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
Petersen, Jeff A. 59316

Sioux City IA

Allegation: Unlicensed activity

Resolution: Consent signed: Cease and Desist with unlicensed offer and sale of insurance; Pay costs of $7000.

Date of Order/Settlement: 2003-04-04 00:00:00

Robey, Elmer E. 59318

Dubuque IA

Allegation: Accepting insurance business from unlicensed persons

Resolution: Consent signed: Iowa Insurance license suspended for six months; Pay $500 Fine and $250 Costs before suspension is lifted.

Date of Order/Settlement: 2003-06-30 00:00:00

Blazicek, Diane J. 59319

Johnson City NY

Allegation: Material misstatement on application for licensure; revocation of insurance license in another state; failure to notify Division of prior actions

Resolution: Order: License revoked

Date of Order/Settlement: 2003-05-16 00:00:00

Jennings, Geoffrey A. 59329

Council Bluffs IA

Allegation: Sold unregistered securities or business opportunities without proper licensure; failed to disclose criminal actions; violation of 18 U.S.C. section 1033; misappropriating funds or borrowing from clients after representing he was not.

Resolution: Order 9/15/03: License suspended; cease and desist from doing any insurance business in Iowa. Order dated 12/5/03: License permanently revoked; Cease and desist from offer and sale of unregistered securities and without proper securities license.

Date of Order/Settlement: 2003-12-05 00:00:00

Cooper, Byron D. 59331

Cedar Rapids IA

Allegation: Unlicensed to sell securities; Sale of alleged investments in unregistered securities promissory notes

Resolution: Consent signed: Cease and desist sale or offer to sell securities without a securities license; 2 years probation; $5000 civil penalty.

Date of Order/Settlement: 2004-08-11 00:00:00

Barnett, Robert R. 59332

Salem IA

Allegation: Sale of unregistered securities and/or unregistered business opportunities

Resolution: Consent signed: 1 yr. probation; repay all commissions and/or finders fee payments $1400.

Date of Order/Settlement: 2003-02-10 00:00:00

Priest, Harry A. 59336

Avoca IA

Allegation: Sale of unregistered securities and/or business opportunities

Resolution: Consent signed: 1 yr probation; restitution to investors of $8400; sell only approved insurance or securities products.

Date of Order/Settlement: 2003-02-10 00:00:00

Frey, Terry G. 59337

Cedar Rapids IA

Allegation: Failure to comply with Order and Consent to Order to surrender license

Resolution: Order: license suspended pending resolution of administrative action

Date of Order/Settlement: 2003-12-03 00:00:00

Christensen Jr., Robert A. 59340

Atlantic IA

Allegation: Violation of Commissioners Order; Dishonest practices and incompetence; Failure to inform of address change

Resolution: Order: License revoked

Date of Order/Settlement: 2003-03-21 00:00:00

Rhynsburger, Ronald J. 59341

Sioux City IA

Allegation: Failure to cooperate

Resolution: Order: License suspended until response received; Pay $500 Fine.

Date of Order/Settlement: 2003-03-20 00:00:00

Mutual of Omaha Insurance Company 59345

Omaha NE

Allegation: Failure to comply with requirements of external review procedure

Resolution: Consent signed: Pay $500 Fine

Date of Order/Settlement: 2003-11-26 00:00:00

Lark, Dershaun A. 59347

Bellevue NE

Allegation: Failure to cooperate; failure to notify Division of prior action

Resolution: Order signed: License suspended until full response received

Date of Order/Settlement: 2003-03-27 00:00:00

Barnes, Lloyd 59350

Omaha NE

Allegation: Used unlicensed agent/agents to solicit and procure applications for insurance; retained excess premium;signed application without authorization

Resolution: Consent signed: License revoked

Date of Order/Settlement: 2003-02-13 00:00:00

Glawe, Jerald L. 59351

Algona IA

Allegation: Sale of unregistered securities and/or business opportunities

Resolution: Consent signed: 1 yr probation; repay all commissions and/or finders fees of $1400; sell only approved insurance products.

Date of Order/Settlement: 2003-06-02 00:00:00

Lacona, Christopher D. 59366

Carlisle IA

Allegation: Failure to notify Division of criminal violations on license application; failure to cooperate with a Division investigation;

Resolution: Consent signed: License suspended for 30 days; $250 Fine;

Date of Order/Settlement: 2005-07-13 00:00:00

Privolos, George T. 59368

Bloomington IL

Allegation: Provided incorrect information on license application

Resolution: Order: License revoked; Pay $500 Fine and $200 Costs before relicensure

Date of Order/Settlement: 2005-07-29 00:00:00

Taylor, Thomas C. 59369

Florissant MO

Allegation: Failure to notify Division of criminal action

Resolution: Order: License revoked; Pay $500 Fine and $200 Costs before relicensure

Date of Order/Settlement: 2005-07-29 00:00:00

Haley, Robert E. 59376

San Antonio TX

Allegation: Failure to notify of other states actions

Resolution: Order: License revoked.

Date of Order/Settlement: 2005-12-19 00:00:00

Gulsvig, Ronald G. 59388

Waterloo IA`

Allegation: Failure to pay child support

Resolution: License suspended

Date of Order/Settlement: 2005-09-06 00:00:00

Dixon, William R. 59391

Apalachin NY

Allegation: Failure to report another states administrative action

Resolution: Consent signed: Cease and desist violations of Iowa insurance statutes and rules; pay $125 Fine and $125 Costs

Date of Order/Settlement: 2005-09-23 00:00:00

Hegedus, Margo 59393

Tampa FL Allegation: Failure to notify of other state's action Resolution: Order; License revoked $250 fine Date of Order/Settlement: 2005-12-22 00:00:00

Burkett, Jeffrey 59394

Warren OH

Allegation: Failure to notify of other states action

Resolution: Order; License revoked $250 fine

Date of Order/Settlement: 2005-12-22 00:00:00

Artz, Scott 59395

Sarasota FL

Allegation: Failure to notify of other states action

Resolution: Order; License revoked; $250 fine

Date of Order/Settlement: 2005-12-22 00:00:00

Newkirk, Timothy 59396

De Pere WI Allegation: Failure to notify of other state's action Resolution: Order; License revoked $250 fine Date of Order/Settlement: 2005-12-22 00:00:00

Goff, John 59397

Pike Road AL Allegation: Failure to notify of other state's action Resolution: Order; License revoked $250 fine Date of Order/Settlement: 2005-12-22 00:00:00

Sonnichsen, Alan 59400

Westport CT Allegation: Failure to notify of other state's action Resolution: Order License revoked $250 fine Date of Order/Settlement: 2005-12-22 00:00:00

Golden Rule Insurance Company 59424

Lawrenceville IL

Allegation: Market Conduct Exam; Advertising violations

Resolution: Consent Signed: See Consent; $70000 Fine

Date of Order/Settlement: 2002-06-18 00:00:00

Stephens, Dennis M. 59428

Lake Mills IA

Allegation: Marketing and sales violations

Resolution: Consent Signed: Use only approved marketing materials; repay personal loans; 2 yrs probation;

Date of Order/Settlement: 2001-06-05 00:00:00

Pleggenkuhle, Jason E. 59446

Des Moines IA

Allegation: Failure to notify of other administrative action

Resolution: Consent Signed: Permanent License revocation

Date of Order/Settlement: 2001-07-10 00:00:00

Conseco Annuity Assurance Company 59460

Carmel IN

Allegation: Failure to respond to Division

Resolution: Consent signed: Provide response to Division; pay $500 Fine $100 Costs

Date of Order/Settlement: 2002-09-27 00:00:00

Rudnicki, Jeffrey A. 59463

Marion IA

Allegation: Unauthorized signature on application

Resolution: Order Signed: Revocation of License; $200 Fine; $100 Costs

Date of Order/Settlement: 2001-09-05 00:00:00

Erwin, Gary 59465

Davenport IA

Allegation: Failure to pay penalty & costs from previous actions

Resolution: Consent Signed: Revocation of license until penalty and costs paid

Date of Order/Settlement: 2001-09-05 00:00:00

General Casualty Company of Wisconsin 59466

Sun Prairie WI

Allegation: Failure to respond

Resolution: Consent Signed: Respond to Division inquiries; $500 Fine; $100 Costs

Date of Order/Settlement: 2001-09-25 00:00:00

Kiegley, Douglass 59469

Adel IA

Allegation: Alleged Sale of Unregistered Securities

Resolution: Consent Signed: Permanent Revocation of License

Date of Order/Settlement: 2001-09-25 00:00:00

Mills, Dwight L. 59470

Allegation: Improper Sales

Resolution: Consent Signed: Permanent License Revocation

Date of Order/Settlement: 2001-10-23 00:00:00

Nielsen, Virginia E. 59482

Marshalltown IA

Allegation: Selling unregistered securities

Resolution: Consent Signed: Agrees to solicit and sell only insurance products offered in Iowa by authorized and admitted insurance carriers; Cease and Desist with the offer and sale of unregistered securities and promissory notes

Date of Order/Settlement: 2002-11-25 00:00:00

Wright, Curtis M. 59493

Waterloo IA

Allegation: Failure to pay child support

Resolution: License suspended

Date of Order/Settlement: 2002-12-24 00:00:00

MacDonald, Stacy 59494

Scranton IA

Allegation: Sale of unregistered securities by unregistered agentl omissions of material facts in the sale of securities.

Resolution: Consent: 1 yr probation of insurance license; Payment to Bureau as settlement of disputed claims $10161.11

Date of Order/Settlement: 2003-01-07 00:00:00

Raines, John E. 59508

Fairfield IA

Allegation: Marketing and sales violations

Resolution: Consent Signed: Cease and desist; 2 yrs probation; assist IID’s investigation; Return 10% of investment to clients

Date of Order/Settlement: 2001-04-05 00:00:00

Johnson, Mark W. 59535

Sparta WI

Allegation: Unsuitable sales; duplication of coverage

Resolution: Order signed: License revoked permanently and forevermore

Date of Order/Settlement: 2001-06-18 00:00:00

Chapin, Scott R. 59540

DeSoto IA

Allegation: Sale of unregistered securities and/or unregistered business opportunities

Resolution: Consent signed: 1 yr probation; repayment of commissisons and/or finders fee payments of $18900.

Date of Order/Settlement: 2003-02-10 00:00:00

Murphy, Liliana 59541

San Antonio TX Allegation: Failure to notify of other state's actions; Failure to respond Resolution: Order signed: License revoked; $200 Fine; $100 Costs Date of Order/Settlement: 2001-05-31 00:00:00

Lake, David L. 59554

Guthrie Center IA

Allegation: Sold unregistered and non-exempt securities; failure to notify of change of address

Resolution: Consent signed: Cease and Desist from solicitation of unlicensed insurance related products; 2 yr. probation; voluntary surrender of life and health qualifications; may retest after 2 yr; $2000 Costs; refund to clients $8759.23.

Date of Order/Settlement: 2002-08-12 00:00:00

Saddler Sr., Obie 59556

Waterloo IA

Allegation: Failure to report criminal activity

Resolution: Order Signed: License permanently revoked

Date of Order/Settlement: 2002-05-03 00:00:00

Riggall, John 59575

Centerville IA

Allegation: Selling products not issued by a licensed insurance company

Resolution: Consent Signed: Cease and desist; 2 yr probation; supervision; pay monetary amount of $12000

Date of Order/Settlement: 2002-03-25 00:00:00

Life Insurance Company of Georgia 59580 February 20, 2002 Insurance Insurance Company

Regulatory Settlement Agreement

Vander Wilt, Arthur J. 59582

Hospers 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.

Date of Order/Settlement: 2002-03-14 00:00:00

Lenz, Nathaniel A. 59584

Urbandale IA

Allegation: Marketing and sales violations

Resolution: Consent Signed: 2 years probation; Cease and Desist from violations; Pay $1000 Costs

Date of Order/Settlement: 2002-05-10 00:00:00

Mohr, Mandy 59592

Loves Park IL

Allegation: Failure to respond

Resolution: Order Signed: License Suspended; $250 Fine; $100 Costs; Respond to Division inquiry

Date of Order/Settlement: 2002-06-11 00:00:00

Rhone, Robert M. 59594

Mingo IA

Allegation: Failure to submit premiums to ins. co..

Resolution: Consent Signed: License suspended: pay $800 Fine; $200 Costs; Maintain separate premium trust account.

Date of Order/Settlement: 2002-05-09 00:00:00