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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| Mills, Dwight L. | 59470 |
Allegation: Improper Sales Resolution: Consent Signed: Permanent License Revocation Date of Order/Settlement: 2001-10-23 00:00:00 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |
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| 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 |