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
Stephens, Dennis M. 59040

Lake Mills IA

Allegation: Violations of previous order regarding prohibited loan activity

Resolution: Order of Summary Suspension: License suspended immediately; cease and desist from participating in the business of insurance in Iowa; and from soliciting or receiving any further loans from unrelated insurance clients; Pending hearing date 12/18/03

Date of Order/Settlement: 2003-11-20 00:00:00

Neighbor, Eldon L. 58829

Alburnett IA

Allegation: Permitted unlicensed person to sell commercial policies;

Resolution: Consent signed: License suspended for 30 days; 1 year probation ending 1 year from the end of suspension; Pay $5368.50 fine; Pay $500 Costs; Confirm with policyholders policy meets their needs; pay any additional premiums needed.

Date of Order/Settlement: 2003-10-24 00:00:00

Neighbor, Mark A. 58830

Alburnett IA

Allegation: Selling without proper license

Resolution: Consent signed: License suspended for 30 days; 1 year probation ending one year from end of suspension date; Pay fine $5368.50; Pay costs $500; Confirm with policyholders policy meets the needs; Pay any additional premiums needed.

Date of Order/Settlement: 2003-10-24 00:00:00

Eichelberger, Kraig R. 58827

Dysart IA

Allegation: Advertising violations

Resolution: Consent signed: Obey all Iowa insurance advertising regulations; 2 year probation; pay costs of $250.

Date of Order/Settlement: 2003-10-14 00:00:00

Dolphin, Troy W. 58828

Des Moines IA

Allegation: Insurance application fraud

Resolution: Consent Signed: Surrender Iowa insurance producer license; refrain from reapplying; refrain from violations of Iowa insurance laws or regulations.

Date of Order/Settlement: 2003-10-07 00:00:00

Norris, Kara 58737

Lincoln NE

Allegation: Returned check for services

Resolution: Order signed: License suspended indefinitely; Pay for services; Pay $100 Fine

Date of Order/Settlement: 2003-09-22 00:00:00

Lauer, Gordon A. 58824

West Union IA

Allegation: Conviction of a felony

Resolution: Consent signed: License revoked permanently and forevermore

Date of Order/Settlement: 2003-09-19 00:00:00

Winders, Timothy P. 58747

Sioux City IA

Allegation: Improper offer and sale of annuity contract

Resolution: Consent signed: 2 yrs probation; Cease and Desist from further violations; Report all consumer complaints to the Insurance Division within 30 days.

Date of Order/Settlement: 2003-09-19 00:00:00

White, Jon A. 58727

Iowa City IA

Allegation: Failure to cooperate in an investigation by commissioner; Dishonest business practices.

Resolution: Consent Signed: 1 yr. Probation; Follow Iowas statutory and administrative insurance sales requirements; Pay $250 costs.

Date of Order/Settlement: 2003-09-19 00:00:00

Zaber, John T. 58744

Dubuque IA

Allegation: Omission from insurance application; false statement to an insurer and the Iowa Insurance Division.

Resolution: Consent signed: 2 yr probation; Pay $1000 Fine; $250 Costs

Date of Order/Settlement: 2003-08-29 00:00:00

Dressander, Michael S. 58732

Naperville IL

Allegation: Omission from insurance application; misrepresentation in insurance applications

Resolution: Consent signed: 2 yrs probation; Pay $2000 Fine; $500 Costs; Agrees to sign only those applications he personally solicits

Date of Order/Settlement: 2003-08-29 00:00:00

Sebbart, Gary A. 58733

Muscatine IA

Allegation: Advertising violations

Resolution: Consent: Cease and desist from advertising violations; 2 years probations; pay $750 Fine; $250 Costs

Date of Order/Settlement: 2003-08-21 00:00:00

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

Straka, Catherine A. 58687

Council Bluffs IA

Allegation: Misappropriation of client funds

Resolution: Consent signed: Insurance license revoked; permanently barred from reapplying for an insurance producer license.

Date of Order/Settlement: 2003-08-08 00:00:00

Kibbee, Jason L. 58688

Kellogg IA

Allegation: Misappropriation of Client Funds; Lack of character and competency

Resolution: Order: License permanently revoked.

Date of Order/Settlement: 2003-08-01 00:00:00

Fritsch, DeAnn 58734

Neola IA

Allegation: Misappropriation

Resolution: Consent signed: Revocation of Iowa Producer License; permanently barred from reapplying for licensure in the Iowa

Date of Order/Settlement: 2003-08-01 00:00:00

Freese, Jason C. 59310

Altoona IA

Allegation: Intentional misrepresentation of proposed insurance contract; using faudulent coercive or dishonest business practices; failure to cooperate.

Resolution: Consent signed: 2 Year supervised probation; May not sell solicit or negotiate contracts during probationary period; submit quarterly reports; subject to reviews; Cooperate with Divisions investigations; pay $1600 Costs

Date of Order/Settlement: 2003-07-30 00:00:00

Johnson, Daniel H 58683

Chariton IA

Allegation: Violation of Commissioners Order; Dishonest Practices and Incompetence

Resolution: Order: Insurance producer license suspended indefinitely; Suspension not lifted until the obligations are current or otherwise resolved.

Date of Order/Settlement: 2003-07-23 00:00:00

Bacon, Jerry A 58725

Fort Dodge IA

Allegation: Improper sales of insurance products

Resolution: Consent signed: Cease and desist from further violations; 2 years probation; report consumer complaints; pay cost of $5000.

Date of Order/Settlement: 2003-07-21 00:00:00

Schatz, Kenneth C. 58835

Sioux City IA

Allegation: Violation of previous order

Resolution: Consent:License revoked

Date of Order/Settlement: 2003-07-16 00:00:00

Roche, Michael J. 58728

Madison WI

Allegation: License application disclosures

Resolution: Consent signed: Pay $500 fine

Date of Order/Settlement: 2003-07-03 00:00:00

NCMIC Insurance Company 58726

Des Moines IA

Allegation: Failure to file notice of dividends

Resolution: Consent signed: List dividends from 1/1/00 to present; Report list of dividends to shareholders within timeframe parameters of declaration; Pay $1500 Fine; $500 Costs

Date of Order/Settlement: 2003-07-03 00:00:00

Union Security Life Insurance Company 58677

Atlanta GA

Allegation: Failure to cooperate with Commissioners investigation

Resolution: Consent signed: Provide requested information; Pay $500 Fine; Pay $100 Costs

Date of Order/Settlement: 2003-07-01 00:00:00

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

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

Robey, Elmer E. 59318

Dubuque IA

Allegation: Accepting insurance business from unlicensed persons

Resolution: Consent signed: Iowa Insurance license suspended for six months; Pay $500 Fine and $250 Costs before suspension is lifted.

Date of Order/Settlement: 2003-06-30 00:00:00

Philadelphia Indemnity Insurance Company 58897

Bala Cynwyd PA

Allegation: Failure to respond to Divisions inquiry

Resolution: Consent signed: Respond to Divisions inquiry; pay $500 Fine; $100 Costs

Date of Order/Settlement: 2003-06-27 00:00:00

Monumental Life Insurance Company

Baltimore MD

Allegation: Multi-state examination regarding race based premium

Resolution: Order signed: Company will make adjustment and shall not make or permit any unfair discrimination; payment to each state participating in agreement proportionately.

Date of Order/Settlement: 2003-06-12 00:00:00

Frey, Terry G.

Cedar Rapids IA

Allegation: Violation of unfair trade practices

Resolution: Consent signed: Insurance license surrentered and made inactive pending resolution of the statement of charges; shall not sell solicit or negotiate insurance in Iowa until such time if any license is reactivated

Date of Order/Settlement: 2003-06-10 00:00:00

Glawe, Jerald L. 59351

Algona IA

Allegation: Sale of unregistered securities and/or business opportunities

Resolution: Consent signed: 1 yr probation; repay all commissions and/or finders fees of $1400; sell only approved insurance products.

Date of Order/Settlement: 2003-06-02 00:00:00

Semon, Roy L. 58680

Sergeant Bluff IA

Allegation: Advertising violations

Resolution: Consent signed: 2 yr probation; $500 Fine and $200 Costs paid.

Date of Order/Settlement: 2003-06-02 00:00:00

Smith, Yusef D. 58689

Cedar Rapids IA

Allegation: Application disclosures

Resolution: Consent signed: Granted insurance license for health qualification with restrictions.

Date of Order/Settlement: 2003-06-02 00:00:00

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

Christensen, Daniel J. 59300

Dubuque IA

Allegation: Failure to cooperate in an investigation

Resolution: Order: Insurance License suspended; $500 Fine; $100 Costs; respond to Division inquiry

Date of Order/Settlement: 2003-05-22 00:00:00

Blazicek, Diane J. 59319

Johnson City NY

Allegation: Material misstatement on application for licensure; revocation of insurance license in another state; failure to notify Division of prior actions

Resolution: Order: License revoked

Date of Order/Settlement: 2003-05-16 00:00:00

Bratty, Brooke 59315

Council Bluffs IA

Allegation: Sale of unregistered securities and/or business opportunities; failure to cooperate in an investigation by the Insurance Division.

Resolution: Order signed: Insurance license suspended; Pay $500 Fine; provide information to Iowa Ins. Div before suspension is lifted.

Date of Order/Settlement: 2003-05-08 00:00:00

Bakken, Harlan T. 58879

Waukon IA

Allegation: Sale of unregistered securities and/or business opportunities

Resolution: Consent signed: 1 yr probation; repay all commissions and/or finders fees of $500; sell only approved insurance products.

Date of Order/Settlement: 2003-05-08 00:00:00

Siamis, Dennis T

Cedar Rapids IA

Allegation: Engaged in dishonest or unethical practices in the securities business

Resolution: Consent: Surrender insurance license and disqualified for 5 years from reapplying for an insurance license in Iowa with no promise or assurance of approval for licensure in the future.

Date of Order/Settlement: 2003-04-28 00:00:00

Zimmerman, Jamie A. 58873

West Branch IA

Allegation: Conversion of client funds

Resolution: Consent signed: Revocation of Securities agent license and permanently barred from reapplying effective 1/13/03; Revocation of insurance producer license and permanently barred from reapplying effective 4/25/03

Date of Order/Settlement: 2003-04-25 00:00:00

Flikeid, William E. 58876

Lakeville MN

Allegation: Sale of unregistered securities and/or business opportunities

Resolution: Consent signed: 1 yr probation; repay all commissions and/or finders fees of $5600; sell only approved insurance products.

Date of Order/Settlement: 2003-04-25 00:00:00

King, Lawrence S. 58684

Omaha NE

Allegation: Misrepresentations in insurance applications

Resolution: Order: License suspended; Pay $500 Fine

Date of Order/Settlement: 2003-04-17 00:00:00

Fagan, Robert Shaun 58685

Kansas City MO

Allegation: Misrepresentations in insurance applications

Resolution: Order: License suspended; Pay $500 Fine

Date of Order/Settlement: 2003-04-17 00:00:00

Ohio National Life Insurance Company 59307

Cincinnati OH

Allegation: Replacement violations

Resolution: Consent Signed: Pay civil Penalty of $15000; Pay $2200 Costs; Submit to Division $21054 in commissions earned by agent; compliance with insurance regulations laws regarding replacement.

Date of Order/Settlement: 2003-04-04 00:00:00

Petersen, Jeff A. 59316

Sioux City IA

Allegation: Unlicensed activity

Resolution: Consent signed: Cease and Desist with unlicensed offer and sale of insurance; Pay costs of $7000.

Date of Order/Settlement: 2003-04-04 00:00:00

Revland, Markis K. 59314

Arnolds Park IA

Allegation: Sale of unregistered securities and/or business opportunities

Resolution: Consent signed: 2 yr probation; repay all commissions and/or finders fees of $19460; repay investors a prorata portion; pay $1000 administrative penalty; sell only approved insurance products.

Date of Order/Settlement: 2003-04-02 00:00:00

Lavin, Larry B. 59313

Milford IA

Allegation: Sale of unregistered securities and/or unregistered business opportunities

Resolution: Consent signed: 1 yr; probation; Repay commissions and/or finders fees; Restitution on pro-rata basis to Iowa investors of $18480; sell only approved products or investments.

Date of Order/Settlement: 2003-03-31 00:00:00

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

Johnson, Willard G. 59309

Geneseo IL

Allegation: Sale of unregistered securities and/or business opportunities

Resolution: Consent Signed: Voluntary surrender of Iowa Insurance license; repay commissions of $11200 before eligible for relicensing in Iowa; Cease and Desist insurance business or securities business in IA

Date of Order/Settlement: 2003-03-27 00:00:00

McCain, Larry D. 59311

Sioux City IA

Allegation: Failure to cooperate

Resolution: Consent signed: 2 yrs probation; cooperate with Divisions investigation into complaints; Pay $2500 Costs.

Date of Order/Settlement: 2003-03-27 00:00:00

Lark, Dershaun A. 59347

Bellevue NE

Allegation: Failure to cooperate; failure to notify Division of prior action

Resolution: Order signed: License suspended until full response received

Date of Order/Settlement: 2003-03-27 00:00:00