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
Christensen Jr., Robert A. 59340

Atlantic IA

Allegation: Violation of Commissioners Order; Dishonest practices and incompetence; Failure to inform of address change

Resolution: Order: License revoked

Date of Order/Settlement: 2003-03-21 00:00:00

Rhynsburger, Ronald J. 59341

Sioux City IA

Allegation: Failure to cooperate

Resolution: Order: License suspended until response received; Pay $500 Fine.

Date of Order/Settlement: 2003-03-20 00:00:00

Lippold, Robert J. 59302

Des Moines IA

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

Resolution: Consent Signed: 1 yr probation; Pay $3500 civil penalty to IID; sell only approved products.

Date of Order/Settlement: 2003-03-17 00:00:00

McGinnis, Douglas D. 59303

Shenandoah IA

Allegation: Sale of unregistered securities and/or business opportunities

Resolution: Consent signed: 1 yr probation; repay all commissions and/or finders fees $9000; sell only approved insurance products.

Date of Order/Settlement: 2003-03-17 00:00:00

Moeller, Gregory M. 59301

Mount Pleasant IA

Allegation: Sale of unregistered securities and/or business opportunities

Resolution: Consent signed: 1 yr. probation; repay all commissions of $1400;sell only approved products.

Date of Order/Settlement: 2003-03-12 00:00:00

Buchholz, Barry L. 59306

Cedar Rapids IA

Allegation: Replacement violations

Resolution: Consent signed: Cease and desist violating replacement laws and regulations: pay $2000 Civil Penalty; $500 Costs

Date of Order/Settlement: 2003-03-11 00:00:00

Daugherty, Sandra J. 59304

Madrid IA

Allegation: Criminal complaints

Resolution: Consent signed: License revoked permanently

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

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

Scribner, Monica F. 59298

Omaha NE

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

Resolution: Consent signed: 1 yr probation; repayment of commissions and finders fee payments of $3500.

Date of Order/Settlement: 2003-02-13 00:00:00

Chapin, Scott R. 59540

DeSoto IA

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

Resolution: Consent signed: 1 yr probation; repayment of commissisons and/or finders fee payments of $18900.

Date of Order/Settlement: 2003-02-10 00:00:00

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

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

Golden American Life Insurance Company

West Chester PA

Allegation: Violations of right to return life insurance policy or annuity (free look).

Resolution: Consent: Refund to consumers of difference in premium; Pay $1000 Costs; Compliance.

Date of Order/Settlement: 2003-02-10 00:00:00

Priest, Harry A. 59336

Avoca IA

Allegation: Sale of unregistered securities and/or business opportunities

Resolution: Consent signed: 1 yr probation; restitution to investors of $8400; sell only approved insurance or securities products.

Date of Order/Settlement: 2003-02-10 00:00:00

Christian, Kevin M. 59663

Des Moines IA

Allegation: Failure to notify of other states actions; accepting insurance business from unlicensed persons;

Resolution: Consent Signed: 2 year license probation; Pay Reimbursement of $300; $500 Fine; Sales restrictions

Date of Order/Settlement: 2003-02-07 00:00:00

Denney, Janis I. 59676

Mount Ayr IA

Allegation: Misappropriation of premiums

Resolution: Consent: License revocation; cooperate with the IID investigation

Date of Order/Settlement: 2003-01-16 00:00:00

MacDonald, Stacy 59494

Scranton IA

Allegation: Sale of unregistered securities by unregistered agentl omissions of material facts in the sale of securities.

Resolution: Consent: 1 yr probation of insurance license; Payment to Bureau as settlement of disputed claims $10161.11

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

Wright, Curtis M. 59493

Waterloo IA

Allegation: Failure to pay child support

Resolution: License suspended

Date of Order/Settlement: 2002-12-24 00:00:00

Transamerica Occidental Life Insurance Company 59668

Los Angeles CA

Allegation: Failure to respond to Insurance Division inquiry

Resolution: Consent signed: Provide response; Paid $500 Fine; $100 Costs

Date of Order/Settlement: 2002-12-16 00:00:00

Nielsen, Virginia E. 59482

Marshalltown IA

Allegation: Selling unregistered securities

Resolution: Consent Signed: Agrees to solicit and sell only insurance products offered in Iowa by authorized and admitted insurance carriers; Cease and Desist with the offer and sale of unregistered securities and promissory notes

Date of Order/Settlement: 2002-11-25 00:00:00

Ferguson, Bethany L.

Fredericksburg VA

Allegation: Failure to notify IID of other states actions

Resolution: Order issued: License suspended; Pay $250 Fine; $100 Costs; Give complete information as requested.

Date of Order/Settlement: 2002-11-04 00:00:00

Lopez, Wilson Joseph 59001

Bellevue NE

Allegation: Other states action

Resolution: Consent Signed: 1 year Probationary license with life and health qualifications restrictions

Date of Order/Settlement: 2002-10-10 00:00:00

Conseco Annuity Assurance Company 59460

Carmel IN

Allegation: Failure to respond to Division

Resolution: Consent signed: Provide response to Division; pay $500 Fine $100 Costs

Date of Order/Settlement: 2002-09-27 00:00:00

Conseco Senior Health Insurance Company

Carmel IN

Allegation: Failure to respond to Division inquiry

Resolution: Consent Signed: Provide response to Division; Pay $500 Fine $100 Costs

Date of Order/Settlement: 2002-09-25 00:00:00

Huseman, Daniel S. 59657

Alta IA

Allegation: Conviction of a felony

Resolution: Consent signed: Permanent license revocation

Date of Order/Settlement: 2002-09-18 00:00:00

Conseco Annuity Assurance Company 59652

Carmel IN

Allegation: Failure to respond to IID inquiry

Resolution: Consent Signed: Respond to IID: Pay $500 Fine; $100 Costs

Date of Order/Settlement: 2002-09-10 00:00:00

Conseco Senior Health Insurance Company

Carmel IN

Allegation: Failure to respond to IID inquiry

Resolution: Consent Signed: Respond to IID: Pay $500 Fine; $100 Costs

Date of Order/Settlement: 2002-09-10 00:00:00

Applegate, William B. 59000

Leon IA

Allegation:

Resolution: Consent signed: Voluntary Suspension of license; Pay $400 Fine; $100 Costs

Date of Order/Settlement: 2002-09-10 00:00:00

Lake, David L. 59554

Guthrie Center IA

Allegation: Sold unregistered and non-exempt securities; failure to notify of change of address

Resolution: Consent signed: Cease and Desist from solicitation of unlicensed insurance related products; 2 yr. probation; voluntary surrender of life and health qualifications; may retest after 2 yr; $2000 Costs; refund to clients $8759.23.

Date of Order/Settlement: 2002-08-12 00:00:00

Schuster, Mark K. 58938

Muscatine/Bettendorf IA

Allegation: Misappropriation of premiums

Resolution: Consent Signed: License revocation; $1000 Fine; Cooperate; Repay premiums to clients and insurance companies $8926.03

Date of Order/Settlement: 2002-08-02 00:00:00

Cooper, Vernon W. 58977

Cedar Rapids IA

Allegation: Issued promissory notes to insurance customers

Resolution: Consent Signed: Voluntary Suspension of license pending resolution of issues surrounding promissory notes to clients

Date of Order/Settlement: 2002-08-01 00:00:00

Frederick, Ronald D. 59597

Alta IA

Allegation: Failure to respond to IID inquiry;

Resolution: Consent Signed: Cease and Desits from failing to respond to IID; $600 Costs

Date of Order/Settlement: 2002-08-01 00:00:00

Anderson, Paul A. 59598

Alta IA

Allegation: Failure to respond to IID inquiry; failure to remit premiums

Resolution: Consent Signed: License surrendered; cooperate with investigation.

Date of Order/Settlement: 2002-07-19 00:00:00

Lund, William J. 59170

Norwalk OH

Allegation: Selling unlicensed crop insurance programs

Resolution: Consent Signed: Cease & Desist; Use approved marketing material; $500 Costs

Date of Order/Settlement: 2002-07-18 00:00:00

Reliable Life Insurance Company

Chicago IL

Allegation: Discriminatory Sales Practices

Resolution: Consent Signed: Initiate compliance; payment of allocated sanction specified for Iowa;

Date of Order/Settlement: 2002-07-16 00:00:00

Cosgrove, William C. 57872

Campton NH

Allegation: Failure to notify IID of other states administrative actions

Resolution: Order: License suspended; $250 Fine; $100 Costs; Report other states administrative actions

Date of Order/Settlement: 2002-07-12 00:00:00

Conseco Senior Health Insurance Company

Carmel IN

Allegation: Failure to respond to IID inquiry

Resolution: Consent Signed: Respond to IID; Pay $500 Fine; $100 Costs

Date of Order/Settlement: 2002-07-10 00:00:00

Conseco Annuity Assurance Company 58369

Carmel IN

Allegation: Failure to respond to IID inquiry

Resolution: Consent Signed: Respond to IID; Pay $500 Fine and $100 Costs

Date of Order/Settlement: 2002-07-10 00:00:00

Rouse, Janie E. 58994

Des Moines IA

Allegation: Appealed denial of licensure

Resolution: Order: Denial of Licensure upheld; may resubmit application on or after 9/30/02 Pay $200 Costs.

Date of Order/Settlement: 2002-07-03 00:00:00

Rowen, Theodore R. 59595

Colorado Springs CO

Allegation: Failure to disclose felony convictions information on license application

Resolution: Order Signed: License revoked

Date of Order/Settlement: 2002-06-27 00:00:00

Golden Rule Insurance Company 59424

Lawrenceville IL

Allegation: Market Conduct Exam; Advertising violations

Resolution: Consent Signed: See Consent; $70000 Fine

Date of Order/Settlement: 2002-06-18 00:00:00

Mohr, Mandy 59592

Loves Park IL

Allegation: Failure to respond

Resolution: Order Signed: License Suspended; $250 Fine; $100 Costs; Respond to Division inquiry

Date of Order/Settlement: 2002-06-11 00:00:00

United American Insurance Company 59599

McKinney TX

Allegation: Market Conduct Exam

Resolution: Consent Signed: Implement procedures; $5000 Fine

Date of Order/Settlement: 2002-05-28 00:00:00

Lenz, Nathaniel A. 59584

Urbandale IA

Allegation: Marketing and sales violations

Resolution: Consent Signed: 2 years probation; Cease and Desist from violations; Pay $1000 Costs

Date of Order/Settlement: 2002-05-10 00:00:00

Rhone, Robert M. 59594

Mingo IA

Allegation: Failure to submit premiums to ins. co..

Resolution: Consent Signed: License suspended: pay $800 Fine; $200 Costs; Maintain separate premium trust account.

Date of Order/Settlement: 2002-05-09 00:00:00

Saddler Sr., Obie 59556

Waterloo IA

Allegation: Failure to report criminal activity

Resolution: Order Signed: License permanently revoked

Date of Order/Settlement: 2002-05-03 00:00:00

International Marine Water Safety Foundation 58992

Blainville Quebec Canada

Allegation: Unauthorized insurance company

Resolution: Order for Default: Cease and Desist as an unauthorized insurer in Iowa; $50000 Fine

Date of Order/Settlement: 2002-05-01 00:00:00

Riggall, John 59575

Centerville IA

Allegation: Selling products not issued by a licensed insurance company

Resolution: Consent Signed: Cease and desist; 2 yr probation; supervision; pay monetary amount of $12000

Date of Order/Settlement: 2002-03-25 00:00:00

Huff Jr., Roland L. 58942

Des Moines IA

Allegation: Misappropriation; refusal to cooperate; lack of character.

Resolution: Consent signed: License revocation.

Date of Order/Settlement: 2002-03-25 00:00:00

Gesink Jr., Henry 58993

Sheldon IA

Allegation: Selling unauthorized insurance products

Resolution: Consent Signed: Cease and Desist from selling unauthorized ins. Products; Pay all outstanding health claims after final resolution of US Dept of Labor action against Employers Mutual L.L.C. $45400.

Date of Order/Settlement: 2002-03-14 00:00:00