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 |
|---|---|---|---|---|---|
| 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 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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| 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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| 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 |
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| Credit Suisse First Boston LLC | 59096 |
New York NY Allegation: Failure to supervise; Conflicts of interest between banking and analyst functions Resolution: Consent Order: without admitting or denying allegations to Cease and Desist; Pay $750000 Fine Date of Order/Settlement: 2004-03-30 00:00:00 |
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| Lund, William J. | 59170 |
Norwalk OH Allegation: Selling unlicensed crop insurance programs Resolution: Consent Signed: Cease & Desist; Use approved marketing material; $500 Costs Date of Order/Settlement: 2002-07-18 00:00:00 |
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| Kolbe, Joseph R. | 59227 |
Bradenton FL Allegation: Unsuitable Sales & Twisting Resolution: Consent signed: 2 yrs probation; $2500 Fine; $750 Costs Date of Order/Settlement: 2001-02-28 00:00:00 |
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| Lavin, Larry | 59293 |
Milford IA Allegation: Failure to respond to Division inquiries Resolution: Consent Signed: 1 yr probation; certify compliance with insurance laws and regulations; Cease and Desist; Costs: $1000 Date of Order/Settlement: 2001-04-30 00:00:00 |
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| Barth, Douglas N. | 59294 |
Independence IA Allegation: Misappropriation of premiums Resolution: Order signed: License permanently revoked Date of Order/Settlement: 2001-05-01 00:00:00 |
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| Hrdlicka, Raymond W. | 59295 |
Fremont CA Allegation: Failure to notify of other state's action Resolution: Consent Signed: License revoked for 10 years; $200 Fine; $100 Costs Date of Order/Settlement: 2001-07-10 00:00:00 |
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| Scribner, Monica F. | 59298 |
Omaha NE Allegation: Sale of unregistered securites and/or unregistered business opportunities Resolution: Consent signed: 1 yr probation; repayment of commissions and finders fee payments of $3500. Date of Order/Settlement: 2003-02-13 00:00:00 |
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| Christensen, Daniel J. | 59300 |
Dubuque IA Allegation: Failure to cooperate in an investigation Resolution: Order: Insurance License suspended; $500 Fine; $100 Costs; respond to Division inquiry Date of Order/Settlement: 2003-05-22 00:00:00 |
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| Moeller, Gregory M. | 59301 |
Mount Pleasant IA Allegation: Sale of unregistered securities and/or business opportunities Resolution: Consent signed: 1 yr. probation; repay all commissions of $1400;sell only approved products. Date of Order/Settlement: 2003-03-12 00:00:00 |
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| Lippold, Robert J. | 59302 |
Des Moines IA Allegation: Sale of unregistered securities and/or unregistered business opportunities Resolution: Consent Signed: 1 yr probation; Pay $3500 civil penalty to IID; sell only approved products. Date of Order/Settlement: 2003-03-17 00:00:00 |
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| McGinnis, Douglas D. | 59303 |
Shenandoah IA Allegation: Sale of unregistered securities and/or business opportunities Resolution: Consent signed: 1 yr probation; repay all commissions and/or finders fees $9000; sell only approved insurance products. Date of Order/Settlement: 2003-03-17 00:00:00 |
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| Daugherty, Sandra J. | 59304 |
Madrid IA Allegation: Criminal complaints Resolution: Consent signed: License revoked permanently Date of Order/Settlement: 2003-03-03 00:00:00 |
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| Baxter, Raymond E. | 59305 |
Ft. Madison IA Allegation: Sale of unregistered securities and/or unregistered business opportunities Resolution: Consent signed: 1 yr probation; repayment of commissions and finders fee payments $2695. Date of Order/Settlement: 2003-02-10 00:00:00 |
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| Buchholz, Barry L. | 59306 |
Cedar Rapids IA Allegation: Replacement violations Resolution: Consent signed: Cease and desist violating replacement laws and regulations: pay $2000 Civil Penalty; $500 Costs Date of Order/Settlement: 2003-03-11 00:00:00 |
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| Ohio National Life Insurance Company | 59307 |
Cincinnati OH Allegation: Replacement violations Resolution: Consent Signed: Pay civil Penalty of $15000; Pay $2200 Costs; Submit to Division $21054 in commissions earned by agent; compliance with insurance regulations laws regarding replacement. Date of Order/Settlement: 2003-04-04 00:00:00 |
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| Johnson, Willard G. | 59309 |
Geneseo IL Allegation: Sale of unregistered securities and/or business opportunities Resolution: Consent Signed: Voluntary surrender of Iowa Insurance license; repay commissions of $11200 before eligible for relicensing in Iowa; Cease and Desist insurance business or securities business in IA Date of Order/Settlement: 2003-03-27 00:00:00 |
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| Freese, Jason C. | 59310 |
Altoona IA Allegation: Intentional misrepresentation of proposed insurance contract; using faudulent coercive or dishonest business practices; failure to cooperate. Resolution: Consent signed: 2 Year supervised probation; May not sell solicit or negotiate contracts during probationary period; submit quarterly reports; subject to reviews; Cooperate with Divisions investigations; pay $1600 Costs Date of Order/Settlement: 2003-07-30 00:00:00 |
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| McCain, Larry D. | 59311 |
Sioux City IA Allegation: Failure to cooperate Resolution: Consent signed: 2 yrs probation; cooperate with Divisions investigation into complaints; Pay $2500 Costs. Date of Order/Settlement: 2003-03-27 00:00:00 |
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| Lavin, Larry B. | 59313 |
Milford IA Allegation: Sale of unregistered securities and/or unregistered business opportunities Resolution: Consent signed: 1 yr; probation; Repay commissions and/or finders fees; Restitution on pro-rata basis to Iowa investors of $18480; sell only approved products or investments. Date of Order/Settlement: 2003-03-31 00:00:00 |
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| Revland, Markis K. | 59314 |
Arnolds Park IA Allegation: Failure to comply with previous order and failure to respond to Division inquiry Resolution: License suspended Date of Order/Settlement: 2004-01-07 00:00:00 |
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| Revland, Markis K. | 59314 |
Arnolds Park IA Allegation: Sale of unregistered securities and/or business opportunities Resolution: Consent signed: 2 yr probation; repay all commissions and/or finders fees of $19460; repay investors a prorata portion; pay $1000 administrative penalty; sell only approved insurance products. Date of Order/Settlement: 2003-04-02 00:00:00 |
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| Bratty, Brooke | 59315 |
Council Bluffs IA Allegation: Sale of unregistered securities and/or business opportunities; failure to cooperate in an investigation by the Insurance Division. Resolution: Order signed: Insurance license suspended; Pay $500 Fine; provide information to Iowa Ins. Div before suspension is lifted. Date of Order/Settlement: 2003-05-08 00:00:00 |