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
Bruce A. Hauptman 92501 April 6, 2018 Securities Unlicensed

Findings of Fact, Conclusions of Law and Final Order

Richard S. Martin 96531 April 3, 2018 Insurance Producer

Order Reinstating License After Suspension

HCC Group d/b/a HCC Life Insurance Company; HCC Medical Insurance Services, LLC; HCC Insurance Holdings, Inc. 97348 April 2, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

Matthew H. Mitchell 96499 March 28, 2018 Insurance Producer

Order Reinstating License After Suspension

Joy Heldt 97349 March 28, 2018 Insurance Producer

Order and Consent to Order

Christopher L. Cruse 96374 March 28, 2018 Insurance Producer

Order for Suspension

Lincoln Mason and Mason Lindhart Funeral Home, Ltd. 96703 March 20, 2018 Regulated Industries Preneed Sales Agent, Preneed Seller

Consent Order

Kelly Joneson 96953 March 20, 2018 Insurance Producer

Consent Order

Allianz Life Insurance Company of North America 78053 March 20, 2018 Securities Insurance Company

Modification to 2012 Regulatory Settlement Agreement

Whitney Roth 96498 February 20, 2018 Insurance Producer

Order and Consent to Order

Michael D. Ray Jr. 96494 March 2, 2018 Insurance Producer

Order for Suspension

Robert Payne 96970 March 1, 2018 Insurance Producer

Consent Order

Adam Brown 96722 February 21, 2018 Insurance Producer

Order for Suspension

Matthew H. Mitchell 96499 February 20, 2018 Insurance Producer

Order and Consent to Order

State Farm Life Insurance Company; State Farm Life and Accident Assurance Company; and State Farm Health Insurance Company 97245 February 7, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

American Family Life Assurance Company of Columbus (AFLAC) 97247 February 7, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

United States Fire Insurance Company 97248 February 7, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

Generali U.S. Branch 97249 February 7, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

Brandon Guy 96721 February 6, 2018 Insurance Producer

Order for Suspension

Jacob R. Brager 96059 February 6, 2018 Insurance Producer

Order for Suspension

Jacob K. Scroggin 96523 January 31, 2018 Insurance Producer

Order for Suspension

Richard S. Martin 96531 January 31, 2018 Insurance Producer

Order for Suspension

Blayne Fitzsimmons Lewis 96486 January 31, 2018 Insurance Producer

Order for Suspension

American Modern Home Insurance Company 97195 January 19, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

BCS Insurance Company 97190 January 19, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

Berkshire Hathaway Specialty Insurance Company and National Indemnity Company 97193 January 19, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

Jefferson Insurance Company 97191 January 19, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

Transamerica Casualty Insurance Company 97192 January 19, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

Arch Insurance Company 97189 January 19, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

Nationwide Mutual Insurance Company 97194 January 19, 2018 Insurance Insurance Company

Regulatory Settlement Agreement

Matthew Tyc 96427 January 17, 2018 Insurance Producer

Order for Suspension

Jason J. Warner 96619 January 16, 2018 Insurance Producer

Order for Suspension

Jeffrey L. Carman 96386 January 16, 2018 Insurance Producer

Order for Suspension

Robert Payne 96970 January 16, 2018 Insurance Producer

Emergency Order to Cease and Desist

Kelly Joneson 96953 January 16, 2018 Insurance Producer

Emergency Order to Cease and Desist

Yochannon Polter 96971 January 16, 2018 Insurance Producer

Emergency Order to Cease and Desist

Kerry P. Erts 93576 January 10, 2018 Insurance Producer

Order and Consent to Order

Alliance-One Services, Inc. 91829 January 3, 2018 Insurance Third Party Administrator

Regulatory Settlement Agreement

Randy Rudolph 95133 January 2, 2018 Insurance Producer

Order Reinstating License After Suspension

QBE Holdings, Inc. 96691 December 8, 2017 Insurance Insurance Company

Regulatory Settlement Agreement

Carr, Kevin J. 94877 November 29, 2017 Insurance Producer

Order and Consent to Order

Vershaw, Todd C. 95687 November 20, 2017 Insurance Producer

Order and Consent to Order

Mutual Med Insurance Services, LLC 95687 November 20, 2017 Insurance Business Entity Producer

Order and Consent to Order

Rudolph, Randy 95133 November 15, 2017 Insurance Producer

Order for Suspension

Weber, Wayne 94778 November 15, 2017 Insurance Producer

Order for Suspension

Jones, Amie 95890 November 15, 2017 Insurance Producer

Order for Suspension

Sullivan, Alan J. 96085 November 13, 2017 Insurance

Decision Vacating Denial and an Order Granting Consent to Work in Business of Insurance

Kirsch Funeral Service, Inc. 93003 November 9, 2017 Regulated Industries Preneed Seller

Order and Consent to Order

Kirsch, Michael D. 93003 November 9, 2017 Regulated Industries Preneed Sales Agent

Order and Consent to Order

Nulph, Michael 94689 November 17, 2017 Insurance

Decision Refusing to Issue a Resident Insurance Producer License