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 |
|---|---|---|---|---|---|
| Zaber, John T. | 58744 |
Dubuque IA Allegation: Omission from insurance application; false statement to an insurer and the Iowa Insurance Division. Resolution: Consent signed: 2 yr probation; Pay $1000 Fine; $250 Costs Date of Order/Settlement: 2003-08-29 00:00:00 |
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| Winders, Timothy P. | 58747 |
Sioux City IA Allegation: Improper offer and sale of annuity contract Resolution: Consent signed: 2 yrs probation; Cease and Desist from further violations; Report all consumer complaints to the Insurance Division within 30 days. Date of Order/Settlement: 2003-09-19 00:00:00 |
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| Huebner, Daniel W. | 58752 |
Grinnell IA Allegation: Replacement violations; receiving commissions without company appointment; Omissions from insurance applications Resolution: Order: Cease and Desist from further violation; $800 Fine; $500 Costs Date of Order/Settlement: 2002-02-15 00:00:00 |
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| Tradewinds Holding Company A.V.V. | 58770 |
Davie FL Allegation: Unregistered securities Unregistered agents Ommissions and Misrepresentations. Resolution: Cease & Desist Order issued. Date of Order/Settlement: 2006-11-01 00:00:00 |
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| Ripka, Linda | 58807 |
Warsaw MN Allegation: Unregistered securities Unregistered agent Ommissions and Misrepresentations. Resolution: Order and Consent to Order. Civil penalty imposed in Cease & Desist is vacated. Date of Order/Settlement: 2006-12-18 00:00:00 |
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| Miover, Peter E. | 58823 |
Omaha NE Allegation: Forgery;fraud in withdrawing insurance producer license; failure to disclose termination by insurance company. Resolution: Order signed: License revoked; $500 fine and $200 costs; prohibited from reapplying for license for 6 months. Date of Order/Settlement: 2005-08-19 00:00:00 |
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| Lauer, Gordon A. | 58824 |
West Union IA Allegation: Conviction of a felony Resolution: Consent signed: License revoked permanently and forevermore Date of Order/Settlement: 2003-09-19 00:00:00 |
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| Eichelberger, Kraig R. | 58827 |
Dysart IA Allegation: Advertising violations Resolution: Consent signed: Obey all Iowa insurance advertising regulations; 2 year probation; pay costs of $250. Date of Order/Settlement: 2003-10-14 00:00:00 |
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| Dolphin, Troy W. | 58828 |
Des Moines IA Allegation: Insurance application fraud Resolution: Consent Signed: Surrender Iowa insurance producer license; refrain from reapplying; refrain from violations of Iowa insurance laws or regulations. Date of Order/Settlement: 2003-10-07 00:00:00 |
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| Neighbor, Eldon L. | 58829 |
Alburnett IA Allegation: Permitted unlicensed person to sell commercial policies; Resolution: Consent signed: License suspended for 30 days; 1 year probation ending 1 year from the end of suspension; Pay $5368.50 fine; Pay $500 Costs; Confirm with policyholders policy meets their needs; pay any additional premiums needed. Date of Order/Settlement: 2003-10-24 00:00:00 |
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| Neighbor, Mark A. | 58830 |
Alburnett IA Allegation: Selling without proper license Resolution: Consent signed: License suspended for 30 days; 1 year probation ending one year from end of suspension date; Pay fine $5368.50; Pay costs $500; Confirm with policyholders policy meets the needs; Pay any additional premiums needed. Date of Order/Settlement: 2003-10-24 00:00:00 |
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| Schatz, Kenneth C. | 58835 |
Sioux City IA Allegation: Violation of previous order Resolution: Consent:License revoked Date of Order/Settlement: 2003-07-16 00:00:00 |
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| Heese, Daniel C. | 58837 |
Council Bluffs IA Allegation: Sale of unregistered securities; not licensed to sell securities; Incorrect information on application; Resolution: Order signed: Cease and Desist from violations of Iowa securities law and rule; License revoked permanently; Pay $10000 Civil Penalty; Pay $500 Costs Date of Order/Settlement: 2003-12-15 00:00:00 |
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| Huebner, Daniel W. | 58838 |
Grinnell IA Allegation: Dishonest or unethical practices in the securities business. Resolution: Consent: Revocation of securities agent license; Revocation of insurance producer license and permanently barred from reapplying for insurance producer license in Iowa. Date of Order/Settlement: 2003-08-19 00:00:00 |
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| Thomas, Joyce B. | 58862 | August 16, 2005 | Insurance | Producer |
Order & Consent to Order |
| Zimmerman, Jamie A. | 58873 |
West Branch IA Allegation: Conversion of client funds Resolution: Consent signed: Revocation of Securities agent license and permanently barred from reapplying effective 1/13/03; Revocation of insurance producer license and permanently barred from reapplying effective 4/25/03 Date of Order/Settlement: 2003-04-25 00:00:00 |
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| Flikeid, William E. | 58876 |
Lakeville MN Allegation: Sale of unregistered securities and/or business opportunities Resolution: Consent signed: 1 yr probation; repay all commissions and/or finders fees of $5600; sell only approved insurance products. Date of Order/Settlement: 2003-04-25 00:00:00 |
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| Bakken, Harlan T. | 58879 |
Waukon IA Allegation: Sale of unregistered securities and/or business opportunities Resolution: Consent signed: 1 yr probation; repay all commissions and/or finders fees of $500; sell only approved insurance products. Date of Order/Settlement: 2003-05-08 00:00:00 |
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| Philadelphia Indemnity Insurance Company | 58897 |
Bala Cynwyd PA Allegation: Failure to respond to Divisions inquiry Resolution: Consent signed: Respond to Divisions inquiry; pay $500 Fine; $100 Costs Date of Order/Settlement: 2003-06-27 00:00:00 |
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| Bankers Life and Casualty Company | 58899 |
Chicago IL Allegation: Advertising Violations Resolution: Consent signed: Pay $9424 Fine; comply with Iowa advertising laws and regulations. Date of Order/Settlement: 2003-06-02 00:00:00 |
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| Hedges, Dawn M. | 58934 |
Cedar Rapids IA Allegation: Failure to report criminal action Resolution: Order Signed: License suspended; $500 Fine; $100 Costs Date of Order/Settlement: 2001-09-05 00:00:00 |
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| Schuster, Mark K. | 58938 |
Muscatine/Bettendorf IA Allegation: Misappropriation of premiums Resolution: Consent Signed: License revocation; $1000 Fine; Cooperate; Repay premiums to clients and insurance companies $8926.03 Date of Order/Settlement: 2002-08-02 00:00:00 |
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| Madyun, Naim H. | 58939 |
Des Moines IA Allegation: Failure to satisfy bail bond judgments; took premium but failed to post bond. Resolution: Affirmed Order: License suspended indefinitely. Date of Order/Settlement: 2004-01-05 00:00:00 |
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| Lincoln Benefit Life Company | 58941 |
Northbrook IL Allegation: Failure to respond to Division inquiry Resolution: Consent Signed: Provide a response; $500 Fine; $100 Costs Date of Order/Settlement: 2001-10-23 00:00:00 |
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| Huff Sr., Roland L | 58942 |
Des Moines IA Allegation: Replacement violations Resolution: Consent signed: Cease and desist; $500 Costs Date of Order/Settlement: 2001-06-19 00:00:00 |
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| Huff Jr., Roland L. | 58942 |
Des Moines IA Allegation: Misappropriation; refusal to cooperate; lack of character. Resolution: Consent signed: License revocation. Date of Order/Settlement: 2002-03-25 00:00:00 |
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| Ayala, Adriane | 58944 |
Savannah GA Allegation: Failure to report prior disciplinary action Resolution: Order: License suspended until $400 Fine and $100 Costs paid Date of Order/Settlement: 2001-11-07 00:00:00 |
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| American General Assurance Company | 58945 |
Schaumburg IL Allegation: Failure to respond to Division inquiry Resolution: Consent Signed: Provide a response; $500 Fine $100 Costs Date of Order/Settlement: 2001-11-28 00:00:00 |
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| Andersen, Elizabeth J. | 58952 |
Fort Dodge IA Allegation: Prior disciplinary action Resolution: Consent Signed: Licensure permanently restricted to Qualification 16 personal lines; work subject to regular review by licensed producer. Date of Order/Settlement: 2001-11-16 00:00:00 |
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| Ross, Michael J. | 58953 |
Hopkinton IA Allegation: Improper Sales Resolution: Consent Signed: Permanent license revocation Date of Order/Settlement: 2001-09-25 00:00:00 |
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| Herrera, Sharon S. | 58954 |
West Des Moines IA Allegation: Unsuitable Sales; Unfair Trade practices Resolution: Consent Signed: 2 yr. Probation; Cease and Desist from violations; Date of Order/Settlement: 2001-09-25 00:00:00 |
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| Herrera, Richard L. | 58955 |
West Des Moines IA Allegation: Unsuitable Sales; Unfair trade practices Resolution: Consent Signed: 2 yr. Probation; Cease and Desist from violations Date of Order/Settlement: 2001-09-25 00:00:00 |
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| Courtney, Mark A. | 58956 |
Guthrie Center IA Allegation: Improper Sales Resolution: Consent Signed: Permanent license revocation Date of Order/Settlement: 2001-09-25 00:00:00 |
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| Cooper, Vernon W. | 58977 |
Cedar Rapids IA Allegation: Issued promissory notes to insurance customers Resolution: Consent Signed: Voluntary Suspension of license pending resolution of issues surrounding promissory notes to clients Date of Order/Settlement: 2002-08-01 00:00:00 |
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| Mollin, Harold P. | 58978 |
Manhasset NY Allegation: Failure to report administrative action Resolution: Order: License revoked Date of Order/Settlement: 2001-03-20 00:00:00 |
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| Spencer, Robert O. | 58981 |
Allegation: Replacement violations; suitability sales Resolution: Consent signed: 2 yrs probation; $500 Costs; reimburse client surrender charges Date of Order/Settlement: 2001-02-28 00:00:00 |
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| International Marine Water Safety Foundation | 58992 |
Blainville Quebec Canada Allegation: Unauthorized insurance company Resolution: Order for Default: Cease and Desist as an unauthorized insurer in Iowa; $50000 Fine Date of Order/Settlement: 2002-05-01 00:00:00 |
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| Gesink Jr., Henry | 58993 |
Sheldon IA Allegation: Selling unauthorized insurance products Resolution: Consent Signed: Cease and Desist from selling unauthorized ins. Products; Pay all outstanding health claims after final resolution of US Dept of Labor action against Employers Mutual L.L.C. $45400. Date of Order/Settlement: 2002-03-14 00:00:00 |
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| Rouse, Janie E. | 58994 |
Des Moines IA Allegation: Appealed denial of licensure Resolution: Order: Denial of Licensure upheld; may resubmit application on or after 9/30/02 Pay $200 Costs. Date of Order/Settlement: 2002-07-03 00:00:00 |
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| Applegate, William B. | 59000 |
Leon IA Allegation: Resolution: Consent signed: Voluntary Suspension of license; Pay $400 Fine; $100 Costs Date of Order/Settlement: 2002-09-10 00:00:00 |
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| Lopez, Wilson Joseph | 59001 |
Bellevue NE Allegation: Other states action Resolution: Consent Signed: 1 year Probationary license with life and health qualifications restrictions Date of Order/Settlement: 2002-10-10 00:00:00 |
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| Stephens, Dennis M. | 59040 |
Lake Mills IA Allegation: Violations of previous order regarding prohibited loan activity Resolution: Order of Summary Suspension: License suspended immediately; cease and desist from participating in the business of insurance in Iowa; and from soliciting or receiving any further loans from unrelated insurance clients; Pending hearing date 12/18/03 Date of Order/Settlement: 2003-11-20 00:00:00 |
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| Ober, Dennis J. | 59048 |
Des Moines IA Allegation: Sale of unregistered securities and/or business opportunities Resolution: Consent signed: License probation until 7/1/07; repay all commissions and/or finders fees of $41940; Pay $1000 Costs; sell only approved insurance and securities products. Date of Order/Settlement: 2004-01-08 00:00:00 |
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| Wilkin, Walter W. | 59061 |
Fairbank IA Allegation: Misrepresenting terms of a proposed insurance contract; forgery and executing insurance transactions without authority; failure to cooperate with Division investigation; twisting; unadmitted replacement. Resolution: Order: Iowa insurance producer license revoked permanently. Date of Order/Settlement: 2004-03-22 00:00:00 |
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| Revland, Markis K. | 59062 |
Arnolds Park IA Allegation: Failure to notify Iowa Ins. Division of other states prior actions Resolution: Order: Iowa Insurance license permanently revoked; Pay $5000 Fine; $500 Costs. Date of Order/Settlement: 2004-03-11 00:00:00 |
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| Lorenzen, Monte | 59063 |
Panora IA Allegation: Sale of unregistered securities/viatical settlement contracts; unregistered securities agent; fraudulent securities practices; misrepresentation of material facts; unsuitable sales; advertising violations;violation of prior order and consent to order. Resolution: Consent signed: Cease any offers & all sales of insurance products on 5/1/04; surrender Iowa insurance producer license 5/30/04; permanently barred from reapplying for Iowa insurance license & securities license; cease & desist; Pay $1000 Costs Date of Order/Settlement: 2004-04-01 00:00:00 |
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| IOA Re Inc | 59069 |
Plymouth Meeting PA Allegation: Failure to have third party administrator bond in force. Resolution: Consent signed: Certificate of Registration to act as a third-party administrator in Iowa is suspended until another surety bond is obtained and payment of $250 Costs Date of Order/Settlement: 2004-03-08 00:00:00 |
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| Strohmeier, Gretchen A. | 59071 |
Springboro OH Allegation: Selling annuity insurance policies in Iowa without a license in December 1994 and February 1995. Resolution: Consent signed: Pay $1100 Fine; Have active nonresident Iowa license before selling in Iowa; Report any administrative action taken within 30 days. Date of Order/Settlement: 2004-02-05 00:00:00 |
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| Murphy, Michael S. | 59073 |
Elizabeth City NC Allegation: Violations of Iowa uniform Securities Act: Misrepresentations; Omissions Resolution: Order: Cease and Desist making untrue statements of material facts in the offer or sale of securities; from omitting misleading material facts; assessed $10000 civil penalty. Date of Order/Settlement: 2004-02-12 00:00:00 |
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| UBS Securities LLC | 59074 |
Stamford CT Allegation: "Investment banking interests" influenced the firms research; published exaggerated or unwarranted research; failed to adequately supervise its research and banking departments. Resolution: Consent Cease and desist without admitting or denying allegations; Pay $250000 Fine Date of Order/Settlement: 2004-03-19 00:00:00 |