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
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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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