money; Dishonesty incompetence untrustworthiness; Failure to notify Division of address change.

Resolution: Consent Order signed; License revoked and barred from reapplying for 2 yrs.

Date of Order/Settlement: 2007-09-14 00:00:00

Coventry Health Care of Iowa

Urbandale IA

Allegation: Denial of coverage

Resolution: Decision rendered. Insurer hasnt sustained burden of poof. Cancellation not upheld and policy remains in force.

Date of Order/Settlement: 2007-09-12 00:00:00

Avera Health Plans Inc

Sioux Falls SD

Allegation: Avera had not filed a sample notification of a members right to have an external review following a claim denial.

Resolution: Consent Order signed and monetary fines and costs assessed.

Date of Order/Settlement: 2007-09-11 00:00:00

Olive, Richard K.

Franklin TN

Allegation: Unauthorized Insurer; Failure to disclose to policyholders that NFA is not a tax exempt organization; Misleading sales presentations; Unlawful solicitation of insurance business; Unsuitable transactions or recommendations.

Resolution: Consent Order signed. Cease and desist violations.

Date of Order/Settlement: 2007-09-06 00:00:00

Nielsen, Nancy

Marcus IA

Allegation: Incorrectly completed a policy application and failed to execute the policyholders intentions.

Resolution: Consent Order signed and civil penalty assessed.

Date of Order/Settlement: 2007-08-28 00:00:00

Moscoso, Luis

Dubuque IA

Allegation: Unauthorized Insurer; Failure to disclose to policyholders that NFA is not a tax exempt organization; Misleading sales presentations; Unlawful solicitation of insurance business; Unsuitable transactions or recommendations.

Resolution: Consent Order signed: Insurance producer license is revoked and is permanently barred from reapplying for insurance license or applying for a securities agent license or investment advisor representative license.

Date of Order/Settlement: 2007-08-21 00:00:00

Davis, William

Spirit Lake IA

Allegation: Appealed denial of licensure.

Resolution: Appeal Decision: Denied Securities license; as to his insurance license the decision of the administrative law judge is affirmed. Davis is suspended for a period of three months and is assessed a civil penalty.

Date of Order/Settlement: 2007-08-20 00:00:00

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

Bronfman, Aharon

South San Francisco CA

Allegation: Unlicensed Investment Advisor and Representative; Misrepresentations and Omissions.

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

Date of Order/Settlement: 2007-08-13 00:00:00

Growth Stock Guru

New York NY

Allegation: Unlicensed Investment Advisor and Representative; Misrepresentations and Omissions.

Resolution: Cease and Desist order issued and monetary penalty assessed.

Date of Order/Settlement: 2007-08-13 00:00:00

MemberSelect Insurance Company

Dearborn MI

Allegation: MemberSelect was making rate revisions charged for its Iowa Homeowners program.

Resolution: Summary Order Disapproving premium rate changes.

Date of Order/Settlement: 2007-08-07 00:00:00

First Continental Life & Accident Insurance Co.

Sugar Land TX

Allegation: Failed to maintain compliance with capital and surplus requirements.

Resolution: Consent Order - authority to do business in Iowa is suspended.

Date of Order/Settlement: 2007-07-31 00:00:00

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

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

Penn Treaty Network America Insurance Company

Allentown PA

Allegation: Proposed a rate increases dated July 6 2007 for several types of long term care policies .

Resolution: Summary Order Denying Premium Rate Increase.

Date of Order/Settlement: 2007-07-20 00:00:00

Tallett, David

Cedar Rapids IA

Allegation: Advertising Violation

Resolution: Consent Order signed. Civil penalty assessed.

Date of Order/Settlement: 2007-07-19 00:00:00

Coventry Health Care of Iowa

Urbandale IA

Allegation: Denial of coverage

Resolution: Decision rendered based on facts presented. Contract will terminate 10 days after decision issued. Claims will be paid for submitted or medical charges incurred as provided under terms of contract during period of coverage.

Date of Order/Settlement: 2007-07-18 00:00:00

Chieves, Ritchie

Ames IA

Allegation: Misappropriated premium dollars for personal business expenses.

Resolution: Consent Order signed to permanently revoke insurance producer license and is barred from reapplying for an insurance license in the State of Iowa. Chieves is also permanently barred from applying for a securities agent license in the State of Iowa.

Date of Order/Settlement: 2007-07-11 00:00:00

Flattery, Edmond

Albia IA

Allegation: Criminal charges

Resolution: Order of Summary Suspension

Date of Order/Settlement: 2007-06-19 00:00:00

Kerby, Stephan

Clive IA

Allegation: Advertising violation.

Resolution: Order and Consent to Order signed; Civil penalty assessed.

Date of Order/Settlement: 2007-06-12 00:00:00

Bakker, Mark

Urbandale IA

Allegation: Misrepresented the terms of a life insurance policy to an Iowa resident.

Resolution: Consent Order signed. Civil penalty and costs assessed.

Date of Order/Settlement: 2007-06-11 00:00:00

Nationwide Life Insurance Company

Columbus OH

Allegation: Failure to cooperate in an invesitigation.

Resolution: Consent Order - Civil penalty and costs imposed and response received for the Divisions inquiries.

Date of Order/Settlement: 2007-06-05 00:00:00

Duffin, Richard

Lehi UT

Allegation: Unregistered investment advisor and representative.

Resolution: Consent Order signed and civil penalty assessed.

Date of Order/Settlement: 2007-05-29 00:00:00

Maxwell, Garlon

Pleasant Grove UT

Allegation: Unregistered investment advisor.

Resolution: Consent Order signed and civil penalty assessed.

Date of Order/Settlement: 2007-05-29 00:00:00

Lincoln Benefit Life Company

Lincoln NE

Allegation: Failure to cooperate in an investigation by the Commissioner.

Resolution: Consent Order - Civil penalty and costs imposed and response received for the Divisions inquiries.

Date of Order/Settlement: 2007-05-29 00:00:00

Davis, Carl

West Des Moines IA

Allegation: Advertising Violations

Resolution: Order and Consent to Order - placed on probation for a period of six months; Civil penalty and costs imposed.

Date of Order/Settlement: 2007-05-29 00:00:00

Comeau, Perry

Oelwein IA

Allegation: Unregistered investment advisor and representative.

Resolution: Consent Order signed and civil penalty assessed.

Date of Order/Settlement: 2007-05-21 00:00:00

Cooper, Vernon

Rochester MN

Allegation: Plead guilty to criminal charges.

Resolution: Consent Order - producer license is revoked and Cooper is permanently barred from reapplying.

Date of Order/Settlement: 2007-05-21 00:00:00

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

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

Skaggs, Christopher

Iowa City IA

Allegation: Failure to disclose criminal history.

Resolution: Order and Consent to Order; Civil penalty.

Date of Order/Settlement: 2007-05-03 00:00:00

Anderson, Thomas K.

Davenport IA

Allegation: Failure to comply with Other State Agency - DHS; Non-compliance w/order of Child Support.

Resolution: Iowa Insurance Producer License suspended.

Date of Order/Settlement: 2007-04-23 00:00:00

Goering, Wendy

Boone IA

Allegation: Failure to disclose criminal history.

Resolution: Decision - Ordered to pay civil penalty.

Date of Order/Settlement: 2007-04-09 00:00:00