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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| Bertsch, Kristoffer |
Wilmington DE Allegation: Failure to respond. Resolution: Order - License revoked. Date of Order/Settlement: 2006-08-18 00:00:00 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| Scottish Re (U.S.) Inc. | May 16, 2019 | Insurance | Insurance Company |
Summary Order of Suspension |
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| Ryder System, Inc., Ryder Truck Rental | October 24, 2017 | Insurance |
Order and Consent to Order |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| Prchal, Jeremy |
Omaha NE Allegation: Failure to respond Resolution: License revoked. Date of Order/Settlement: 2006-08-18 00:00:00 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| Western Insurance Company | October 7, 2011 | Insurance | Insurance Company |
Suspension Order |
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| Financial American Life Insurance Company | June 23, 2016 | Insurance | Insurance Company |
Order of Suspension and Consent to Order |
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| 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 |
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| 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 |
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| Gateway Insurance Company | February 20, 2020 | Insurance | Insurance Company |
Summary Order of Suspension |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| Lumbermen's Underwriting Alliance | May 29, 2015 | Insurance | Insurance Company |
Order and Consent to Order |
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| 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 |
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| 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 |
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| Aetna Better Health of Iowa Inc. | December 16, 2016 | Insurance | Insurance Company |
Order and Consent to Order |
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| 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 |