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 |
|---|---|---|---|---|---|
| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| Guttenberg Municipal Hospital | 63066 | February 23, 2011 | Insurance |
Dismissal; Proposed Decision |
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| 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 |
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| 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 |
| Albright, Julie | 68887 | April 26, 2011 | Regulated Industries | Preneed Sales Agent |
Proposed Decision |
| Flaherty, Dennis M. | 68888 | February 25, 2011 | Insurance | Public Adjuster |
Order and Consent to Order |
| Simon, Joseph | 68909 | June 10, 2011 | Regulated Industries | Preneed Sales Agent |
Order and Consent to Order |
| Rolle, Robin | 68942 | March 15, 2011 | Insurance | Producer |
Suspension Order |
| Shad N. Clayton | 68943 | September 7, 2017 | Insurance | Producer |
Order For Reissuance After License Suspension and Expiration |
| Essig, Ruthann | 68951 | March 15, 2011 | Insurance | Producer |
Suspension Order |
| Lemke, John | 68983 | March 10, 2011 | Regulated Industries | Preneed Sales Agent |
Default Order |
| Degeeter, Devin T. | 69101 | April 5, 2011 | Insurance | Producer |
Order and Consent to Order |
| State Adjusters LLC; Donald Schuett | 69194 | June 7, 2011 | Insurance | Unlicensed |
Summary Cease and Desist Order; Default Order |
| Kayser, James Bernard | 69300 | March 25, 2011 | Securities, Insurance | Investment Adviser Representative, Producer, Securities Agent |
Order and Consent to Order and Agreement |
| Thiede, William A. | 69335 | April 10, 2012 | Insurance | Producer |
Default Order |
| Kleve, Linda | 69482 | June 3, 2011 | Insurance | Producer |
Order and Consent to Order |
| Feeck, Ryan | 69614 | February 3, 2011 | Insurance | Producer |
Order and Consent to Order |
| Krier, Steven | 69614 | February 3, 2011 | Insurance | Producer |
Order and Consent to Order |
| Duehr, Mark | 69672 | April 11, 2011 | Insurance | Producer |
Default Order |
| Howard, Dana | 69735 | January 18, 2011 | Insurance |
Order and Consent to Order |
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| Clapper, Jill | 69794 | November 4, 2011 | Regulated Industries | Preneed Sales Agent |
Consent to Order |
| Schliemann, Justin | 69795 | February 14, 2011 | Insurance | Producer |
Suspension Order |
| Budget Rent A Car of Iowa City | 70056 | February 7, 2011 | Insurance | Unlicensed |
Order and Consent to Order |
| Lincoln General Insurance Company | 70096 | March 4, 2011 | Insurance | Insurance Company |
Order and Consent to Order |
| R&Q Reinsurance Company | 70099 | April 27, 2011 | Insurance | Insurance Company |
Order and Consent to Order |
| Holtsinger, John | 70273 | February 22, 2011 | Securities | Unlicensed |
Cease and Desist Order; Proposed Decision |