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.
Click to subscribe for an email update when new orders are added to this page.
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 |