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
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

Vander Wilt, Arthur J. 59582

Hospers 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.

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

Life Insurance Company of Georgia 59580 February 20, 2002 Insurance Insurance Company

Regulatory Settlement Agreement

Continental Casualty Company 59733

Chicago IL

Allegation: Failure to respond to Division inquiry

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

Date of Order/Settlement: 2002-02-20 00:00:00

Puget Sound Agricultural Society 59737

Arbuckle CA

Allegation: Conducting business of insurance in Iowa without a license; other states actions.

Resolution: Order on Default: Order to Cease and Desist issued on 1/22/02 is final; Cease and desist from the offer or sale of and operation of unauthorized insurer; $50000 civil penalty

Date of Order/Settlement: 2002-02-20 00:00:00

Montgomery, Carla S. 59710

Medical Lake WA

Allegation: Failure to notify of prior actions

Resolution: Consent Signed: $100 Fine; $100 Costs

Date of Order/Settlement: 2002-02-15 00:00:00

Huebner, Daniel W. 58752

Grinnell IA

Allegation: Replacement violations; receiving commissions without company appointment; Omissions from insurance applications

Resolution: Order: Cease and Desist from further violation; $800 Fine; $500 Costs

Date of Order/Settlement: 2002-02-15 00:00:00

Cabell, Douglas J. 59721

Bettendorf IA

Allegation: Advertising Violations

Resolution: Consent Signed: 2 yrs probation; $500 Costs

Date of Order/Settlement: 2002-02-11 00:00:00

Schatz, Kenneth C. 59696

Sioux City IA

Allegation: Failure to report criminal prosecution

Resolution: Consent Signed: If convicted of any criminal offense greater than a misdemeanor subsequent to this order license will be automatically revoked

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

Nunnikhoven, Carl F. 59731

Oskaloosa IA

Allegation: Replacement violations

Resolution: Consent Signed: 1 yr probation; $750 Fine; $250 Costs

Date of Order/Settlement: 2002-01-17 00:00:00

Employers Mutual LLC 59720

Carson City NV

Allegation: Unauthorized business of insurance

Resolution: Order signed: Cease and Desist doing business of insurance; $50000 Fine

Date of Order/Settlement: 2002-01-14 00:00:00

American General Assurance Company 58945

Schaumburg IL

Allegation: Failure to respond to Division inquiry

Resolution: Consent Signed: Provide a response; $500 Fine $100 Costs

Date of Order/Settlement: 2001-11-28 00:00:00

Andersen, Elizabeth J. 58952

Fort Dodge IA

Allegation: Prior disciplinary action

Resolution: Consent Signed: Licensure permanently restricted to Qualification 16 personal lines; work subject to regular review by licensed producer.

Date of Order/Settlement: 2001-11-16 00:00:00

Ayala, Adriane 58944

Savannah GA

Allegation: Failure to report prior disciplinary action

Resolution: Order: License suspended until $400 Fine and $100 Costs paid

Date of Order/Settlement: 2001-11-07 00:00:00

Lincoln Benefit Life Company 58941

Northbrook IL

Allegation: Failure to respond to Division inquiry

Resolution: Consent Signed: Provide a response; $500 Fine; $100 Costs

Date of Order/Settlement: 2001-10-23 00:00:00

Mills, Dwight L. 59470

Allegation: Improper Sales

Resolution: Consent Signed: Permanent License Revocation

Date of Order/Settlement: 2001-10-23 00:00:00

Courtney, Mark A. 58956

Guthrie Center IA

Allegation: Improper Sales

Resolution: Consent Signed: Permanent license revocation

Date of Order/Settlement: 2001-09-25 00:00:00

General Casualty Company of Wisconsin 59466

Sun Prairie WI

Allegation: Failure to respond

Resolution: Consent Signed: Respond to Division inquiries; $500 Fine; $100 Costs

Date of Order/Settlement: 2001-09-25 00:00:00

Herrera, Sharon S. 58954

West Des Moines IA

Allegation: Unsuitable Sales; Unfair Trade practices

Resolution: Consent Signed: 2 yr. Probation; Cease and Desist from violations;

Date of Order/Settlement: 2001-09-25 00:00:00

Herrera, Richard L. 58955

West Des Moines IA

Allegation: Unsuitable Sales; Unfair trade practices

Resolution: Consent Signed: 2 yr. Probation; Cease and Desist from violations

Date of Order/Settlement: 2001-09-25 00:00:00

Kiegley, Douglass 59469

Adel IA

Allegation: Alleged Sale of Unregistered Securities

Resolution: Consent Signed: Permanent Revocation of License

Date of Order/Settlement: 2001-09-25 00:00:00

Ross, Michael J. 58953

Hopkinton IA

Allegation: Improper Sales

Resolution: Consent Signed: Permanent license revocation

Date of Order/Settlement: 2001-09-25 00:00:00

Hedges, Dawn M. 58934

Cedar Rapids IA

Allegation: Failure to report criminal action

Resolution: Order Signed: License suspended; $500 Fine; $100 Costs

Date of Order/Settlement: 2001-09-05 00:00:00

Erwin, Gary 59465

Davenport IA

Allegation: Failure to pay penalty & costs from previous actions

Resolution: Consent Signed: Revocation of license until penalty and costs paid

Date of Order/Settlement: 2001-09-05 00:00:00

Rudnicki, Jeffrey A. 59463

Marion IA

Allegation: Unauthorized signature on application

Resolution: Order Signed: Revocation of License; $200 Fine; $100 Costs

Date of Order/Settlement: 2001-09-05 00:00:00

Hrdlicka, Raymond W. 59295

Fremont CA Allegation: Failure to notify of other state's action Resolution: Consent Signed: License revoked for 10 years; $200 Fine; $100 Costs Date of Order/Settlement: 2001-07-10 00:00:00

Pleggenkuhle, Jason E. 59446

Des Moines IA

Allegation: Failure to notify of other administrative action

Resolution: Consent Signed: Permanent License revocation

Date of Order/Settlement: 2001-07-10 00:00:00

Huff Sr., Roland L 58942

Des Moines IA

Allegation: Replacement violations

Resolution: Consent signed: Cease and desist; $500 Costs

Date of Order/Settlement: 2001-06-19 00:00:00

Johnson, Mark W. 59535

Sparta WI

Allegation: Unsuitable sales; duplication of coverage

Resolution: Order signed: License revoked permanently and forevermore

Date of Order/Settlement: 2001-06-18 00:00:00

Stephens, Dennis M. 59428

Lake Mills IA

Allegation: Marketing and sales violations

Resolution: Consent Signed: Use only approved marketing materials; repay personal loans; 2 yrs probation;

Date of Order/Settlement: 2001-06-05 00:00:00

Murphy, Liliana 59541

San Antonio TX Allegation: Failure to notify of other state's actions; Failure to respond Resolution: Order signed: License revoked; $200 Fine; $100 Costs Date of Order/Settlement: 2001-05-31 00:00:00

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

Lavin, Larry 59293

Milford IA

Allegation: Failure to respond to Division inquiries

Resolution: Consent Signed: 1 yr probation; certify compliance with insurance laws and regulations; Cease and Desist; Costs: $1000

Date of Order/Settlement: 2001-04-30 00:00:00

Raines, John E. 59508

Fairfield IA

Allegation: Marketing and sales violations

Resolution: Consent Signed: Cease and desist; 2 yrs probation; assist IID’s investigation; Return 10% of investment to clients

Date of Order/Settlement: 2001-04-05 00:00:00

Mollin, Harold P. 58978

Manhasset NY

Allegation: Failure to report administrative action

Resolution: Order: License revoked

Date of Order/Settlement: 2001-03-20 00:00:00

John Hancock Life Insurance Company 58325

Boston MA

Allegation: Failure to respond

Resolution: Consent signed: Agrees to respond to Division inquiries; $1000 Fine and Costs

Date of Order/Settlement: 2001-03-12 00:00:00