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 Order Date Subject Entity Order
Alliant Energy November 20, 2018 Insurance

Order and Consent to Order

Hammes, Kristina

North Liberty IA

Allegation: Failure to pay child support

Resolution: Order for Suspension issued.

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

Bessine, Dustin

Burlington IA

Allegation: Failure to comply with Other State Agency - DHS; Non-compliance w/order of Child Support

Resolution: License is suspended

Date of Order/Settlement: 2007-03-05 00:00:00

McLaughlin, Mark

Green City MO

Allegation: Unregistered agent Unregistered securities misrepresentations omissions.

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

Date of Order/Settlement: 2007-10-12 00:00:00

Northrop, Kenneth

Floyd IA

Allegation: Named as a beneficiary on a policy of an unrelated policyholder

Resolution: Consent: Cease and desist violation; 1 year probation; repay to the estate the amount received

Date of Order/Settlement: 2005-09-12 00:00:00

Bertsch, Kristoffer

Wilmington DE

Allegation: Failure to respond.

Resolution: Order - License revoked.

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

Svoboda, Steven

Washington IA

Allegation: Accepted money from clients that was intended for investment or savings purposes and converted those client funds for personal use.

Resolution: Order of Summary Revocation

Date of Order/Settlement: 2008-09-26 00:00:00

USI of Georgia Inc

Norfolk VA

Allegation: Did not remit surplus lines taxes; no Iowa licensed producer;

Resolution: Consent signed: Cease and desist conducting business until employee licensed in Iowa; pay $4500 Fine; and $500 Costs.

Date of Order/Settlement: 2004-08-23 00:00:00

Cooper, Vernon

Rochester MN

Allegation: Plead guilty to criminal charges.

Resolution: Consent Order - producer license is revoked and Cooper is permanently barred from reapplying.

Date of Order/Settlement: 2007-05-21 00:00:00

American Family Life Insurance Company

Madison WI

Allegation: Failure to Respond

Resolution: Consent Order issued and a monetary penalty assessed.

Date of Order/Settlement: 2008-02-13 00:00:00

Siebring Export Inc

Albion IA

Allegation: Sale of unregistered securities by an unregistered agent

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

Date of Order/Settlement: 2004-05-03 00:00:00

Black, Derek

Osage Beach MO

Allegation: Violated Iowa Insurance Trade Practices Act

Resolution: Summary Cease & Desist Order

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

Edward D. Jones & Company LP

St. Louis MO

Allegation: Failed to reasonably supervise securities agent

Resolution: Cease and desist filing to supervise; Pay $9500 Fine and Costs

Date of Order/Settlement: 2004-10-07 00:00:00

Scottish Re (U.S.) Inc. May 16, 2019 Insurance Insurance Company

Summary Order of Suspension

Ryder System, Inc., Ryder Truck Rental October 24, 2017 Insurance

Order and Consent to Order

MemberSelect Insurance Company

Dearborn MI

Allegation: MemberSelect was making rate revisions charged for its Iowa Homeowners program.

Resolution: Summary Order Disapproving premium rate changes.

Date of Order/Settlement: 2007-08-07 00:00:00

Young, John D.

Grand Rapids MI

Allegation: Failure to notify Division of administrative action taken against him in another jurisdiction; Failure to respond to Division inquiry.

Resolution: Deafult Decision issued revoking insurance producer license.

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

Dodd, Larenzo

Cedar Rapids IA

Allegation: Failure to disclose all criminal convictions on application

Resolution: Order: Denial of application for an linsurance license is upheld.

Date of Order/Settlement: 2004-06-24 00:00:00

Flowers, Larry W.

Gainsville GA

Allegation: Failure to notify Division of prior actions; Failure to cooperate with investigation.

Resolution: License revoked.

Date of Order/Settlement: 2006-03-22 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

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

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

Gateway Insurance Company February 20, 2020 Insurance Insurance Company

Summary Order of Suspension

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

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

Lumbermen's Underwriting Alliance May 29, 2015 Insurance Insurance Company

Order and Consent to Order

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

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