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
Certificate of Authority of Affirmative Insurance Company March 25, 2015 Insurance Insurance Company

Summary Order of Suspension

Moffitt, Joann M.

Olathe KS

Allegation: Misappropriating monies; using fraudulent coercive or dishonest practices in the conduct of business; demonstrating incompetence untrustworthiness or financial irresponsibility in the conduct of business.

Resolution: Order issued and a consent order issued revoking insurance producer license.

Date of Order/Settlement: 2009-03-04 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

Western Insurance Company October 7, 2011 Insurance Insurance Company

Suspension Order

Financial American Life Insurance Company June 23, 2016 Insurance Insurance Company

Order of Suspension and Consent to Order

Grosvenor, Maria

Riverview FL

Allegation: Failure to disclose a criminal conviction on license application.

Resolution: Consent Order issued and a monetary penalty assessed.

Date of Order/Settlement: 2008-05-20 00:00:00

Nutrition and Wellness Research Institute Inc (NWRI)

Evansdale IA

Allegation: Misrepresentation; sale of unregistered non exempt securities; employing unregistered agents; made untrue statements of material facts; omissions of material facts in the sale.

Resolution: Orders: Cease and desist the offer or sale of unregistered non exempt securities employing unregistered agents to solicit in Iowa making untrue statements of material facts; omission of material facts.

Date of Order/Settlement: 2004-07-01 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

Parks, Eric

Pacific Junction IA

Allegation: Failure to pay child support

Resolution: Order for Suspension issued.

Date of Order/Settlement: 2009-06-18 00:00:00

Combined Insurance Company of America

Glenview IL

Allegation: Failed to implement adequate procedures to ensureproper licensure of its independent agents thereby resulting in the sale of policies by an unlicensed agent.

Resolution: Order and Consent to Order - Civil penalty and costs imposed.

Date of Order/Settlement: 2007-03-07 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

Prchal, Jeremy

Omaha NE

Allegation: Failure to respond

Resolution: License revoked.

Date of Order/Settlement: 2006-08-18 00:00:00

Hermawan, Samuel

Des Moines IA

Allegation: Misappropriating monies; Using fraudulent coercive or dishonest practices; Demonstrating incompetence untrustworthiness or financial irresponsibility.

Resolution: Decision issued and monetary penalty assessed.

Date of Order/Settlement: 2008-10-17 00:00:00

Walker, Samuel W.

Waterloo IA

Allegation: Failure to disclose prior criminal convictions on license application

Resolution: Order signed: License revoked

Date of Order/Settlement: 2004-08-24 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

Irons, Jack

Lincoln NE

Allegation: Unregistered securities; Unregistered agent; Misrepresentation and Omissions

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

Date of Order/Settlement: 2008-02-15 00:00:00

Siebring, Gordon

Albion IA

Allegation: Sale of unregistered non exempt securities by an unregistered agent

Resolution: Cease and desist the offer or sale of unregistered and non-exempt securities in Iowa

Date of Order/Settlement: 2004-05-03 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

Smith, Douglas

Ankeny IA

Allegation: Misrepresentation; Replacement violation

Resolution: Decision - 2 yr probation; 30 day suspension; Civil penalty assessed.

Date of Order/Settlement: 2006-12-20 00:00:00

Vendemia, Joseph

Poplar Grove IL

Allegation: Unlicensed sale of insurance; Accepting insurance from an individual who is not licensed.

Resolution: Cease and Desist Order; Civil penaltyassessed.

Date of Order/Settlement: 2006-12-28 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

Wilcox, Travis

Ankeny IA

Allegation: Demonstrated incompetence untrustworthiness or financial irresponsibility in the course of conducting business.

Resolution: Consent Order issued and monetary penalty assessed.

Date of Order/Settlement: 2009-03-09 00:00:00

Washington National Insurance Company

Carmel IN

Allegation: Failure to appoint insurance producers in Iowa

Resolution: Consent: Cease and desist failing to appoint producers; pay $4200 Fine and $1000 Costs

Date of Order/Settlement: 2005-07-26 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

Bedivere Insurance Company March 29, 2021 Insurance Insurance Company

Summary Order of Suspension

Gamel, Sheri M.

Colorado Springs CO

Allegation: Failure to notify the Division of administrative action from other state.

Resolution: Order and Consent to Order

Date of Order/Settlement: 2006-03-28 00:00:00

McDonald, Simon

Milford CT

Allegation: Criminal History.

Resolution: Summary Order Denying Application for Securities Agent License.

Date of Order/Settlement: 2008-05-28 00:00:00

Hague, Mervin Duane

Evansdale IA

Allegation: Unregistered agent; misrepresentations; omissions of material facts in the sale of securities.

Resolution: Order: Cease and desist the offer or sale of unregistered non exempt securities; acting as securities agent without registration in Iowa; making untrue statements; omitting material facts.

Date of Order/Settlement: 2004-07-01 00:00:00

Gateway Insurance Company February 20, 2020 Insurance Insurance Company

Summary Order of Suspension

Wilcox, Travis

Ankeny IA

Allegation: Failing to comply with the terms of a consent order issued by the Insurance Commissioner

Resolution: Proposed Decision issued and monetary penalty assessed.

Date of Order/Settlement: 2009-07-08 00:00:00

Corder, Sandy

Highland IN

Allegation: Failure to respond to Division inquiries; submitted insufficient funds check.

Resolution: Consent to Order: License revoked; Pay $100 costs and fines before reapplication for licensure in Iowa; Cease and desist any violation of Iowa insurance laws

Date of Order/Settlement: 2005-02-24 00:00:00

Steckis, William

Omaha NE

Allegation: Failure to report other states action.

Resolution: Cease & Desist from violations and monetary penalty.

Date of Order/Settlement: 2007-03-07 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

Evanovich, Roy A.

Washington IA

Allegation: Violation of law regulation or order of the commissioner; misappropriation; unfair insurance trade practices; failure to cooperate in investigation.

Resolution: Consent signed: Insurance license revoked; Pay $2500 Costs

Date of Order/Settlement: 2004-03-23 00:00:00

Clark, Deborah

Quimby IA

Allegation: Consumer Complaints

Resolution: Order & Consent to Order with a Heightened Supervision Agreement

Date of Order/Settlement: 2006-08-18 00:00:00

NevadaCare d/b/a Iowa Health Solutions Inc

Las Vegas NV

Allegation: Failure or refusal to submit to a peer review; Fail to file or properly complete an application foe renewal of cert of authority; Fail to file or complete a premium tax return

Resolution: Order and Consent to Order issued. NevadaCare will voluntarily withdraw its registration and not transact or solicit business in the state for a period of 5 years.

Date of Order/Settlement: 2008-10-31 00:00:00

OConnor Jr., Jerome J.

Omaha NE

Allegation: Forgery; use of fraudulent coercive or dishonest practices

Resolution: Order signed: License permanently revoked

Date of Order/Settlement: 2004-08-27 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

Read, William

Vancouver WA

Allegation: Unregistered securities; Unregistered agent; Misrepresentation and Omissions

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

Date of Order/Settlement: 2008-02-15 00:00:00

Aetna Better Health of Iowa Inc. December 16, 2016 Insurance Insurance Company

Order and Consent to Order

Polcyn, James

Ft. Lauderdale FL

Allegation: Unlicensed sale of Insurance.

Resolution: Cease and Desist order; Civil penalty assessed.

Date of Order/Settlement: 2006-12-28 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

Viking Insurance Company of Wisconsin

Stevens Point WI

Allegation: Violation in claim handling

Resolution: Consent Order issued and monetary penalty assessed.

Date of Order/Settlement: 2009-03-10 00:00:00

Bibb, Carl M.

Elkhorn NE

Allegation: Failure to notify Division of other states administrative action within 30 days

Resolution: Consent: Cease and desist; pay $250 Fine and $250 Costs

Date of Order/Settlement: 2005-07-26 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

Beck, Eric

Urbandale IA

Allegation: Failure to respond to investigation

Resolution: Order for Suspension of license

Date of Order/Settlement: 2006-04-28 00:00:00

National Bullion Investors LLC

New York NY

Allegation: unlawful commodity transaction in Iowa

Resolution: Consent Order issued.

Date of Order/Settlement: 2008-06-19 00:00:00

Fischer, Barbara Jean (Hatinger)

Cedar Falls IA

Allegation: Sold unregistered securities; acted as an unregistered agent; misrepresented and omitted material facts.

Resolution: Consent: Cease and desist the offer or sale of unregistered securities; acting as an agent without registration; making untrue statement of material facts; omitting material facts in the sale of securities assessed $4000 Fine and $100 Costs.

Date of Order/Settlement: 2004-07-02 00:00:00

American Country Insurance Company February 20, 2020 Insurance Insurance Company

Summary Order of Suspension

Woods, Jerald Lee

Elizabethtown KY

Allegation: Unregistered agent; unregistered securities

Resolution: Default Order issued with an assessed monetary penalty.

Date of Order/Settlement: 2009-07-09 00:00:00