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 |
|---|---|---|---|---|---|
| Anania, Milton W. (Mike) |
Des Moines IA Allegation: Using unlicensed individuals to solicit and sell; allowing them to sign his name and submit applications; collected commissions for these sales. Resolution: Consent signed; license suspended 30 days; 1 year probation; Cease and Desist charging $50 documentation fee; Attend ethics class; Pay $5000 fine $500 administrative costs. Date of Order/Settlement: 2004-12-14 00:00:00 |
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| Reno, Mark |
Des Moines IA Allegation: Misappropriation of money; Dishonesty incompetence untrustworthiness; Failure to notify Division of address change. Resolution: Consent Order signed; License revoked and barred from reapplying for 2 yrs. Date of Order/Settlement: 2007-09-14 00:00:00 |
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| Hasan, L. Basheer |
Des Moines IA Allegation: Acted as an unregistered securities agent and investment advisor Resolution: Order Agreement and Consent Order - Cease & Desist Date of Order/Settlement: 2006-08-03 00:00:00 |
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| Ullico Casualty Company | March 20, 2013 | Insurance | Insurance Company |
Suspension Order |
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| Miover, Peter E. |
Pilot Mound IA Allegation: Appealing Proposed Decision Denying Licensure Resolution: Order Affirming Proposed Decision and Denying Licensure Date of Order/Settlement: 2008-08-11 00:00:00 |
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| Helland, Ronald S. |
Ames IA Allegation: Forging of customers signatures on insurance form Resolution: Consent: Cease and desist from allegation; pay $400 Fine and $100 Costs Date of Order/Settlement: 2004-08-02 00:00:00 |
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| Ball, Roger |
Blair NE Allegation: Failed to disclose previous administrative actions in his applications to become a non-resident Iowa Insurance producer. Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2009-08-13 00:00:00 |
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| Anderson, Thomas K. |
Davenport IA Allegation: Failure to comply with Other State Agency - DHS; Non-compliance w/order of Child Support. Resolution: Iowa Insurance Producer License suspended. Date of Order/Settlement: 2007-04-23 00:00:00 |
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| Murphy, Michael J. |
Deephaven MN Allegation: Failure to report other states action. Resolution: Order and Consent to Order and Agreement issued and a monetary penalty assessed. Date of Order/Settlement: 2008-01-09 00:00:00 |
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| Lavin, Larry |
Milford IA Allegation: Violation of previous order Resolution: Consent Signed: Insurance license permanently revoked. Date of Order/Settlement: 2004-04-08 00:00:00 |
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| Doctors and Surgeons National Risk Retention Group IC, Inc. | November 1, 2016 | Insurance | Insurance Company |
Summary Order of Suspension |
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| Klear Vu Kovers |
Janesville IA Allegation: Unregistered securities; Unregistered agents and Ommissions. Resolution: Cease & Desist order issued. Date of Order/Settlement: 2006-11-08 00:00:00 |
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| Geertsma, Mark |
Independence IA Allegation: Engaged in dishonest and unethical practices in the securities and investment business. Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2009-01-21 00:00:00 |
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| Standard Life Insurance Company of Indiana | August 7, 2012 | Insurance | Insurance Company |
Suspension Order |
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| Tallett, David |
Cedar Rapids IA Allegation: Advertising Violation Resolution: Consent Order signed. Civil penalty assessed. Date of Order/Settlement: 2007-07-19 00:00:00 |
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| Aviva USA |
Des Moines IA Allegation: allow unauthorized withdrawals from annuity trust. Resolution: Consent Order issued. Date of Order/Settlement: 2008-05-01 00:00:00 |
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| Schatz, Kenneth |
Sioux City IA Allegation: Resolution: Order: license revocation rescinded Date of Order/Settlement: 2006-02-17 00:00:00 |
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| Bliek, Roy |
Hull IA Allegation: Sale of unregistered securities; Unregistered agent Resolution: Consent Order issued to cease and desist violations. Date of Order/Settlement: 2009-05-03 00:00:00 |
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| Nelson, Judith |
Tarpon Springs FL Allegation: Unregistered securities Unregistered agent Ommissions and Misrepresentations. Resolution: Order and Consent to Order signed. Civil penalty imposed in Cease & Desist is vacated. Date of Order/Settlement: 2007-02-07 00:00:00 |
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| Cillo, Mark |
Saint Louis MO Allegation: Summary Cease and Desist Order Resolution: Order Vacating Summary Cease and Desist Order Date of Order/Settlement: 2009-05-27 00:00:00 |
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| (The) Just Foundation |
Tarpon Springs FL Allegation: Unregistered securities Unregistered agents Ommissions and Misrepresentations. Resolution: Order and Consent to Order signed. Civil penalty imposed in Cease & Desist is vacated. Date of Order/Settlement: 2007-02-07 00:00:00 |
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| Hartford Life Insurance Company |
Simsbury CT Allegation: Failure to respond to two separate inquiries related to a complaint received by the Division. Resolution: Consent Order signed and a monetary penalty assessed. Date of Order/Settlement: 2007-09-17 00:00:00 |
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| Rose, Noel S. |
Yuma AZ Allegation: Failure to notify of revocation of license in two states Resolution: Order: Permanent license revocation Date of Order/Settlement: 2004-03-15 00:00:00 |
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| Medical Savings Insurance Company | June 3, 2011 | Insurance | Insurance Company |
Suspension Order |
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| Conseco Life Insurance Company | May 28, 2010 | Insurance | Insurance Company |
Regulatory Settlement Agreement |
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| Stabile, Timothy |
Ottumwa IA Allegation: Stabile improperly withheld misappropriated or converted moneys received in the course of doing business. Resolution: Order & Consent to Order - permanently barred from reapplying for an insurance producer license in Iowa and also permanently barred from reapplying for a securities agent license in Iowa. Date of Order/Settlement: 2006-08-08 00:00:00 |
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| Whirlpool Corporation |
Benton Harbor MI Allegation: Failure to timely file renewal. Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2008-08-13 00:00:00 |
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| Silva Shea |
Santa Ana CA Allegation: Sale of unregistered securities by an unregistered agent Resolution: Order: Cease and desist of sale or offer of sale of unregistered securities in Iowa Date of Order/Settlement: 2004-08-06 00:00:00 |
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| Lumbermen's Underwriting Alliance | May 29, 2015 | Insurance | Insurance Company |
Order and Consent to Order |
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| Marshall Cemetery Association |
Marshalltown IA Allegation: submitted verification that it repaid interest mistakenly withdrawn. Resolution: Voluntary Settlement and Consent Order issued. Date of Order/Settlement: 2009-08-19 00:00:00 |
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| Skaggs, Christopher |
Iowa City IA Allegation: Failure to disclose criminal history. Resolution: Order and Consent to Order; Civil penalty. Date of Order/Settlement: 2007-05-03 00:00:00 |
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| Maytag Corporation |
Benton Harbor MI Allegation: Failure to timely file and failure to respond. Resolution: Consent Order issued and monetary penalty assessed. Date of Order/Settlement: 2008-01-16 00:00:00 |
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| IDS Life Insurance Company |
Minneapolis MN Allegation: Failure to provide Free Look Period. Resolution: Order and Consent to Order - No monetary penalty assessed. Date of Order/Settlement: 2006-11-08 00:00:00 |
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| Trenwick American Reinsurance Corporation |
Fairfield CT Allegation: Failure to respond Resolution: Consent issued and monetary penalty assessed. Date of Order/Settlement: 2009-01-23 00:00:00 |
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| Chamley, Aaron |
Van Wert IA Allegation: Sold viatical settlement investment contracts while unregistered. Resolution: Cease and desist issued to hald the sale of unregistered securities; cease and desist acting as unregistered agent Date of Order/Settlement: 2004-09-20 00:00:00 |
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| Certificate of Authority of National Contractors Insurance Company | August 31, 2015 | Insurance | Insurance Company |
Summary Order of Suspension |
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| Penn Treaty Network America Insurance Company |
Allentown PA Allegation: Proposed a rate increases dated July 6 2007 for several types of long term care policies . Resolution: Summary Order Denying Premium Rate Increase. Date of Order/Settlement: 2007-07-20 00:00:00 |
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| Veenstra, Douglas |
Tracy IA Allegation: Appointment termination. Resolution: Consent Order issued; heightened supervision and probation for 1 year and a monetary penalty assessed. Date of Order/Settlement: 2008-05-02 00:00:00 |
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| Sterling Blackthorn Inc |
Mount Pleasant MI Allegation: Selling/offering unregistered securities in Iowa. Resolution: Order: Cease and desist the offer or sale of unregistered and non exempt securities in Iowa. Date of Order/Settlement: 2004-06-10 00:00:00 |
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| United Fire & Casualty Company |
Cedar Rapids IA Allegation: Failure to report dividends Resolution: Consent: Report dividends as directed; submit schedule; pay $1000 fine; $500 Costs Date of Order/Settlement: 2006-02-17 00:00:00 |
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| Cillo, Mark |
Saint Louis MO Allegation: Misrepresentation Resolution: Order Vacating Summary Cease and Desist Order Date of Order/Settlement: 2009-05-27 00:00:00 |
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| Riverside Cemetery | August 5, 2014 | Regulated Industries | Other |
Consent Order and Notice of Right to Hearing |
|
| Oberreuter, Sheryl |
Norway IA Allegation: Issued retroactive coverage. Resolution: Order and Consent to Order - Suspension of insurance producer license for 60 days; Civil Penalty and Costs were assessed. Date of Order/Settlement: 2007-02-21 00:00:00 |
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| Simonsen Capital LLC |
Coralville IA Allegation: Acting as unlicensed investment adviser and unlcensed investment adviser representative in Iowa Resolution: Voluntary agreement to register as investment adviser and investment adviser representative notify the Securities Bureau of any consumer complaints for calendar year 2005; pay $500 Costs. Date of Order/Settlement: 2005-01-04 00:00:00 |
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| Barnett, Kevin |
Louis MO Allegation: Unregistered agent; Unregistered Securities; Omissions and Misrepresentations. Resolution: Cease and Desist Order issued and a monetary penalty assessed. Date of Order/Settlement: 2007-09-24 00:00:00 |
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| Urista, Jason C. |
Columbia Heights MN Allegation: Failure to disclose prior criminal history Resolution: Order: Revocation of Iowa Insurance License Date of Order/Settlement: 2004-03-15 00:00:00 |
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| Park Avenue Property and Casualty Insurance Company | June 3, 2011 | Insurance | Insurance Company |
Suspension Order |
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| Bankson, James P. |
San Clemente CA Allegation: Failure to report other states action Resolution: Consent: Cease and desist violation of Iowa laws; Pay $125 Fine and $12 Costs. Date of Order/Settlement: 2005-08-26 00:00:00 |
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| Wachovia Capital Markets LLC |
Charlotte NC Allegation: Conflicts of interest between investment banking and equity research department failure to supervise its research analysts failed to maintain and produce in a timely manner certain books and records. Resolution: Without admitting or denying findings of fact and conclusions of law Wachovia agreed to cease and desist failing to supervise and agreed to pay a civil penalty of $246500. Date of Order/Settlement: 2006-08-15 00:00:00 |
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| Coventry Health Care of Iowa |
West Des Moines IA Allegation: Time and Notice requirements of external review procedure violations Resolution: Consent signed: Pay $1000 Civil Penalty Date of Order/Settlement: 2003-03-27 00:00:00 |