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
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

Rowen, Theodore R. 59595

Colorado Springs CO

Allegation: Failure to disclose felony convictions information on license application

Resolution: Order Signed: License revoked

Date of Order/Settlement: 2002-06-27 00:00:00

Frederick, Ronald D. 59597

Alta IA

Allegation: Failure to respond to IID inquiry;

Resolution: Consent Signed: Cease and Desits from failing to respond to IID; $600 Costs

Date of Order/Settlement: 2002-08-01 00:00:00

Anderson, Paul A. 59598

Alta IA

Allegation: Failure to respond to IID inquiry; failure to remit premiums

Resolution: Consent Signed: License surrendered; cooperate with investigation.

Date of Order/Settlement: 2002-07-19 00:00:00

United American Insurance Company 59599

McKinney TX

Allegation: Market Conduct Exam

Resolution: Consent Signed: Implement procedures; $5000 Fine

Date of Order/Settlement: 2002-05-28 00:00:00

Conseco Annuity Assurance Company 59652

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

Huseman, Daniel S. 59657

Alta IA

Allegation: Conviction of a felony

Resolution: Consent signed: Permanent license revocation

Date of Order/Settlement: 2002-09-18 00:00:00

Christian, Kevin M. 59663

Des Moines IA

Allegation: Failure to notify of other states actions; accepting insurance business from unlicensed persons;

Resolution: Consent Signed: 2 year license probation; Pay Reimbursement of $300; $500 Fine; Sales restrictions

Date of Order/Settlement: 2003-02-07 00:00:00

Transamerica Occidental Life Insurance Company 59668

Los Angeles CA

Allegation: Failure to respond to Insurance Division inquiry

Resolution: Consent signed: Provide response; Paid $500 Fine; $100 Costs

Date of Order/Settlement: 2002-12-16 00:00:00

Denney, Janis I. 59676

Mount Ayr IA

Allegation: Misappropriation of premiums

Resolution: Consent: License revocation; cooperate with the IID investigation

Date of Order/Settlement: 2003-01-16 00:00:00

Schatz, Kenneth C. 59696

Sioux City IA

Allegation: Failure to report criminal prosecution

Resolution: Consent Signed: If convicted of any criminal offense greater than a misdemeanor subsequent to this order license will be automatically revoked

Date of Order/Settlement: 2002-02-08 00:00:00

Montgomery, Carla S. 59710

Medical Lake WA

Allegation: Failure to notify of prior actions

Resolution: Consent Signed: $100 Fine; $100 Costs

Date of Order/Settlement: 2002-02-15 00:00:00

Employers Mutual LLC 59720

Carson City NV

Allegation: Unauthorized business of insurance

Resolution: Order signed: Cease and Desist doing business of insurance; $50000 Fine

Date of Order/Settlement: 2002-01-14 00:00:00

Cabell, Douglas J. 59721

Bettendorf IA

Allegation: Advertising Violations

Resolution: Consent Signed: 2 yrs probation; $500 Costs

Date of Order/Settlement: 2002-02-11 00:00:00

Nunnikhoven, Carl F. 59731

Oskaloosa IA

Allegation: Replacement violations

Resolution: Consent Signed: 1 yr probation; $750 Fine; $250 Costs

Date of Order/Settlement: 2002-01-17 00:00:00

Continental Casualty Company 59733

Chicago IL

Allegation: Failure to respond to Division inquiry

Resolution: Consent signed: Respond to inquiry; $500 Fine; $100 Costs

Date of Order/Settlement: 2002-02-20 00:00:00

Puget Sound Agricultural Society 59737

Arbuckle CA

Allegation: Conducting business of insurance in Iowa without a license; other states actions.

Resolution: Order on Default: Order to Cease and Desist issued on 1/22/02 is final; Cease and desist from the offer or sale of and operation of unauthorized insurer; $50000 civil penalty

Date of Order/Settlement: 2002-02-20 00:00:00

Guttenberg Municipal Hospital 63066 February 23, 2011 Insurance

Dismissal; Proposed Decision

Lubarsky, Larry 63422

Brooklyn NY

Allegation: Prior regulatory action

Resolution: Summary Order Denying Application for Securities Agent License.

Date of Order/Settlement: 2009-01-05 00:00:00

Rainey, Leland 65834 February 24, 2011 Insurance Unlicensed

Order and Consent to Order

Blake, Michael 66623 February 1, 2011 Insurance Producer

Order for Suspension; Order Reinstating License After Suspension

Covenant Benefits, Inc. a/k/a Covenant Advisors and Noah James Aulwes a/k/a Tom Lee Aulwes a/k/a Thomas Lee Aulwes 66957 August 24, 2010 Securities, Insurance Investment Adviser Representative, Producer

Order and Consent to Order and Agreement 

White, Jill 67013 April 12, 2010 Regulated Industries Preneed Sales Agent

Consent Order and Dismissal Order

Bristol West Insurance Company 67308 March 28, 2011 Insurance Insurance Company

Order and Consent to Order

Shipley, James 68175 September 15, 2011 Insurance Producer

Order and Consent Order

Fedders, Matthew 68424 April 18, 2011 Regulated Industries Preneed Sales Agent

Order and Consent to Order

Coleman, Ronald 68603 March 8, 2011 Insurance Producer

Order and Consent to Order

Schroder, Mark A. 68752 September 30, 2010 Insurance Producer

Order for Suspension

Prosapia Financial LLC; Prosapia Capital Management LLC; Alan Lucas; Robyn Renee Palmer 68806 January 28, 2011 Securities Unlicensed

Cease and Desist Order; Proposed Decision